National Archives and Records Administration Review In Reply To: Mail Stop 442 MEMORANDUM September 15, 1998 To: Water Resources Division Senior Staff Branch and Office Chiefs District Chiefs From: Catherine L. Hill /signed/ Assistant Chief Hydrologist for Operations Subject: National Archives and Records Administration Review REPLY REQUIRED BY SEPTEMBER 30, 1999 From the fall of 1996 to the spring of 1997, the National Archives and Records Administration (NARA) conducted inspections of records, as well as records management practices and policies, within the U.S. Geological Survey (USGS) at 94 offices in Reston headquarters and 20 field locations. Despite the fact that the USGS mission involves collection, analysis and dissemination of earth science information, there is inadequate record maintenance and disposition to ensure mission-related program records are safeguarded. NARA recommended that the bureau appoint a Records Officer, establish a network of records management officers/liaisons/ custodians, develop a formal record management training program and ensure there are disposition schedules for all records. The bureau must actively focus on the establishment of records management programs to ensure that records are properly filed, easily retrieved, and segregated as to permanent or temporary records. Generally, NARA found Water Resources Division (WRD) records to be well organized and accessible, and that most offices have established file plans and file records according to those plans. NARA recommended that each site appoint a record liaison/ custodian to be responsible for maintenance and disposition of office records. NARA further recommends that the Office of Information's Publishing Management Program (PMP) reiterate their policy that requires that a publication copy be sent to their office (Mail Stop 439). The division plans to issue this restated policy this fiscal year. Some reports may not have been transmitted to PMP during the intervening period. Your assistance will be requested to help PMP identify publications retained locally that are not in the division archives. WRD must begin to fully recognize the immense challenge of the management of such a diverse and voluminous collection of information resources. With the USGS being the leader in earth science information dissemination, we have an ever-increasing responsibility for ensuring it can be easily retrieved for public use in such formats as reports, maps, databases and other record resources. WRD must be able to manage this large volume of information dissemination by timely, precise responses that can only be accomplished using proper management practices and programs. Individual findings were sent to district offices reviewed by NARA, with a response required to this office on their action plan for implementation of NARA's recommendations. Based upon these responses, my office has prepared a WRD action plan responding to NARA's recommendations that indicates our plans to rectify records' deficiencies. Once WRD's action plan is approved, my office will be required to prepare a progress report every 6 months until all WRD actions are completed. Based upon the findings of NARA's review, the following actions must be implemented by WRD managers by September 30, 1999, to ensure proper record maintenance and disposition, and to ensure the efficiency of dissemination of earth science information. After your cost center has complied with the requirements for record maintenance and disposition which follow, please notify Patrick Smith (pdsmith) electronically. - Each office must appoint a Records Liaison/Custodian to be directly responsible for ensuring that program, as well as administrative, records are included in the office file plans according to the disposition schedules. - Each office must ensure that a comprehensive file plan is developed and records filed according to the USGS General Records Schedule or WRD mission specific schedules. Instructions for developing file plans and file plan templates are available on the USGS's Intranet at http:// www.usgs.gov:8888/ops/IRM/fpdo.html. If record series are not covered in the USGS general or mission-specific disposition schedules, contact Patrick Smith (pdsmith) to obtain a NARA- approved disposition. - Each office must ensure that valuable project information is part of the official file plan, and these files are complete and are maintained according to proper file management procedures. Project files need to contain account establishment information; proposals; project descriptions; annual project updates; copies of reports; and miscellaneous correspondence, data and budgeting information concerning the project. - Each office must disseminate to all program and scientific staff, guidance on the management of scientific records, which can be found on the USGS Intranet at http://www.usgs.gov:8888/ops/IRM/srecs.html. USGS mission- specific disposition schedules can be found at http:// www.usgs.gov:8888/ops/IRM/fmref2.html. - Each office should provide record management training for managers regarding their role and responsibility in the USGS records management program. - Each office should ensure that district employees have access to USGS records control schedules and are trained in their proper application. - Record liaisons must work with program managers to identify record series to be proposed for rescheduling record retention periods. This process would include series that should be retained for shorter or longer periods of time such as for gaging station case files. - Offices need to establish a central collection point for motion picture and video film, and ensure that storage conditions meet the requirements in 36 CFR 1232. - Offices need to identify records that are necessary for continuing operation during an emergency, and records that protect the legal and financial rights and interests of individuals affected by USGS programs. For records identified as vital records, duplicate off-site storage should be provided. Guidance on vital records can be found in 36 CFR 1236 and in the NARA guide. If your office has any questions concerning this memorandum and what it entails for your office, please contact Patrick Smith (pdsmith) at (703) 648-5254. Copy to:Administrative Officers cc:CH file, MS 409 ACH/O, MS 441 WRD, AO, MS 442 P. D. Smith, MS 442 WRD Chron, MS 441 WRD General, MS 403 AO Chron, MS 442 :WRD:MFANNING:mf:x5237:8/24/98:RecordsAdminReview Revised:Gail Wendt:acdilandro:9/8/98.