Records Management

Subject Area: Records Management

Point of Contact:	CATHERINE MARCIANTE
Management System Owner:	CATHERINE MARCIANTE
Secondary Management System Owner:	GEORGETTE LANE

SCMS Home Page | Revision History | Subject Area Definitions

Issue Date: 01/26/2012
SCMS Revision: 1.5

1.0 Introduction

This subject area defines work processes that enable the U.S. Department of Energy (DOE) Office of Science (SC) staff to know what data are important to collect and how the data can be indexed and maintained efficiently to facilitate easy retrieval when needed. The Records Management System maintains accurate evidence of Agency activities and guarantees the creation, maintenance, and proper disposition of valuable records. At the operational level, records management is critical to the successful mission of SC and provides evidence of unit activities, organization, functions, policies, decisions, procedures, and operations, while working to assure adequate and necessary record retention.

2.0 Contents

Procedures	Procedure Content
1. Creating and Identifying Federal Records	Create and identify records necessary to document activities of DOE programs because of their administrative, legal, scientific, research, or historic value. Capture information in the proper media to sustain the lifecycle of the records (i.e., paper, electronic, micrographic, photographic, audiovisual). NOTE: Messages created or received on electronic mail systems may meet the definition of record.
2. Ensuring the Adequacy of Documentation	Ensure records are legible and accurate. Establish recordkeeping systems.
3. Conducting a Records Inventory	Identify valuable records to be kept. Establish location(s) for the files. Determine who is responsible for the records. Evaluate the documentary materials against your information needs.
4. Developing New Records Disposition Schedules	Review records inventory for unscheduled records. Draft disposition instructions for NARA approval. Maintain unscheduled records. Update records schedules, as necessary.
5. Maintaining Records Efficiently	Specify data to collect. Index records for ease of retrieval. Create and maintain effective finding aids. Ensure adequate records storage facilities.
6. Using Records	Establish controls over routine use of records. Organize, classify, describe, and make records available.
7. Transferring and Destroying Records	Transfer inactive records to the assigned records storage facility. Transfer eligible permanent records to the U.S. National Archives and Records Administration (NARA). Destroy eligible temporary records.
8. Managing Vital Records	Create, identify, and protect vital records. Control distribution and maintenance of vital records. Ensure the most recent revision of documents are in place. Develop and maintain vital records inventory.
9. Coordinating Disaster Planning and Recovery	Prevent unauthorized access to, additions to, changes to, removal, and/or destruction of Federal records. Identify policies, activities, and tools needed to implement vital records mitigation actions to enable employees to meet an emergency involving records. Activate records recovery upon notification of an emergency or disaster.

3.0 Exhibits/Forms

Criteria to Determine Record Status

DOE F 1324.10, Records Inventory and Disposition Schedule (RIDS)

DOE F 1324.9, U.S. Department of Energy Records Inventory and Disposition Schedule (RIDS) - (Continued)

Records Emergency Assessment Checklist/Katrina Emergency Records Recovery/Disposal Form

Records Management Network Schematic

Standard Form 115, Request for Records Disposition Authority

Standard Form 135 – General Instructions for Preparing the Standard Form 135

Standard Form 135, Records Transmittal and Receipt

Standard Form 258, Agreement to Transfer Records to the National Archives of the United States

Vital Records Justification Form

4.0 Related Information

Agency Recordkeeping Requirements: a Management Guide, "Adequate and Proper Documentation"
Agency Recordkeeping Requirements: A Management Guide Series 1995
10 CFR 830.122, Department Of Energy, Nuclear Safety Management, Quality Assurance Criterion 4, Management /Documents and Records
10 CFR 1004, Freedom of Information Act
36 CFR 1220, Federal Records; General
36 CFR 1222, Creation and Maintenance of Federal Records
36 CFR 1236, Management of Vital Records
36 CFR, Chapter XII, Subchapter B, U.S. National Archives and Records Administration, Records Management
41 CFR 102-193, Federal Management Regulation, Creation, Maintenance, and Use of Records
Checklist for Self Assessment
DOE O 150.1, Continuity of Operations
DOE O 151.1C, Comprehensive Emergency Management System
DOE O 471.3, Admin. Chg. 1, Identifying and Protecting Official Use Only Information
DOE O 475.2A, Identifying Classified Information
DOE G 1324.5B, Records Maintenance and Disposition, Chapter III, "Files Maintenance Procedures"
DOE Records Disposition Schedules
DOE Office of Science Quality Assurance Program, Life Cycle Asset Management - Good Practice Guide, dated March 1996
DOE Procedure for Conducting a Records Inventory
DOE Records Management Handbook RM 06-45, "Issuance of the Records Management Handbook," dated 09/21/2006
Documenting Your Public Service
Frequently Asked Questions about Records Scheduling and Disposition
Identify and Protect Your Vital Records
NARA Bulletin 2006-02, NARA Guidance for Implementing Section 207(e) of the E-Government Act of 2002
NARA Bulletin 96-6, Disposition of Federal Records and Personal Documentary Materials
National Archives Privacy Act Program Resources
Procedure for Preparing a Records Inventory and Disposition Schedule (RIDS)
Toolkit for Managing Electronic Records
5 U.S.C. 552a(m), The Privacy Act of 1974
40 U.S.C. 11101, Clinger-Cohen Act of 1996
44 U.S.C. Chapter 29, Records Management by the Archivist of the United States and by the Administrator of General Services
44 U.S.C. Chapter 31, Records Management by Federal Agencies
44 U.S.C. Chapter 33, Disposal of Records
44 U.S.C. Chapter 35, Coordination of Federal Information Policy
44 U.S.C. 3310, Disposal of Records Constituting Menace to Health, Life, or Property
U.S. EPA Privacy Act, General Routine Uses of EPA Systems of Records
Vital Records and Records Disaster Mitigation and Recovery: An Instructional Guide
Vital Records Management, A Briefing for Federal Agencies, National Archives
What Are Federal Records?
Your Records Management Responsibilities Pamphlet

5.0 Requirements

Document	Title	Requirement Decision Record
DOE O 243.1A	Records Management Program	Completed
DOE O 243.2	Vital Records	Completed
18 U.S.C., Section 2071	Concealment, Removal, Or Mutilation Generally (Of Federal Records)	Completed

6.0 Definitions

Definitions.

This is not the online OFFICIAL SCMS COPY of this file. Before using this printed copy, verify that it is the most current version by checking the Last Major Revision and Last Minor Revision dates (at the bottom of each document) on the SCMS Web site.

This is the online OFFICIAL SCMS COPY of this file. Before using a printed copy, verify that it is the most current version by checking the Last Major Revision and Last Minor Revision dates (at the bottom of each document) on the SCMS Web site.

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