U.S. Department of the InteriorU.S. Geological Survey

Records Management Practices:Doing Right by the Records

John FaundeenASPRSMay 1, 2008Portland, Oregon

Agenda

Context Records Management Elements Take Away

Context

Science Records Our Thrust is Observational

Aerial Satellite

Principles Apply to all Science Records

October 1951

June 1994

Aerial

Satellite

July 1973 May 1990

Records Management

Lifecycle Creation, Use & Maintenance, Disposition Each Stage Must Have Documented Processes

Ongoing Process Constant Attention IT Partnership

Differing Roles

Records Management Elements Appraisal Accession Arrangement Access (Description / Reference) Preservation Disposition

Appraisaln. ~ 2. The process of determining the length of time records should be retained, based on legal requirements and on their current and potential usefulness.

Determine Lineage Written Agreements

Determine Quality Data / Metadata / Reference Materials

Documentation Critical Authenticity, Reliability, Integrity, Usability ISO 15489-1:2001(E)

Intellectual ControlSource: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Collections Appraised (Sample)

Apollo Dispose Shuttle Hand-Held Dispose Gemini Retain AVHRR Retain Landsat RBV (film) Retain Large Format Camera Retain Shuttle Imaging Radar-A Dispose Shuttle Imaging Radar-C Retain

Accessionv. ~ 2. To take legal and physical custody of a group of records or other materials and to formally document their receipt. – 3. To document the transfer of records or materials in a register, database, or other log of the repositoryʹs holdings.

Communicate Before & After Transfer Documents Processing Staff

Document Provenance Change Intellectual Control

Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Arrangementn. ~ 1. The process of organizing materials with respect to their provenance and original order, to protect their context and to achieve physical or intellectual control over the materials.

Keep Collections Together Usually Easier to Manage & Locate (Discovery)

Arrange in Priority Order Emergency

Physical Control

Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Access (Description / Reference)n. ~ 1. The ability to locate relevant information through the use of catalogs, indexes, finding aids, or other tools. – 2. The permission to locate and retrieve information for use (consultation or reference) within legally established restrictions of privacy, confidentiality, and security clearance.

Invest in Metadata Require Complete Metadata in Contracts

Leverage Internal & External Systems

Aids Discovery Actions Intellectual Control Aid / Context

Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Preservationn. ~ 1. The process of protecting materials from deterioration or damage; the non-invasive treatment of fragile documents. - 3. LAW · An order issued by a court designed to prevent the spoliation of materials potentially relevant to litigation and subject to discovery.

Federal Records Act Access is Mute! 3-Copy Strategy Migrate Every 3-5 Years

Metadata Security Procedures Usability Physical Control

Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Preservation

13 Semis of 1 Copy

< 1 SUV for 2 Copies

Dispositionn. ~ 1. Materialsʹ final destruction or transfer to an archives as determined by their appraisal.

Transferring Document

What, When, Where Why & Who Useful

Plan for … $ Retention Schedule (legal document) Physical Control

Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Take Away

Observational Records Have Lifecycles Rarely Destroyed Transfers Likely

Applying Records Management Document What Occurred Discovery Context Provenance Intellectual & Physical Control