Records Management Procedures for Storage, Transfer & Retrieval of Records from the Washington National Records Center (WNRC) or Legacy Management Business Center
RETIREMENT OF RECORDS:
1. The Program Office originates the Records Transmittal and Receipt Form SF-135 (PDF, 107KB), and sends it to IM-23 at doerm@hq.doe.gov for approval.
2. IM-23 reviews the SF-135 for completeness/correctness and coordinates with the originating office by email if more information is required.
3. IM-23 sends the SF-135 to WNRC for approval.
PREPARING RECORDS FOR TRANSFER TO THE WNRC:
1. Use your organization’s Records Information Disposition Schedule (RIDS) to assess records for storage. Refer to DOE O 243.1, dated 2-3-06, which states that Headquarters Elements and both their management and operating contractors shall:
“Develop and maintain a records management program which preserves adequate records documenting the organization, functions, policies, decisions, procedures, and essential transactions, including record material containing evidence or information appropriate for preservation because of its administrative, legal, scientific, research, or historic value.”
2. Remove all non-record material and extra copies of records from official files. (Only record material is eligible for storage in Federal Records Centers).
3. Records must be separated into series. A series is defined as a “block of records having the same disposition authority and same disposition date.” Each item or subordinate item in your records schedule represents a series. Identify and separate your records into blocks (series) by item number and cutoff date.
4. The National Archives and Records Administration (NARA) requires that each series of temporary records must be transferred as a separate accession. Each accession must consist of at least one box and normally only one closing year date for a series of temporary records. Send only completed or closed case files, contracts, and so forth.
5. Classified records are boxed separately from unclassified records, with at least 80 percent of the box containing classified records.
RECORDS RETRIEVAL ACCESS MEMO:
1. Submit a request for records from WNRC via email to the appropriate Records Liaison Officer. Every Program Office must provide a list of authorized personnel within their organization who are responsible for accessing their records. The email must include the person(s) name, badge level, routing symbol, reason for access, and duration of access. Only persons on the list will be able to retrieve records under their organization’s cognizance.
2. Authorization for third party removal of records must be issued by the Program Office and approved by the Director of Records Management Division each time records are to be removed by persons not so designated or employed by the Program Office.
REQUESTING RECORDS FROM THE WASHINGTON NATIONAL RECORDS CENTER:
1. Requestor submits a request to IM-23 for the retrieval of records from WNRC. (Only those persons authorized from each Program Office may remove records doerm@hq.doe.gov from the WNRC—see previous section on Access Memo). When requesting records, the Program Office must provide IM-23 with the transfer number and box numbers.
2. All records requested from WNRC will be delivered to the requestor for review.
3. When the requested records are located at the WNRC, IM-23 will process the request electronically through the Archives and Records Centers Information System (ARCIS).
4. IM-23 prepares a “Request for Service – Document Receipt” HQ F1324.12, documenting the boxes, files, or record material that will be reviewed or removed by the Program Office. The document receipt will be forwarded electronically to the requestor for signature. Requestor will immediately sign the document receipt, scan and return to IM-23, once the records are in their custody.
5. Requests for less than ten (10) boxes are handled by the DOE Couriers, MA-42. If requests consist of ten (10) boxes or more, the boxes will be transported by the DOE Movers, MA-432. IM-23 prepares the required paperwork and schedules the pick up of the records.
RETURNING RECORDS FROM THE WASHINGTON NATIONAL RECORDS CENTER:
1. Program Office notifies IM-23 that the records are ready to be returned to WNRC.
2. IM-23 coordinates with the Program Office to schedule pickup from their office with DOE Couriers or Movers.
3. When the boxes are returned to the WNRC, a signed copy of the Document Receipt, HQ F 1324.12, is returned to the Program Office. This documents that the Program Office returned the records to the WNRC as indicated on the Document.
RECORDS MANAGEMENT PROCEDURES FOR THE RETRIEVAL OF RECORDS FROM THE LEGACY MANAGEMENT BUSINESS CENTER:
1. Requestor submits a request to IM-23 via doerm@hq.doe.gov requesting retrieval of records from the Legacy Management (LM) Business Center. (Only those persons authorized from each Program Office may remove records from LM—see previous section on Access Memo). When requesting records, the Program Office must provide IM-23 with the LM accession number and box numbers.
2. All records requested from LM will be delivered to the requestor for review.
3. IM-23 prepares a “Request for Service—Document Receipt” HQ 1324.12, documenting the boxes, files, or record material that will be reviewed or removed by the Program Office. The document receipt will be forwarded electronically to the requestor for signature. Requestor will immediately sign the document receipt, scan and return to IM-23, once the records are in their custody.
RETURNING RECORDS TO THE LEGACY MANAGEMENT BUSINESS CENTER:
1. Program Office notifies IM-23 that records are ready for pick-up.
2. IM-23 coordinates with the Program Office to schedule records pickup by DOE Couriers or Movers.
3. When the boxes are returned to LM, a signed copy of the Document Receipt, HQ F 1324.12, is returned to the Program Office to document that the Program Office returned the records to LM.