Lawrence Berkeley National Laboratory (LBNL) and the University of California recognize the importance of appropriate treatment of records. Every LBNL employee has responsibilities for LBNL records. Records management is a line function at LBNL, and the LBNL Archives and Records Office assists line management in meeting its records management responsibilities.
Records management provides a rational basis for making decisions about recorded information, including what should be saved and what should be discarded. These decisions are necessary to support the legal, fiscal, administrative, and other research needs of LBNL, the University, the federal government, state of California, and general public. The ultimate goal of records management is to identify and maintain records that adequately and properly document the organization, functions, policies, decisions, procedures, and essential transactions of projects and research.
Additional information about records-keeping requirements can be obtained by calling the LBNL Archives and Records Office at (510) 486-5525.
7.9.1 Legal Requirements
All records generated at LBNL under terms of its contract with DOE are considered institutional. As such, all LBNL records are owned by the United States government, with the exception of the University’s fiscal and administrative records.
University administration and fiscal records are owned by the University of California and are therefore subject to the California Public Records Act and the Information Practices Act. All other LBNL records are federal records. Four primary laws relate to federal records management: the Federal Records Act of 1950, as amended; the Freedom of Information Act; the Privacy Act; and the Paperwork Reduction Act of 1980.
The LBNL records management program is mandatory.
7.9.2 Responsibilities
Each LBNL division/department must:
- Designate records liaison officers responsible for overall coordination of records programs, add the records liaison officer duties to the individual’s job description and his/her annual job evaluation, and ensure that the records liaison officer is trained by the Archives and Records Office.
- Cooperate with the LBNL Archives and Records Office in applying standards and procedures to improve the management of records.
- Establish effective management controls over the creation, maintenance, and use of records.
- Create and preserve records that adequately and properly document the organization, functions, policies, decisions, procedures, and essential transactions of the divisions, departments, and research groups.
- Destroy records according to retention schedules approved by the National Archives and Records Administration.
- Submit records inventories to the LBNL Archives and Records Office.
- Transfer semi-active records from office space to the LBNL Archives and Records Office.
- Establish safeguards against the unauthorized removal or destruction of records and notify the LBNL Archives and Records Office if their removal or destruction occurs or appears imminent.
- Provide safeguards in all records management activities for the protection of individual privacy in accordance with federal and state laws and regulations.
- Identify, develop, and maintain a vital records protection program.
- Ensure that document retention schedule/destruction practices are suspended when litigation, governmental investigation, or an audit are pending.
7.9.3 Program Components and Services
7.9.3.1 Training and Workshops
The Archives and Records Office offers training and workshops on records management, including records disposition, vital records protection, files management, electronic records retention scheduling, and disaster preparedness.
7.9.3.2 Records Inventory
All LBNL divisions, departments, and research groups are responsible for completing and keeping current inventories for their records, and should share the information electronically with the Archives and Records Office.
7.9.3.3 Records Scheduling
Records must be maintained according to the retention schedules approved by the National Archives and Records Administration. The schedule is the legal instrument by which records are evaluated and decisions are made about their storage, preservation, availability, or transfer to the National Archives and Records Administration. The Archives and Records Office is responsible for developing retention schedules that accurately reflect the nature and content of LBNL’s records.
After the schedule is prepared, it is sent to DOE and the National Archives for review and approval. It is critical to note that records may not be destroyed unless they are covered by an approved schedule.
7.9.3.4 Program Survey
To establish accountability and to assess LBNL’s records management practices, the Archives and Records Office will survey each division, department, project, and research group’s area using National Archives and Records Administration guidelines and requirements. Reports of the records surveys will be given to the records liaison officer and appropriate line management.
Line management and the records liaison officer are responsible for correcting the deficiencies within a reasonable amount of time.
7.9.3.5 Information in Electronic and Optical Format
Scientific and technical records may consist of laboratory notebooks, raw observational or experimental data, text files, software, or modeling and design systems recorded on electronic or optical media. According to the law and National Archives and Records Administration regulations, records may consist of any media, including microfilm, magnetic tape, floppy and hard disks, and optical cards and disks. Information on these media must be covered by an approved records schedule and handled according to the terms of the schedule.
Federal law and regulations require LBNL to schedule electronic and optical record retention by information system (including inputs, outputs, documentation, and magnetic or optical media). Unscheduled records or records scheduled for permanent retention in hard copy may not be destroyed without National Archives approval. Before a division, department, project, or research group creates electronic or optical data systems, the records liaison officer should contact the Archives and Records Office about disposition requirements.
7.9.3.6 Vital Records
Vital records should be inventoried and identified. Scientific groups and departments must take appropriate measures to protect vital records.
7.9.3.7 Disaster Recovery
If records are damaged by fire, water, or other natural or man-made hazards, the LBNL Archivist and Records Manager should be contacted to assess the damage, determine whether in-house methods can be used to recover the information, or find additional records disaster recovery expertise.
7.9.3.8 Disposition of Personal Papers and Official Records
The contract between the University of California and DOE specifies that all records, except the University’s fiscal and administrative records, are federal records. Individuals do not own LBNL records and do not have the authority to dispose of them or transfer records to another institution. If individuals maintain personal files at LBNL, they must not mix LBNL records with their personal records. Individuals may make convenience copies of appropriate LBNL records for their personal files in reasonable quantities.
7.9.3.9 Privacy and Access Laws
LBNL records, except for the University’s fiscal and administrative records, are subject to the procedures outlined in the Freedom of Information Act and the Privacy Act. University fiscal and administrative records are subject to the California Public Records Act and the Information Practices Act. For assistance and clarification about these laws, call the Archives and Records Office.
7.9.3.10 Access to LBNL Records
LBNL records that are permanent, historically valuable, and non-current are open to research, subject to Freedom of Information and Privacy Act provisions. Researchers are encouraged to call the Archives and Records Office to make arrangements to use these records.
7.9.3.11 Quality Assurance
The LBNL Operating and Quality Management Plan (PUB-3111) addresses quality assurance records. The records liaison officer must carry out records responsibilities according to procedures established by quality assurance guidelines, LBNL policy and procedure, and federal laws and regulations. The Archives and Records Office will assist divisions, Principal Investigators, departments, projects, and research groups in understanding and meeting their quality assurance records obligations.
7.9.3.12 Central Records Holding Area
The LBNL Archives and Records Office operates LBNL’s central records holding area. All offices are required to retire semi-active records series to the Archives and Records Office. The central records holding area facility standards are set forth in LBNL's RPM, Archives and Records Management Policy.
