U.S. Geological Survey Manual
431.1 - Records Management Program
OPR: Geospatial Information Office
Instructions: This replaces Survey Manual (SM) Chapters SM 431.1 – Records Management Program – General, dated August 28, 1998; SM 431.9 – Information Storage and Retrieval Technology -- Micrographics, dated August 28, 1998, and SM 432.1 – Files Management Program, dated February 22, 1991.
1. Purpose. This chapter states policy for maintenance of the USGS Records Management Program. It also provides program objectives and assigns responsibilities for program management and operations to ensure adequate documentation and proper preservation of records and files evidencing the organization, functions, policies, decisions, procedures, and essential transactions of the USGS for current and future use. Additional policy and procedures information on record and file keeping requirements can be found in 432-1-H - USGS Records Management Handbook.
A. 44 U.S.C. Chapters 21, 29, 31, and 33 - Records Management.
B. 44 U.S.C. Chapter 35 - Paperwork Reduction Act.
C. 5 U.S.C. 552 and 552a - Information Access.
D. OMB Circular A-130 - Management of Federal Information Resources.
E. 36 CFR Chapter XII, Subpart B - Records Management.
F. 41 CFR 201-22 and 201-45 – Federal Information Resources Management Regulation.
G. 36 CFR 1220, 1222, 1224, 1228, 1230, 1232, 1234 and 1236 – National Archives and Records Administration (NARA) Regulations.
A.SM 431.3 - Electronic Mail
B.SM 431.5 - Directives Management; 431-5-H - Directives Management Handbook
C.SM 431.8 - Federal Register Documents
D.SM 431.10 - Information Collection Requirements
E. SM 433.3 - Vital Records
F. 319-1-H - USGS Guide for Handling Privacy Act Records
G. 432-1-H - Handbook for Managing USGS Records
H. 432-1-S1 - USGS General Records Disposition Schedule and the Discipline-specific Records Disposition Schedules
I. 380 DM 1 - Records Management Program and Responsibilities
J. 380 DM 2 – Adequacy of Documentation
K. 380 DM 3 - Files Management
L. 380 DM 6 – Vital Records Program
M. 382 DM 11 – Managing Records in Electronic Form
N. 384 DM 1 – Records Dispositions
4. Policy. The USGS maintains an active Records Management Program established for the economical and effective creation, maintenance, use, preservation, and disposition of USGS records and files, on all media, in compliance with all applicable statutory and regulatory requirements.
A. Federal records include all books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of the records (44 U.S.C. 3301).
B. A file means the arrangement of records. The term is used to denote records regardless of physical form or characteristics that are accumulated or maintained in filing equipment, boxes, electronic devices, or on shelves and occupying office or storage space.
6. Objective.. The objectives of the USGS Records Management Program are as follows:
A. Foster accurate and complete documentation of the policies, procedures, functions, organization, transactions, and science of the USGS.
B. Manage all USGS records, regardless of form or media, in accordance with regulations, from their initial creation to their final disposition.
C. Identify USGS records through maintenance of current general and mission-specific (scientific) records schedules.
D. Establish adequate safeguards to prevent unauthorized access, removal, destruction, or loss of USGS records.
E. Establish and organize files to ensure that USGS records are complete and can be found quickly, to facilitate the identification and retention of records of archival value, and to accomplish the timely disposition of non-current records.
F. Ensure that all USGS records appraised by the Archivist of the United States as having permanent value are forwarded in a timely manner to the NARA for preservation.7. Responsibilities. General responsibilities for maintaining the USGS Records Management Program are described below. Additional information on roles and responsibilities can be found in the Records Management Handbook (432-1-H).
A. The Deputy Director, USGS, has responsibility for ensuring that all USGS programs and activities are in compliance with Federal records management regulations.
B. The Associate Director for Geospatial Information and Chief Information Officer has overall responsibility for ensuring that appropriate records management policies and procedures are planned and implemented in all USGS activities.
C. The Associate Directors (AD), Director’s Office, and Headquarters Human Resources Offices are responsible for ensuring that records management program requirements and vital records requirements (SM 433.3) are carried out within their respective national areas of responsibility. They are responsible for designating Records Liaison Officers who coordinate records management activities at headquarters. The AD’s designated Record Liaison Officers are also responsible for developing new and revised records schedules.
D. The Regional Directors, in collaboration with the Geospatial Information Officers (RGIO), are responsible for ensuring that records management program requirements are carried out within their respective regional areas of responsibility. The RGIO’s are responsible for designating Records Liaison Officers who are responsible for regional records management operations.
E. The USGS Records Officer is responsible for policy development, coordination, and overall management of the USGS Records Management Program and ensuring bureau policies, standards, and procedures are consistent with those established by the Department of the Interior (DOI) and the NARA.
F. Records Liaison Officers (RLO) are responsible for assisting and cooperating with the USGS Records Management Office in the administration and implementation of the USGS Records Management Program in their respective organizations. Their responsibilities include, but are not limited to, coordinating requirements and implementation strategies that ensure (1) that their respective national, discipline, or regional organizational official file stations, managers, and employees have current and accurate Files Maintenance and Disposition Plans, and (2) that USGS disposition schedules are developed and revised (when appropriate) and implemented by their respective national, discipline, or regional organizations. RLO’s are responsible for informing their national, discipline, or regional managers of records management program issues and activities and for establishing a network of Records Liaison Coordinators (within their national, discipline, or regional area of responsibility) to help carry out the objectives of the program.
G. Records Liaison Coordinators—Administrative Records (RLCA) are responsible for assisting and cooperating with their respective Records Liaison Officers in carrying out the objectives of the Records Management Program with administrative records.
H. Records Liaison Coordinators—Science Records (RLCS) are responsible for assisting and cooperating with their respective Records Liaison Officers in carrying out the objectives of the Records Management Program with scientific records.
I. Document Production Team Members are responsible for assisting and cooperating with the USGS Records Management Officer in the coordination of document productions as they relate to specific court cases, investigations, or other document production requests and, when needed, for keeping the pertinent Records Liaison Officer informed of document production activities. (This team was established in October 2002 by the USGS Executive Leadership Team, and membership consists of regional, discipline, and headquarters representatives.)
J. Program and Office Managers are responsible for ensuring that their program and office records are included in the appropriate record schedule and are managed according to relevant NARA regulations and USGS disposition schedules and policies. In addition, Program and Office Managers have the responsibility in their respective areas for implementing practices to preserve electronically created and stored information and for ensuring that records are properly labeled and indexed and, if necessary, migrated to new media to ensure continued access and preservation. (See 432-1-H, chapter 3).
K. USGS employees are responsible for complying with all policies and procedures relating to the USGS Records Management Program. This includes protecting official government records in their custody, ensuring that all records in their custody are disposed of only in accordance with applicable USGS records disposition schedules, and upon leaving the USGS, not removing or destroying any official USGS records, except as authorized by their supervisor or the USGS Records Management Office.
Carol F. Aten
Associate Director for Administrative Policy and Services