# Presentation: 217405

## 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)**
**April 14, 2008**

## Goals for This Workshop

**Help you to understand your role in managing Lab records.**
**Answer your 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?**

## 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?**

## 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.**

## 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?

## 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. **

## Why Do We Have to Keep Records?

**36 CFR Chapter XII, Subchapter B.**
**DOE Directive O 200.1 – Information Management Program https://www.directives.doe.gov/pdfs/doe/doetext/restrict/neword/200/o2001.pdf.**
**DOE Directive, O 243.1, Records Management Program http://www.directives.doe.gov/pdfs/doe/doetext/neword/243/o2431.pdf.**

## Why Do We Have to Keep Records?

**DOE Directive, O 243.2, Vital Records http://www.directives.doe.gov/pdfs/doe/doetext/neword/243/o2432.pdf.**
**DOE G 1324.5B (Redesignated as DOE G 200.1-1) http://www.directives.doe.gov/pdfs/doe/doetext/oldord/1324/g13245b.pdf.**
**LBNL Prime Contract http://labs.ucop.edu/internet/comix/contract/LBNL/appendices/LBNL_K31_SecB_I_m010.pdf.**

## 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.**

## 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.**

## 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.**

## 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.**

## 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.**

## How Do I Prepare Records for Storage?	

**Please don’t transfer the following to storage:**

## How Do I Pack and Label Boxes?

**Contact ARO (**_**[aro@lbl.gov](mailto:aro@lbl.gov)**__** or x5525) to order the correct boxes.**_
**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.**

## 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!**

## How Do I Pack and Label Boxes?

**Assembling the box:**

## How Do I Pack and Label Boxes?

**Assembling the box:**

## How Do I Pack and Label Boxes?

**Treat the box as a file drawer:**

## How Do I Pack and Label Boxes?

**Packing and labeling the box:**

## How Do I Pack and Label Boxes?

**Don’t over or under pack:**

## What Forms Do I Use and How Do I Fill Them In?

**Electronic transmittals must be submitted to ARO (**_**[aro@lbl.gov](mailto:aro@lbl.gov)**__**) **_***before***** any records can be transferred.**
**Download the **_**[transmittal](http://www-library.lbl.gov/public/tmAro/howto/Trans.rtf)**__** and **__**[quality checklist](http://www-library.lbl.gov/public/tmAro/howto/ChkLs.rtf)**__** from the forms page at **__**[http://www-library.lbl.gov/public/tmAro/faq/Rec_Trans_Form.html](http://www-library.lbl.gov/public/tmAro/faq/Rec_Trans_Form.html)**_
**Fill in the information about the records in the fields provided.**

## 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.**

## 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.**

## 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.**

## How Do I Get My Records to Storage?

**Email the form to ARO (**_**[aro@lbl.gov](mailto:aro@lbl.gov)**__**) with a project ID number for Transportation.**_
**Place a hard copy of the forms in the first box of the series.**
**Put a sign on the boxes – “Hold for ARO Pickup.”**
**ARO staff will review the forms and put in the pickup request with Transportation.**
**After processing your records, ARO will send you a PDF transmittal.**

## How Do I Get My Records to Storage?

## 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 564 "items," each with it's own instructions on how long records have to be kept.**

## 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.**

## 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.**

## How Do I Get Records Back From Storage?

**Consult the PDF transmittal ARO sent you.**
**Go to ARO’s online records request web **_**[form](http://www-teid.lbl.gov/teid/tmAro/requestrecords/req_rec.html)**__** at **__**[http://www-library.lbl.gov/public/tmAro/requestrecords/req_rec.html](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.**

## Questions & Answers 2, Or, What Are Vital Records and Who Says They're Vital?

## Vital Records Characteristics

**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.**

## Vital Records at Berkeley Lab

**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**

## Questions & Answers 3, Or, Now What Am I Supposed to Do With Electronic Records?

## 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. **

## 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 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.**

## 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.**

## Questions & Answers 4, Or,  How Can ARO Help Me Get My Records Archived?

## 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.**

## 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**

## Getting Your Scientific Records Archived

**Special Projects Archivist, Beret Ranelletti -- .5 FTE (**_**[BARanelletti@lbl.gov](mailto:BARanelletti@lbl.gov)**__**, 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.**

## Getting Your Scientific Records Archived

**Why do we have a free R&D Records Outreach Project?**
**LBNL has approximately 22K containers at the FRC.**
**Only 11.4K are R&D records.**
_**[75 Years of World-Class Science-](http://www.lbl.gov/Publications/75th/index.html)**__**-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**

## HELP!!!???

## 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](http://www-library.lbl.gov/public/tmAro/aboutus/AroDefault.htm)**_
**Contact us directly at **_**[aro@lbl.gov](mailto:aro@lbl.gov)**__** 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**