U.S. Geological Survey Manual

Information on Official Records and Personal Papers

1. General. This section defines official records and provides guidance for identifying records. All U.S. Geological Survey (USGS) personnel are responsible for safeguarding official records of the Federal Government. These records are of critical importance in ensuring the Government continues to function properly. Unlike many private corporations, the Federal Government has explicit rules and regulations for information management.

2. Official Records Defined. 44 U.S.C. Chapter 33, Basic Laws and Authorities of the National Archives and Records Administration (NARA), defines records as "...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 data in them." 5 U.S.C. 552(f)(2) clarifies that the term "agency record" includes information stored on computers as well as traditional paper documents. Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents are not included.
   1. Administrative Value. Records containing the basic evidence of the Agency's origin, development, and achievements have administrative value and consist of the following:
      1. Documents that establish policies, procedures, standards, and requirements;
      2. Records of studies and research; and
      3. Records of recommendations submitted to higher authorities.

   2. Legal Value. Records have legal value if they contain evidence of legally enforceable rights or agency obligations. Among those obligations are the legal rights of persons making claims against the Government. The following records have legal value:
      1. Legal documents and opinions;
      2. Documents involving legal agreements such as leases, titles, agreements, and contracts;
      3. Evidence of actions on particular cases such as claims papers and legal dockets; and
      4. Documents involved in ongoing litigations.

   3. Scientific and Technological Value. Records having scientific and technological value consist of large quantities of technical data gathered as a result of pure and applied research.

   4. Historical Value or Having Continuing General or Public Interest Value. Records, including most of the records described in paragraphs 3a. through 3c., and historical account documents, such as diaries and unit histories, have historical value and continuing general or public interest value.

   5. General Information Value. Because they cover a particular subject or cannot be found elsewhere in as complete and usable form, some collections of documents, which would otherwise be destroyed, may be unique. This uniqueness may justify their retention.

   6. Problem Areas. The NARA has found that documentation practices are often weakest in the areas of policy and decisionmaking, particularly oral decisions and commitments; board, committee, and important staff meetings; drafts and working papers or files; electronic information systems; and contractor records. The value of these types of files dictates the need for special attention in those areas.
      1. Documentation of Policy and Decisionmaking. All information supporting agency policy and/or decisionmaking, regardless of form, is considered to be part of the records of that decision or policy. Record materials include documentation of phone conversations, facsimile copies, electronic mail (e-mail) printouts, meeting minutes, and textual records and should all be kept along with the final record copy of any policy or decisionmaking document.

      2. Documentation of Formal Meetings. Meetings of formal bodies such as boards, commissions, advisory groups, committees, task forces, and high-level staff meetings should be properly documented. At a minimum, documentation should include the names and organizational titles of participants, agenda, list of materials distributed to participants, a summary of discussion of significant policy or procedural matters, decisions reached, actions decided upon, actions to be taken following adjournment, and assignments of responsibility. If the meeting is taped and transcription subsequently made and filed, all speakers should be identified on the transcript.

      3. Drafts and Working Files. Support documents such as drafts and working files for reports, special studies, memorandums, and correspondence that support major program policy development may be needed to fully understand the alternatives and options considered for high-level program initiatives and the basis for deciding on a course of action. Some drafts contain unique information in substantive annotations or comments added during circulation for comment or approval. These drafts and working files should be retained with the final document. For further evaluation or guidance of these requirements, USGS personnel should contact their discipline or regional Records Liaison Officer or the USGS Records Management Officer (http://internal.usgs.gov/ops/IRM/fmassis2.html) for review of the materials.

      4. Electronic Information Systems. Documentary materials in electronic form are subject to the same criteria for determination of record status. See paragraph 7, Electronic Records Management, for further guidelines.

      5. Contractor Records. Contractors performing agency functions create records essential for effective management and for accurate and complete documentation of these functions. Unless contract provisions explicitly define the documentation to be provided to USGS, contractors are likely to treat needed documentation as private property. Contract provisions should require the submission of program and administrative documentation, including background and technical documents, to the USGS program office responsible for the contract. The contract needs to specify which records are to be kept by the contractor for audit or other administrative purposes and the length of time they are to be maintained. If data deliverables include electronic records, the USGS shall require the contractor to deliver sufficient technical documentation for the USGS to use the data.

3. Records Retention. Records, either permanent or temporary files and including information stored in any automated storage media, include those documents that the agency creates or receives. The destruction or other disposition of Government records is prohibited by law unless authorized by the Archivist of the United States. The USGS's records disposal authority is found at Appendix 2 of this manual.
   1. Permanent Records. Permanent records are records appraised as being worthy of preservation in the National Archives of the United States. These records have value for historical or other research purposes, document the organization, functions, policies, decisions, procedures, operations, or other bureau activities, or contain information with which the bureau conducts its business. Approximately 5 to 10 percent of USGS's records are permanent and are generally categorized as having value.

   2. Temporary Records. Temporary records are official records that do not have continuing value. Temporary records are records that will not, at the end of specified time period, have sufficient administrative, legal, financial, historical, or other value to warrant further preservations by the U.S. Government. Disposition of records, textual and non-textual, relating to civilian personnel, fiscal functions, accounting, procurement, communications, printing, research and development, and other common functions is mandatory under Public Law 95-440, Authorization, Appropriations-General Records Schedules-Documents. In addition to temporary records, certain bureau records having short-term value can be destroyed after approval from the Archivist of the United States. Approximately 90 to 95 percent of USGS's records are temporary records.

   3. Non-record Material. Non-record material includes extra copies of documents kept only for convenience of reference, stocks of publications, processed documents, and library or museum materials intended solely for reference or exhibition. This material is useful in daily operations and may appear to be an official record because it is involved in daily activities, but it does not serve to document agency procedures, practices, or operations.

4. Unlawful Removal or Destruction of Records. All information received, created, or compiled by Federal Government officials and employees for the use of the Government is the property of the U.S. Government. No Federal officials or employees have, by virtue of their position, any personal or property right to official records even though they may have helped develop or compile them. The Records Disposal Act of 1950 prohibits the unlawful destruction, alteration, removal from files, and concealment of official records. The U.S. Criminal Code prohibits the unlawful disclosure of certain information pertaining to national security and confidential business information.

5. Unsettled Accounts. The Records Disposal Act of 1943, as amended, provides in part as follows:

   "Records pertaining to claims and demands by or against the Government of the United States, or to accounts in which the Government of the United States is concerned, either as debtor or creditor, may not be disposed of by the head of an agency under any authorizations granted under sections 3306-3308, of this title, until the claims, demands, and accounts have been settled and adjusted in the General Accounting Office, except upon the written approval of the Comptroller General of the United States."

6. Personal Papers. Personal papers are documentary materials or non-records belonging to an individual that are not used to conduct agency business. They are related solely to an individual's own affairs or used exclusively for that individual's convenience. They must be clearly designated as such and always kept separate from the agency's records. Senior-level officials departing USGS must do the following:
   1. Prepare an inventory of personal papers and non-records material proposed for removal. This inventory must provide a description of the categories of documents such as copies of speeches.

   2. Contact the USGS Records Management Officer and request a review of the materials proposed for removal.

   3. The USGS Records Management Officer examines the materials to ensure the removal will not diminish USGS official records, violate national security, privacy, or other restrictions on disclosure, or exceed normal administrative costs.

   4. The USGS Records Management Officer will sign the inventory authorizing removal of materials. A copy of the inventory and any attachments are given to the departing official. The USGS Records Management Officer will retain the original inventory and any additional sheets.

7. Electronic Records Management. Records management requirements for the creation, maintenance, use, and disposition of electronic records are the same as for records in paper form; however, additional measures to ensure creation and maintenance of accurate and complete documentation are needed for records created or received through office automation applications. Like paper records, electronic records can be lost, erased, changed, otherwise disposed of prematurely, or retained for longer than authorized. In accordance with Title 18 U.S.C. 2071, it is illegal to willfully conceal, remove, mutilate, obliterate, falsify, or destroy any government record. Sometimes, it is possible that an electronic record, such as e-mail, contains more information than its hardcopy. E-mail maintains as part of its information who read the message, who made the comments, and when the comments were made. Therefore, electronic records, such as e-mail, must be safeguarded even more closely.
   1. Use of Electronic Records. Properly created and maintained electronic records pose greater legal problems than paper or micrographic records. The Federal Rules of Evidence (Rule 803(8)) provide that official records may be admitted as evidence in lieu of the personal appearance of the official responsible for the activity. Because printouts of electronic records may not contain necessary transmission and receipt information, recent court appeals held that to comply with the Federal Records Act, certain transmission and receipt information must also be preserved (such is the case with e-mail messages). The key to admissibility of evidence depends on the trustworthiness of the information. When proper procedures are followed and meticulously documented, the courts feel comfortable accepting this technology. If these procedures are not used, even microfilm, which otherwise would be admissible under existing laws, can be excluded as evidence. The standard for trustworthiness of computer records includes:
      1. Records created in the course of normal business;
      2. Equipment operational the day the computer record was prepared;
      3. Integrity of data entry enhanced by having procedures for verifying data entry;
      4. Methods to prevent data loss provided;
      5. Reliability of computer programs;
      6. Time, method, and completeness of preparing printouts.

   2. Disposition. The disposition of electronic records does not vary greatly from hardcopy records. If an electronic record is a duplicate of hardcopy records, the record can be treated as a non-record duplicate copy. However, it must be stressed that the custodian of electronic records is responsible for ensuring that the electronic record form does not contain more accurate or more complete information than the hardcopy record before it is destroyed. The hardcopy would then be the duplicate non-record copy. To ensure reliability of electronic records disposition, the following guidelines should be used:
      1. Permanent electronic records must be transferred to NARA in an acceptable medium approved by the Archivist of the United States.
      2. Records authorized for destruction must be destroyed promptly when they become eligible for destruction. Prompt destruction is important because the provisions of the Freedom of Information Act (FOIA) apply to ALL records still in existence, regardless of physical form or eligibility for destruction. A FOIA request for records maintained beyond their authorized destruction date would bar the disposal of such records.
      3. To effectively destroy electronic records, the tapes, disks, or other medium must be erased. USGS offices must protect themselves against unauthorized access to records that have been approved for destruction using total erasure or a program that completely overwrites the data.

   3. Labeling and Indexing. When an electronic record is initially created the indexing and filing of that record must be in a format that meets current standards and would be accessible to other users.
      1. Labeling. Each magnetic tape, disk, or diskette must include sufficient information to ensure persons other than the creator can retrieve the records.
         1. Disk and diskette labels must include the file code, date (if appropriate), software dependency, and disposition instructions.
         2. Tape labels must include the originating organization, file codes, appropriate dates, recording density, type of internal labels, number of tracks and track assignments, software/hardware dependency, record length, block size (fixed, variable, or mixed), disposition instructions, and reel sequence (if the reel is part of a set).

      2. Indexing. Index electronic records in the same manner as paper records-by subject and easily retrievable by other members of the organization. The same subject/numeric system used for textural records should be applied to electronic records. Storage media, such as shared disks, should have subdirectories to file electronic documents in the same manner as a five-drawer file cabinet would be structured to file textual records. Two types of off-the-shelf software that can electronically assist in indexing, retrieving, and modifying electronic information are:
         1. Database Management System (data-oriented) and
         2. Full Text Retrieval System (text-oriented).

         If off-the-shelf software does not meet the system needs, a custom package will have to be developed.

   4. Maintenance of Magnetic Tape. If users are creating or maintaining records on magnetic tape, they are responsible for ensuring that the following standards are met:
      1. Tapes used to store permanent or unscheduled records will be a) maintained at a constant 62-68 degrees Fahrenheit and 35-45 percent relative humidity, b) rewound under controlled tension every 3 ½ years, c) copied to new verified and tested tapes before 10 years old, and d) stored or tested in areas free of smoke and food or drink consumption.

      2. Tapes will be sampled annually to identify and correct any data loss as follows:
         1. In tape libraries with 1,800 or fewer reels: 50 reels or 20 percent of the library; and
         2. In tape libraries with more than 1,800 reels: 384 tapes.

   5. Maintaining Long-Term Electronic Records. Records requiring long-term retention, such as permanent records or records which are kept for more than 5 years, should not be retained on floppy disks. These records should be converted to another storage medium, such as magnetic tape, to ensure their continued use and readability.

   6. Back-up Procedures. When the electronic record is the official record copy, care must be taken to ensure official information is not lost, erased, or deleted. Supervisors of electronic recordkeeping systems-both mainframe and personal computer-including those located on local area networks, should determine file back-up procedures. In developing a regular back-up schedule, the frequency of back-ups, number of back-ups, and off-site storage should be considered. Off-site storage is required to provide a fallback point for system start-up for critical data.

   7. E-mail. Recordkeeping requirements for e-mail have been the subject of a major litigation against NARA. For this reason, a new item has been added to each of the schedule chapters that are common to most government agencies (items indicating disposition authority under the General Records Schedule (GRS)). If offices have questions about implementation of these requirements, they should contact their discipline or regional Records Liaison Officer or the USGS Records Management Office.

   8. Emergency Procedures. System administrators must develop procedures to protect official information in the event of an emergency. It is impossible to develop procedures for each type of emergency; however, procedures should be geared to the types of emergencies most likely to occur.

   9. Privacy Act. The Privacy Act of 1974 requires Federal agencies to prevent the misuse of data about individuals and ensures a person's right to know the use and purpose of information assembled regarding such person. To implement the provisions of the Privacy Act pertaining to electronic records, system designers and administrators must ensure:
      1. Information provided to the public by USGS can be easily stored, maintained, and retrieved when requested.
      2. Access to personal data is properly screened;
      3. Protection is provided against intentional or accidental disclosure, modification, or destruction of electronic records; and
      4. Magnetic media, such as disks and tapes, that contain sensitive or Privacy Act data are not discarded in regular waste containers. They should be cleared by degaussing and revising or made useless by shredding or burning.

8. Access to Classified Materials. No USGS employee, including the most senior officials, may remove classified information from the USGS's control, including copies of classified documents. A designated USGS official may request the declassification of specified documents, but the documents must not be removed until they have been declassified and their removal as non-record copies is authorized. Contact the USGS Records Manager Officer for further information.

   Senior officials appointed by the President and confirmed by the Senate who wish after their departure to have access to classified documents they originated, reviewed, or signed while serving as a Presidential appointee, may apply for access in accordance with Title 22 CFR part 171.25. Former Presidential appointees must submit in writing a request providing a general description of the records and the time period covered by the request. The USGS may grant access to a former Presidential appointee under the following conditions:

   1. Access to material is consistent with the interest of national security.
   2. The former Presidential appointee agrees in writing to safeguard the information from unauthorized disclosure.
   3. The former Presidential appointee submits a statement authorizing USGS to review any notes or manuscripts, intended for publishing, to ensure they do not contain classified information.
   4. The former Presidential appointee agrees in writing not to further disseminate the information without USGS's written consent.
   5. If the former Presidential appointee plans to use a research assistant, the research assistant must meet the same requirements as the former Presidential appointee.
   6. Fees for requested materials may be charged pursuant to Title 5 of the Independent Offices Appropriations Act, 65 Statue 290, 13 U.S.C. 4386 (1976). The requestor must be notified in advance of the fees imposed.

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