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Archives and Records Management Policy

    Title:

    Archives and Records Management Policy

    Publication date:

    7/23/2015

    Effective date:

    8/10/2006

    BRIEF

    Policy Summary

    This policy establishes line-management responsibility for managing scientific and operational records at Berkeley Lab. It also establishes and specifies responsibilities for:

    • Employees and affiliates
    • Divisions and departments
    • Division Records Liaison Officers
    • The Laboratory-wide Archives and Records Office

    Who Should Read This Policy

    • Employees and affiliates
    • Employees with specific records management responsibilities

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    Information Technology Policy Manager
    Information Technology Division
    itpolicy@lbl.gov

    Title:

    Archives and Records Management Policy

    Publication date:

    7/23/2015

    Effective date:

    8/10/2006

    D. Policy Statement
    D.1 Employee Responsibilities
    D.2 Division and Department Requirements
    D.3 Records Liaison Officer Requirements
    D.4 Archives and Records Office

    POLICY

    A. Purpose

    The purpose of this policy is to promote records and archives management to:

    • Document the organization, functions, policies, decisions, procedures, and essential transactions of projects and research at Lawrence Berkeley National Laboratory (Berkeley Lab)
    • Keep and maintain information according to legal, fiscal, administrative, and historical needs
    • Help support access to Laboratory Records

    B. Persons Affected

    This policy applies to employees and affiliates as well as individuals with additional records management responsibilities.

    C. Exceptions

    Not applicable

    D. Policy Statement

    D.1 Employee Responsibilities

    Records Management is a line-management function at Berkeley Lab. Employees and affiliates are responsible for the records management of information that they use or manage as part of their job duties. Records Liaison Officers, divisions, or departments, and the Archives and Records Office (ARO) can assist employees and affiliates in meeting their responsibilities for records management. Beyond general responsibilities, employees and affiliates:

    • Must not dispose of or transfer Laboratory Information to another institution without consulting the ARO; information created as part of job duties is Laboratory Information and potentially a Laboratory Record
    • Should not mix Laboratory Records with personal records

    Read more about records on the ARO’s FAQs page.

    D.2 Division and Department Requirements

    1. Purpose. To establish effective management controls over the creation, maintenance, and use of records that adequately and properly document the division or department's organization, functions, policies, decisions, procedures, and essential transactions.
    2. Records Management Practices. Each Berkeley Lab division or department must develop records management practices per ARO standards, procedures, and guidelines. These practices should include the following activities:
      1. Transfer of inactive records to the ARO
      2. Records Destruction practices that:
        1. Only destroy records after consulting with the ARO and according to applicable retention schedules
        2. Establish safeguards against the unauthorized removal or destruction of records; notify the ARO if unauthorized removal or destruction of records occurs or threatens to occur
        3. Ensure that document-destruction practices are suspended when litigation, governmental investigation, or an audit is pending or imminent
      3. Identify and ensure the availability of records required for disaster recovery and/or contingency planning
    3. Records Liaison Officer. Each division must designate a Records Liaison Officer (RLO) who has authority and responsibility for overall coordination of records management activities. Depending on the size and needs of the division, RLOs can also be designated at the department level.

    D.3 Records Liaison Officer Requirements

    Records Liaison Officers should:

    • Coordinate records management activities with both the Laboratory-wide program and within their division or department
    • Help ensure that their division or department records program adheres to applicable laws and regulations as well as standards, procedures, and guidelines from the ARO
    • Adhere to the ARO requirements for Records Liaison Officers

    D.4 Archives and Records Office

    Berkeley Lab must maintain an ARO. The ARO must:

    1. Establish standards, procedures, and guidelines for the Laboratory archives and records management program per 36 CFR, Subchapter B, Records Management
      1. When scheduling records, the ARO must use applicable Department of Energy schedules.
    2. Develop and maintain a system to identify, locate, and retrieve Laboratory records
    3. Manage destruction moratoriums per applicable laws and regulations
    4. Provide information and resources to inform Berkeley Lab employees about their records management responsibilities
    5. Provide assistance to Laboratory divisions or departments to develop processes for effective records management, including disaster preparation and recovery
    6. Establish requirements for Records Liaison Officers
    7. Ensure that historically valuable records, including permanent records, are appropriately accessible to researchers
    8. Identify, store, and assist in the display of historic Laboratory artifacts
    9. Assist principal investigators with management of their scientific and technical records

    E. Roles and Responsibilities

    Employees must adhere to this policy. Individuals with additional records management responsibilities (employees of the ARO, division or department directors, and Records Liaison Officers) must meet additional requirements specified by this policy.

    F. Definitions/Acronyms

    Term

    Definition

    Records

    See FAQs for definition of records.

    Laboratory Records

    Both federal and University-owned records

    Federal Records

    Records, except University-owned records, acquired or generated by the contractor in the performance of Contract 31

    University-Owned Records

    Records that are not federal records as defined by Clause I.80 - DEAR 970.5204-3, Access to and Ownership of Records (July 2005). Examples include fiscal and administrative records such as employment, financial, procurement, and legal information.

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    I. Contact Information

    Information Technology Policy Manager
    Information Technology Division
    itpolicy@lbl.gov

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    1/2/2012

    1

    J. Bonaguro

    Rewrite for wiki

    All

    Minor

    6/21/2013

    1.1

    J. Bonaguro

    Review complete. Editorial change. Update Next Review date.

    Policy Summary, B, D.1–D.4, and F

    Minor

    7/23/2015

    1.2

    S. Lau

    Periodic review: Source Requirements Documents and Next Review Date updated.

    Roles and Responsibilities, Source Requirements Documents, Definitions/Acronyms

    Editorial

    DOCUMENT INFORMATION

    Title:

    Archives and Records Management Policy

    Document number

    10.03.001.000

    Revision number

    1.2

    Publication date:

    7/23/2015

    Effective date:

    8/10/2006

    Next review date:

    7/23/2016

    Policy Area:

    Archives and Records Management

    RPM Section (home)

    Information Management

    RPM Section (cross-reference)

    1.17

    Functional Division

    Information Technology

    Prior reference information (optional)

    RPM, Chapter 1, Section 1.17

    Source Requirements Documents

    • DOE O 243.1B Admin Chg 1, Records Management Program
    • Contract 31, Clause I.80 - DEAR 970.5204-3, Access to and Ownership of Records (July 2005)

    Other Driving Requirements

    • Quality Assurance Policy, 04.03.001.000

    Implementing Documents

    Document Number

    Title

    Type

    10.03.001.001

    Records Transfer Procedure

    Procedure

    10.03.001.002

    Records Request Form

    Form

    10.03.001.003

    Records Liaison Officers

    Requirements

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