Open Government - DOL Records Management

Open Government — DOL Records Management

Table of Contents

Prior to requesting any records from the Department of Labor or its agencies, a formal FOIA request must be initiated. For guidance, please visit http://www.dol.gov/dol/foia/guide6.htm#how.

DOL Records Management Program

  • DOL Records Management Program Objectives
  • DOL Records Management Organizational Structure
  • DOL Records Management Roles and Responsibilities
  • DOL Employee Records Management Responsibilities

DOL Records Management Contacts

DOL Agency Records Managers

DOL Records Management Policy

  • Department of Labor Management Series (DLMS) 1 — Records Management
  • DOL Email and Electronic Records Management Policy

DOL Frequently Asked Questions About Records Management

DOL Frequently Asked Questions About Email

DOL NARA Records Management Guidance and Regulations

DOL Records Control Schedules

  • DOL Record Group Numbers
  • DOL Records Control Schedules

NARA General Records Schedule (GRS)

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The DOL Records Management Program

The DOL Records Management program consists of managerial activities required to ensure the proper management of agency records. This includes records created or received within the Department, the secure storage, maintenance, and accountability of these records, and the proper use and disposition of these records. Records management also plays a critical role in transparency and open government consistent with law and policy, to disclose information rapidly in forms that the public can readily find and use.

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DOL Records Management Program Objectives

The Departmental Records Management Program objectives are aligned with the 36 CFR 1220.324 which is to ensure agencies must create and maintain authentic, reliable, and usable records and ensure that they remain so for the length of their authorized retention period. A comprehensive records management program provides policies and procedures for ensuring that:

  1. Records documenting agency business are created or captured;
  2. Records are organized and maintained to facilitate their use and ensure integrity throughout their authorized retention periods;
  3. Records are available when needed, where needed, and in a usable format to conduct agency business;
  4. Legal and regulatory requirements, relevant standards, and agency policies are followed;
  5. Records, regardless of format, are protected in a safe and secure environment and removal or destruction is carried out only as authorized in records schedules;
  6. Continuity of operations is supported by a vital records program;
  7. Ensure agency compliance with policies and procedures;
  8. Roles and responsibilities are assigned, as appropriate, within each agency; and
  9. Guidance is provided to agencies for the systematic control, creation/receipt, maintenance, use and disposition of records within DOL.

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Records Management Organizational Structure

Records Management Organizational StructureBack to Top

DOL Records Management Roles and Responsibilities

A description of the specific records management roles and responsibilities of the following DOL Officials can be found in DLMS 1, Chapter 400, DOL Records Management Program:

  • The Assistant Secretary for Administration and Management (ASAM)
  • The Office of the Assistant Secretary for Administration and Management, Director, Business Operations Center (BOC)
  • Office of the Solicitor
  • DOL Agency Heads
  • Regional DOL Agency Heads
  • Agency Program Managers

DOL Chief Information Officer (CIO)/IRM Official

  • Serves as DOL's Official responsible for the information resources management program; that is, the process of managing information resources to accomplish agency missions, which encompasses both information itself and related resources, or assets, such as personnel, equipment, funds, and information technology.
  • Coordinates with the DOL Records Officer to ensure that the design and implementation of the agency's information systems incorporate Federal and agency records management requirements.

DOL Records Officer (Departmental Records Officer)

  • Serves as the DOL Official responsible for overseeing the agency's records management program.
  • Represents the Department in Federal records management activities and resolves records management conflicts within the Department.
  • Ensures that DOL has an up-to-date records management directive.
  • Advises and assists DOL agencies in administering their agency's Records Management Program.
  • Providing advice and guidance to Departmental senior officials and staff on the creation, maintenance and use of records, electronic recordkeeping and electronic mail systems.
  • Creates and maintains a network of agency records managers and records liaisons responsible for overseeing the agency records management programs in DOL headquarters and field offices in cooperation with the Departmental Records Officer.
  • Serves as the primary DOL Official who coordinates records management matters with NARA. GSA and other oversight agencies.
  • Convenes as deemed necessary, Records Management Work Groups comprised of agency records management representatives to address common records management issues and concerns.
  • Maintains a Master Index of the Department's records schedules.
  • Coordinates matters relating to records management with DOL's FOIA/Privacy Act Official(s), IRM Official, Solicitor's Office, the DOL Inspector General, Public Affairs Officer, Web manager, the agency historian, system administrators, program managers, as well as program managers responsible for special media, such as audiovisual records, cartographic and architectural records, and printed records.
  • Ensures that recordkeeping requirements are established, implemented, and periodically updated for all offices at all levels and for all record media, including electronic and other special records.
  • Performs periodic reviews for the effectiveness and efficiency of the Department's Records Management Program.

Agency Records Manager

  • Serves as the DOL official responsible for overseeing the agency records management program.
  • Serves as liaison with the Departmental Records Officer and NARA/GSA on records management activities, as outlined in DOL's records management policy directive, DLMS 1, Chapter 400, DOL Records Management Program.
  • Coordinates the scheduling and disposition of agency records, including electronic records, with the agency Records Liaison(s), Records Custodian(s), Program Manager(s), Information Resource Manager(s) or designee(s).
  • Maintains an inventory of the agency's electronic and automated systems creating Federal records, paper and electronic stationery and forms, and electronic publications.
  • Provides Annual Reports to the Departmental Records Officer, in accordance with the DLMS1, Chapter 400, DOL Records Management Program.
  • Providing advice, guidance, and instructions to agency office components and staff on records management activities and requirements, electronic recordkeeping, and electronic mail systems.
  • Provides guidance and assistance to the Regional organizational components to ensure that records are managed and disposed of in accordance with existing NARA and DOL policies.
  • Maintains a Master Index of the agency's records schedules.
  • Periodically reviews agency records management program and records schedules, and updates in accordance with guidance provided in the DLMS 1, Chapter 400, DOL Records Management Program.

Records Liaison

Each particular office or sub-component organization within an agency should designate a Records Liaison to be responsible for records management matters of the office component and complies with guidance issued by the Agency Records Officer. The Liaison has the following responsibilities:

  • Serves as the authorizing records management official for a particular office within the agency, ensuring DOL and NARA records management policies and guidelines applied and incorporated into the day-to-day activities of the organization.
  • Coordinates the records management activities of the office, whether at headquarters or in the regions.
  • Coordinates changes to the office records schedule with the Agency Records Manager and local program managers.
  • Coordinates matters relating to records management with the component's FOIA/Privacy Act official(s), IRM official, Solicitors Officer, the DOL Inspector General, Public Affairs Officer, Web manager, the agency historian, system administrators, program managers, as well as program managers responsible for special media, such as audiovisual records, cartographic and architectural records, and printed records.
  • Ensures office recordkeeping requirements are established, implemented, and periodically updated for all sub-component offices within organization at all levels and for all record media, including electronic and other special records.
  • Ensures that a file plan is developed for all office sub-component/office's records and that the files listed in the office file plan and are described accurately.
  • Coordinates with the Agency Records Manager to report that each sub-component/office within the organization has a designated Records Custodian.
  • Ensures that each sub-component/office within the organization creates and maintains records documenting its program and administrative activities.
  • Works with Records Custodians to make sure that all the records of each sub-component/office are listed in the office file plan and are described accurately in the agency's records schedule.
  • Works with Records Custodians to ensure the transfer of eligible records to a records center, the prompt disposal of temporary records when their retention period expire, and the timely transfer of permanent records to NARA.
  • Ensures the proper training of Records Custodians and sub-component/office employees, and the proper briefing of program and senior managers.
  • Promotes the DOL Records Management program within the organization.
  • Conducts periodic evaluations of records management activities within the organization.

Records Custodian

Each particular sub-component organization within the office should designate a Records Custodian to be responsible for records management matters of the sub-component and complies with guidance issued by the Records Liaison and the Agency Records Manager. The Records Custodian has the following responsibilities:

  • Ensures that all sub-component/office records are listed in an office file plan and are described accurately.
  • Ensures that records management is incorporated within the unit and all staff is applying the policies to safeguard all records (paper and electronic).
  • Works with the Records Liaison and/or Agency Records Manager on records identification, preservation and disposal.
  • Follows organization's records schedule to ensure the proper disposition of the office's records including:
    • Systematic file cutoffs (breaks)
    • The retirement of eligible records to an approved records storage center.
  • Ensures the timely transfer of permanent records to NARA.
  • Assists the program manager in reminding the staff not to mix personal papers and non-record materials with Federal records, and not to remove records from the office without proper authorization.
  • Assists the office program manager(s) in implementing procedures to prevent departing employees from destroying ineligible records or removing records from office's custody.
  • Cooperates with the Records Liaison and the Agency Records Manager in periodic evaluation of the office's records.

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DOL Employee Records Management Responsibilities

DOL employees have three basic obligations regarding Federal records:

  • Create records that you and others need to do the business of DOL;
  • Take care of DOL records so that information can be found when needed; and
  • Carry out the disposition of records under your control in accordance with agency records schedules and Federal regulations.

Additionally, all DOL employees, including Supervisors, Managers, Staff, and Contractors, are responsible for the following records management activities:

  • Identify your program functions and activities and determine what records are needed to document those activities and functions.
  • Create sufficient records to document those activities and functions.
  • Maintain records in a way that allows all persons who need access to find and retrieve what they need.
  • Remove or destroy records only with authorization (General Record Schedule or approved SF 115); do not retain records authorized for destruction.
  • Keep official records separate from non-record materials.
  • Ensure records identified as permanent are transferred to the National Archives as required.
  • Protect vital records appropriate to their value.
  • Protect records that contain security classified, confidential business, or other types of sensitive information with appropriate safeguards.
  • Comply with policies and procedures developed by the Departmental Records Officer, the Agency Records Officer, and SOL governing the disposition of Federal records and working papers when leaving the Department's service.

Do all of this in a manner that is as cost effective as possible.

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Records Management Contacts

DOL Records Management Program Key Personnel

Assistant Secretary for Administration and Management Department Senior Agency Official: Edward Hugler Email: hugler.edward@dol.gov Phone: (202) 693-4040

Director Office of Asset and Resource Management Alternate Records Officer Tanisha Bynum-Frazier Email: bynum.frazier.t@dol.gov Phone: (202) 693-4546

For questions, comments or concerns please contact:

U.S. Department of Labor Records Management Office, S1321 200 Constitution Avenue, NW Washington, DC 20210 Email: dolrecordsmanagementoffice@dol.govFax: 202-693-7290

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U.S. Department of Labor (DOL) Agency Records Managers

Record Group

Agency

Records Manager

Email Address

Phone No.

Location

 

Department of Labor (DOL)

Rachel Vera

vera.rachel@dol.gov

(202) 693-7289

FPB/S1321

086

Women’s Bureau (WB)

Deborah Verter

verter.deborah@dol.gov

(202) 693-6710

FPB/S3309

100

Occupational Safety and Health Administration (OSHA)

Heather Lemay
Carla Slaughter

Lemay.Heather@dol.gov
Slaughter.Carla@dol.gov

(202) 693-2425
(202) 693-2228

FPB/N4624

155

Wage Hour Division (WHD)

Dan Daly
David Carlis

daly.dan@dol.gov
carlis.david@dol.gov

(202) 693-0731
(202) 693-1245

FPB/S3510

174

Bureau of International Labor Affairs (ILAB)

Kia Gaskins
Alfreda Johnson (Alternate)

Gaskins.kia.d@dol.gov
Johnson.alfreda@dol.gov

(202) 693-4903
(202) 693-4770

FPB/S2235

174

Office of Administrative Law Judges (OALJ)

P.J. Soto
Laura Brown (Acting)

soto.pj@dol.gov
brown.laura@dol.gov

(202) 693-7300
(412) 644-5754

TW/4156

174

Office of Congressional and Intergovernmental Affairs (OCIA)

Glenda Manning

manning.glenda@dol.gov

(202) 693-4601

FPB/S2006

174

Office of Disability Employment Policy (ODEP)

Reginald McCann

mccann.reginald@dol.gov

(202) 693-7880

FPB/S1313

174

Office of Inspector General (OIG)

Kimberly Pacheco
Erica Wilson

pacheco.kimberly@oig.dol.gov
wilson.erica@oig.dol.gov

(202) 693-5113
(202) 693-7061

FPB/S5506

174

Office of Public Affairs (OPA)

Sarah G. Harding

harding.sarah.g@dol.gov

(202) 693-4691

FPB/N6305

174

Office of the Assistant Secretary for Administration and Management (OASAM)

Tanisha Bynum-Frazier

bynum.frazier.t@dol.gov

(202) 693-4546

FPB/S1321

174

Office of the Assistant Secretary for Policy (ASP)

Terry Fryer
Sherry Howard Cotton

fryer.terry@dol.gov
howard.sherry@dol.gov

(202) 693-5925
(202) 693-5959

FPB/S2312

174

Office of the Chief Financial Officer (OCFO)

Deadrae Avents
Marella Turner

Avents.Deadrae@dol.gov
turner.marella@dol.gov

(202) 693-6953
(202) 693-6941

FPB/S4030

174

Office of the Executive Secretariat (Exec. Sec.)

Nalini Close
Anthony Waterloo

close.nalini@dol.gov
waterloo.anthony@dol.gov

(202) 693-6110
(202) 693-6110

FPB/S2521

174

Office of the Solicitor (SOL)

Counsel for FOIA Appeals, Paperwork Reduction Act and Federal Records Act

Zina Dixon-Alston
Ray Mitten

dixon-alston.zina@dol.gov
mitten.raymond@dol.gov

(202) 693-5274
(202) 693-5431

FPB/N2414

174

Veterans Employment and Training Service (VETS)

Jenel Turner

turner.jenel@dol.gov

(202) 693-4716

FPB/S1312

257

Bureau of Labor Statistics (BLS)

Karen Burnette

burnette.karen@dol.gov

(202) 691-6007

PSB/2990

271

Office of Worker’s Compensation Programs (OWCP)

Yoon Ferguson

ferguson.yoon@dol.gov

(202) 354-9647

FPB/S3524

317

Employee Benefits Security Administration (EBSA)

Olwen Johnson

Johnson.olwen@dol.gov

(202) 693-8843

FPB/N5668

317

Office of Labor-Management Standards (OLMS)

Steven Donahue

donahue.steven@dol.gov

(202) 693-0367

FPB/N5613

369

Employment and Training Administration (ETA)

Walt Weatherington
Sharon Johnson

weatherington.walt@dol.gov
johnson.sharon@dol.gov

(202) 693-3676
(202) 693-3413

FPB/N4470

386

Employees Compensation Appeals Board (ECAB)

Frank Clubb

clubb.frank@dol.gov

(202) 693-6234

FPB/S5220

433

Mine Safety and Health Administration (MSHA)

Darlene Green

green.darlene@dol.gov

(202) 693-9823

TT #2171

448

Office of Federal Contract Compliance Programs (OFCCP)

Vacant
Tina Williams (Acting)

 
Williams.tina.t@dol.gov

 
(202) 693-0835

FPB/N3402

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DOL Email and Electronic Records Management Policy

Print and File or Click and Save

The Department's current e-mail and electronic records management policy requires that all e-mails and electronic documents, if determined to be a Federal record, be printed out or electronically archived. The recordkeeping copy is filed or archived into an appropriate recordkeeping system, such as, file cabinet or electronic records management application, etc.

In the case of printing out e-mail, any attachments and the identities of the sender and recipients and the date must also be printed out or electronically archived. Office share drives may be used to organize and temporarily store e-mail and electronic records until final disposition, or until such time that the records are electronically archived to a recordkeeping system meeting NARA's guidance criteria.

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DOL Frequently Asked Questions About Records Management

  1. How long must I keep DOL records? DOL records must be kept in accordance with a NARA approved Records Schedules or the agency's programs records schedules. In the case of legal and litigation holds and Freedom of Information Act (FOIA) requests, all documents (record and non-record materials) can not be destroyed or deleted. If unsure, check with your Agency Records Officer.
  2. What about non-records? What do I do with them? You should promptly dispose of non-record materials (paper and electronic) and e-mail messages that are no longer needed for reference. Note: Do not delete a message or attachment that is the subject of a Congressional, FOIA, or discovery request or that is needed for litigation. If unsure, check with your Agency Records Officer.
  3. What happens to the records in my office when I leave? Some may be kept in the office to continue business operations; others may be sent to a Federal Records Center for temporary storage or immediately destroyed; and records identified as "Permanent" will be transferred to the National Archives in accordance with the record schedule instructions.
  4. Can I take copies of Federal records with me when I leave DOL? Only if the removal of these copies is approved by DOL Records Officials, and will not diminish the official records of DOL, and does not include information that is security classified, subject to the Privacy Act, or otherwise prohibited from release. If unsure, consult with your Agency Records Officer.
  5. Can I remove my Personal Files, extra copies of records, and reference materials when I leave DOL? You may remove personal files at your discretion without agency permission. If you are unsure whether materials are personal or Federal records, consult with your Agency Records Officer.
  6. Who can I contact if I have a records management question or need assistance? Contact your Agency Records Officer or the Departmental Records Officer. A list of DOL Agency Records Officers can be found on the DOL Open Government web site
  7. What else should I know? If you have Federal record and non-record materials and information (e-mail messages, electronic and paper files) involved in a discovery process during litigation, and /or the subject of Congressional requests and FOIA requests, these materials and information can not be deleted or destroyed, and must be preserved. Specific guidance regarding the preservation of relevant FOIA documents will be provided by the Office of the Solicitor.

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DOL Frequently Asked Questions About E-mail

  1. What is an e-mail message? An e-mail message consists of any document created, transmitted, or received on an e-mail system, including message text and any attachments, such as word processing documents, spreadsheets, and graphics that may be transmitted with a message.
  2. When are e-mails records? E-mails are records when they are created or received in the transaction of agency business; are appropriate for preservation as evidence of the government's function and activities; or are valuable because of the information they contain.
  3. When are e-mails not records? E-mails are not records when they provide no evidence of agency functions and activities; lack information of value; and duplicate information already documented in existing records.
  4. Can I delete DOL e-mail? Yes, but before deleting an e-mail, first determine whether it is a Federal record. If it is determined to be a Federal record, you must follow the guidelines set forth in the Department's e-mail and electronic records management policy.

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NARA Records Management Guidance and Regulations

NARA Code of Federal Regulations - 36 CFR, Chapter XII, Subchapter B - Records Management https://www.archives.gov/about/regulations/regulations.html

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DOL Records Control Schedules

U.S. Department of Labor List of National Archives Approved Records Schedules

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DOL Records Control Schedules

Note: Below is a link to the NARA web site where you may input the record group # to retrieve all record control schedules for that particular record group.

http://www.archives.gov/records-mgmt/rcs/

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NARA General Records Schedule (GRS)

Note: Below is a link to the NARA web site where you can find the General Records Schedule.

http://www.archives.gov/records-mgmt/grs/