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U.S. Department of Energy ORDER
Washington, D.C. DOE O 243.1
Approved: 2-3-06
Review: 2-3-08
Expires: 2-3-10
SUBJECT: RECORDS MANAGEMENT PROGRAM
1. OBJECTIVES.
a. To set forth requirements and responsibilities for
implementing and maintaining a cost-effective records management
program throughout the Department of Energy (DOE).
b. To provide for—
(1) awareness that records management is a part of the job of
every DOE employee and contractor (i.e., documentation of
activities is essential to ensuring that DOE’s performance
and accomplishments can be preserved and made available to
the citizens of the United States and the Department’s staff);
(2) adequate and proper documentation of DOE activities,
organization, functions, policies, decisions, procedures, and
essential transactions;
(3) maintenance and use of records supporting DOE activities;
(4) proper records disposition; and
(5) economy and efficiency in the execution of the DOE Records
Management Program.
c. To comply with the Federal Records Act [Public Law (P.L.)
81-574], as amended, and other legislation as listed in the
references (paragraph 7).
d. To protect the legal and financial rights of the Government
and individuals directly affected by Government activities.
e. To preserve historical information, thereby enabling DOE and
DOE contractors and their successors to retrieve information
needed to make informed decisions.
2. CANCELLATIONS. None.
3. APPLICABILITY.
a. DOE Elements. Except for the exclusions in paragraph 3c, this
Order applies to all DOE elements. (See Attachment 1
for a complete list of DOE elements.) This Order
automatically applies to DOE elements created after it
is issued.
The National Nuclear Security Administration (NNSA)
Administrator shall assure that NNSA employees and
contractors comply with their respective
responsibilities under this Order.
b. DOE Contractors. Except for the exclusions in paragraph 3c,
the CRD (Attachment 2) sets forth requirements to be applied to
contractors that create, receive, use, maintain,
disseminate, and/or dispose of DOE records in
connection with the performance of DOE-funded tasks or
activities.
(1) The Contractor Requirements Document (CRD), Attachment 2,
sets forth requirements of this Order that will apply to
site/facility management contractors. Contractor
compliance with the CRD will be required to the extent
set forth in a contract
(2) The CRD must be included in site/facility management
contracts that may involve the receipt, creation, use,
maintenance, dissemination and/or disposition of DOE records.
(3) The office identified in the responsibilities paragraph is
responsible for notifying the contracting officer of which
site/facility management contracts are affected. Once
notified, the contracting officer is responsible for
incorporating the CRD into the laws, regulations, and DOE
directives clause of each affected site/facility management
contract.
(4) As the laws, regulations, and DOE directives clause of a
site/facility management contract states, regardless of the
performer of the work, the site/facility management contractor
with the CRD incorporated into its contract is responsible for
compliance with the requirements of the CRD.
(a) An affected site/facility management contractor is
responsible for flowing down the requirements of the
CRD to subcontractors at any tier to the extent
necessary to ensure the site/facility management
contractor’s compliance with the requirements.
(b) The contractor must not flow down requirements to
subcontractors unnecessarily or imprudently.
That is, the contractor will—
1 ensure that it and its subcontractors comply
with the requirements of the CRD to the
extent necessary to ensure the contractor’s
compliance and
2 only incur costs that would be incurred by a
prudent person in the conduct of competitive
business.
c. Director, Naval Nuclear Propulsion Program. In accordance with
the responsibilities and authorities assigned by Executive
Order 12344 [statutorily prescribed by 42 United States Code
(U.S.C.) 7158, note] and to ensure consistency
throughout the joint Navy/DOE organization of the Naval
Nuclear Propulsion Program, the Director will implement
and oversee all practices pertaining to this DOE Order
for activities under the Director’s cognizance.
4. REQUIREMENTS. The following requirements must be met to ensure a DOE
records management program that meets the objectives of this
Order.
a. Implement a records management program that complies with
the requirements for managing records in all formats, including
early capture and control throughout their life cycles.
(1) Electronically formatted records will be maintained in an
approved electronic records management application
meeting the requirements of DOE-STD-4001-2000, “Design
Criteria Standard for Electronic Records Management Software
Applications,” dated March 2000.
(2) E-mail records will be managed along with their metadata,
including a list of recipients and time of receipt,
if available.
(3) Electronic systems, such as instant messaging, that are not
regularly backed up and controlled should not be used for
conducting official Departmental business.
(4) Until an electronic records management system is available
and implemented, electronic records will be printed and
retained as paper files.
b. Create and maintain current file plans/indexes that describe
all categories of records created, received, and maintained by
personnel in the course of their official duties.
c. Preserve and disposition records in accordance with National
Archives and Records Administration (NARA)-approved records
disposition schedules, as posted on the DOE Office of the Chief
Information Officer (OCIO) Records Management Web pages
(http://cio.doe.gov/RBManagement/Records/records.html).
d. Preserve records placed under a destruction moratorium
(freeze) as necessary to support audits, court cases, Freedom of
Information Act appeals, or similar obligations.
e. Request disposition authority from NARA, through the
Departmental Records Officer, for all unscheduled records.
f. Store records in a manner that meets the requirements of
Title 36 Code of Federal Regulations (CFR) 1228, Subpart K
[36 CFR 1228.220-1228.244]. Unscheduled records are not to be
sent offsite for storage at either NARA or commercial facilities.
g. Review capital planning and investment control (CPIC)
proposals and information architecture plans for electronic
records management provisions.
h. Conduct internal evaluations of records management practices
and programs, including the economy of the operation, at least
every 3 years.
i. Ensure records management program training is provided for
all personnel with records management responsibilities on a
regular basis.
j. Identify vital records and preserve them to ensure they are
maintained, kept current and where appropriate, available in the
event of a continuity of operations or catastrophic event (see
reference paragraph 7a and related directives).
k. Ensure the site exit process includes a requirement for the
transfer of custodianship of Federal records to another employee
or a records liaison officer (RLO) when employees leave on a
permanent or long-term basis to prevent inadvertent loss,
destruction, or alienation of Federal records.
5. RESPONSIBILITIES.
a. DOE Chief Information Officer (through the Departmental Records
Officer).
(1) Develops and administers DOE policies and directives related
to the requirements of this Order and provides oversight in
their implementation.
(2) Provides overall leadership and management of DOE records
management-related activities as required by Federal laws,
Executive orders, regulations, DOE directives, and
Departmental established or accepted standards.
(3) Serves as the DOE point of contact with NARA, other Federal
agencies, and the public sector for issues related to the
records management program.
(4) Provides oversight to ensure implementation of policies and
procedures for the adequate and proper documentation of DOE
activities and decisions.
(5) Identifies the responsibilities of DOE Headquarters (HQ)
program offices senior-level representatives (and their
associated field entities).
(6) Coordinates with the HQ program records officials (PROs) in
the implementation of the DOE Records Management Program
throughout the DOE complex.
(7) Establishes and chairs the Records Management Advisory
Council.
b. Heads of DOE Elements.
(1) Establish, implement, and sustain records management
programs within their respective organizations for adequate
and proper documentation of DOE mission-related programs in
accordance with the requirements of all Federal laws and
regulations, Executive orders, DOE Orders and directives,
accepted external standards, and authoritative issuances
(e.g., DOE numbered memos or NARA guidance).
(2) Provide for adequate and proper documentation of actions
related to DOE mission-related programs in accordance with
recordkeeping requirements.
(3) Provide staff resources to support records management
processes within their respective organizations by
appointing the following staff members.
(a) A senior-level PRO with HQ and program field site
oversight and signature authority to approve records
issues for the program and be the program liaison with
the Departmental Records Officer.
(b) At least one RLO to provide day-to-day administration
of an organization’s records management program and
to act as liaison with the PRO.
(c) A records management field officer (RMFO) at each
field site or office to implement the records management
program at field and area offices in their respective
organizations and to act as liaison with the HQ PRO and
provide oversight and guidance to contractor records
management programs.
(4) Provide names and contact information for the designated
PROs, HQ RLOs, and RMFOs to the Departmental Records Officer.
(5) Designate responsible individuals (normally PROs) for
identifying the contracts in which CRDs must be included and
notifying contracting officers of affected contracts.
c. Program Records Officials, Records Liaison Officers, and
Records Management Field Officers. The PRO is responsible for
the following program activities supporting the DOE Records
Management Program. Except for the items marked “PRO,” these
activities may be delegated to the RLOs and the RMFOs
for their individual offices and sites.
(1) Coordinate the records management programs within their
respective organizations to ensure compliance with this Order
through the designated RLOs and RMFOs. (PRO)
(2) Identify site/facility management contracts to which the CRD
of this Order applies, and notify the contracting officials if
designated pursuant to paragraph 5b(5). (PRO)
(3) Work in partnership with DOE contracting officials and
contractors to ensure records are managed and delivered
properly in accordance with the contract. (PRO)
(4) Identify program-specific records and ensure that they are
listed on a NARA-approved records disposition schedule.
(5) Identify vital records, which require special handling to
ensure their availability for use.
(6) Ensure permanent records are preserved and temporary records
are retired, transferred, or destroyed promptly according to
NARA-approved records disposition schedules.
(7) Ensure Federal records created or received in connection
with major facilities management contracts are—(PRO)
(a) managed in accordance with this Order and with all
other relevant Orders, laws, and regulations and
(b) delivered to DOE at intervals, as prescribed by the
contracts, or upon termination of the contracts.
(8) Identify new non-major facilities management contract
procurements where some or all of the provisions of this
Order apply. (PRO)
(a) Ensure records identified as contract deliverables
include environment, safety, and health records;
financial and technical records; and other records
specified as appropriate to the contract scope.
(b) Ensure records identified as contract deliverables are
handled in accordance with the requirements of this
Order and other relevant Orders, laws, and regulations
and are delivered to DOE at appropriate intervals per
the contracts or at the termination of the contracts.
(9) Ensure all recordkeeping requirements are established and
kept current.
(10) Ensure all personnel with records management
responsibilities receive appropriate records management
training.
(11) Ensure that DOE Records Management Program provisions and
standards are included in the scope and planning for
electronic information systems (e.g., the CPIC development
and approval process). (PRO)
(12) Assess records management practices in offices under their
cognizance at least every 3 years.
(13) Ensure that records are maintained cost effectively and
that records storage facilities meet the requirements of
36 CFR 1228, Subpart K. (PRO)
(14) Review and approve costs for the storage of Federal records
including the invoices for records stored in the Federal
Records Centers, leases for commercial records storage,
and requests for construction of onsite storage
facilities. (PRO)
(15) Ensure that departing Federal and contractor employees
identify and transfer any records in their custody to
program files or an appropriate custodian, either
the RLO or the person assuming responsibility for the work.
(16) Participate in the Records Management Advisory Council.
(PRO)
d. Department of Energy Contracting Officials.
(1) Once notified by their respective PROs, or responsible
individuals designated pursuant to paragraph 5b(5),
incorporate the CRD into affected contracts.
(2) Work in partnership with PROs/RMFOs/RLOs to ensure that the
appropriate records are managed and delivered properly by
contractors.
e. Chief Historian.
(1) Assists in identifying, organizing, and preserving records
of Secretarial Officers and their staffs.
(2) Works with the Departmental Records Officer to ensure
records, archival holdings, photographs, maps,
architectural/engineering drawings, and other materials are
identified, organized, and preserved in support of DOE’s
historic records preservation program.
(3) Works with the Departmental Records Officer to provide
access to historically significant records throughout DOE.
f. Office of the General Counsel.
(1) Notifies the Departmental Records Officer when a moratorium
on records disposition is needed to support litigation or
other legal matters.
(2) Supports the submittal of DOE records disposition schedules
by reviewing them for legal retention before submittal.
6. DEFINITIONS. See Attachment 3.
7. REFERENCES. The references listed below provide additional
clarification and requirements for the DOE Records
Management Program.
a. DOE N 150.1, Continuity of Operations, dated 1-14-05,
https://www.directives.doe.gov/pdfs/doe/doetext/restrict/neword/
150/n1501.pdf.
b. DOE O 200.1, Information Management Program, dated 9-30-96,
https://www.directives.doe.gov/pdfs/doe/doetext/restrict/
neword/200/o2001.pdf.
c. DOE O 414.1C, Quality Assurance, dated 6-17-05,
www.directives.doe.gov/pdfs/doe/doetext/neword/414/o4141c.pdf.
d. DOE P 450.4, Safety Management System Policy, dated 10-15-
96, http://www.directives.doe.gov/pdfs/doe/doetext/
neword/450/p4504.pdf.
e. 36 CFR, Chapter 12, Subchapter B, “Records Management,”
http://www.archives.gov/about_us/regulations/subchapter_b.html.
f. 42 U.S.C. 7158, “Naval Reactor and Military Application
Programs,” http://uscode.house.gov/uscode-cgi/fastweb.exe?
getdoc+uscview+t41t42+5470+1++%28%29%20%20AND%20%
28%2842%29%20ADJ%20USC%29%3ACITE%20AND%20%28USC%
20%287158%29%29%3ACITE%20%20%20%20%20%20%20%20%20.
g. 44 U.S.C., Chapters 21, 29, 31, 33, and 35
http://www.access.gpo.gov/uscode/title42.html.
h. Office of Management and Budget (OMB) Circular Number A-11,
“Preparation, Submission, and Execution of the Budget,”
Sections31.8, 53 and Part 7,
http://www.whitehouse.gov/omb/circulars/a11/04toc.html.
i. OMB Circular Number A-130, “Management of Federal
Information Resources,”
http://www.whitehouse.gov/omb/circulars/a130/a130trans4.html.
j. E-Government Act of 2002 (P.L. 107-347, 44 U.S.C. Ch 36),
http://uscode.house.gov/download/pls/44C36.txt.
k. National Nuclear Security Administration Act (Title XXXII of
P.L. 106-65), http://www.nnsa.doe.gov/docs/2004-03-11-
Title_XXXII.pdf.
l. Paperwork Reduction Act (P.L. 104-13, 44 U.S.C. 3501 et
seq.),http://www.archives.gov/federal_register/public_laws/
paperwork_reduction_act/3501.html.
m. Privacy Act [P.L 93-579, 5 U.S.C. 552a(m)],
http://uscode.house.gov/download/pls/05C5.txt.
n. Freedom of Information Act [P.L. 89-487, 5 U.S.C. 552 (g)],
http://uscode.house.gov/download/pls/05C5.txt.
o. National Archives and Records Administration Publication,
“Guidance for Coordinating the Evaluation of Capital Planning and
Investment Control (CPIC) Proposals for ERM Applications,”
http://www.archives.gov/records_management/policy_and_guidance/
cpic_guidance.html.
p. Department of Energy Acquisition Regulation, Part 970—DOE
Management and Operating Contracts.
(1) 48 CFR 970.5204-3, “Access to and Ownership of Records,”
http://a257.g.akamaitech.net/7/257/2422/12feb20041500/
edocket.access.gpo.gov/cfr_2004/octqtr/48cfr970.5204-3.htm.
(2) 48 CFR 970.5232-3, “Accounts, Records, and Inspection,”
http://a257.g.akamaitech.net/7/257/2422/12feb20041500/
edocket.access.gpo.gov/cfr_2004/octqtr/48cfr970.5232-3.htm.
(3) 48 CFR 970.0404, “Safeguarding Classified Information,”
http://www.access.gpo.gov/nara/cfr/waisidx_04/
48cfr970_04.html.
(4) 48 CFR 970.0407, “Contractor Records Retention,”
http://www.access.gpo.gov/nara/cfr/waisidx_04/
48cfr970_04.html.
q. DOE Reference Book for Contract Administrators (Chapter 9),
http://professionals.pr.doe.gov/ma5/MA-5Web.nsf/Procurement/
ReferenceBookforContractAdministrators?OpenDocument.
r. NARA-approved DOE administrative, programmatic, and site-
specific records disposition schedules,
http://cio.doe.gov/RBManagement/Records/dissched.htm.
s. Records management section of the DOE Chief Information
Officer Web site,
http://cio.doe.gov/RBManagement/Records/records.html.
t. DOE-STD-4001-2000, “Design Criteria Standard for Electronic
Records Management Software Applications,” dated March 2000,
http://www.eh.doe.gov/techstds/standard/std4001/std400100.pdf.
8. CONTACT. Questions concerning this Order should be addressed to
the Departmental Records Officer, HQ Records Management
Division, at 301-903-3455.
BY ORDER OF THE SECRETARY OF ENERGY:
CLAY SELL
Deputy Secretary
ATTACHMENT 1. DOE ELEMENTS TO WHICH DOE O 243.1 IS APPLICABLE
Office of the Secretary
Departmental Representative to the Defense Nuclear Facilities
Safety Board
Energy Information Administration
National Nuclear Security Administration
Office of the Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Counterintelligence
Office of Economic Impact and Diversity
Office of Electricity Delivery and Energy Reliability
Office of Energy Efficiency and Renewable Energy
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Hearings and Appeals
Office of Inspector General
Office of Intelligence
Office of Legacy Management
Office of Management, Budget and Evaluation/Chief Financial
Officer
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Office of Security and Safety Performance Assurance
Secretary of Energy Advisory Board
Bonneville Power Administration
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration
ATTACHMENT 2. CONTRACTOR REQUIREMENTS DOCUMENT
DOE O 243.1, RECORDS MANAGEMENT PROGRAM
This Contractor Requirements Document (CRD) establishes the
requirements for Department of Energy (DOE) and National
Nuclear Security Administration contractors who create, use,
maintain, receive, disseminate, or dispose of DOE records in
connection with the performance of DOE-funded tasks or
activities. Contractors must comply with the following
requirements.
Regardless of the performer of the work, the contractor is
responsible for complying with the requirements of this CRD. The
contractor is responsible for flowing down the requirements of
this CRD to subcontractors at any tier to the extent necessary to
ensure contractor compliance with the requirements.
As directed by the contracting officer, the contractor must do
the following.
1. The following requirements to ensure a DOE records
management program that complies with objectives of this CRD.
a. Implement a records management program in compliance with
requirements for managing records in all formats, including early
capture and control throughout their life cycles.
(1) Electronically formatted records will be maintained in an
approved electronic records management application meeting
the requirements of DOE-STD-4001-2000, “Design Criteria
Standard for Electronic Records Management Software
Applications,” dated March 2000.
(2) E-mail records will be managed along with their metadata,
including a listing of recipients and time of receipt, if
available.
(3) Electronic systems that are not regularly backed up and
controlled (e.g., instant messaging) should not be used for
conducting official Departmental business.
(4) Until an electronic records management system is available
and implemented, electronic records will be printed and
retained as paper files.
b. Create and maintain current file plans/indexes that describe
all categories of records created, received, and maintained by
personnel in the course of their official duties.
c. Preserve and disposition records in the same manner as
National Archives and Records Administration (NARA)-approved
records disposition schedules [Title 36, Code of Federal
Regulations (CFR), Chapter 12], as posted on the DOE Office of
the Chief Information Officer (OCIO) Records Management Web pages
(http://cio.doe.gov/RBManagement/Records/records.html).
d. Preserve records placed under a destruction moratorium
(freeze) as necessary to support audits, court cases, Freedom of
Information Act appeals, or similar obligations.
e. Request disposition authority from NARA, through the
Departmental Records Officer, for all unscheduled records.
f. Store records in a manner that meets the requirements of
36 CFR 1228, Subpart K placed on DOE [36 CFR 1228.220-1228.244].
Unscheduled records are not to be sent offsite for storage at
either NARA or commercial facilities.
g. Review capital planning and investment control (CPIC)
proposals and information architecture plans for electronic
records management provisions.
h. Conduct internal evaluations of records management practices
and programs, including the economy of the operation, at least
every 3 years.
i. Ensure that records management program training is provided
for all personnel with records management responsibilities on a
regular basis.
j. Identify vital records and preserve them in a manner that
ensures they are maintained, kept current and where appropriate,
available in the event of a continuity of operations or
catastrophic event (see paragraph 4a and related directives).
k. Ensure that the site exit process includes a requirement for
the transfer of custodianship of Federal records to another
employee or a records liaison officer when employees leave on a
permanent or long-term basis.
2. Identify and confirm compliance with additional
recordkeeping requirements placed on DOE or Federal contractor
activities; environmental, safety, health studies; quality
assurance; emergency management; and other mission-related
functions.
3. Manage the disposition of Federal records according to NARA-
approved schedules and practices. Request disposition authority
from NARA, through the records management field officer, the
program records official, and the Departmental Records Officer,
for all unscheduled records.
4. Use the following standards, schedules, and regulations to
implement a records management program that meets the intent of
this CRD.
a. DOE N 150.1, Continuity of Operations, dated 1-14-05,
https://www.directives.doe.gov/pdfs/doe/doetext/restrict/
neword/150/n1501.pdf.
b. DOE O 200.1, Information Management Program, dated 9-30-96,
https://www.directives.doe.gov/pdfs/doe/doetext/restrict/neword/
200/o2001.pdf.
c. DOE O 414.1C, Quality Assurance, dated 6-17-05,
www.directives.doe.gov/pdfs/doe/doetext/neword/414/o4141c.pdf.
d. DOE P 450.4, Safety Management System Policy, dated
10-15-96, http://www.directives.doe.gov/pdfs/doe/doetext/neword/
450/p4504.pdf.
e. 36 CFR, Chapter 12, Subchapter B, “Records Management,”
http://www.archives.gov/about_us/regulations/subchapter_b.html.
f. Title 42 United States Code (U.S.C.) 7158, “Naval Reactor
and Military Application Programs,”
http://uscode.house.gov/uscode-cgi/fastweb.exe?getdoc+uscview+
t41t42+5423+1++%28%29%20%20AND%20%28%2842%29%20ADJ%
20USC%29%3ACITE%20AND%20%28USC%20w%2F10%20%287158%
29%29%3ACITE%20%20%20%20%20%20%20%20%20.
g. 44 U.S.C., Chapters 21, 29, 31, 33, and 35
http://www.access.gpo.gov/uscode/title42.html.
h. Office of Management and Budget (OMB) Circular Number A-11,
“Preparation, Submission, and Execution of the Budget,”
Sections 31.8, 53 and Part 7, http://www.whitehouse.gov/omb/
circulars/a11/04toc.html.
i. OMB Circular Number A-130, “Management of Federal
Information Resources,” http://www.whitehouse.gov/omb/circulars/
a130/a130trans4.html.
j. E-Government Act of 2002 [Public Law (P.L.) 107-347,
44 U.S.C. Ch 36], http://uscode.house.gov/download/pls/44C36.txt.
k. National Nuclear Security Administration Act (Title XXXII of
P.L. 106-65), http://www.nnsa.doe.gov/docs/
2004-03-11-Title_XXXII.pdf.
l. Paperwork Reduction Act, (P.L. 104-13, 5 U.S.C. 1320),
http://uscode.house.gov/download/pls/05C5.txt.
m. Privacy Act [P.L 93-579, 5 U.S.C. 552 a (m)],
http://uscode.house.gov/download/pls/05C5.txt.
n. Freedom of Information Act (FOIA) [P.L. 89-487, 5 U.S.C. 552
(g)], http://uscode.house.gov/download/pls/05C5.txt.
o. National Archives and Records Administration Publication,
“Guidance for Coordinating the Evaluation of Capital Planning
and Investment Control (CPIC) Proposals for ERM Applications,”
http://www.archives.gov/records_management/policy_and_guidance/
cpic_guidance.html.
p. Department of Energy Acquisition Regulation, Part 970—DOE
Management and Operating Contracts.
(1) 48 CFR 970.5204-3, “Access to and Ownership of Records,”
http://a257.g.akamaitech.net/7/257/2422/12feb20041500/
edocket.access.gpo.gov/cfr_2004/octqtr/48cfr970.5204-3.htm.
(2) 48 CFR 970.5232-3, “Accounts, Records, and Inspection,”
http://a257.g.akamaitech.net/7/257/2422/12feb20041500/
edocket.access.gpo.gov/cfr_2004/octqtr/48cfr970.5232-3.htm.
(3) 48 CFR 970.0404, “Safeguarding Classified Information,”
http://www.access.gpo.gov/nara/cfr/waisidx_04/
48cfr970_04.html.
(4) 48 CFR 970.0407, “Contractor Records Retention,”
http://www.access.gpo.gov/nara/cfr/waisidx_04/
48cfr970_04.html.
q. DOE Reference Book for Contract Administrators (Chapter 9),
http://professionals.pr.doe.gov/ma5/MA5Web.nsf/Procurement/
ReferenceBookforContractAdministrators?OpenDocument.
r. NARA-approved DOE administrative, programmatic, and site-
specific records disposition schedules,
http://cio.doe.gov/RBManagement/Records/dissched.htm.
s. Records management section of the DOE Chief Information
Officer Web site, http://cio.doe.gov/RBManagement/Records/
records.html.
t. DOE-STD-4001-2000, “Design Criteria Standard for Electronic
Records Management Software Applications,” dated March 2000,
http://www.eh.doe.gov/techstds/standard/std4001/std400100.pdf.
5. The following definitions are applicable to DOE records
management.
a. ADEQUATE AND PROPER DOCUMENTATION. Record of the conduct of
Government business that is complete and accurate to the extent
required to document organization, functions, policies,
decisions, procedures, and essential transactions and is designed
to furnish the information necessary to protect the legal and
financial rights of the Government and of persons directly
affected by Government activities.
b. APPRAISAL. Process of determining the value and thus the
final disposition of a record series, making them either
temporary or permanent.
c. ARCHIVE.
(1) Non-current records of an organization preserved because of
their continuing or enduring value.
(2) One or more buildings, or portions thereof, where permanent
records are located after being accessioned by an archival
agency.
d. CAPITAL PLANNING AND INVESTMENT CONTROL (CPIC). Process
used to develop and provide the basic information required to
plan, budget, acquire and manage information technology
resources. The CPIC process is defined in OMB Circular A-11,
“Preparation, Submission, and Execution of the Budget.”
e. CONTRACTOR-/CORPORATE-OWNED RECORDS. Those that are not
identified as Federal records (such as company proprietary
information, records unrelated to the work performed under a
Federal contract, and other similar records) that thus belong to
the contractor. Contractor-/corporate-owned records are defined
in the contract.
f. DEPARTMENTAL RECORDS OFFICER. Person assigned responsibility
for overseeing the Department of Energy Records Management
Program by the DOE Chief Information Officer or his/her designee.
g. DISPOSITION. Actions taken regarding records no longer
needed to conduct regular, current business. Title 44 United
States Code (U.S.C.) 2901(5) defines records disposition as any
activity with respect to—
(1) disposal of temporary records no longer needed for the
conduct of business by destruction or donation to an
eligible person or organization outside of Federal custody
in accordance with the requirements of 36 CFR 1228,
(2) transfer of records to Federal agency storage facilities or
records centers,
(3) transfer to the National Archives of the United States of
records determined to have sufficient historical or other
value to warrant continued preservation, or
(4) transfer of records from one Federal agency to any other
Federal agency in accordance with the requirements of
36 CFR 1228.
b. DOE ELEMENTS. First-tier organizations at Department of
Energy (DOE) Headquarters and in the field, including the
National Nuclear Security Administration (NNSA). First-tier
organizations at Headquarters include the offices of the
Secretary, Deputy Secretary, Under Secretary, Secretarial
Officers Assistant Secretaries, and staff offices. First-tier
organizations in the field include operations offices, field and
site offices, and the power marketing administrations.
Headquarters elements are normally located in the Washington,
D.C., metropolitan area; field organizations are all DOE sites
(excluding individual duty stations) located outside the
Washington metropolitan area. Requirements pertaining to first-
tier organizations will normally be passed through to
subordinate organizations.
c. ELECTRONIC RECORDS. Information recorded in a form that
only a computer can process that satisfies the definition of a
record. Electronic records are preferably kept in recordkeeping
systems but may be created, stored, and managed in any form of
electronic information system or application program.
d. FILE PLAN. A systematic method of identifying the specific
types of records maintained, series descriptions, and disposition
authorities (for example, a records inventory and disposition
system or other systems used to identify, locate, and retrieve
records).
e. METADATA. Descriptions of the content, structure, data
elements, interrelationships, and other characteristics of
records; record profiles or indexing data.
f. NATIONAL ARCHIVES AND RECORDS ADMINISTRATION (NARA). Agency
responsible for appraising, accessioning, preserving, and making
available permanent Federal records.
g. NONRECORD MATERIALS. Federally owned informational
materials that do not meet the statutory definition of “records”
or that have been excluded from coverage by the definition.
Extra copies of documents kept only for reference, stocks of
publications and processed documents, and library or museum
materials intended solely for reference or exhibit are excluded
materials.
h. PERMANENT RECORDS. Those that the National Archives and
Records Administration (NARA) determined to have sufficient value
to warrant its preservation in the National Archives. Permanent
records include all records accessioned by NARA’s Office of the
National Archives and later increments of the same records and
records for which the disposition is “permanent” on Standard Form
115, Request for Records Disposition Authority, approved by NARA
on or after 5-14-73.
i. QUALITY ASSURANCE RECORDS. Those that are created and
retained as prescribed under a quality assurance program. These
records are controlled under the provisions of an approved
procedure and retained as prescribed by the DOE records
disposition schedules.
j. RECORDKEEPING SYSTEM. Manual or automated mechanism in
which records are collected, organized, and categorized to
facilitate their preservation, retrieval, use, and disposition.
k. RECORDS. 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 data in
them (44 U.S.C. 3301).
l. RECORDS MANAGEMENT. Planning, controlling, directing,
organizing, training, promoting, and other managerial activities
involved with records creation, records maintenance and use, and
records disposition to achieve adequate and proper documentation
of the policies and transactions of the Federal Government and
effective and economical management of Agency operations.
m. SCHEDULE. National Archives and Records Administration-
approved authorization for the disposition of Federal records.
Also called a records disposition schedule. The DOE records
disposition schedules are posted on the DOE Chief Information
Officer Records Management Web pages at
http://cio.doe.gov/RBManagement/Records/dissched.htm.
n. SERIES. File units or documents arranged according to a
filing system or kept together because they relate to a
particular topic, subject, or function; result from the same
activity; document a specific kind of transaction; take a
particular physical form; or have some other relationship arising
out of their creation, receipt, or use, such as restrictions on
access and use. Also called a records series.
o. TEMPORARY RECORDS. Those determined by the Archivist of the
United States to have insufficient value (on the basis of current
standards) to warrant preservation by the National Archives and
Records Administration (NARA). This determination may take the
form of—
(1) an Agency records disposition schedule approved by NARA (SF
115, Request for Records Disposition Authority) or
(2) a general records schedule issued by NARA.
p. VITAL RECORDS. Those that are essential to the continued
functioning or reconstitution of an organization during and after
an emergency including those records essential to protecting the
rights and interests of that organization and of the individuals
directly affected by its activities. Vital records are sometimes
called essential records. Vital records considerations are part
of DOE’s continuation of operations program.
ATTACHMENT 3. DEFINITIONS
1. ADEQUATE AND PROPER DOCUMENTATION. Record of the conduct of
Government business that is complete and accurate to the extent
required to document organization, functions, policies,
decisions, procedures, and essential transactions and is designed
to furnish the information necessary to protect the legal and
financial rights of the Government and of persons directly
affected by Government activities.
2. APPRAISAL. Process of determining the value and thus the
final disposition of a record series, making them either
temporary or permanent.
3. ARCHIVE.
a. Non-current records of an organization preserved because of
their continuing or enduring value.
b. One or more buildings, or portions thereof, where permanent
records are located after being accessioned by an archival
agency.
4. CAPITAL PLANNING AND INVESTMENT CONTROL (CPIC). Process
used to develop and provide the basic information required to
plan, budget, acquire and manage information technology
resources. The CPIC process is defined in OMB Circular A-11,
“Preparation, Submission, and Execution of the Budget.”
5. CONTRACTOR-/CORPORATE-OWNED RECORDS. Those that are not
identified as Federal records (such as company proprietary
information, records unrelated to the work performed under a
Federal contract, and other similar records) that thus belong to
the contractor. Contractor-/corporate-owned records are defined
in the contract.
6. DEPARTMENTAL RECORDS OFFICER. Person assigned
responsibility for overseeing the Department of Energy Records
Management Program by the DOE Chief Information Officer or
his/her designee.
7. DISPOSITION. Actions taken regarding records no longer
needed to conduct regular, current business. Title
44 U.S.C. 2901(5) defines records disposition as any activity
with respect to—
a. disposal of temporary records no longer needed for the
conduct of business by destruction or donation to an eligible
person or organization outside of Federal custody in accordance
with the requirements of 36 CFR 1228,
b. transfer of records to Federal agency storage facilities or
records centers,
c. transfer to the National Archives of the United States of
records determined to have sufficient historical or other value
to warrant continued preservation, or
d. transfer of records from one Federal agency to any other
Federal agency in accordance with the requirements of
36 CFR 1228.
8. DOE ELEMENTS. First-tier organizations at Department of
Energy (DOE) Headquarters and in the field, including the
National Nuclear Security Administration (NNSA). First-tier
organizations at Headquarters include the offices of the
Secretary, Deputy Secretary, Under Secretary, Secretarial
Officers and staff offices. First-tier organizations in the
field include operations offices, field and site offices, and the
power marketing administrations. Headquarters elements are
located in the Washington, D.C., metropolitan area; field
elements are all DOE sites (excluding individual duty stations)
located outside the Washington metropolitan area. Requirements
pertaining to first-tier organizations will normally be passed
through to subordinate organizations.
9. ELECTRONIC RECORDS. Information recorded in a form that
only a computer can process that satisfies the definition of a
record. Electronic records are preferably kept in recordkeeping
systems but may be created, stored, and managed in any form of
electronic information system or application program.
10. FILE PLAN. A systematic method of identifying the specific
types of records maintained, series descriptions, and disposition
authorities (for example, a records inventory and disposition
system or other systems used to identify, locate, and retrieve
records).
11. METADATA. Descriptions of the content, structure, data
elements, interrelationships, and other characteristics of
records; record profiles or indexing data.
12. NATIONAL ARCHIVES AND RECORDS ADMINISTRATION (NARA). Agency
responsible for appraising, accessioning, preserving, and making
available permanent Federal records.
13. NONRECORD MATERIALS. Federally owned informational
materials that do not meet the statutory definition of “records”
or that have been excluded from coverage by the definition.
Extra copies of documents kept only for reference, stocks of
publications and processed documents, and library or museum
materials intended solely for reference or exhibit are excluded
materials.
14. PERMANENT RECORDS. Those that the National Archives and
Records Administration (NARA) determined to have sufficient value
to warrant its preservation in the National Archives. Permanent
records include all records accessioned by NARA’s Office of the
National Archives and later increments of the same records and
records for which the disposition is “permanent” on Standard Form
115, Request for Records Disposition Authority, approved by NARA
on or after 5-14-73.
15. QUALITY ASSURANCE RECORDS. Those that are created and
retained as prescribed under a quality assurance program. These
records are controlled under the provisions of an approved
procedure and retained as prescribed by the DOE records
disposition schedules.
16. RECORDKEEPING SYSTEM. Manual or automated mechanism in
which records are collected, organized, and categorized to
facilitate their preservation, retrieval, use, and disposition.
17. RECORDS. 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 data in
them (44 U.S.C. 3301).
18. RECORDS MANAGEMENT. Planning, controlling, directing,
organizing, training, promoting, and other managerial activities
involved with records creation, records maintenance and use, and
records disposition to achieve adequate and proper documentation
of the policies and transactions of the Federal Government and
effective and economical management of Agency operations.
19. SCHEDULE. National Archives and Records Administration-
approved authorization for the disposition of Federal records.
Also called a records disposition schedule. The DOE records
disposition schedules are posted on the DOE Chief Information
Officer Records Management Web pages at
http://cio.doe.gov/RBManagement/Records/dissched.htm.
20. SERIES. File units or documents arranged according to a
filing system or kept together because they relate to a
particular topic, subject, or function; result from the same
activity; document a specific kind of transaction; take a
particular physical form; or have some other relationship arising
out of their creation, receipt, or use, such as restrictions on
access and use. Also called a records series.
21. TEMPORARY RECORDS. Those that Archivist of the United
States determined to have insufficient value (on the basis of
current standards) to warrant preservation by the National
Archives and Records Administration (NARA). This determination
may take the form of—
a. an Agency records disposition schedule approved by NARA
(SF 115, Request for Records Disposition Authority) or
b. a general records schedule issued by NARA.
22. VITAL RECORDS. Those that are essential to the continued
functioning or reconstitution of an organization during and after
an emergency including those records essential to protecting the
rights and interests of that organization and of the individuals
directly affected by its activities. Vital records are sometimes
called essential records. Vital records considerations are part
of DOE’s continuation of operations program.