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Records at Berkeley Lab—Is It All Dark Matter or Can We Shed Any Light On It?
John W. Stoner
Archives and Records Office (ARO)
October 23, 2008
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http://www.archivesmonth.org/
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Goals for This Workshop
• Help you to understand your role in managing Lab records.
• Answer the questions:– What exactly is a record?– What do I need to keep and send to storage?– What should I NOT send?– When should I send records to storage?– How do I prepare the records for storage?– How do I pack and label the boxes?
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Workshop Goals
• Answer more questions:– What forms do I use and how do I fill them in?– How do I get the records to ARO?– How long should the records be stored?– How do I retrieve the records?– What are Vital Records?– What do we do with electronic records?– What help does ARO provide?
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ARO’s Mission and Services
• Ensure the collection of records documenting the Laboratory and its work.
• Respond to internal and external records requests.
• Provide records training to Lab employees.
• Coordinate the Lab’s Records Liaison Officer (RLO) Program.
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Questions & Answers 1, Or,What is a record?How do I store it?
How do I get it back?How long will the records be kept?
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Only Send Records to Storage
• A record is:– Documentary material, in any media, created
or received in the normal course of laboratory business.
– It provides evidence of the Lab’s policies, procedures, activities, and decisions.
– It has technical, administrative, historical, and/or legal value.
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Why Do We Have to Keep Records?
• 36 CFR Chapter XII, Subchapter B.• DOE Directive, O 243.1, Records
Management Program http://www.directives.doe.gov/pdfs/doe/doetext/neword/243/o2431.pdf.
• DOE Directive, O 243.2, Vital Records http://www.directives.doe.gov/pdfs/doe/doetext/neword/243/o2432.pdf.
• LBNL Prime Contract http://labs.ucop.edu/labprimecontracts/LBNL/lbnl_sect_pdf.html.
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Why Do We Have to Keep Records?
• RPM §1.17 – Archives and Records Management http://www.lbl.gov/Workplace/RPM/R1.17.html.
• BBP (Best Business Practices) – treating recorded information as a valuable corporate asset.
• Preserving the historical record of the Laboratory and it's accomplishments.
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What NOT to Send to Storage
• Do not send nonrecords or personal papers to storage.
• What are nonrecords?– Publications.– Reference materials.
• What are personal papers?– Materials that do not relate to or have an effect
upon the conduct of Lab business.
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When Should I Send Records to Storage?
• At a pre-established file cut-off (end of the CY or FY, end of a project, etc.).
• When records are referenced once a month or less but must still be retained.
• NOTE: Nothing less than one full storage box of records should be transferred.
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How Do I Prepare Records for Storage?
• Go to the ARO web site at http://www-library.lbl.gov/public/tmAro/howto/AroHowto.htm and read the Transfer Instructions and Standards, then:
• Organize and box the records as separate series. A series is:– Unit of records 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.
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How Do I Prepare Records for Storage?
– Records retention schedules (lists of records telling how long to keep the records) are organized by series.
• Be sure all records are in labeled file folders.
• DON'T:– Transfer hanging file folders or binders.– Send floppy diskettes, transparencies, chron
files, multiple copies, or publications.– Mix series or store personal papers with lab
records.
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How Do I Prepare Records for Storage?
Please don’t transfer the following to storage:
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How Do I Pack and Label Boxes?
• Contact ARO ([email protected] or x5525) to order the correct boxes.– The first 10 are free.– After that, cost is $1.75 a box.
• Treat the box as a file drawer – the front is marked FRONT and has spaces labeled ACCESSION NUMBER and AGENCY BOX NUMBER.
• Transfer the records from existing filing equipment to the boxes, maintaining the same order.
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How Do I Pack and Label Boxes?
• Leave one to two inches of space in each box – don’t over or under pack.
• Fill all the boxes except the last one (the last box does not have to be full if there are not enough folders to fill it).
• Number the boxes in the AGENCY BOX NUMBER space following the format 1 of 11, 2 of 11, etc. DON'T WRITE ANYTHING ELSE ON THE BOX!
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How Do I Pack and Label Boxes?
Assembling the box:
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How Do I Pack and Label Boxes?
Assembling the box:
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How Do I Pack and Label Boxes?
Treat the box as a file drawer:
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How Do I Pack and Label Boxes?
Packing and labeling the box:
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How Do I Pack and Label Boxes?
Don’t over or under pack:
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What Forms Do I Use and How Do I Fill Them In?
• Electronic transmittals must be submitted to ARO ([email protected]) before any records can be transferred.
• Download the transmittal and quality checklist from the forms page at http://www-library.lbl.gov/public/tmAro/faq/Rec_Trans_Form.html
• Fill in the information about the records in the fields provided.
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What Forms Do I Use and How Do I Fill Them In?
• Complete all fields except those marked Archives and Records Use Only.
• In the Brief Description of the Records 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 materials found in the records.
• Do not sign the form – that space authorizes records destruction, not storage.
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What Forms Do I Use and How Do I Fill Them In?
• On the second and subsequent pages, fill in the box numbers (1 of 11, 2 of 11, etc.), the folder numbers, and the file folder headings in each box - exactly as they appear in the box.
• If an electronic index already exists it may be used or copied and pasted into the form, so long as box and folder number and folder heading are clearly indicated.
• The heading for every folder in every box must be listed and the order of the file listing must match the order of the folders in the boxes.
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What Forms Do I Use and How Do I Fill Them In?
• Low cost storage at the Federal Records Center (FRC) requires that Lab records meet a set of standards.
• Fill out the Accession Checklist to make sure your records meet the standards.
• The answer to all the questions on the form must be “Yes” to meet the standards.
• Once the records arrive at ARO and are reviewed, if they do not meet the standards, they will be returned to you.
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How Do I Get My Records to Storage?
• Email the form to ARO ([email protected]).• Place a hard copy of the forms in the first
box of the series.• ARO staff will review the forms.• ARO will send you a link to the
Transportation Work Request web page (https://workrequest.lbl.gov/).
• After processing your records, ARO will send you a PDF transmittal.
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How Do I Get My Records to Storage?
https://workrequest.lbl.gov/Click on the Transportation Move Request link
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How Do I Get My Records to Storage?
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How Long Will the Records Be Kept?
• Records retention schedules – legal documents listing records by name or by type – dictate how long records will be kept.
• The Lab uses twenty-seven different schedules, with a total of 565 "items," each with it's own instructions on how long records have to be kept.
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How Long Should the Records 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.
• Destruction of Lab records– Before any record at the FRC is destroyed
there must be written authorization from the department head.
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How Long Should the Records Be Kept?
– If the department wants the records stored beyond their scheduled destruction date, the options are:• Find a different schedule with a longer retention.• The department takes the records back and
maintains them.
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How Do I Get Records Back From Storage?
• Consult the PDF transmittal ARO sent you.• Go to ARO’s online records request web
form at http://www-library.lbl.gov/public/tmAro/requestrecords/req_rec.html
• Fill out the following:– Requesting a box or file?– Temporary or permanent loan?– Five to seven day delivery or next day
delivery?– General description of what you are trying to
retrieve.
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How Do I Get Records Back From Storage?
• Keep in mind the following:– Rush requests must be in by noon for next day
delivery.– You are responsible for the records you
request. Files MUST be maintained in the order you receive them.
– You are responsible for returning temporary loans to ARO within 30 days.
– All of this remains true even if you are requesting records for use of another Laboratory employee
– Supervisors are responsible for seeing that these policies are enforced.
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Questions & Answers 2, Or, What Are Vital Records and Who Says
They're Vital?
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Vital Records Characteristics
• Contain information needed to establish or continue an organization in the event of an emergency or a disaster.
• Essential to recreating an organization's legal and financial position.
• Essential to preserving the rights of the organization, its employees, and the people and organizations it serves.
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Vital Records at Berkeley Lab
• Managing vital records is part of Lab’s emergency and disaster preparedness planning.
• Each Division is responsible for having a vital records program.
• ARO is responsible for assisting the divisions by providing training and assistance on a formal basis.
• For more information see the FAQ at http://www-library.lbl.gov/public/tmAro/faq/Vital_Rec_Def.html
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Questions & Answers 3, Or, Now What Am I Supposed to Do With Electronic
Records?
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What Do We Do About Electronic Records?
• Each year, the world produces roughly 800 megabytes of new information for every man, woman, and child on earth.
• Ninety-two percent of new information is stored on magnetic media, primarily hard disks.
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What Do We Do About Electronic Records?
• The Lab’s challenges – how to store electronic records so that they are:– Organized in a recordkeeping system certified
by the Department of Defense for scheduling and disposal.
– Accessible to the right people at the right time, and accessible as long as the law requires.
• We know– That we have already lost information.– That paper is a long-lived medium.
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What Do We Do About Electronic Records?
• Two options:– Print out electronic records and file in existing
paper recordkeeping systems.– File electronic records in a DoD-certified
electronic Records Management Application (RMA).• Issues?
– Cost.
– Training.
– Maintenance.
• OCFO/Travel e-records project.• Xythos/WebSpace.
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Questions & Answers 4, Or, How Can ARO Help Me Get My
Records Archived?
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Helping Get Your Records Archived
• ARO can provide help in getting your records archived.
• For business/administrative records.– Advice is FREE.– For boxing, transporting and indexing ARO
must charge.
• For scientific records, the whole process is free.
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Getting Your Business Records Archived
• ARO staff meets with you to discuss your records.
• ARO staff analyzes your records.• ARO staff gives you cost estimate for full
processing of your records.• You provide ARO with a Project ID.• ARO takes care of the rest.• For more information go to http://www-
library.lbl.gov/public/tmAro/faq/Recharge_Service.html
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Getting Your Scientific Records Archived
• Special Projects Archivist, Beret Ranelletti -- .5 FTE ([email protected], ext. 4685)
• R&D Records Outreach Project.– Beret works with RLO's, administrators,
scientists to:• Identify R&D records.• Appraise R&D records.• Transfer R&D records.• Describe R&D records.• Archive R&D records.
– All of the above at NO COST to the divisions.
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Getting Your Scientific Records Archived
• Why do we have a free R&D Records Outreach Project?– LBNL has approximately 21K containers at the
FRC.• Only 9.3K are R&D records.
– 75 Years of World-Class Science--help to preserve the history of the Lab.
– Preserve the history of recent and future science at the Lab.• George Smoot and the COBE Project.
• For more information see http://www-library.lbl.gov/public/tmAro/faq/R&D_Rec_Outreach_Prog.html
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HELP!!!???
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Where Do I Go to Get More Help?
• Go to the ARO web site at http://www-library.lbl.gov/public/tmAro/aboutus/AroDefault.htm
• Contact us directly at [email protected] or x. 5525.
• Arrange for a free records consultation in your office.
• Arrange to have all the records transfer processing done by ARO:– Recharge for business records– Free for R&D records