DOE O 1324.2, Records Disposition

u.s. Department of Energy Washington, D.C. SUBJECT: RECORDS DISPOSITION C,1 ,", : ((["'~/ / po£" I '32- II. 1 A ..> c? I" .. ~) <).. r / ,.,; ~ '__; ORDER DUE 1324.2 5-28-80 Change 1: 7-2-81 Change 2: 11-9-82 ~.'" ,'\ 1. PURPOSE. To assign responsibilities and authorities and to prescribe policies, procedures, standards, and guidelines for the orderly disposition of records of the Department of Energy (DOE) and its operating and onsite service contractors. 2. CANCELLATION. DOE 1324.1, RECORDS DISPOSITION, 7-10-78. 3. SCOPE. The provisions of this Order apply to all elements of DOE and DOE operating and onsite service contractors and subcontractors. With respect to these contractors, the records disposition policies, procedures, stan­ dards, and guidelines apply to all records created, collected, or maintained using Government funds, unless by contract provision the Government does not have the right to assume custody or control of the records. 4. REFERENCES. a. Federal Property Management Regulation (FPMR) § 101-11.403, which prescribes that each Federal agency shall compile, and maintain on a current basis, a records control schedule for all major groups of records in its custody having importance in terms of content, bulk, or space and equipment occupied. b. General Services Administration (GSA)-National Archives and Records Service (NARS) Records Management Handbook, "Disposition of Federal Records," Federal Stock No. 7610-01-055-8704, which discusses the nature of an effective records disposition program. Copies of the handbook have been distributed to officials having records management responsibilities. c. DOE and contractor organizations shall comply with the applicable security requirements for transmitting, storing, or disposing of classified records. The directive series number is 5632 for the issuance of specific standards, procedures, and requirements for the protection of classified matter. d. Federal Property Management Regulations § 101-11.410-2 and GSA-NARS Records Management Handbook, "Federal Records Centers," Federal Stock No. 7610-298-6904, which provide instructions and requirements for making optimum use of the Federal Records Center system. DISTRIBUTION: All Departmental Elements Federal Energy Regulatory Commission (info) INITIATED BY: Office of Organization and Management Systems cD 'I J ~. '" , '\ u.s. Department of Energy Washington, D.C. C,1," : (([,..~/ / po£" 1"32- II. 1 A .• --' c? I" ,. ~) ';c) .. , / ,.,; ~ ',-, ORDER DUE 1324.2 5-28-80 SUBJECT: RECORDS DISPOSITION Change 1: 7-2-81 Change 2: 11-9-82 1. PURPOSE. To assign responsibilities and authorities and to prescribe policies, procedures, standards, and guidelines for the orderly disposition of records of the Department of Energy (DOE) and its operating and onsite service contractors. 2. CANCELLATION. DOE 1324.1, RECORDS DISPOSITION, 7-10-78. 3. SCOPE. The provisions of this Order apply to all elements of DOE and DOE operating and onsite service contractors and subcontractors. With respect to these contractors, the records disposition policies, procedures, stan­ dards, and guidelines apply to all records created, collected, or maintained using Government funds, unless by contract provision the Government does not have the right to assume custody or control of the records. 4. REFERENCES.

a. Federal Property Management Regulation (FPMR) § 101-11.403, which prescribes that each Federal agency shall compile, and maintain on a current basis, a records control schedule for all major groups of records in its custody having importance in terms of content, bulk, or space and equipment occupied. b. General Services Administration (GSA)-National Archives and Records Service (NARS) Records Management Handbook, "Disposition of Federal Records," Federal Stock No. 7610-01-055-8704, which discusses the nature of an effective records disposition program. Copies of the handbook have been distributed to officials having records management responsibilities. c. DOE and contractor organizations shall comply with the applicable security requirements for transmitting, storing, or disposing of classified records. The directive series number is 5632 for the issuance of specific standards, procedures, and requirements for the protection of classified matter. d. Federal Property Management Regulations § 101-11.410-2 and GSA-NARS Records Management Handbook, "Federal Records Centers," Federal Stock No. 7610-298-6904, which provide instructions and requirements for making optimum use of the Federal Records Center system. DISTRIBUTION: All Departmental Elements INITIATED BY: Office of Organization and Federal Energy Regulatory Commission (info) Management Systems d) 'I J r'~'Pt ;~.,L~~i,rIC;.. :'"!Ct. ~Q, :..I~" .;jP Lj~"r •.:or.l:' ';n ~t:_ ,- ~4 :,t)( 1" j&J£ 2 DOE 1324.2 Chg 1 7-2-81 --- ---- .- ---~. --.-T--r------- ---.------------------- e. OOE IjOO.~. MICROGRAPHICS MANAGEMENT. provides guidance applying micrographics technology and states certain requirements for obtaining approval to destroy original records and substitute microfilmed records for them. i 5. DEFINITIONS. Definitions of tenms for the purpose of this Order are contained i in chapter 1. ! 6. BACKGROUND. This Order implements in the Department the requirements of the Federal Property Management Regulation on the Disposition of Records. Records Control Schedules (FPMR Section 101-11.401-1. Records Scheduling Programs). which states: . "A records schedul ing program is essent i al to promote prompt and orderly reduction 1n the quantity of records in each Federal agency in accordance with 44 U.S.C. 2904. 3102. and 3301. 11 7. POLICY AND OBJECTIVES. '"t a. DOE establishes and maintains an active and continuing records disposition: program providing for the selective retention. disposal. and economical storage of records of the Department and its contractors. b. The DOE records disposition program is designed to: '(1) Preserve adequate records documenting the organizati on. functions, policies, decisions, procedures, and essential transactions. including record material containing evidence or infonmation appro­ priate for preservation because of its administrative, legal, scientific, research, or historic value. (2) Retire or transfer records no longer needed in current activities to lower cost storage facilities. (3) Dispose of records which have insufficient value to warrant further preservation. I 8. RESPONSIBILITIES AND AUTHORITIES. a. Assistant Secretary, Management and Administration (MA-l). Establishes and directs the DOE records disposition program. b. Director of Organization and Management Systems (AD-20). (1) Prescribes DOE-wide procedures for the implementation of the records dispo~ition program. -- ..._----- -----~----------- iii

Provi~es staff guidance and assistance to the Office of Administration 'Services(AD=40)and field· offices in carrying out the records .... disp~sition program. I (3) Reviews and coordinates recommendations for records retention standards. i j '.. __.-L_. .L.... .1. Vertical line denotes change. r '" t r 2 r'~'Pt ;~.,L~~i,rjC; .. :'"!\.::t. ~Q, :..I~" .;jP L j ~., r .... r l I:' '; ~ ~ ~ t:_ ,- ~. :, t )( 1" ___ j & J £ DOE 1324.2 Chg 1 7-2-81 ------- ---- .- --- ~- --·-T--r-----·- ----------------------- e. OOE IjOO.~, MICROGRAPHICS MANAGEMENT, provides guidance applying micrographics technology and states certain requirements for obtaining approval to destroy original records and substitute microfilmed records for them. i 5. DEFINITIONS. Definitions of tenns for the purpose of this Order are contained I in chapter 1. ! 6. BACKGROUND. This Order implements in the Department the requirements of the Federal Property Management Regulation on the Disposition of Records, Records Control Schedules (FPMR Section 101-11.401-1, Records Scheduling Programs), which states: . "A records schedul ing program is essent i al to promote prompt and orderly reduction in the quantity of records in each Federal agency in accordance with 44 U.S.C. 2904, 3102, and 3301. 11 7. POLICY AND OBJECTIVES. a. DOE establishes and maintains an active and continuing records disposition: program providing for the selective retention, disposal, and economical storage of records of the Department and its contractors. b. The DOE records disposition program is designed to: '(1) Preserve adequate records documenting the organizati on, functions, policies, decisions, procedures, and essential transactions, including record material containing evidence or infonnation appro­ priate for preservation because of its administrative, legal, scientific, research, or historic value. (2) Reti re or transfer records no longer needed in current activities to lower cost storage facilities. (3) Dispose of records which have insufficient value to warrant further preservation. I 8. RESPONSIBILITIES AND AUTHORITIES. a. Assistant Secretary, Management and Administration (MA-l). Establishes and directs the DOE records disposition program. b. Director of Organization and Management Systems (AD-20). (1) Prescribes DOE-wide procedures for the implementation of the records dispo~ition program. iii Provi~es staff guidance and assistance to the Office of Administration 'Services(AD=40)and field-offices in carrying out the records -+- disp~sition program. I (3) Reviews and coordinates recommendations for records retention standards. i j ' . ___ .-L_. ___ .L_... .1. ----------- -- -.------- -----~ Vertical line denotes change. QIRECYI'JE T'{PING :,.,IDE EVE'IJ P:'GE OOE 1324.2 5-28-80 3 (4) Secures General Services Administration (GSA), General Accounting Office (GAO), and other authorizations for the establishment of DOE and contractor records retention standards. (5) Prepares and issues DOE and contractor records schedules containing approved records retention standards. (6) Maintains liaison with other Federal agencies in connection with the scheduling, disposal, transfer, or preservation of records, exclusive of the liaison with Federal Records Centers in connection with the transfer, storage, retrieval, and disposal of records which is the responsibility of the Headquarters or field office Records Offi cer. (7) Submi ts con so1idated IIAnnua1 Summa ry of Records Ho1di ngs II to GSA as required by FPMR 101-11.102-7.

c. Director of Administrative Services (AD-40). (1) Directs the implementation of the records disposition program in Headquarters organizations. (2) Prescribes procedures for the implementation of the records disposition program by Headquarters organizations. (3) Provides staff guidance and assistance to Headquarters organizations in their implementation of the records disposition program. (4) Maintains records holding area facilities for ~se by Headquarters organizati ons. (5) Maintains liaison with the Washington National Records Center in connection with the transfer, storage, retrieval, and disposal of records of Headquarters organizations. (6) Reviews and coordinates recommendations for new records retention standards, or changes to existing standards, originating in Headquarters organizations. Refers such recommendations to the Office of Organization and Management Systems for final action. (7) Submits consolidated IIAnnual Report of Records Holdings ll (attachment 1) for Headquarters organizations to MA-l by September 1 each year). (8) Submits Records Transfer Forms, DOE Form AD-H35 (attachment 2) to the Chief Historian ""0-40) for determination that records of historical value have been scheduled for permanent retention. OOE 1324.2 5-28-80 3 (4) Secures General Services Administration (GSA), General Accounting Office (GAO), and other authorizations for the establishment of DOE and contractor records retention standards. (5) Prepares and issues DOE and contractor records schedules containing approved records retention standards. (6) Maintains liaison with other Federal agencies in connection with the scheduling, disposal, transfer, or preservation of records, exclusive of the liaison with Federal Records Centers in connection with the transfer, storage, retrieval, and disposal of records which is the responsibility of the Headquarters or field office Records Offi cer. (7) Submi ts con so 1 idated IIAnnua 1 Summa ry of Records Ho 1 di ngs II to GSA as required by FPMR 101-11.102-7. c. Director of Administrative Services (AD-40). (I) Directs the implementation of the records disposition program in Headquarters organizations. (2) Prescribes procedures for the implementation of the records disposition program by Headquarters organizations. (3) Provides staff guidance and assistance to Headquarters organizations in their implementation of the records disposition program. (4) Maintains records holding area facil ities for u.se by Headquarters organizati ons. (5) Maintains liaison with the WaShington National Records Center in connection with the transfer, storage, retrieval, and disposal of records of Headquarters organizations. (6) Reviews and coordinates recommendations for new records retention standards, or changes to existing standards, originating in Headquarters organizations. Refers such recommendations to the Office of Organization and Management Systems for final action. (7) Submits consolidated IIAnnual Report of Records Holdingsll (attachment 1) for Headquarters organizations to MA-l by September 1 each year). (8) Submits Records Transfer Forms, DOE Form AD-H35 (attachment 2) to the Chief Historian ""0-40) for determination that records of historical value have been scheduled for permanent retention. (2) 4 "(' DOE 1324.2 Chg 1 ;-, ~-,-------------1 7-2-81 ; _.~--- -----------------' -- -- ~----- ------- ---- --- d. Chief Historian (AD-40). . i

(1) Determines that records of historic value have been scheduled for permanent retention in accordance with this Order by reviewing for Headquarters organizations all Records Transfer Forms (DOE Form AD-H35) for records transferred from office space to low-cost storage) • Recommends to MA-l, where necessary, records of historical value be scheduled for permanent retention. (3) Accepts custody of records of historical value no longer requiring retention by the originating office, and services all requests for access to these records until they are offered to the National Archives. (4) Provides advice concerning appropriate disposition of personal papers, upon request. (5) Assists Headquarters and field offices in determining the historical value of records, upon request. e. Heads of Headquarters Organizations. (1) Designate a staff member as Records Officer or person responsible for the records disposition program of the organization. (2) Apply authorized records retention standards to records in their custody by preparing Records Inventory and Disposition Schedules in accordance with procedures contained in chapter III of this Order. (3) Use low cost storage facilities for the storage of noncurrent records to the fullest extent practicable, and compatible with security regulations, and Office of Administrative Services guidelines or agreement. (4) Assure that contractors, whose contracts are administered by Headquarters, comply with the policies, procedures, and standards prescribed in this Order and with provisions of their contracts. (5) Submit Form DOE AD-331, "Records Retention and Di sposal Authorization,.11 to MA-l, Attention: Office of Administrative Services, to recommend new records retention standards. or changes to existing standards. (6) Revi~w recommendations for new records retention standards, or changes to existing standards upon request. (7) Submi,t the "Annual Report of Records Holdi ngs, II DOE F 1324.6, by August I, to the Director of Administrative Services. , I Vert i-ea-l-l i n~-denotes--cha~----- -- --.- ---------.------ --- --- "- -- - --, " (' 4 DOE 1324.2 Chg 1 ; -- ~----- ----------1 7-2-81 ; -.~--- -----------------' -- --~----- ------- ---- --- d. Chief Historian (AD-40). (1 ) (2) . i Determines that records of historic value have been scheduled for permanent retention in accordance with this Order by reviewing for Headquarters organizations all Records Transfer Forms (DOE Form AD-H35) for records transferred from office space to low-cost storage) • Recommends to MA-l, where necessary, records of historical value be scheduled for permanent retention. (3) Accepts custody of records of historical value no longer requiring retention by the originating office, and services all requests for access to these records until they are offered to the National Archives. (4) Provides advice concerning appropriate disposition of personal papers, upon request. (5) Assists Headquarters and field offices in determining the historical value of records, upon request. e. Heads of Headquarters Organizations. (1) Designate a staff member as Records Officer or person responsible for the records disposition program of the organization. (2) Apply authorized records retention standards to records in their custody by preparing Records Inventory and Disposition Schedules in accordance with procedures contained in chapter III of this Order.

(3) Use low cost storage facilities for the storage of noncurrent records to the fullest extent practicable, and compatible with security regulations, and Office of Administrative Services guidelines or agreement. (4) Assure that contractors, whose contracts are administered by Headquarters, comply with the policies, procedures, and standards prescribed in this Order and with provisions of their contracts. (5) Submit Form DOE AD-331, "Records Retention and Di sposal Authorization,.11 to MA-l, Attention: Office of Administrative Services, to recommend new records retention standards. or changes to existing standards. (6) Revi~w recommendations for new records retention standards, or changes to existing standards upon request. (7) Submi.t the "Annual Report of Records Holdi ngs, II DOE F 1324.6, by August 1, to the Director of Administrative Services. , I Verti-ea-l-lin~-denotes--cha~--------- -- ------------------- ----. -- ---- DOE 1324.2 Chg 7-2-81 5 f. Heads of Field Organizations. (1) Implement the DOE records disposition program in their respective areas of responsibility. (2) Utilize GSA Federal Records Centers to the fullest extent practicable and compatible with security regulations. (3) Maintain local records holding areas where operationally necessary or economically feasible. (4) Submit Form DOE AD-33I, "Records Retention and Di sposal Authori zation" to MA-l, Attention: Office of OrQanizati on and Management Systems, to recommend new records retention standards, or changes to existing standards. (5) Assure that contractors in their areas of responsibility apply records retention standards and comply with policies, procedures, and standards prescribed in this Order and with applicable records clause contract provisions. (6) Submit DOE F 1324.6, "Annual Report of Records Holding," by September I, to MA-l, Attention: Office of Organization and Management Systems. ~ 9. REQUIREMENTS and PROCEDURES. a. The requirements and procedures for implementing the DOE records disposition program are contained in the following chapters of this Order: Chapter I, Definitions. Chapter II, Basic Requirements. Chapter III, Implementation of the Records Disposition Program. Chapter IV, Retention of Operating and Onsite Service Contractor Records. ~ Vertical line denotes change. DOE 1324.2 Chg 7-2-81 f. Heads of Field Organizations. 5 (1) Implement the DOE records disposition program in their respective areas of responsibility. (2) Utilize GSA Federal Records Centers to the fullest extent practicable and compatible with security regulations. (3) Maintain local records holding areas where operationally necessary or economically feasible. (4) Submit Form DOE AD-331, "Records Retention and Di sposal Authori zation" to MA-l, Attention: Office of OrQanizati on and Management Systems, to recommend new records retention standards, or changes to existing standards. (5) Assure that contractors in their areas of responsibility apply records retention standards and comply with policies, procedures, and standards prescribed in this Order and with applicable records clause contract provisions. (6) Submit DOE F 1324.6, "Annual Report of Records Holding," by September 1, to MA-l, Attention: Office of Organization and Management Systems. ~ 9. REQUIREMENTS and PROCEDURES. a. The requirements and procedures for implementing the DOE records disposition program are contained in the following chapters of this Order: Chapter I, Definitions.

Chapter II, Basic Requirements. Chapter III, Implementation of the Records Disposition Program. Chapter IV, Retention of Operating and Onsite Service Contractor Records. ~ Vertical line denotes change. JdOE 1324.2_ -.l-2-8J~__ TVPE IDEN':F C,,o,,T:QN ".0. c r,. TCP L.;''\~t::: AND DAiC O!"~ NEXT :"~~.E ..~. ; c .". ~~------_.._---r-, i,,~__ r--'-:---l- b. Records rjtention standards shall not be prescribed in any other dire~tive. To the fullest extent practicable, organizations and con­ ~rac~ors Shall dispose of their records upon the expiration of the pres~ribe~ retention periods. 1 ' William S. Heffelfinger Assistant Secretary Management and Administration r DIRECTIVE rVPtNG GUIDI: F.VErIj ?AGE i I I I I j ________..-J Gl ... ~ -- --i'I-' , I i 1 --- _. -- --, -- -- --. - - - - - _.. .. _.- - -- -, - - ,- ..-- - I I I .~ , ! ; j ( !' I I i Vertical ,1 i ne: denotes change. . __ ~._HL__L_ I . . .. ~ ; c ._. ~~ ---_. __ .. _--- TVPE IDEN':F C,.o.,r:QN "',0. c r,. TCP L.;''\~t::: AND DAiC 0!"~ 1'.FXT :"~~.E r .. .-- '---'-----r .DOE 1324 .. 2_ -.l-2-8.1~ __ r b. Records rjtention standards shall not be prescribed in any other :di re~tive. To the full est extent practicabl e, organizations and con­ ~rac~ors ~hall dispose of their records upon the expiration of the pres~ribe~ retention periods. 1 ' I i William S. Heffelfinger Assistant Secretary Management and Administration . 1 --- _. -- --. -- -- --i'I-' - _. -r - - - - • - - - - - •. - _. -.- - -- -- - - -- ... - - I I I .~,! ; j ( !' I I i I I I I j f. Vertical ,1 i ne: denotes change. . __ ~' _H L-.-1__ I _________ ..-J DIRECTIVE rVPING GUIDI: EVErIj ?AGE Gl ~. \ ..:." '-•. ~ • ' ',j ~ :) DOE_ 1 J2 4 .2__Chg. L- 7-2-81._._ .. --ANNUAL REPORT OF RECORDS HOLDINGS . :- c - -;.- :.::.. l:: .. _:~ Attachin~h£ l' ~age 1 J DCll F 'S2U",. SEE INS'TRUCTlONS ON REVERSE BEFORE COMPlETING FORM~ Al).3\7 _ it.-.....J U.s. DEPARTMENT OF ENERGY DOE INTERNAL REPORTS CONTROl NO. DOE-AD-AHOOOlS ANNUAL REPORT 1. REPOfmNG PERIOD: FISCAL YEAR ENDING OF RECORDS HOLDINGS Sept~ber 30. 1981 2. TO: 3. FROM llMlllla\lan repanIngl: .. Director of Administration U.S. Department of Enersy Attn: AO-242 Albuquerque Operations Cffice U.S •.Depar~~ent of Energy P.C. Box 0000 1000 Independence Ave •• S.~. ~lbu~uer~ue. ~ew ~exico 87115 l-:ashiRQton, D.C. 205S~ SUMMARY OF RECORDS HOLDINGS (Complete all hamL Do not IeIve blanb.l STA'T\JS DOE CONTRACTOR TOTAL 4. VOWMl: Of RECORDS lCU. F1'J ON HAND. END OF FISCAL YEAR IN: 5,123 57,123 62.246 i.I CURRENT ALE ROOMS. tASORATORIES AND OFfICES 1bI STAGING. HOlDING AND OTMER lIMP. STORAG£ AREAS ___ 1.400 2 700 4.100 lei TOTAL 6,523 59,823 66,346 ~ VOLUME OF RECORDS 1llANSRIUlED OUTSIDE OF AEPORTlNG lNSTAlJ.AT1ON DURING FY: 728 729 1,457 III TO FEDE!W.Ill!COf\1)S CENTERS__ lbI 0TtlER lo-a. the-*IIllIIdIndfv___ In RImeIb -0- -0- . -0-SecIlon~_____ --- ------ - --- .. ESTIMATm NUMBER of DOCuMENTS IN CUSTODY wHicH AilE CLASSIFIED SECR£T. - 346,248 1,746,248 2,092,4S6 7. NUMBER OF A&I.5 OF MAGNETIC TAP£ INauDED IN TOTAL A8aVI. 7,120 8,240 15,360,hem 4(d~ 8. VOWME OF RECORDS DESTROYED ICU. F1'J: III AUDIO Y1SUAL RECORDS DESTROYED UNDER AlITHOAlTY . OF DOE 1324.2 15££ DOE AND DO£..CONTRACTOR RECORDS SCHEDULfS 211. - .. - 0.5 1.5 2.0 111 STILL PlCTURfS-_ -----121 MOTION PlCTURES-____________________ -0- 10.0 10.0 131 SOUND RECORDINGS-___________________ 1.0 -0- 1.0 141 VIDEO AECORDIHGS___________________ -0- -0- -0-

1bI ALL 0T1ER RECORDS O£SrAO'tm IN 0f'FIQS OR HOl.DlNG 200 325 525 AREAS UNDER AUTHORfTY OF APPROVED RECOIIOS soeuus 9. CERT1F1CAnON: ~F IIECOROS HOlDINGS REPORTtD ON THIS FORM ARE COVERED ADEOUATELY BY CURRENT AUTMORIZED DOE AND ooe-cONTRACTOR RECORDS SCHEDULfS AS PfIOVIDEO IN DOE ORDER 1324.2. RECORDS DISPOSITlON. llIVES o NO IItHrd'.pI-..-:tI~ 10. REMARXS: Ilnclc:D the _ far Ilgnitaftt~___ In holclingI; ....,.. far~~ infarrnaIIan on ftnSfft ,.paned in Mm 1lbI-"': otIw Ilgnitaftt~ diIpa8Iion --. AactlIdclillclNl II-. if .-yJ- " .. NAME OF RECORDS OFRCER ORone PERSON 'NI11'I WHOM TO CONFER II. T1TlE 10=. PHONE NUMBER :~rs. Enna Gee r.ecords Cff1cer 123-4567 12. DAll PREPARED 1'1 NAME AND T1TlE OF SIGNING OFRClAL 1'4. SIGNATURE~ 8/20/81 :1r. Wright Rekord, r:ir., Info.· ~grnt. [,iv. /)/ftJ11i ~ j ; Vertical llne de~!~s change. --- .~----._---- .._... _-_....~ --=-~- ..... _-~_. --~ ..,." "'__"'_>-"r. • - __.,•. · ••_.~_.!.... -7 ..... ". ..... _ ... c ~. \ ~ .. ..:." '.' ~ • ' ',j ~ ) .. :- c - .;.- :.::. ):: '. ~ AttactUn~h£ l' DOE_ 1 J2 4 .2 __ Chg. L- 7 -2-81. _______ _ ~age 1 J ------ANNUAL REPORT OF RECORDS HOLDINGS DQl F 'S2U ",. SEE INSTRUCTIONS ON REVERSE BEFORE COMPlETING FORM ~ AD-3\7 _ it""""'" U.s. DEPARTMENT OF ENERGY DOE INTERNAL REPORTS CONTROl NO. DOE-AD-AHOOOIS ANNUAL REPORT 1. REPOfmNG PERIOD: FISCAL YEAR ENDING OF RECORDS HOLDINGS Sept~ber 30. 1981 2. TO: 3. FROM IIM1111a11an repanIngI: .. Director of Administration U.S. Department of Enersy Attn: AO-242 Albuquerque Operations Cffice U.S •. Depar~~ent of Energy P.C. Box 0000 1000 Independence Ave •• S.~. :.1 bu~uer!;ue, fiew ~·:exico 87115 I.:ashington, D.C. 205S~ SUMMARY OF RECORDS HOLDINGS (Complete all hemL Do not leave blanks.l STAlUS DOE CONTRACTOR TOTAL 4. VOWM!: Of RECORDS (CU. F1' J ON HAND, END OF FISCAL YEAR IN: 5,123 57,123 62,246 i.! CURRENT RLE ROOMS. tASORATORIES AND OFfICES IbI STAGING. HOlDING AND OTMER lIMP. STORAGE AREAS ___ 1.400 2 700 41_' 00 lei TOTAL 6,523 59,823 66,346 ~ VOLUME OF RECORDS llIANSRIUIED OUTSIDE OF REPORTING INSTAlJ.AT1ON DURING FY: 728 729 1,457 III TO FEDERAL RECOft1)S CENl'ERS __ IbI 0Tt!ER Io-a. lite -* InIIIdIndtV ___ In RImeIb -0- -0- . -0-SecIiDn bIIawt _____ --- ------ - --- .. ESTIMAlS) NUMBER of DOCuMENTS IN CUSTODY wHicH AilE CLASSIFIED SECR£T. - 346,248 1,746,248 2,092,4S6 7. NUMBER OF A&I.S OF MAGHET1C TAP£ INa.uDED IN TOTAL A8aVI. 7,120 8,240 15,360 ,hem 4(d~ a. VOWME OF RECORDS DESTROYED ICU. F1' J: III AUDIO VISUAL RECORDS DESTROYED UNDER AlITHOAITY . OF DOE 1324.2 (5££ DOE AND DO£.CONTRACTOR RECORDS SCHEDULfS 211. - -- - 0.5 1.5 2.0 111 STILL PlCTURfS.-_ -----121 MOTION PlCTURES-____________________ -0- 10.0 10.0 131 SOUND RECORDINGS. ___________________ 1.0 -O- LD 141 VIDEO AECOROIHGS ___________________ -0- -0- -0- IbI AU. onEIl RECORDS O£SrAO'tm IN 0f'FIQS OR HO&.DIHG 200 325 525 AREAS UNDER AUTHORfTY OF APPROVED RECOIIOS SOBUUS 9. CERTlFlCAnON: ~F IlECOROS HOlDINGS REPORTtD ON THIS FORM ARE COVERED AOEOUATEL Y BY CURRENT AUTMORIZED DOE AND ooe.cONTRACTOR RECORDS SCHEDULfS AS PfIOVIDEO IN DOE ORDER 1324.2. RECORDS DISPOSITlON. !liVES o NO IItHrrd'.pI-..-:tI~ 10. REMARXS: IIndic:D lite _ far IIgnitaftt ~ ___ In hoIcIingI; ...., pIIna far ~ ~ infarmaIIan on 1rInSfft ~ in Mm II1II-"'; otIw IIgnitaftt ~ ~ _ AactlICIcIiIiaNI II-. if .-yJ - 11 .. NAME OF RECCIADS OFRCER OR 0llt:R PERSON 'NI11i WHOM TO CONFER II. TITlE 10=. PHONE NUMBER

:~rs. Enna Gee r.ecords Cff1cer 123-4567 12. DAll PREPARED 111 NAME AND TITlE OF SIGNING OFRCIAL 114. SIGNATURE ~ 8/20/81 :1r. Wright Rekord, r:1r •• Info.· ~grnt. ['tv. /)/ft'11i ~ j ; Vertical llne de~!~s change. --..- .~----.----- ... - ... ---.... ~ --=-~-" ... --~- -~ .. ,.". "' __ "'_>-"r ____ .,. ____ •• _.-._.' .... 7 ..... ". ..... _ ... c . . 1\ttachrnent 1 I P~e--6-2----r ...... ------ r ----.------,-- T~(Pf ~D[f'.IT;r_lcAr!U~. ~... ,...,.,_ ~):. TOP L'~"~- Ar~:) iJAf£ ':'~'" 1"4EXT 1...1-.£ DOE 1324.2 Cbg.. 1.-1 _l:,~:~:J!L__ Vertical line denotes change. ,----- VIdeo recotdlnp: Ten %-inch C8l11ettes .. 1 cubic foot Throo 2-inch reels .. 1 cubic foot Nine l-inch reels .. 1 cubic foot 43 ~ -inch reels .. , cubic foot Sound reconflnp: 76 16-inch disc reconfmgs .. , cublc foot 144 12-inch disc recordings .. 1 cubic foot 48 7-inch audiotape reela .. 1 cublc foot 16 1D-inch eudiotapo reels .. 1 cublc foot Motion pfC1Ufa: Six 35mm reels n000 faetl ... 1 cubic foot 11 16mm reels 11200 feet! .. 1 cubic foot 15 16mm reels (BOO feet! .. 1 cubic foot 32 16mm reels (400 feet! .. 1 cubic foot OvtIIzad equipment: Inside cubic m8lllUfemenl StlD pfcbua: Negatlva 2300 35mm 6 exposure strips .. , cubic foot 8840 2· by 2-lnch mounted slldes ... 1 c:ubic foot 2184 4- by ~Inch film sheeta .. 1 cubic foot 5960 2~- by 3%·inch film sheets .. 1 cubic foot Prfntll 1 bic foot 2350 8- by la-inch glossies or conlllCt sheets.. cu 9400 4- by ~inch glossies .. 1 cubic foot MIc:rofIlm: 10l116mm reels 11011 faetl .. 1 cubic foot 50 35mm reels nOlI feet! .. 1 cubic foot FlI1ng cablnetII: One Iemt-size maw. .. 1% cublc fecit One legal-size d_ .. 2 cubic feet FU1ntc:aan: One 3- by 5-inch case .. 1/10 cubic foot One .... by &-inch case .. 1/4 cublc foot One ~ by 8-indl case .. 1/4 cublc foot SMlfflla: LetIer-size. 1 linear foot .. 415 cubic foot Legal-size, 1 linear foot .. 1 cubic foot Tebullltlng cards: , 0,000 cards .. , cubic foot Magnlltlc: lllpe: Seven reels .. 1 cubic foot • "Magnetic TallO" includas a11l11pa on which dIII8 are recorded • pan of an automated dIII8 processlng or infotmation~I system. Audio recordings of music, speeches. etc. are noI ~ dudad In Itum 7. TABLE OF EQUIVALENTS For !he purpose of Ihls report. volume may be calculatud acc0rd­ ing to the following table of cubic foot equivalents: INSTRUCTIONS FOR PREPARING.l'.EeO~T DEFlNmONS lComlnuedl PROCESSEO DOCUMENTS le.g.,1locb of photacopied reponsl, AND OTHER NONRECORO MATERIALS. • "SllIging, Holding or Other Temporary Storage Ateas" includes areas formally designated lOt staging and holding putposes, es well. all otller storage areas. exCEPT current file rooms and of· fices; GSA-approved. DOE- or DOE·Conl1aclOt-operj1ud records centers: and Fed8fll1 Records Centers. -----_._- ----~---- A tranSrniftal Ielter is not required lOt lhlI report. Records to be included In !tie to1III YOIumo should COI1IlllW: 1. All DOE and OOE-ContraclOt recorda; 2. R~ hellillOt GAO audit and 3. Official PerMwleI Folders lroccnls of !he 0ffIc:e of ,....,. neI Managetnan1I in DOE CUItody. GENERAL This repon is raqWed by DOE 1324.2, Roccnls 0isp0siIi0n. wlIidl implemema !he requirementI of GSA RegullUons FPMR 101·11.102·7. An ilMllltOlY ofa- documents ahaIl NOT be taken lor !he put. pose of cornplellng lhlI iIem. DEFlNmONS • "DOE" volume includlls Headquanera and fleld offices. but ex' dudes GSA-approyed. OOE-opetllted roccnls centeIW (not to be confused wilt! Iocalllllglng, holding or oIher IlImporary storage areas which uelncludedl.

• "ConInIc:tor" YOIumo lncIud. operating and onsiIIIl8IVice con­ l1aclOtI • defined In DOE 1324.2, PI90I V-1 and V,2. but ex· clud. GSA-approved, DOEoCcntrector-oll8fated records centllra operaIing In ac:cetdance wiItl FPMR 101·11.412. • "Records" incIudeI all boolc8. papin, maps, photogr8l)tls. machine reedable IlIOOtdI. or oIher documenIIIIY matarials,. regardl_ of physical form or chatactllristlCll, made or received· by an agency of the Unltad SI8IllS Govemment under Federal law or In COI.18CtIon wIIh !he tranECtlon of public busirwa and praservad or appropriate for pr-aon by dial agency or ill legitimate~ • evidence of !he organizlnIon. funcIionI, policies, deciIiona. procedures. operations or oIher activities of !he Government or because of the InfonnnonaI value of data In them. lT1Iis defInllIon perraIna to roccnls cnIItad or raceived by Federal egenclas. The basic: elements of !he definition may be applied to recotdI dlspositlon acIiIIitI8I by 0lItlIracl0tL 'That is, lOt "FaderalIaw," conttaetots may substhuto "ptCYialona.of!he oontraet." and lOt "lJInS8Ction of public buslneas," IUbsIituI8 H~ 1nII'-:1iol. under the oontraet." ""-d rnsIlIriaIa" are IMM cIaaM of documanIIIty rnateriallI which may be disposed of only .. atdlIvaIlGSAlNAASl authority Is~ ad. "Nonrac:ord maleriala" Include ttIose=-of documentary or oIher material which may be disposed of wiIhouI atehlval authOtlIy, i.e., disposable by agency authority alone. ISee DOE 1324.2, page ~3 for examples of nonrecord materiaL! For !he put­ poses of this report. DO NOT REPORT UBRARY SOOKS, BULl< STOCKS OF PUBUCATIONS, BLANK FORMS. STOCKS OF INo volume should be included lOt DOE roccnls centeIW operating wilt! the speclfic apPlCMI1 of GSA In accordance wilt! the raquiremen1l of FPMR 101-11.412. This data should be fe1lOtted separately on Sl8ndard Form 137. Agency Recorell Center AMuaI Report, per FPMR 101·11.412....1 Volume reponed IhouId include record mlIIIIriaI onlY. ISee DefiniIions below lOt oxcluded rnatIriaIJ Custody rather than ownership Is !tie dlllemlinlng faclOt In reponing roccnls In !tie "DOE" or "ConIractoI" columns. DOCUMENTS CLASSIFIED SECRET l!tlm IJ The lIItimatlI of lhlI number may be baed upon: - A r._.l8live sampling of holdingI; - Available document accounlllbilily recorda; - 0Ihef methods which would procNce a eccurate estlmata. ~ __.__!__ .L L ---.--.J.- r r OIIl<CTlVE TYPI'IIG (;I}lDE EVE'll PAGE . . 1\ttachrnent 1 I P~e--2L.----- T~(Pf ~D[".IT;r_lcAr!u·. ~ ... ,_J_ ~):. TOP L'~"~ Ar~:J iJAf£ ,:"~,,, 1"4l--XT 1...1-.£ r ...... ------ r ----.----,-- DOE 1324.2 Chg.. 1-1 _l:,~~~L __ r r INSTRUCTIONS FOR PREPARING.~.EeO~T GENERAL This repon is requited by DOE 1324.2, RoccnIs 0isp0siIi0n. which implemema !he requirementI of GSA RegullUons FPMR 101·11.102·7. A tranSmitlal leiter il not requinld fof IhII report. Records to be included In !he to1III YOIumo IhouId COITIIlIW: 1. All DOE and DOE-Contrac:tDf recorda; 2. R~'" fof GAO audit and 3. 0ftIcieI PerMwIeI Folders (reccrdI of !he 0ffIc:e of ,...,. neI Managetnen1I in DOE CUItDdy. (No YOIume should be included fof DOE records cent8IW operating wiIh tha IICMIClfic approwl of GSA In accordance wiIh the requireman1l of FPMR 101-11.412. This data should be ~ separately on Standard Form 137. Agency Records Canter AMuaI Rapon, per FPMR 101·11.412-4.1 Volume reponed should include record mIIIIIriaI onIv. ISea DefiniIions below fof oxcIuded matIriaIJ

CUItDdy nnhar than ownorshIp II !he dlllemlining factDf In raponing records In !he "DOE" or "ConIracto(' columns. DOCUMENTS CLASSIFIED SECRET (!tim IJ 'The IIItirnate of IhII number may be baed upon: - A r.lISeI.talive sampling of holdings; - Available documanIllccounlllbilily records: - 0Ihaf mathod. which would procNce a ~bIy accurate estimate. An inventolY of a- documents ahaIl NOT be taken fof IN pur­ pose of compleling IhII item. DEFlNmONS • "DOE" YOIume lncIudai HIIIIdquarteIw and flaId offic:es. bin ex­ dudes GSA-aplllQved. DOE-opatsted reccrdI cent8IW (not to be confu&acl wiIh Ioc:aIlIIging, holding or other temporary SIorIIge areas which ... Includedl_ • "Comrac:tor" YOIumo lncIudas operating and onsiIIIleIVice con­ IrIICtorI III dafined In DOE 1324.2, pagoI V·l and V-2. bin ex· dudlll GSA-apllfCMld, DOE-ccntraclOr-owated ,acordl cenun openning In ICCCItdance wittI FPMR 101·11.412. • "Records" inc:IudeI all IIoob. papin, mapa, photDgrll1)t\l. machine reedabll racordI. or other documat'IIIIIV maI8rialI,. ragardl_ of physical form or chatac1erist1C1, made or received· by an agency of the United Slatas Government under Federal law or In COl .18dion wIIh !he 1ranECtIon of public bulirwa and IIf1I$IIIVIId or appropriate for prasmvetIon by IN! aganc:y or ita legitimate ~ III evIdance of IN organizlnIon. funcIionI, poIic:ias, daciIionI. procedures. operationa or other ec:tivi1ia of IN Govemment or because of the infonnnonaI value of data In !ham. IT1IiI dIIfIniIIon perraIna to reccrdI cnIIted or rac:aived by Federal egenciIII. 'The billie: ellIfIMItitI of !he daflnitlon may be applied to IOCOfdI dllposition aclivitllII by c:ontractorL That is, fof "FaderalIaw," comractors may IUbItituto "ptCYIaiona.of!he contract." and fof "1JInUCtion of public buIinasI," IUbsIituI8 H~ 1nII'-:1ioI. under the contract." ""-d msI8riaIa" ora IMM cIaaM of documanIIIry matIIriaIII which may be disposed of onIv .tI8r atchIvIIIlGSAlNAASl authority II ~ ed. "Nonracord materiala" include tfIose =-of documantIIry or other material which may be dllpoaed of wiIhouI archlval authorIIy, i.e., disposable by agency authority eIona.(Sea DOE 1324.2, page ~3 for examples of nonracord metariaLl For the put­ posIII of this report, DO NOT REPORT UBRARY SOOKS, BULl< STOCKS OF PUBUCATIONS, BLANK FORMS. STOCKS OF Vertical line denotes change. ~ __ . __ ! __ _ L ____ L ___ ---.--..L. ------.-- ----~---- DEFlNmONS (Comlnuedl PROCESSED DOCUMENTS le.g •• 1IOCb of photacopied reponsI. AND OTHER NONRECORO MATERIALS. • "Sl8ging, Holding or Other Temporary SIOfIIgII Areas" Includes areas fofmally designated fof ataging and holding purposes, es well as all odlet storege are .. EXCEPT currant file rooms and of­ ficas; GSA-approvecl. DOE- or DOE-Conl1ac:tot-operjtad records centers; and Fedoral Records Centers. • "Magnetic Tapo" includes alllllpes on which data .. racordad III part of an automated data processing or infotmation ~I system. Audio recordings of music. spaeches. atc. me no! ~ duded in Item 7. TABLE OF EQUIVALENTS For IN PUfllOSll of Ihll report, volume may be calculatad acc0rd­ ing to the following table of cubic fool equivalan1s: FII1ng cablneta: Dna 1Imt-sizll en- - 1 % cubic feet One legal-size d_ - 2 cubic faat FII1ntc:aan: Dna 3- by 5-inch caae - 1110 cubic fool Dna .... by &-inch caae - 1/4 cubic fool Dna ~ by 8-indI CIII8 - 1/4 cubic foot SMlfflla: Leftet-sizll, 1 linear fool .. 415 cubic fool Legal-size, 1 linear foot .. 1 cubic foot

Tabullnlng card.: 10,000 cards .. 1 cubic fool Mqne1ic: tZlpe: Seven teals .. 1 cubic fool MIc:rofIlm: 100 16mm reels 1100 feed .. 1 cubic foot 50 35mm reels 1100 feet! .. 1 cubic foot OutsIzed equipment: Inside cubic meauremanl StiD pfcbua: Negatlva 2300 35mm 6 exposure strips ... 1 cubic foot 8840 2· by 2-1nch mounted lIidIII ... 1 cubic fool 2184 .... by ~Inch film shaatII .. 1 cubic foot 5960 2~· by 3%-inch film sheets .. 1 cubic fool Prfntil 1 bic foot 2350 8- by 1o-inch glossies or conlllCt sheets.. cu 94QO .... by ~inch glossies .. 1 cubic fool Motion pfc:1Ufa: Six 35mm reel. 11 000 feed .. 1 cubic fool 11 16mm reels 11200 feat! .. 1 cubic foot 15 16mm reels (BOO feet! .. 1 cubic foot 32 16mm reels (400 feet! .. 1 cubic fool Sound reconflnp: 76 1&-inch disc rec:onfmgs - 1 cubic fool 144 12-inch disc recordings - 1 cubic foot 48 7-inch audiotape reels .. 1 cubic fool 16 1 Q.indi audiotape teals ... 1 cubic foot VIdeo rec:ordlnp: Ten %-inch cassatt" .. 1 cubic 'oot Three 2-inch reels - 1 cubic foot Nine l-inch reats - 1 cubic foot 43 ~ -inch reels - 1 cubic fool OIH<CTlVE TYPI'IIG (;I}IDE EVE'll PAGE , ----- \ /' ". No. of CUtlIC "'_t l"Of R_dlHotll'"' AI.. Utet DOE JOB NUMBER ent , £Val., Br. FRC LOCATION DOE LOCATION u.s. DEPARTMENT Df ENERGY RECORDS TRANSfER NOTE I Aceesa to II.'" .-cll k 'etlrlded to pertorulet 0' 'M ....&utlon Inh..tane 1M II.,.,... AclIlIlUo,..' .etl.Iet."" If CSMIrId. tIlOutll .. Dy MlIMatli _aMu"," . fftlders on DOE Records DisDOsition Order .... A_d. 4.INYENTORY CGive complete kl'orrnat*, for eIdt it.... 1..1 ..lIlIPOSI11lIINca....... .......AnI ...-........... FOLDER OR ITEM TITLE I~DatelO1l CI..IlUfPtCAnow. .. DISPOSAL c..AETVlTIOH -0...0. AecGr. (MO. Yr.J AUTHORITY PERIOD Background files for DOE Order 1324 dated 10-22-7g 10/77 ONCL ERS .L6, 10 year thru la(1) (c) DOE Records Schedules fo.Lders 1-26 10/79 Contractor Records Schedules folders 1-26 .. MAY lMESE RECORDl8E DESTROYED AS SCHEDULED WITHOUT FURTHER DIVISION Oft OFFICE CONCURRENCE' iii YES DAft IUQIIU FOA IFOR RECORDS HOLDING AReA USCt lIntancNT TO PRe. OATIE TRANSFERRED TO PRC M .... au".l.£ ..0. DDTRUCTlOH. DATE DaT.Oym B . ",_A_d. .... lnfAni ... "."0.. u.s. DEPARTMENT Df ENERGY RECORDS TRANSfER \ /' ". NOTE. Aceesa to ta .... ~cli k f.arlded to peflOftNt 0' 'M .... &utlon Inh .. t"" 1M ".,.,... AcIIdlUo ... ' ,.arid."" If cSMIrld. tIIOutll .. Dy MOttatli _anllum, DOE LOCATION '''Of R_dl Hotll'"' AI .. Ute, DOE JOB NUMBER FRC LOCATION stems Develo ent' £Val., Br. No. of CUDIC F .. t folders on DOE Records Disposition Order 4.INYENTORY CGive complete kltonnat*, for eIdt it ...... 1 .. 1 I.lIIII'OSI11ONca_ ..... ...-......... FOLDER OR ITEM TITLE I~DateiOil Cl..lliUfPtCAnow. .. DISPOSAL t..AETVlTIOH AecGr. (MO. ~., AUTHOR lTV PERIOD Background files for DOE Order 1324 dated 10-22-7g 10/77 ONCL ERS 16, 10 year thru la(l) (c) DOE Records Schedules fOlders 1-26 10/79 Contractor Records Schedules folders 1-26 .. MAY lMESE RECORDS8! DESTROYED AS SCHEDULED WITHOUT FURTHER DIVISION Oft OFFICE CONCURRENCE' iii YES B DOE 1324.2 5-28-80 TABLE OF CONTENTS CHAPTER I - DEFINITIONS......................................... I-I CHAPTER II - BASIC REqUIREMENTS •••••••••••••••••••••••••••••••••• 11-1 1. General •••••••••••••••••••••••••••••••••••••••••••••••••••• 11-1 2. Accomplishment of Objectives............................... 11-1 3. Need for Records Disposition Program....................... 11-1 4. Immediate Goals and Objectives............................. 11-2 5. Reporting Requirements..................................... 11-2

CHAPTER III - IMPLEMENTATION OF THE RECORDS DISPOSITION PROGRAM••• 111-1 1. Procedures, Standards and Guidelines ••••••••••••••••••••••• 111-1 2. Scheduling and Disposition••••••••••••••••••••••••••••••••• 111-1 3. Retirement, Storage, and Transfer•••••••••••••••••••••••••• 111-1 4. Records Retention Standards •••••••••••••••••••••••••••••••• 111-1 5. Restrictions Affecting the Disposal of Records ••••••••••••• 111-2 6. Security Requirements •••••••••••••••••••••••••••••••••••••• 111-5 7. Personal Papers •••••••••••••••••••••••••••••••••••••••••••• 111-5 8. Summary of Procedures for Preparing and Applying Records Inventory and Disposition Schedules................... 111-5 9. Preparation and Application of Records Inventory and Disposition Schedules........................... ••••••••• 111-7 10. Application of Retention Periods ••••••••••••••••••••••••••• 111-16 11. Appraisal - Development of New Standards ••••••••••••••••••• 111-17 12. Retention Periods •••••••••••••••••••••••••••••••••••••••••• 111-21 13. Permanent Records •••••••••••••••••••••••••••••••••••••••••• 111-23 14. Disposal of Discontinued Files ••••••••••••••••••••••••••••• 111-24 15. Automatic Data Processing (ADP) Machine Readable Records ••• 111-24 16. Microfilm Projects ••••••••••••••••••••••••••••••••••••••••• 111-24 17. Disposal of Secret Documents ••••••••••••••••••••••••••••••• 111-25 18. Retirement Standards ••••••••••••••••••••••••••••••••••••••• 111-26 19. Records Storage.~ •••••••••••••••••••••••••••••••••••••••••• 111-29 20. Transfers of Records ••••••••••••••••••••••••••••••••••••••• 111-32 21. Maintaining Program Effectiveness •••••••••••••••••••••••••• 111-36 Attachment 111-1 DOE Form AO-384, Records Inventory and Disposition Schedule......... 1 i ~ \ DOE 1324.2 5-28-80 TABLE OF CONTENTS CHAPTER I - DEFINITIONS......................................... I-I CHAPTER II - BASIC REqUIREMENTS •••••••••••••••••••••••••••••••••• 11-1 1. General •••••••••••••••••••••••••••••••••••••••••••••••••••• 11-1 2. Accomplishment of Objectives............................... 11-1 3. Need for Records Disposition Program....................... 11-1 4. Immediate Goals and Objectives............................. 11-2 5. Reporting Requirements..................................... 11-2 CHAPTER III - IMPLEMENTATION OF THE RECORDS DISPOSITION PROGRAM ••• 111-1 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. Procedures, Standards and Guidelines ••••••••••••••••••••••• 111-1 Scheduling and Disposition ••••••••••••••••••••••••••••••••• 111-1 Retirement, Storage, and Transfer •••••••••••••••••••••••••• 111-1 Records Retention Standards •••••••••••••••••••••••••••••••• 111-1 Restrictions Affecting the Disposal of Records ••••••••••••• 111-2 Security Requirements •••••••••••••••••••••••••••••••••••••• 111-5 Personal Papers •••••••••••••••••••••••••••••••••••••••••••• 111-5 Summary of Procedures for Preparing and Applying Records Inventory and Disposition Schedules................... 111-5 Preparation and Application of Records Inventory and Disposition Schedules........................... • •••••••• 111-7 Application of Retention Periods ••••••••••••••••••••••••••• 111-16 Appraisal - Development of New Standards ••••••••••••••••••• 111-17 Retention Periods •••••••••••••••••••••••••••••••••••••••••• 111-21 Permanent Records •••••••••••••••••••••••••••••••••••••••••• 111-23 Disposal of Discontinued Files ••••••••••••••••••••••••••••• 111-24 Automatic Data Processing (ADP) Machine Readable Records ••• 111-24 Microfilm Projects ••••••••••••••••••••••••••••••••••••••••• 111-24 Disposal of Secret Documents ••••••••••••••••••••••••••••••• 111-25 Retirement Standards ••••••••••••••••••••••••••••••••••••••• 111-26 Records Storage •• ".......................................... I I 1-29 Transfers of Records ••••••••••••••••••••••••••••••••••••••• 111-32 Maintaining Program Effectiveness •••••••••••••••••••••••••• 111-36

Attachment 111-1 DOE Form AO-384, Records Inventory and Disposition Schedule......... 1 i ii DOE 1324.2 5-28-80 Attachment 111-2 DOE Form AD-331, Records Retention and Disposal Authorization................ 1 Attachment 111-3 Standard Form 135, Records Transmittal and Receipt.................... 1 CHAPTER IV - RETENTION OF DOE RECORDS•••••••••••••••••••••••••••• IV-l 1. DOE Records Schedules (ERS) •••••••••••••••••••••••••••••••• IV-I 2. Need For New Standards ••••••••••••••••••••••••••••••••••••• IV-l Attachment IV-l - DOE Records Schedules.................. 1 CHAPTER V - RETENTION OF CONTRACTOR RECORDS..................... V-I 1. Contractor Records Schedules (CRS) ••••••••••••••••••••••••• V-I 2. Authorization to Use Contractor Records Schedules.......................................... V-I 3. Need for New Standards ••••••••••••••••••••••••••••••••••••• V-2 Attachment V-I - Contractor Records Schedules............ 1 ii DOE 1324.2 5-28-80 Attachment 111-2 DOE Form AD-331, Records Retention and Disposal Authorization................ 1 Attachment 111-3 Standard Form 135, Records Transmittal and Receipt.................... 1 CHAPTER IV - RETENTION OF DOE RECORDS •••••••••••••••••••••••••••• IV-l 1. DOE Records Schedules (ERS) •••••••••••••••••••••••••••••••• IV-I 2. Need For New Standards ••••••••••••••••••••••••••••••••••••• IV-l Attachment IV-l - DOE Records Schedules.................. 1 CHAPTER V - RETENTION OF CONTRACTOR RECORDS..................... V-I 1. Contractor Records Schedules (CRS) ••••••••••••••••••••••••• V-I 2. Authorization to Use Contractor Records Schedules.......................................... V-I 3. Need for New Standards ••••••••••••••••••••••••••••••••••••• V-2 Attachment V-I - Contractor Records Schedules............ 1 DOE 1324.2 5-28-80 CHAPTER I DEFINITIONS 1-1 1. ACCOUNTABLE OFFICERS ACCOUNTS. Specific documents prepared by accountable officers and required by GAo to be maintained for audit. Also known as site audit records. 2. APPRAISAL. The process of determining the value, and thus the disposition, of records based upon their administrative and other uses, their eVidential, informational, or research value, their arrangement, and their relationship to other records. 3. AUTOMATIC DATA PROCESSING (ADP) RECORDS. See Machine-Readable Records. 4. CLASSIFIED INFORMATION. Records or infonmation requiring, in the interests of national security or for the protection of individuals, safeguards against unauthorized disclosure. 5. COMPREHENSIVE RECORDS DISPOSITION SCHEDULE. A listing of the filing units and general files of an organization setting forth their mandatory disposition in tenms of retirement, disposal, or transfer to storage after specified reten­ tion periods. The schedule includes all file material whether record or non­ record and whether classified or unclassified. It includes records designated for penmanent retention as well as those scheduled for disposal. DOE compre­ hensive records disposition schedules are called Records Inventory and Disposi­ tion Schedul~s (RIDS). (Also see paragraph 10, lIDisposition,lI below.) 6. CORRESPONDENCE FILE, GENERAL SUBJECT. Acollection of documents not possessing the unifonm characteristics found in a filing unit, arranged by subject, and covering a variety of types of transactions. Some of the component segments of a general subject correspondence file may be filing units such as a folder of monthly activity reports, or a subject file classifi­ cation consisting of travel vouchers.

7. CURRENT FILES AREA. The office or laboratory space used for the maintenance of current records. 8. CURRENT RECORDS. Files referred to frequently in the conduct of current business and maintained in office space of the using organization. 9. DISPOSAL. The physical destruction of records. 10. DISPOSITION. The actions taken with regard to records follOWing their appraisal. The actions include transfer to a Federal Records Center or local storage area for temporary storage, transfer to an archival facility, / DOE 1324.2 5-28-80 CHAPTER I DEFINITIONS 1-1 1. ACCOUNTABLE OFFICERS ACCOUNTS. Specific documents prepared by accountable officers and required by GAo to be maintained for audit. Also known as site audit records. 2. APPRAISAL. The process of determining the value, and thus the disposition, of records based upon their administrative and other uses, their evidential, informational, or research value, their arrangement, and their relationship to other records. 3. AUTOMATIC DATA PROCESSING (ADP) RECORDS. See Machine-Readable Records. 4. CLASSIFIED INFORMATION. Records or infonmation requiring, in the interests of national security or for the protection of individuals, safeguards against unauthorized disclosure. 5. COMPREHENSIVE RECORDS DISPOSITION SCHEDULE. A listing of the filing units and general files of an organization setting forth their mandatory disposition in tenms of retirement, disposal, or transfer to storage after specified reten­ tion periods. The schedule includes all file material whether record or non­ record and whether classified or unclassified. It includes records designated for penmanent retention as well as those scheduled for disposal. DOE compre­ hensive records disposition schedules are called Records Inventory and Disposi­ tion Schedul~s (RIDS). (Also see paragraph 10, IIDisposition,1I below.) 6. CORRESPONDENCE FILE, GENERAL SUBJECT. A collection of documents not possessing the unifonm characteristics found in a filing unit, arranged by subject, and covering a variety of types of transactions. Some of the component segments of a general subject correspondence file may be filing units such as a folder of monthly activity reports, or a subject file classifi­ cation consisting of travel vouchers. 7. CURRENT FILES AREA. The office or laboratory space used for the maintenance of current records. 8. CURRENT RECORDS. Files referred to frequently in the conduct of current business and maintained in office space of the using organization. 9. DISPOSAL. The physical destruction of records. 10. DISPOSITION. The actions taken with regard to records following their appraisal. The actions include transfer to a Federal Records Center or local storage area for temporary storage, transfer to an archival facility, / 1-2 DOE 1324.2 5..28..80 microfilming, destruction, disposal, or retirement. It may include two or ,~ more of these actions such as retirement to storage after 1 year and destruc-·~ ; tion after 6 years. The term includes, but is not synonymous with, disposal. 15. 11. DISPOSITION SCHEDULE. A document governing, on a continuing basis, the mandatory disposition of filing units and correspondence files of an organiza­ tion. Also known as a Records Inventory and Disposition Schedule (RIDS). (See also paragraph 5, Comprehensive Records Disposition Schedule.) 12. FEDERAL RECORDS CENTER FRC. A records storage facility operated by the Nationa Arc ives and Records Service, GSA, for housing and servicing noncurrent records. (See page 111-29, paragraph 19a, for more detailed informat ion.)

13 FILE CUTOFF. Termination of a file at periodic intervals to facilitate continuous disposal of the filing units in complete blocks. Sometimes called IIfile break. 1I 14. FILE ITEM. A single document or case file of a filing unit or general file. It may be an item of correspondence, a report, a completed form, a map, a drawing, or a bound volume. It may also be a case file such as a voucher with attached supporting papers, or a personal history folder with included papers relating to an employee. FILING UNIT. A series of identical or equivalent file items characterized by a consistent method of assembly and handling, a common arrangement of the component items, and uniform as to subject, type of information recorded, or kinds of transactions reflected. A filing unit may also include related elements physically separated from it such as finding aids or bulky material. Examples of filing units made up of uniform file items are contained on page 111-8, paragraph 9a(4). / 16. of 17. LOW COST STORAGE. Records storage facilities utilizing steel shelving. Also called records holding areas and Federal Records Centers. 18. MACHINE-READABLE RECORDS. Machine-readable records are records that require machine processing and decoding for conversion to human readable information. Examples of machine readable records include magnetic tape, disk packs, tabulating cards, punched cards, paper tape, or drums. 19. NATIONAL ARCHIVES AND RECORDS SERVICE ~. NARS is an organization in the U.S. General Services Administration with responsibility for the manage­ ment and quality of records created by the Federal Government. To accomplish 1-2 DOE 1324.2 5 .. 28 .. 80 microfilming, destruction, disposal, or retirement. It may include two or ,~ more of these actions such as retirement to storage after 1 year and destruc--"<., ; tion after 6 years. The term includes, but is not synonymous with, disposal. 11. DISPOSITION SCHEDULE. A document governing, on a continuing basis, the mandatory dispOSition of filing units and correspondence files of an organiza­ tion. Also known as a Records Inventory and Disposition Schedule (RIDS). (See also paragraph 5, Comprehensive Records Disposition Schedule.) 12. FEDERAL RECORDS CENTER FRC. A records storage facility operated by the Nationa Arc ives and Records Service, GSA, for housing and servicing noncurrent records. (See page 111-29, paragraph 19a, for more detailed informat ion.) 13 FILE CUTOFF. Termination of a file at periodiC intervals to facilitate continuous disposal of the filing units in complete blocks. Sometimes called "file break." 14. FILE ITEM. A Single document or case file of a filing unit or general file. 15. 16. It may be an item of correspondence, a report, a completed form, a map, a drawing, or a bound volume. It may also be a case file such as a voucher with attached supporting papers, or a personal history folder with included papers relating to an employee. FILING UNIT. A series of identical or equivalent file items characterized by a consistent method of assembly and handling, a common arrangement of the component items, and uniform as to subject, type of information recorded, or kinds of transactions reflected. A filing unit may also include related elements physically separated from it such as finding aids or bulky material.. Examples of filing units made up of uniform file items are contained on page 111-8, paragraph 9a(4). of

17. LOW COST STORAGE. Records storage facilities utilizing steel shelving. Also called records holding areas and Federal Records Centers. 18. MACHINE-READABLE RECORDS. Machine-readable records are records that require machine processing and decoding for conversion to human readable information. Examples of machine readable records include magnetic tape, disk packs, tabulating cards, punched cards, paper tape, or drums. 19. NATIONAL ARCHIVES AND RECORDS SERVICE (NARS). NARS is an organization in the U.S. General Services Administration with responsibility for the manage­ ment and quality of records created by the Federal Government. To accomplish / DOE 1324.2 5-28-80 1-3 its responsibilities, NARS issues Federal Property Management Regulations, maintains liaison with Federal agencies, and administers: Federal Records Centers, The National Archives, and Presidential Libraries. 20. NONRECORD MATERIAL. Extra copies of printed or processed material, official copies of which have been retained for record purposes. Superseded manuals or other directives maintained outside the office that is responsible for directives management. Materials documenting such fringe activities as employee welfare activities and charitable fund drives. Reading file copies of correspondence. Tickler followup or suspense copies of correspondence. Duplicate copies of all documents maintained in the same file. (1) Nonrecord material includes those classes of documentary or other material which may be disposed of without archival authority. In the statutory definition of record material it is stated that: 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. (2) On page 2 of the NARS Records Management Handbook, "Disposition of Federal Records," the designation "nonrecord" is given to the following material: Information copies of correspondence on which no documented administrative action is taken. (a) (b) r::": (c) ( d) (e) ( f) ( g) (h) Routing slips. (i) Working papers. (j) Drafts of reports and correspondence. (k) Transmittal sheets. (j) Drafts of reports and correspondence. (k) Transmittal sheets. -. ~. ::": r -. ~. DOE 1324.2 5-28-80 1-3 its responsibilities, NARS issues Federal Property Management Regulations, maintains liaison with Federal agencies, and administers: Federal Records Centers, The National Archives, and Presidential Libraries. 20. NON RECORD MATERIAL. (1) Nonrecord material includes those classes of documentary or other material which may be disposed of without archival authority. In the statutory definition of record material it is stated that: 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. (2) On page 2 of the NARS Records Management Handbook, "Disposition of Federal Records," the designation "nonrecord" is given to the following material: (a) (b) (c) ( d) (e) ( f) ( g) (h) (n (j) (k) (j) (k) Information copies of correspondence on which no documented administrative action is taken. Materials documenting such fringe activities as employee welfare activities and charitable fund drives. Reading file copies of correspondence.

Tickler followup or suspense copies of correspondence. Duplicate copies of all documents maintained in the same file. Extra copies of printed or processed material, official copies of which have been retained for record purposes. Superseded manuals or other directives maintained outside the office that is responsible for directives management. Routing slips. Work; ng papers. Drafts of reports and correspondence. Transmittal sheets. Drafts of reports and correspondence. Transmittal sheets. 1-4 DOE 1324.2 5-28-80 (1) Blank forms. (m) Transcribed stenographic material. (n) Processed or published material received from other activities or offices, and which requires no action and is not required for any kind of documentation (the originating office or activity is required to maintain record copies). (0) Catalogs, trade journals, and other publications or papers that are received from Government agencies, commercial firms, or private institutions, and which require no action and are not part of a case upon which action is taken. (p) Correspondence and other records of short term value that, after action has been completed, have neither evidential nor informa­ tional value, such as requests for publications, and communications on hotel reservations. (q) Reproduction materials such as stencils and offset masters. (r) Physical exhibits, artifacts, and material lacking documentary val ue. :~4 21. OPERATING AND ONSITE SERVICE CONTRACTORS. (See page V-I, paragraph 2.) 22. PERMANENT RECORDS. Records that have been determined by the Archivist of the United States to have sufficient historical or other value to warrant their continued preservation by the Government. Such determinations are reflected in DOE and contractor records schedules and in approved offers to transfer records to the National Archives. Permanent records are offered to the National Archives when they are 25 years old, or in some cases before they are 25 years old. 23. PERSONAL PAPERS. Papers. (records) of a private or nonofficial character which pertain only to an individual's personal affairs and are kept in the office of a DOE or contractor official. They must-be clearly designated by the official as nonofficial and will at all times be filed separately from official records. 24. RECORD MATERIAL. a. Those classes of documentary materials which may be disposed of only after archival authority is obtained. The statutory definition of "records" (44 U.S.C. 3301) is " ••• 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 1-4 (1) Blank forms. (m) Transcribed stenographic material. DOE 1324.2 5-28-80 (n) Processed or published material received from other activities or offices, and which requires no action and is not required for any kind of documentation (the originating office or activity is required to maintain record copies). (0) Catalogs, trade journals, and other publications or papers that are received from Government agencies, commercial firms, or private institutions, and which require no action and are not part of a case upon which action is taken. (p) Correspondence and other records of short term value that, after action has been completed, have neither evidential nor informa­ tional value, such as requests for puhlications, and communications on hotel reservations.

(q) Reproduction materials such as stencils and offset masters. (r) Physical exhibits, artifacts, and material lacking documentary val ue. 21. OPERATING AND ONSITE SERVICE CONTRACTORS. (See page V-I, paragraph 2.) 22. PERMANENT RECORDS. Records that have been determined by the Archivist of the United States to have sufficient historical or other value to warrant their continued preservation by the Government. Such determinations are reflected in DOE and contractor records schedules and in approved offers to transfer records to the National Archives. Permanent records are offered to the National Archives when they are 25 years old, or in some cases before they are 25 years old. 23. PERSONAL PAPERS. Papers. (records) of a private or nonofficial character which pertain only to an individual's personal affairs and are kept in the office of a DOE or contractor official. They must-be clearly designated by the official as nonofficial and will at all times be filed separately from official records. 24. RECORD MATERIAL. a. Those classes of documentary materials which may be disposed of only after archival authority is obtained. The statutory definition of urecords" (44 U.S.C. 3301) is n ••• books, papers, maps, photographs, machine-readahle 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 :~4 DOE 1324.2 5-28-80 1-5 b. 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 acti­ vities of the Government or because of the informational value of the data in them. 1I This statutory definition pertains to records created or received by Federal agencies. The basic elements of this definition, however, may be applied to records disposition activities by contractors. The elements that are essential in materials to make them records are stated in the above definition in two alternatives: (1) The material may be made or received by an agency either in pursuance of Federal law or in connection with the transaction of public business. (2) The material may be preserved or appropriate for preservation either for evidentiary purposes or for the value of informational data it contains. I,~ - ( c. For II Federal lawu in the first alternative, contractors may substitute "provisions of the contractU and for IItransaction of public business," they may substitute "business transactions under the contract." The second alternative may be adapted to records disposition activities of the contractor without change of language. The evidence or information contained in records may pertain to the 1I0rganization, functions, policies, decisions, procedures, operations, or other activities. 1I Some evidence or information concerning these matters is contained in practi­ cally all records. The immediate or future reference needs shall be considered in deciding the relative importance of these evidentiary values. Identification of those records which contain sufficient evidence or information to justify continued preservation is a principal part of records disposition activities. 25. RECORDS HOLDING AREA. A local low-cost records storage facility, often staffed on a part-time basis, for the economical storage of noncurrent records pendi ng thei r di sposal or transfer to a. Federal Records Center.

26. RECORDS INVENTORY AND DISPOSITION SCHEDULE (RIDS). See Comprehensive Records Oisposition Schedule, above. 27. RECORDS MANAGEMENT. The planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposition. 28. RECORDS SCHEDULES. Records schedules contain approved records retention standards grouped together by common subject matter. (See retention standard, below. ) I,~ - ( DOE 1324.2 5-28-80 1-5 b. 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 acti­ vities of the Government or because of the informational value of the data in them. 1I This statutory definition pertains to records created or received by Federal agencies. The basic elements of this definition, however, may be applied to records disposition activities by contractors. The elements that are essential in materials to make them records are stated in the above definition in two alternatives: (1) The material may be made or received by an agency either in pursuance of Federal law or in connection with the transaction of public business. (2) The material may be preserved or appropriate for preservation either for evidentiary purposes or for the value of informational data it contains. c. For II Federal lawu in the first alternative, contractors may substitute "provisions of the contractU and for IItransaction of public business," they may substitute "business transactions under the contract." The second alternative may be adapted to records disposition activities of the contractor without change of language. The evidence or information contained in records may pertain to the lIorganization, functions, policies, decisions, procedures, operations, or other activities. 1I Some evidence or information concerning these matters is contained in practi­ cally all records. The immediate or future reference needs shall be considered in deciding the relative importance of these evidentiary values. Identification of those records which contain sufficient evidence or information to justify continued preservation is a principal part of records disposition activities. 25. RECORDS HOLDING AREA. A local low-cost records storage facility, often staffed on a part-time basis, for the economical storage of noncurrent records pendi ng thei r di sposal or transfer to a. Federal Records Center. 26. RECORDS INVENTORY AND DISPOSITION SCHEDULE (RIDS). See Comprehensive Records Oisposition Schedule, above. 27. RECORDS MANAGEMENT. The planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposition. 28. RECORDS SCHEDULES. Records schedules contain approved records retention standards grouped together by common subject matter. (See retention standard, below. ) 1-6 DOE 1324.2 5-28-80 29. RETAIN. A designation used when records must be held beyond their approved retention period for legal, research, patent, or other reasons. 30. RETENTION PERIOD. A retention period is the time period for particular records (normally a filing unit) to be kept. When the retention period requirement ~s met, unless there are restrictions (page 111-2 paragraph 5) the records are destroyed.

31. RETENTION STANDARD. A retention standard describes particular records (normally a filing unit). 32. RETIREMENT. The removal of records from office type space and equipment and transfer to low-cost storage space. 33. RETIREMENT PERIOD. The period of time established for a filing unit to be retained in a current file area after file cutoff, pending its transfer to a low-cost storage area. 34. TRANSFER. Change of custodial responsibility for records by removal or assignment to another DOE or contractor installation, a Federal Records Center, the National Archives, another Federal agency, or other outside recipient. 35. TRANSFER PERIOD. The period of time established for a filing unit to be retained in a local records holding area, before transferring it to a Federal Records Center. ~ 36. UNSCHEDULED RECORDS. Records for which no ultimate disposition has been established. 1-6 DOE 1324.2 5-28-80 29. RETAIN. A designation used when records must be held beyond their approved retention period for legal, research, patent, or other reasons. 30. RETENTION PERIOD. A retention period is the time period for particular records (normally a filing unit) to be kept. When the retention period requirement i.s met, unless there are restrictions (page III-2 paragraph 5) the records are destroyed. 31. RETENTION STANDARD. A retention standard describes particular records (normally a filing unit). 32. RETIREMENT. The removal of records from office type space and equipment and transfer to low-cost storage space. 33. RETIREMENT PERIOD. The period of time established for a filing unit to be retained in a current file area after file cutoff, pending its transfer to a low-cost storage area. 34. TRANSFER. Change of custodial responsibility for records by removal or assignment to another DOE or contractor installation, a Federal Records Center, the National Archives, another Federal agency, or other outside recipient. 35. TRANSFER PERIOD. The period of time established for a filing unit to be retained in a local records holding area, before transferring it to a Federal Records Center. ~ 36. UNSCHEDULED RECORDS. Records for which no ultimate disposition has been established. DOE 1324.2 5-28-80 II-I CHAPTER II BASIC REQUIREMENTS 1. GENERAL. This chapter outlines the basic requirements of the records disposition program of DOE and its operating and onsite service contractors. 2. ACCOMPLISHMENT OF OBJECTIVES. To accomplish the objectives of the records disposition program (page 2, paragraph 7), three program components have been adopted: a. The development and promulgation of records retention standards for records of DOE and its contractors. These standards are derived from: (1) Standards adapted for DOE use from General Records Schedules developed by the National Archives and Records Service (NARS), GSA. (2) Recommendations submitted by DOE organizations and contractors, which are concurred in by the responsible Headquarters program office, General Counsel, and, when appropriate, by the General Accounting Office. Final approval is obtained from NARS. (3) Standards developed by the Office of Organization and Management Systems staff which are also subject to the concurrence and approval routine described in paragraph 2a(2), above. b. The development and application of comprehensive records control schedules (called Records Inventory and Dispositon Schedules (RIDS» by organizational units of DOE and contractors. These schedules:

(1) Utilize the standards described in paragraph 2a, above. (2) Identify for preservation records of continuing value. (3) Establish retention periods for records of temporary value or nonrecord material. (40 Provide file custodians with instructions regarding file cutoff (breaks), retirement of records from office space to low-cost holding areas, and disposal or transfer to a Federal Records Center, as appropriate. c. The use of Federal Records Centers for housing and servicing the records retired under paragraph 2b(4), above, and the operation of records holding areas when operationally necessary and economically feasible. 3. NEED FOR RECORDS DISPOSITION PROGRAM. The need for a records disposition program is evidenced by the large volume of records generated and accumulated by DOE and its contractors. If all of these records are - -- ..-~ ,.. _-._ -..-_ _~~ _" .. -.--.. _. ----- .. ,- '.--'-'-' .---~ -..,-.----_ --.- -"'--...- ". . DOE 1324.2 5-28-80 CHAPTER II BASIC REQUIREMENTS 11-1 1. GENERAL. This chapter outlines the basic requirements of the records disposition program of DOE and its operating and onsite service contractors. 2. ACCOMPLISHMENT OF OBJECTIVES. To accomplish the objectives of the records disposition program (page 2, paragraph 7), three program components have been adopted: a. The development and promulgation of records retention standards for records of DOE and its contractors. These standards are derived from: (1) Standards adapted for DOE use from General Records Schedules developed by the National Archives and Records Service (NARS), GSA. (2) Recommendations submitted by DOE organizations and contractors, which are concurred in by the responsible Headquarters program office, General Counsel, and, when appropriate, by the General Accounting Office. Final approval is obtained from NARS. (3) Standards developed by the Office of Organization and Management Systems staff which are also subject to the concurrence and approval routine described in paragraph 2a(2), above. b. The development and application of comprehensive records control schedules (called Records Inventory and Dispositon Schedules (RIDS» by organizational units of DOE and contractors. These schedules: (1) Utilize the standards described in paragraph 2a, above. (2) Identify for preservation records of continuing value. (3) Establish retention periods for records of temporary value or nonrecord material. (40 Provide file custodians with instructions regarding file cutoff (breaks), retirement of records from office space to low-cost holding areas, and disposal or transfer to a Federal Records Center, as appropriate. c. The use of Federal Records Centers for housing and servicing the records retired under paragraph 2b(4), above, and the operation of records holding areas when operationally necessary and economically feasible. 3. NEED FOR RECORDS DISPOSITION PROGRAM. The need for a records disposition program is evidenced by the large volume of records generated and accumulated by DOE and its contractors. If all of these records are 11-2 DOE 132~~~ __ Chg,,-_l__ 7-2-81 -~-_._-~-------- r .~ -- ----!--~----_._--- ---~~._._----_._---_.~_.._---- retainedJ and !no disposition program is established, the cost of records maintenance wcluld be prohibitive and indefensible. The primary economic justification for the records disposition program is the cost avoidance that results from the selective retention and preservation of the small volume of records having a continuing value, and the systematic disposal of the greaten volume not warranting further retention.

4. IMMEDIATE GOALS AND OBJECTIVES. The immediate goals and objectives of the DOE records disposition program are: a. To keep the total volume of current records stable by disposing of or transferring to low-cost storage, as many records each year as is necessary to reduce the burden of maintaining files of nonessential records. . b. To maintain only the essential minimum number of secret documents required. c. To transfer to Federal Records Centers all noncurrent records that meet the criteria for transfer as prescribed in FPMR 101-11.410-2, and GSA Handbook "Federal Records Centers. II d. To control the machine-readable records inventory. Each of these 'goals can be obtained by the development and application of comprehensive records inventory and disposition schedules (RIDS) for all organizational elements of DOE and its contractors. This chapter has been prepared to assist in developing and applying RIDS. 5. REPORTING REQUIREMENTS. a. Headquarters organizations shall submit DOE F 1324.6, "Annual Report of Records Holdings," to the Office of Administrative Services by August 1 of each year. b. Field organizations shall submit to the Office of Organization and Managemen~ Systems, by September 1 of each year, DOE F 1324.6, "Annual Report of Records Holdings," (see attachment 1, page 1.) c. The Office of Administrative Services shall submit a consolidated Headquarters report to the Office of Organization and Management Systems by Septem~er 1 of each year. I I d. The Offic~ of Organization and Management Systems shall submit the "Annual Summary of Records Holdings" to NARS, as prescribed by FPMR 101-11.102-7, within 30 days following the close of each fiscal year.- ~ .- .~. ~ t .- _. -- .. _. -~ .. -' .. _. - --..ol- ! Vertical line denotes change. ____ 0_ ... _~ __ --L- t • ~ • T •• • _"_ ••• ._ DIRECTIVE TYPING GIJlDl fV" '. hH,E r 11-2 DOE 132~~~ __ Chg",-_l __ 7-2-81 ------~-------- .~ -- ----!--~-----.---- ---~~.-.------.-----.~-.. ----- retainedJ and !no disposition program is established, the cost of records maintenance wduld be prohibitive and indefensible. The primary economic justification .for the records disposition program is the cost avoidance that results from the selective retention and preservation of the small volume of records having a continuing value, and the systematic disposal of the greaten volume not warranting further retention. 4. IMMEDIATE GOALS AND OBJECTIVES. The immediate goals and objectives of the DOE records disposition program are: a. To keep the total volume of current records stable by disposing of or transferring to low-cost storage, as many records each year as is necessary to reduce the burden of maintaining files of nonessential records. . b. To maintain only the essential minimum number of secret documents required. c. To transfer to Federal Records Centers all noncurrent records that meet the criteria for transfer as prescribed in FPMR 101-11.410-2, and GSA Handbook "Federal Records Centers. II d. To control the machine-readable records inventory. Each of these 'goals can be obtained by the development and application of comprehensive records inventory and disposition schedules (RIDS) for all organizational elements of DOE and its contractors. This chapter has been prepared to assist in developing and applying RIDS. 5. REPORTING REQUIREMENTS. I a. Headquarters organizations shall submit DOE F 1324.6, "Annual Report of Records Holdings," to the Oft;ce of Administrative Services by August 1 of each year.

b. Field organizations shall submit to the Office of Organization and Managemen~ Systems, by September 1 of each year, DOE F 1324.6, "Annual Report of Records Holdings," (see attachment 1, page 1.) c. The Office of Administrative Services shall submit a consolidated Headquarters report to the Office of Organization and Management Systems by Septem~er 1 of each year. I d. The Offic~ of Organization and Management Systems shall submit the "Annual Summary of Records Holdings" to NARS, as prescribed by FPMR 101-11.102-7, within 30 days following the close of each fiscal year. - ~ -- .-. ~ t -- _. -- -- _. -- -- -- . - -- - -..oj- ! Vertical line denotes change. ____ 0 .... _~ __ --L- t _____ • _______ ~ ___ • ________ T ____ ~ _______ • _"_ ••• ____ ._ DIRECTIVE TYPING GIJIOl fV" '. hH,E r DOE 1324.2 5-28-80 111-1 CHAPTER III IMPLEMENTATION OF THE RECORDS DISPOSITION PROGRAM 1. THE PROCEDURES. STANDARDS. AND GUIDELINES. a. The procedures, standards, and guidelines used in the DOE records disposition program are contained in this chapter. Records retention standards for DOE records are contained in attachment 1 of chapter IV. Records retention standards for records generated by contractors are contained in attachment 1 of chapter V. b. Official records belong to the Government, not to individuals. They are in no sense personal property. Records can be legally disposed of only through the procedures of the records disposition program. The DOE and contractor records retention standards are the authorizations for the disposition of official records. Their application is mandatory. Records retention standards shall not be prescribed in any other DOE directive. 2. SCHEDULING AND DISPOSITION. DOE and its contractors develop and apply records inventory and disposition schedules (RIDS), providing for the periodic disposal and retirement of records in accordance with established time periods. Procedures and standards for the scheduling and disposition of records are summarized on page 111-6, paragraph 8, below. 3. RETIREMENT, STORAGE, AND TRANSFER. The Records Inventory and Disposition Schedules noted in paragraph 2, above, include timetables for the retirement of noncurrent records from office space and equipment to lower cost storage facilities. Procedures and standards concerning the retirement of records, their storage, and the transfer of records between DOE organizations and the transfer of records outside of DOE are described in paragraphs 18, 19, and 20, below. 4. RECORDS RETENTION STANDARDS. a. DOE develops and establishes records retention standards covering DOE and contractor records. In establishing such standards, disposal authoriza­ tions are obtained from the National Archives and Records Service, GSA, in accordance with 44 U.S.C. 3301 et ~. b. Records schedules, prescribing approved retention standards for DOE and contractor records, are published as attachments to chapters IV and V. Records in the custody of DOE and its contractors are covered by applicable records retention standards and, to the fullest extent practi­ cable, shall be disposed of upon the expiration of the stated retention periods. r DOE 1324.2 5-28-80 CHAPTER III 111-1 IMPLEMENTATION OF THE RECORDS DISPOSITION PROGRAM 1. THE PROCEDURES, STANDARDS, AND GUIDELINES. a. The procedures, standards, and guidelines used in the DOE records disposition program are contained in this chapter. Records retention standards for DOE records are contained in attachment 1 of chapter IV. Records retention standards for records generated by contractors are contained in attachment 1 of chapter V.

b. Official records belong to the Government, not to individuals. They are in no sense personal property. Records can be legally disposed of only through the procedures of the records disposition program. The DOE and contractor records retention standards are the authorizations for the disposition of official records. Their application is mandatory. Records retention standards shall not be prescribed in any other DOE directive. 2. SCHEDULING AND DISPOSITION. DOE and its contractors develop and apply records inventory and disposition schedules (RIDS), providing for the periodic disposal and retirement of records in accordance with established time periods. Procedures and standards for the scheduling and disposition of records are summarized on page 111-6, paragraph 8, below. 3. RETIREMENT, STORAGE, AND TRANSFER. The Records Inventory and Disposition Schedules noted in paragraph 2, above, include timetables for the retirement of noncurrent records from office space and equipment to lower cost storage facilities. Procedures and standards concerning the retirement of records, their storage, and the transfer of records between DOE organizations and the transfer of records outside of DOE are described in paragraphs 18, 19, and 20, below. 4. RECORDS RETENTION STANDARDS. a. DOE develops and establishes records retention standards covering DOE and contractor records. In establishing such standards, disposal authoriza­ tions are obtained from the National Archives and Records Service, GSA, in accordance with 44 U.S.C. 3301 et ~. b. Records schedules, prescribing approved retention standards for DOE and contractor records, are published as attachments to chapters IV and V. Records in the custody of DOE and its contractors are covered by applicable records retention standards and, to the fullest extent practi­ cable, shall be disposed of upon the expiration of the stated retention periods. II 1-2 DOE 1324.2 5-28..80 5. RESTRICTIONS AFFECTING THE DISPOSAL OF RECORDS. Certain Federal statutes include restrictive provisions which affect the disposal of records. Also, DOE prescribes some restrictions and limitations. DOE and contractor organi­ zations must comply with applicable restrictions and limitations in carrying out the records disposition program. Pertinent restrictions are set forth below: a. Scope of Records Disposal Laws. (1) 44 U.S.C. 3105 provides, in part, as follows: "Records in the custody of LOOE] are not to be alienated or destroyed except in accordance with Title 44 U.S.C. 3301-3314." (2) 44 U.S.C. 3105 requires the head of each Federal agency to establish safeguards against the removal or loss of records determined to be necessary'and required by regulations of the Administrator of the General Services Administration. DOE complies with 44 U.S.C. 3105 and 3301 et~ by establishing procedures and standards for the disposal of bOtn DOE and contractor records. (3) 18 U.S.C. 2071 provides penalties for the unlawful removal or destruction of records: (a) "Whoever will fully and unlawfully conceal s, removes, muti 1ates, obliterates, or destroys, or attempts to do so, or with intent to do so, takes and carries away any record, proceeding, map, book, paper, document, or other thing, filed or deposited with any clerk or officer of any court of the United States or in any public office, or with any judicial or public officer of the United States, shall be fined not more than $2000, or imprisoned not more than three years, or both. (b) "Whoever having the custody of any such record, proceeding, map, book, document, paper, or other thing, willfully and unlawfully conceals, removes, multilates, obliterates, falsifies, or destroys the same, shall be fined not more than $2000 or imprisoned not more than three years, or both; and shall forfeit his office and be disqualified from holding any office under the United States. II

(4) 44 U.S.C. 3105 requires the head of each Federal agency to make known to officials and.employees of the agency such penalties as are provided by law for the unlawful removal or destruction of records. b. Unsettled Accounts. (1) 44 U.S.C. 3309 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 ~ I II 1-2 DOE 1324.2 5-28 .. 80 5. RESTRICTIONS AFFECTING THE DISPOSAL OF RECORDS. Certain Federal statutes include restrictive provisions which affect the disposal of records. Also, DOE prescribes some restrictions and limitations. DOE and contractor organi­ zations must comply with applicable restrictions and limitations in carrying out the records disposition program. Pertinent restrictions are set forth below: a. Scope of Records Disposal Laws. (1) 44 U.S.C. 3105 provides, in part, as follows: "Records in the custody of lDOEJ are not to be alienated or destroyed except in accordance with Title 44 U.S.C. 3301-3314." (2) 44 U.S.C. 3105 requires the head of each Federal agency to establish safeguards against the removal or loss of records determined to be necessary'and required by regulations of the Administrator of the General Services Administration. DOE complies with 44 U.S.C. 3105 and 3301 et ~ by establishing procedures and standards for the disposal of bOtfi DOE and contractor records. (3) 18 U.S.C. 2071 provides penalties for the unlawful removal or destruction of records: (a) "Whoever will fully and unlawfully conceal s, removes, muti 1 ates, obliterates, or destroys, or attempts to do so, or with intent to do so, takes and carries away any record, proceeding, map, book, paper, document, or other thing, filed or deposited with any clerk or officer of any court of the United States or in any public office, or with any judicial or public officer of the United States, shall be fined not more than $2000, or imprisoned not more than three years, or both. (b) "Whoever having the custody of any such record, proceeding, map, book, document, paper, or other thing, willfully and unlawfully conceals, removes, multilates, obliterates, falsifies, or destroys the same, shall be fined not more than $2000 or imprisoned not more than three years, or both; and shall forfeit his office and be disqualified from holding any office under the United States. II (4) 44 U.S.C. 3105 requires the head of each Federal agency to make known to officials and employees of the agency such penalties as are provided by law for the unlawful removal or destruction of records. b. Unsettled Accounts. (1) 44 U.S.C. 3309 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 ~ I ,~ (" DOE 1324.2 Chg 2 11-9-82 III-3 ~ f '"r: , concerned, either as a 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. II (2) DOE complies with the above restriction. DOE also obtains GAO written concurrence on disposal standards covering all financial and related records, program records having a retention period of less than 3 years, and of all standards for contractor records.

c. Federal and State Laws. (l) Where Federal or State laws, or regulations issued thereunder, require that contractor records be retained for longer periods, than prescribed in contractor records schedules, the contractors shall retain the records for the periods described by such laws or regulations. (2) Retention standards for contractor records are based on minimum requirements and are designed to fit the greatest number of contrac­ tors. They do not take into account ~ny particular local situation, or any legal requirements which m~ apply to some, but not all contractors. d. Litigation, Investigation, and Exceptions. (l) Notwithstanding records disposal authorizations, DOE and DOE contractor records shall be retained until completion, clearance, or settlement of: pending litigation, pending investigations, GAO exceptions, Congressional requests (both formal and informal), pending Freedom of Information Acct requests, and pending Privacy Act requests. Vertical line denotes change. ~ f '" r: , DOE 1324.2 Chg 2 11-9-82 III-3 concerned, either as a 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. II (2) DOE complies with the above restriction. DOE also obtains GAO written concurrence on disposal standards covering all financial and related records, program records having a retention period of less than 3 years, and of all standards for contractor records. c. Federal and State Laws. (l) Where Federal or State laws, or regulations issued thereunder, require that contractor records be retained for longer periods, than prescribed in contractor records schedules, the contractors shall retain the records for the periods described by such laws or regulations. (2) Retention standards for contractor records are based on minimum requirements and are designed to fit the greatest number of contrac­ tors. They do not take into account 'any parti cular local situation, or any legal requirements which m~ apply to some, but not all contractors. d. Litigation, Investigation, and Exceptions. (l) Notwithstanding records disposal authorizations, DOE and DOE contractor records shall be retained until completion, clearance, or settlement of: pending litigation, pending investigations, GAO exceptions, Congressional requests (both formal and informal), pending Freedom of Information Acct requests, and pending Privacy Act requests. Vertical line denotes change. 111-4 DOE ·1324.2 Chg 2 11-9-82 (2) Restoration of previousl~ Suspended Disposal Authorizations for l Telecommunications Recor s. (a) In United States of America v. American Telephone and Telegraph ~ Company, Western Electric Company, Inc., and Bell Telephone J Laboratories, Inc., Civil Action No. 74-1698, the United States District Court for the District of Columbia issued Pretrial Order No.1, ordering retention of all documents specified in, and responsive to, the defendant's First Request for Production of Documents Pursuant to Rule 34 of the Federal Rules of Civil Procedure dated 1-10-75. Therefore, records disposal authorizations pertaining to records responsive to Pretrial Order No. 1 were suspended. .

(b) On 9-23-80 AT&T advised the Department of Justice that they "have no objection to the resumption of normal retention procedures at all executive branch governmental agencies from whom defendants obtained documentary discovery in this case with respect to any documents offered, or actually produced by those agencies to defendants." e. Examination of Records Clause. (1) Negotiated contracts entered into or amended after 6-3-52 contain a provision usually identified as the "Examination of Records clause," to the effect that the Comptroller General of the United States or Vertical line denotes change. 111-4 DOE ·1324.2 Chg 2 11-9-82 (2) Restoration of previousl~ Suspended Disposal Authorizations for l Telecommunfcatfons Recor s. (a) In United States of America v. American Telephone and Telegraph ~ Company. Western Electric Company. Inc •• and Bell Telephone } Laboratories. Inc •• Civil Action No. 74-1698. the United States District Court for the District of Columbia issued Pretrial Order No.1. ordering retention of all documents specified in. and responsive to. the defendant's First Request for Production of Documents Pursuant to Rule 34·of the Federal Rules of Civil Procedure dated 1-10-75. Therefore. records disposal authorizations pertaining to records responsive to Pretrial Order No. 1 were suspended. . (b) On 9-23-80 AT&T advised the Department of Justice that they "have no objection to the resumption of normal retention procedures at all executive branch governmental agencies from whom defendants obtained documentary discovery in this case with respect to any documents offered. or actually produced by those agencies to defendants." e. Examination of Records Clause. (1) Negotiated contracts entered into or amended after 6-3-52 contafn a provision usually identiffed as the "Examination of Records clause." to the effect that the Comptroller General of the United States or Vertical line denotes change. DOE 1324.2 111-5 5-28-80 ~ any of his authorized representatives shall have access to, and the right to examine, any directly pertinent books, documents, papers, and records of the contractor involving transactions related to the contract until the expiration of 3 years after final payment under the contract or such lesser time specified. (2) The size and duration of DOE operating and onsite service contracts make it too costly and impractical to retain all directly pertinent records for 3 years following final payment of such contracts. Thus, the requirement for retention for 3 years after final payment of the contract was modified for DOE contractors. Records retention standards for contractors are contained in attachment 1 of chapter V of this order. The General Accounting Office has concurred in these standards. 6. SECURITY REQUIREMENTS. DOE and contractor organizations shall comply with the applicable security requirements for transmitting, storing, or disposing of classified records. See directive series 5632 for the issuance of specific standards, procedures, and requirements for the protection of classified matter. 7. PERSONAL PAPERS. r a. Personal papers consist of records of a private or nonofficial character which pertain only to a DOE or contractor official IS personal affairs, and are kept in the office of the official. The papers must be clearly designated by the official as personal papers. Personal papers will at all times be filed separately from official records. If a matter involving the transaction of official business is received in private correspondence, the portion of such correspondence that pertains to official business will be extracted and made a part of official files.

b. Departing officials are permitted to retain extra copies of official records which they drafted, received, or otherwise acted upon, provided that such retention does not diminish official records; violate confident­ ality required by national security, privacy, or other interests protected by law; or exceed normal administrative economies. 8. SUMMARY OF PROCEDURES FOR PREPARING AND APPLYING RECORDS INVENTORY AND DISPOSITION SCHEDULES (RIDS). a. Work Steps and Procedures. The preparation and application of comprehensive records inventory and disposition schedules involve the following work steps and processes: (l) Selection of appropriate units of the overall organization to be covered by separate RIDS. DOE 1324.2 111-5 5-28-80 ~ any of his authorized representatives shall have access to, and the right to examine, any directly pertinent books, documents, papers, and records of the contractor involving transactions related to the contract until the expiration of 3 years after final payment under the contract or such lesser time specified. r (2) The size and duration of DOE operating and onsite service contracts make it too costly and impractical to retain all directly pertinent records for 3 years following final payment of such contracts. Thus, the requirement for retention for 3 years after final payment of the contract was modified for DOE contractors. Records retention standards for contractors are contained in attachment 1 of chapter V of this order. The General Accounting Office has concurred in these standards. 6. SECURITY REQUIREMENTS. DOE and contractor organizations shall comply with the applicable security requirements for transmitting, storing, or disposing of classified records. See directive series 5632 for the issuance of specific standards, procedures, and requirements for the protection of classified matter. 7. PERSONAL PAPERS. a. Personal papers consist of records of a private or nonofficial character which pertain only to a DOE or contractor official's personal affairs, and are kept in the office of the official. The papers must be clearly designated by the official as personal papers. Personal papers will at all times be filed separately from official records. If a matter involving the transaction of official business is received in private correspondence, the portion of such correspondence that pertains to official business will be extracted and made a part of official files. b. Departing officials are permitted to retain extra copies of official records which they drafted, received, or otherwise acted upon, provided that such retention does not diminish official records; violate confident­ ality required by national security, privacy, or other interests protected by law; or exceed normal administrative economies. 8. SUMMARY OF PROCEDURES FOR PREPARING AND APPLYING RECORDS INVENTORY AND DISPOSITION SCHEDULES (RIDS). a. Work Steps and Procedures. The preparation and application of comprehensive records inventory and disposition schedules involve the following work steps and processes: (I) Selection of appropriate units of the overall organization to be covered by separate RIDS. 111-6 DOE 1342.2 5-28-80 (2) Inventory of all records in the organizational unit. (3) Analysis of the inventory to identify: (a) Filing units covered by established records retention standards. (b) Nonrecord material. (c) Filing units not covered by established records retention standards.

(4) Appraisal of filing units not covered by records retention standards and the development of recommended records retention standards for such filing units. (5) Action to obtain necessary authority to use recommended retention standards developed for unscheduled records. (6) Development of cutoff instructions and retirement periods. (l) Coordination to obtain local approvals for the RIDS. (8) Initial application of the schedule by disposing of records for which the retention periods have expired, disposing of unneeded nonrecord material, and retiring eligible records. (9) Follow-up measures to assure that disposition action is taken periodically according to the schedule. (lO) Periodic reviews of RIDS, with amended records schedules as necessary, to keep the RIDS current. b. The procedures summarized in paragraph 8a, above, involve the use of two forms: (1) DOE Form AD-384, "Records Inventory and Disposition Schedule" (or its equivalent), is used in connection with subparagraphs (I) through (4), and (6) through (lO) above. DOE Forms AO-384 and 384a (contin­ uation sheet) are illustrated in attachments 1 and 2. (2) DOE Form AD-33l, "Records Retention and Disposal Authorization," is used in connection with subparagraphs (4) and (5), above. DOE Form AD-33l is illustrated in attachment 3. 111-6 (2) Inventory of all records in the organizational unit. (3) Analysis of the inventory to identify: DOE 1342.2 5-28-80 (a) Filing units covered by established records retention standards. (b) Nonrecord material. (c) Filing units not covered by established records retention standards. (4) Appraisal of filing units not covered by records retention standards and the development of recommended records retention standards for such filing units. (5) Action to obtain necessary authority to use recommended retention standards developed for unscheduled records. (6) Development of cutoff instructions and retirement periods. (l) Coordination to obtain local approvals for the RIDS. (B) Initial application of the schedule by disposing of records for which the retention periods have expired, disposing of unneeded nonrecord material, and retiring eligible records. (9) Follow-up measures to assure that disposition action is taken periodically according to the schedule. (10) Periodic reviews of RIDS, with amended records schedules as necessary, to keep the RIDS current. b. The procedures summarized in paragraph Ba, above, involve the use of two forms: (1) DOE Form AD-3B4, "Records Inventory and Disposition Schedule" (or its equivalent), is used in connection with subparagraphs (1) through (4), and (6) through (10) above. DOE Forms AO-3B4 and 3B4a (contin­ uation sheet) are illustrated in attachments 1 and 2. (2) DOE Form AD-331, "Records Retention and Disposal Authorization," is used in connection with subparagraphs (4) and (5), above. DOE Form AD-331 is illustrated in attachment 3. DOE 1324.2 5-28-80 III-7 9. PREPARATION AND APPLICATION OF RECORDS INVENTORY AND DISPOSITION SCHEDULE (RIDS). a. Inventory. The first step in the scheduling process is to inventory the records in the custody of the organizational unit to be covered by the schedule. The schedule is the key to the records disposition program. A complete and accurate records inventory is important, and consequently is treated in some detail as follows: (1) Characteristics of a Records Inventory. (a) It must cover all records in the organizational unit. (b) Nonrecord material must be included.

(c) Filing unit descriptions must be clear. (d) Records must be listed by filing units (not document by document or folder by folder). (2) Unit of Organization. (a) The ultimate goal of the records disposition program is to have all records covered by records inventory and disposition schedules. The magnitude of this task requires the participa­ tion of all organizational elements. The task also must be divided into manageable pieces for its accomplishment. For practical purposes separate schedules are prepared for appro­ priate segments of the organization. An appropriate segment may be an office, division, branch, or section (from the larger to the smaller) depending on the size of the organization, its assigned functional responsibilities, and the custodianship and location(s) of its records. An example is an office service branch consisting of a mail section, a word processing section, a records management section, and a graphics section. Schedules should be set up for each section. Examples of other appro­ priate segments are organizations responsible for the functions of procurement, property management, warehousing, payrolling, accounts payable, transportation, and facilities management •. (b) In selecting units of organization, consideration must be given to the fact that the schedules must be implemented and applied. Therefore each schedule should cover an organizational unit where some individual has been assigned specific responsi­ bility for files maintenance and disposition. (3) Scope. The inventory covers all records of each organization and it i ncl udes : DOE 1324.2 5-28-80 III-7 9. PREPARATION AND APPLICATION OF RECORDS INVENTORY AND DISPOSITION SCHEDULE (RIDS). a. Inventory. The first step in the scheduling process is to inventory the records in the custody of the organizational unit to be covered by the schedule. The schedule is the key to the records disposition program. A camp1 ete and accurate records inventory is important, and consequently is treated in some detail as follows: (I) Characteristics of a Records Inventory. (a) It must cover all records in the organi zat i ana 1 un it. (b) Nonrecord material must be included. (c) Filing unit descriptions must be clear. (d) Records must be listed by filing units (not document by document or folder by folder). (2) Unit of Organization. (a) The ultimate goal of the records disposition program is to have all records covered by records inventory and disposition schedules. The magnitude of this task requires the participa­ tion of all organizational elements. The task also must be divided into manageable pieces for its accomplishment. For practical purposes separate schedules are prepared for appro­ priate segments of the organization. An appropriate segment may be an office, division, branch, or section (from the larger to the smaller) depending on the size of the organization, its assigned functional responsibilities, and the custodianship and location(s) of its records. An example is an office service branch consisting of a mail section, a word processing section, a records management section, and a graphics section. Schedules should be set up for each section. Examples of other appro­ priate segments are organizations responsible for the functions of procurement, property management, warehousing, payrolling, accounts payable, transportation, and facilities management •.

(b) In selecting units of organization, consideration must be given to the fact that the schedules must be implemented and applied. Therefore each schedule should cover an organizational unit where some individual has been assigned specific responsi­ bility for files maintenance and disposition. (3) Scope. The inventory covers all records of each organization and it includes: 111-8 DOE 1324.2 5-28-80 (a) Both record and nonrecord material. (b) Classified as well as unclassified papers. (c) ADP machine-readable and microfilm records. (d) Filing units and general files. (e) Pennanent as well as temporary records. (f) Reference material maintained in filing equipment (pamphlets, reports, handbooks, reading files, and extra copy files). (4) Inventory Items. (a) Inventory items should be descriptive of filing units or appropriate segments of general files; not separate forms, reports, file folders, or other papers which do not constitute filing units. For example, applications for employment are not inventory items if they are filed in official personnel files along with job descriptions, change of status forms, and other data about individual employees. The inventory item (filing unit) is the official personnel file. Applications for employ­ ment are filing units only if they are filed separately. Some examples of filing units are: 1 An entire voucher file, arranged numerically by voucher number, consisting of copies of paid vouchers together with attached supporting papers such as purchase orders, receiving reports, invoices, bills of lading, and related correspondence. Each individual voucher, together with its supporting papers is a file item. 2 A complete official personnel file, arranged alphabetically by name of employee, consisting of separate personnel folders, each containing records pertaining to an individual employee. Each separate folder with its contents is a file item. 3 A purchase order file, arranged numerically by purchase order number or alphabetically by name of vendor, consisting of copies of all purchase orders issued or received by an organization. Each separate purchase order is a file item. (b) Inventory items should be limited to filing units, wherever possible. They should not be expanded to include all of the records of an activity or general file unless all of the separate items are interfiled. For example, a contractor engineering file of 100 cubic foot volume, and consisting of 111-8 (a) Both record and nonrecord material. (b) Classified as well as unclassified papers. (c) ADP machine-readable and microfilm records. (d) Filing units and general files. (e) Pennanent as well as temporary records. DOE 1324.2 5-28-80 (f) Reference material maintained in filing equipment (pamphlets, reports, handbooks, reading files, and extra copy files). (4) Inventory Items. (a) Inventory items should be descriptive of filing units or appropriate segments of general files; not separate forms, reports, file folders, or other papers which do not constitute filing units. For example, applications for employment are not inventory items if they are filed in official personnel files along with job descriptions, change of status forms, and other data about individual employees. The inventory item (filing unit) is the official personnel file. Applications for employ­ ment are filing units only if they are filed separately. Some examples of filing units are:

1 An entire voucher file, arranged numerically by voucher number, consisting of copies of paid vouchers together with attached supporting papers such as purchase orders, receiving reports, invoices, bills of lading, and related correspondence. Each individual voucher, together with its supporting papers is a file item. 2 A complete official personnel file, arranged alphabetically by name of employee, consisting of separate personnel folders, each containing records pertaining to an individual employee. Each separate folder with its contents is a file item. 3 A purchase order file, arranged numerically by purchase order number or alphabetically by name of vendor, consisting of copies of all purchase orders issued or received by an organization. Each separate purchase order is a file item. (b) Inventory items should be limited to filing units, wherever possible. They should not be expanded to include all of the records of an activity or general file unless all of the separate items are interfiled. For example, a contractor engineering file of 100 cubic foot volume, and consisting of DOE 1324. 2 II I-9 5-28-80 ~ six or seven distinct filing units, with different retention values, one filing unit of which is field notebooks, should not be inventoried as a single item. For example: if the field notebooks comprise 40 cubic feet and are filed separately in one series, they should be handled as a separate inventory item. (5) Description of Records. (a) It is essential that the records in the inventory be described in terms that will be meaningful to the person who will apply the schedule. Inventory items are described as they exist in the organizational files - generally accepted titles in normal day-to-day use - not as they are, or may be described somewhere else. For instance, the descriptions in the records schedules in most cases should not be used, since it is unlikely that these schedules will describe the records exactly. The records schedule descriptions are intentionally broad so that they can be widely applied. (b) The use of the descriptions in attachment 1 of chapters IV and V comes later in the process of matching the inventory items to the standards contained in these attachments. The completed RIDS will be used by files custodians to dispose of records or retire them in accordance with the retention and retirement periods on the RIDS. Therefore, the item descriptions should be accurate portrayals of the files so that the disposal and retirement periods can be applied without error by the custodians of the files. (c) A proper description of an inventory item consists of the name or title of each filing unit. The title of a single form may be used if it applies to an entire filing unit (examples - bills of lading, payroll checks, vouchers, and purchase orders). Form numbers or titles should not be used when case files are being described. Such files often consist of numerous forms. (Examples of case files: intelligence files, docket files, contract files, individual personnel files, loan files, and project files.) It is also desirable to indicate whether the files consist of original records, or copies. (d) Descriptive data in the inventory items should indicate the filing arrangement (as alphabetic, chronological, numerical), since the arrangement can affect disposition actions. For example, procurement files arranged alphabetically by vendor names or general files arranged by subject must be artificially broken or "cut offll periodically to permit disposal or retire­ ment. The filing arrangement can also be a factor in identi­ fying records to be preserved, retired, or destroyed. For example, some procurement organizations maintain hoth numerical

r DOE 1324. 2 II I -9 5-28-80 ~ six or seven distinct filing units, with different retention values, one filing unit of which is field notebooks, should not be inventoried as a single item. For example: if the field notebooks comprise 40 cubic feet and are filed separately in one series, they should be handled as a separate inventory item. r (5) Description of Records. (a) It is essential that the records in the inventory be described in terms that will be meaningful to the person who will apply the schedule. Inventory items are described as they exist in the organizational files - generally accepted titles in normal day-to-day use - not as they are, or may be described somewhere else. For instance, the descriptions in the records schedules in most cases should not be used, since it is unlikely that these schedules will describe the records exactly. The records schedule descriptions are intentionally broad so that they can be widely applied. (b) The use of the descriptions in attachment 1 of chapters IV and V comes later in the process of matching the inventory items to the standards contained in these attachments. The completed RIDS will be used by files custodians to dispose of records or retire them in accordance with the retention and retirement periods on the RIDS. Therefore, the item descriptions should be accurate portrayals of the files so that the disposal and retirement periods can be applied without error by the custodians of the files. (c) A proper description of an inventory item consists of the name or title of each filing unit. The title of a single form may be used if it applies to an entire filing unit (examples - bills of lading, payroll checks, vouchers, and purchase orders). Form numbers or titles should not be used when case files are being described. Such files often consist of numerous forms. (Examples of case files: intelligence files, docket files, contract files, individual personnel files, loan files, and project files.) It is also desirable to indicate whether the files consist of original records, or copies. (d) Descriptive data in the inventory items should indicate the filing arrangement (as alphabetic, chronological, numerical), since the arrangement can affect disposition actions. For example, procurement files arranged alphabetically by vendor names or general files arranged by subject must be artificially broken or "cut off" periodically to permit disposal or retire­ ment. The filing arrangement can also be a factor in identi­ fying records to be preserved, retired, or destroyed. For example, some procurement organizations maintain hoth numerical 111-10 DOE 1324.2 5-28-80 and alphabetic files of purchase orders; the main distinction ~ between them is the filing arrangement. It is likely that the alphabetical file is a finding aid and may be designated as nonrecord material. (6) General Subject Correspondence Files. (a) It is much more difficult to inventor,y and schedule general subject correspondence files than it is for specific filing units such as foreman's time cards, paid checks, purchase orders, and vouchers. General subject correspondence files are usually arranged by subject and consist of correspondence, completed forms, and reports. The entire file is seldom a filing unit, but portions of the file are. Therefore, in the inventory and scheduling process, general subject correspondence files should be reviewed and analyzed in some detail to identify and evaluate the filing units. Typical general subject corre­ spondence files consist of both record and nonrecord material. The main purpose of the review is to identify record material (which cannot be disposed of prior to the expiration of authorized retention periods), and nonrecord material, which can be disposed of as soon as it has served its purpose. All nonrecord material often can be identified as a single filing unit.

(b) Filing units in a general subject correspondence file should not ~ be broken down too finely. Often, a breakdown at the primary) subject level is sufficient. Breakdown into detailed subdivi- sions, such as secondary and tertiary classifications, is discouraged. (c) Organizations with decentralized files find it practical to have two main inventory items of their general subject correspondence files with subitems under each. The first main item will consist of primary subject classifications which contain the material documenting activities relating to the primary responsibilities of the organizational unit. This material will have longterm or, in a few instances, permanent retention values. The second main item will consist of the primary subject classifications which contain material relating to secondary responsibilities, and for which other organiza­ tions have the primary functional responsibilities. The material in the second main item should have short term retention values only. (d) This method of scheduling general subject correspondence files is possible in decentralized files beGause the organiza­ tion which prepares correspondence retains the record copies, 111-10 DOE 1324.2 5-28-80 and alphabetic files of purchase orders; the main distinctfon ~ between them is the filing arrangement. It is likely that the alphabetical file is a finding aid and may be designated as nonrecord material. (6) General Subject Correspondence Files. (a) It is much more difficult to inventor,y and schedule general subject correspondence files than it is for specific filing units such as foreman's time cards, paid checks, purchase orders, and vouchers. General subject correspondence files are usually arranged by subject and consist of correspondence, completed forms, and reports. The entire file is seldom a filing unit, but portions of the file are. Therefore, in the inventory and scheduling process, general subject correspondence files should be reviewed and analyzed in some detail to identify and evaluate the filing units. Typical general subject corre­ spondence files consist of both record and nonrecord material. The main purpose of the review is to identify record material (which cannot be disposed of prior to the expiration of authorized retention periods), and nonrecord material, which can be disposed of as soon as it has served its purpose. All nonrecord material often can be identified as a single filing unit. (b) Filing units in a general subject correspondence file should not ~ be broken down too finely. Often, a breakdown at the primary) subject level is sufficient. Breakdown into detailed subdivi- sions, such as secondary and tertiary classifications, is . discouraged. (c) Organizations with decentralized files find it practical to have two main inventory items of their general subject correspondence files with subitems under each. The first main item will consist of primary subject classifications which contain the material documenting activities relating to the primary responsibilities of the organizational unit. This material will have longterm or, in a few instances, permanent retention values. The second main item will consist of the primary subject classifications which contain material relating to secondary responsibilities, and for which other organiza­ tions have the primary functional responsibilities. The material in the second main item should have short term retention values only.

(d) This method of scheduling general subject correspondence files is possible in decentralized files beGause the organiza­ tion which prepares correspondence retains the record copies, DOE 1324.2 5-28-80 I I 1-11 irrespective of who signs the outgoing material. Normally the organization responsible for a given function prepares the correspondence relating to that function. Contractors having similar systems for preparing and filing correspondence may find it practical to inventory and schedule general subject correspondence files in a like manner. b. Assigning Retention Periods. (1) Established Retention Standards. (a) The completed inventory is reviewed to determine the proper disposition of the items described thereon. Normally, the items will fall into three categories: 1 Record items covered by established retention standards. 2 Nonrecord items. 3 Record items not covered by retention standards. (b) Record items in the inventory, which are covered by eXisting retention standards, are identified by matching the items on the inventory with appropriate retention standards contained in attachment 1 of chapters IV or V of this order. The authorized retention period and the source of the authority (schedule reference) are posted in columns 7 and 8, respectively, on the RIDS form. For example, a filing unit consisting of DOE trave"1 fil es woul d be posted "2 years" in col umn 7, and "ERS 9-5" in column 8. (ERS 9-5 stands for DOE Records Schedule 9, item 5.) (2) Use of Established Standards. The retention standards are published as attachments to chapters IV and V. Chapter IV, attachment 1, contains the DOE Records Schedules (ERS) with records retention standards for DOE activities. Chapter V, attachment 1, contains Contractor Records Schedules (CRS) with standards applicable to records of contractors. Within the attachments the standards are grouped together by common subject matter and called a schedule. The use of the standards requires an understanding of the coverage of records included in the schedule, since the completion of a RIDS may involve records covered by several schedules. The alphabetic index to the schedules should also be checked as it will help to locate the appropriate standards for filing units described in the inventory. (3) Use of Broad Standards. Records are described in many of the standards in broad, general terms, instead of in specific terms, to describe individual filing units. A large number of the standards DOE 1324.2 5-28-80 I I 1-11 irrespective of who signs the outgoing material. Normally the organization responsible for a given function prepares the correspondence relating to that function. Contractors having similar systems for preparing and filing correspondence may find it practical to inventory and schedule general subject correspondence files in a like manner. b. Assigning Retention Periods. (1) Established Retention Standards. (a) The completed inventory is reviewed to determine the proper disposition of the items described thereon. Normally, the items will fall into three categories: 1 Record items covered by established retention standards. 2 Nonrecord items. 3 Record items not covered by retention standards.

(b) Record items in the inventory, which are covered by existing retention standards, are identified by matching the items on the inventory with appropriate retention standards contained in attachment 1 of chapters IV or V of this order. The authorized retention period and the source of the authority (schedule reference) are posted in columns 7 and 8, respectively, on the RIDS form. For example, a filing unit consisting of DOE trave"1 fil es woul d be posted "2 years" in col umn 7, and "ERS 9-5" in column 8. (ERS 9-5 stands for DOE Records Schedule 9, item 5.) (2) Use of Established Standards. The retention standards are published as attachments to chapters IV and V. Chapter IV, attachment 1, contains the DOE Records Schedules (ERS) with records retention standards for DOE activities. Chapter V, attachment 1, contains Contractor Records Schedules (CRS) with standards applicable to records of contractors. Within the attachments the standards are grouped together by common subject matter and called a schedule. The use of the standards requires an understanding of the coverage of records included in the schedule, since the completion of a RIDS may involve records covered by several schedules. The alphabetic index to the schedules should also be checked as it will help to locate the appropriate standards for filing units described in the inventory. (3) Use of Broad Standards. Records are described in many of the standards in broad, general terms, instead of in specific terms, to describe individual filing units. A large number of the standards II 1-12 DOE 1324.2 5-28-80 were adapted from the GRS and are not based on DOE or contractor filing units. Consequently, these standards are broad in their coverage. Also, the Office of Organization and Management Systems, in requesting disposal authorizations from NARS, prepares descrip­ tions, wherever practical, broader than actual DOE or DOE contractor filing units so that they can be applied DOE-wide. This is designed to give the organizations which apply the schedules broad disposal authorizations and reduce the need for submitting many Fonms AD-331 to Headquarters. Since filing units are described on the RIDS in tenminology familiar to the organization for which the RIDS are prepared, often the descriptions will not coincide exactly with the descriptions in the authorized standards. Judgment is required in finding appropriate standards for comparable records. (4) DOE Authorized Records Retention Schedules. (a) DOE authorized records retention schedules are: (1) based on the General Records Schedules (GRS); (2) contain some deviations approved by NARS, from the GRS to cover situations unique to DOE; and (3) contain additional schedules, approved by NARS, to cover DOE records not covered by the GRS. Also, the records schedules for contractors in many instances differ from the GRS. (b) For the above reasons, the records retention standards issued as attachments to this order are the only authorized records retention standards to be used by DOE and its contractors. (5) Deviations from Established Records Retention Standards. (a) The retention periods prescribed in the records retention standards in this order are the minimum periods of time which records must be retained. Records may not be destroyed until after the elapse of the periods specified, or in some cases, until the occurrence of a specified event.

(b) Occasionally, it may be necessary or desirable to establish longer or shorter retention periods than prescribed in the records retention standards. If the criteria on which the retention period was originally based have changed, a Fonm DOE AD-331 should be prepared giving the reason for the change in the retention period. The fonm should be forwarded by the Headquarters or field office Records Officer (or person serving in that capacity) to the Office of Organization and Management Systems. (c) The Office of Organization and Management Systems will obtain the necessary NARS and other approvals. If a local situation requires that records be temporarily retained for 1 year or l ! II 1-12 DOE 1324.2 5-28-80 were adapted from the GRS and are not based on DOE or contractor filing units. Consequently. these standards are broad in their coverage. Also, the Office of Organization and Management Systems, in requesting disposal authorizations from NARS, prepares descrip­ tions, wherever practical. broader than actual DOE or DOE contractor filing units so that they can be applied DOE-wide. This is designed to give the organizations which apply the schedules broad disposal authorizations and reduce the need for submitting many Fonms AD-331 to Headquarters. Since filing units are described on the RIDS in tenminology familiar to the organization for which the RIDS are prepared, often the descriptions will not coincide exactly with the descriptions in the authorized standards. Judgment is required in finding appropriate standards for comparable records. (4) DOE Authorized Records Retention Schedules. (a) DOE authorized records retention schedules are: (1) based on the General Records Schedules (GRS); (2) contain some deviations approved by NARS, from the GRS to cover situations unique to DOE; and (3) contain additional schedules, approved by NARS, to cover DOE records not covered by the GRS. Also, the records schedules for contractors in many instances differ from the GRS. (b) For the above reasons. the records retention standards issued as attachments to this order are the only authorized records retention standards to be used by DOE and its contractors. (5) Deviations from Established Records Retention Standards. (a) The retention periods prescribed in the records retention standards in this order are the minimum periods of time which records must be retained. Records may not be destroyed until after the elapse of the periods specified, or in some cases, until the occurrence of a specified event. (b) Occasionally, it may be necessary or desirable to establish longer or shorter retention periods than prescribed in the records retention standards. If the criteria on which the retention period was originally based have changed, a Fonm DOE AO-331 should be prepared giving the reason for the change in the retention period. The fonm should be forwarded by the Headquarters or field office Records Officer (or person serving in that capacity) to the Office of Organization and Management Systems. (c) The Office of Organization and Management Systems will obtain the necessary NARS and other approvals. If a local situation requires that records be temporarily retained for 1 year or l ! tiOE 1324.2 5-28-80 111-13 less, Headquarters or NARS approvals are not required. Extensions of over 1 year require Headquarters and NARS approvals.

(d) DOE contractors should comply with applicable Federal and State laws regarding the retention of records. If Federal or State laws, or regulations issued thereunder, require the retention of records for longer periods than prescribed in this order, then the longer periods should be used on RInS. Note: This requirement shall not be construed as directing the extension of records retention standards to coincide with statutes of limitations in the various States. Statutes of limitations are not necessarily controlling factors in the establishment of retention periods. For example, contractors paid payroll checks are disposable after 3 years, even though the statute of limitations may be 6 years. In this instance, experience has shown that contro­ versies and claims concerning payment of wages arise in a matter of hours or days - not years. The cost of keepin~ the record 6 years would greatly exceed any possible benefits. (~) Identifying and Evaluating Nonrecord Material. (a) The definition of nonrecord material in chapter I includes examples of non record items. These examples should be used a5 guides in identifyin9 nonrecord filing units described on RIns. Each non record filinq unit is designated on RIDS by enterin~ "nonrecord" in column H, "Disposal I\uthority." If the deter­ mination of nonrecord is based on physical duplication, also indicate the office responsible for keeping the record copy. (b) Nonrecord items are evaluated to determine appropriate retention periods. Short periods (less than 3 years and often not more than 1) should be established for nonrecord filing units since they are usually duplicated elsewhere in the organization, and are retained for convenience of reference only. The retention periods are posted in column 7 on RIDS. Since non record materi a1 may he di sposerl of without NJ\RS or other authority, the retention periods are construf'd as maximum, rather than minimum, periods. Therefore, nonrecorJ material on RIDS may be disposed of prior to the expiration of established retention periods, except for data in machine-readable form. Retention periods for nonrecord J\DP machine-readable data must be construed as minimum retention periods. tiOE 1324.2 5-28-80 less, Headquarters or NARS approvals are not required. Extensions of over 1 year require Headquarters and NARS approvals. II 1-13 (d) DOE contractors should comply with applicable Federal and State laws regarding the retention of records. If Federal or State laws, or regulations issued thereunder, require the retention of records for longer periods than prescribed in this order, then the longer periods should be used on RInS. Note: This requirement shall not be construed as directing the extension of records retention standards to coincide with statutes of limitations in the various States. Statutes of limitations are not necessarily controlling factors in the establishment of retention periods. For example, contractors paid payroll checks are disposable after 3 years, even though the statute of limitations may be 6 years. In this instance, experience has shown that contro­ versies and claims concerning payment of wages arise in a matter of hours or days - not years. The cost of keepin~ the record 6 years would greatly exceed any possible benefits. (~) Identifying and Evaluating Nonrecord Material.

(a) The definition of non record material in chapter I includes examples of non record items. These examples should be used a5 guides in identifyin9 nonrecord filing units described on RIns. Each non record filinq unit is designated on RIDS by enterin~ "nonrecord" in column H, "Disposal I\uthority." If the deter­ mination of non record is based on physical duplication, also indicate the office responsible for keeping the record copy. (b) Nonrecord items are evaluated to determine appropriate retention periods. Short periods (less than 3 years and often not more than 1) should be established for nonrecord filing units since they are usually duplicated elsewhere in the organization, and are retained for convenience of reference only. The retention periods are posted in column 7 on RIDS. Since non record materi a 1 may he di sposerl of without NI\RS or other authority, the retention periods are construf'd as maximum, rather than minimum, periods. Therefore, nonrecorJ material on RIDS may be disposed of prior to the expiration of established retention periods, except for data in machine-readable form. Retention periods for nonrecord I\DP machine-readable data must be construed as minimum retention periods. I1I-14 (7) (8) DOE 1324.2 5-28-80 Filing Units Not Covered by Established Standards. After matching up the iirecordii filing units with established standards t and after determining retention periods for "nonrecord" filing units t there may remain a third category of inventory items. This category consists of II record" fil i ng units for which records retention standards have not been established. For these filing units t new records retention standards need to be developed. Because several months are usually required for obtaining new authorizations t the entry lito be developed" is posted in column 7 of RIDS and lito be obtained" in . column 8. In this way the RIDS can be completed and the approved records retention standards t and the retention periods established for nonrecord material t can be immediately applied. The guide for appraising the deferred or open items t and the procedures for obtaining new records retention authorizations are described on page III-I7 t paragraph lIt below. Cutoff Instructions and Retirement Periods. The completed RIDS includes a timetable for the removal of noncurrent records from office space and equipment and transfer to lower cost storage facil­ ities. This timetable provides instructions for file cutoff t retire­ ment t transfer t or destruction. Retirement and transfer periods are developed only after the retention periods are determined t since usually a significant part of each collection of records can he destroyed· in the organization responsible for them. Such records are not to be transferred to low-cost storage. The instructions for file cutoff t retirement t transfer t or destruction are posted in column 9 of the RIDS t after which the RIDS is ready for preparation in final form t approval t and application. c. Final Preparation, Coordination, and Distribution of RIDS. (1) In preparing RIDS for approvals t it may be desirable to rearrange the sequence of the filing units from the way they appear on the prelimi­ nary draft t especially if a large number of filing units are involved. Discontinued filing units t for example t should be listed on a separate continuation sheet (DOE Form AD-384a) for removal from the RIDS when all of the discontinued records have been disposed of. Likewise deferred or open items (ones for which new disposal authori­ zations are needed) may be listed on a separate sheet since that part of the RIDS is not subject to immediate application.

(2) The Office of Administrative Services (AD-40) prescribes the procedures for approval of RIDS at Headquarters. (3) Each DOE field office and each contractor prescribes procedures for approval of their RIDS. I1I-14 (7) (8) DOE 1324.2 5-28-80 Filing Units Not Covered by Established Standards. After matching up the "recordii filing units with established standards, and after determining retention periods for "nonrecord" filing units, there may remain a third category of inventory items. This category consists of II record" fil i ng units for which records retention standards have not been established. For these filing units, new records retention standards need to be developed. Because several months are usually required for obtaining new authorizations, the entry lito be developed" is posted in column 7 of RIDS and lito be obtained" in . column 8. In this way the RIDS can be completed and the approved records retention standards, and the retention periods established for non record material, can be immediately applied. The guide for appraising the deferred or open items, and the procedures for obtaining new records retention authorizations are described on page 111-17, paragraph 11, below. Cutoff Instructions and Retirement Periods. The completed RIDS includes a timetable for the removal of noncurrent records from office space and equipment and transfer to lower cost storage facil­ ities. This timetable provides instructions for file cutoff, retire­ ment, transfer, or destruction. Retirement and transfer periods are developed only after the retention periods are determined, since usually a significant part of each collection of records can he destroyed· in the organization responsible for them. Such records are not to be transferred to low-cost storage. The instructions for file cutoff, retirement, transfer, or destruction are posted in column 9 of the RIDS, after which the RIDS is ready for preparation in final form, approval, and application. c. Final Preparation, Coordination, and Distribution of RIDS. (1) In preparing RIDS for approvals, it may be desirable to rearrange the sequence of the filing units from the way they appear on the prelimi­ nary draft, especially if a large number of filing units are involved. Discontinued filing units, for example, should be listed on a separate continuation sheet (DOE Form AD-384a) for removal from the RIDS when all of the discontinued records have been disposed of. Likewise deferred or open items (ones for which new disposal authori­ zations are needed) may be listed on a separate sheet since that part of the RIDS is not subject to immediate application. (2) The Office of Administrative Services (AD-40) prescribes the procedures for approval of RIDS at Headquarters. (3) Each DOE field office and each contractor prescribes procedures for approval of their RIDS. (4) Approvals required should be limited to organizations having a legitimate interest in the records. Approval by the Office of Organization and Management Systems is not required. RIDS should be prepared in at least two copies for distribution and use as follows: (a) The originals should be given to the files custodians responsible for applying the .RIDS. (b) One copy should be maintained by the local records officer, or other official responsible for the records disposition program of the organization. This copy can be used to measure progress in developing RIDS and determining which offices remain to be covered. It also can be used to monitor their application in offices of custody and records holding areas.

r DOE 1324.2 5-28-80 111-15 r d. Applying RIDS. (1) The approved RIDS is an established records control schedule for the destruction, retirement, or transfer of records to storage after the time intervals indicated on the schedule. As such, those actions should be performed at the commencement of the RIDS program initially and periodically thereafter. (2) Too much time spent in applying schedules can reduce program savings. Some considerations in applying the schedules are: (a) Records need not be destroyed at the exact time their retention period ends. (b) Disposal and transfer should be accomplished annually or semi­ annually, rather than more frequently. (c) A different timetable may be necessary if records accumulate rapidly. (d) Records may accumulate so slowly that annual transfers are not warranted. (e) Application of the schedules should avoid interference with current operations. Records should be transferred during slack periods if possible. e. Disposal. (1) Method. (a) Unclassified records are disposed of upon the expiration of the authorized retention periods by maceration, shredding, r r DOE 1324.2 5-28-80 111-15 (4) Approvals required should be limited to organizations having a legitimate interest in the records. Approval by the Office of Organization and Management Systems is not required. RIDS should be prepared in at least two copies for distribution and use as follows: (a) The originals should be given to the files custodians responsible for applying the .RIDS. (b) One copy should be maintained by the local records officer, or other official responsible for the records disposition program of the organization. This copy can be used to measure progress in developing RIDS and determining which offices remain to be covered. It also can be used to monitor their application in offices of custody and records holding areas. d. Applying RIDS. (1) The approved RIDS is an established records control schedule for the destruction, retirement, or transfer of records to storage after the time intervals indicated on the schedule. As such, those actions should be performed at the commencement of the RIDS program initially and periodically thereafter. (2) Too much time spent in applying schedules can reduce program savings. Some considerations in applying the schedules are: (a) Records need not be destroyed at the exact time their retention period ends. (b) Disposal and transfer should be accomplished annually or semi­ annually, rather than more frequently. (c) A different timetable may be necessary if records accumulate rapidly. (d) Records may accumulate so slowly that annual transfers are not warranted. (e) Application of the schedules should avoid interference with current operations. Records should be transferred during slack periods if possible. e. Disposal. (1) Method. (a) Unclassified records are disposed of upon the expiration of the authorized retention periods by maceration, shredding, II 1-16 DOE 1324.2 5-28-80 landfill, burial, or by sale as waste paper. Classified or privileged records shall be shredded, macerated, or otherwise rendered illegible. Contracts for the sale of records as waste paper shall contain a provision prohibiting their resale or use as records or documents. (b) All classified records shall be disposed of in accordance with security regulations.

(2) Responsibility. The responsibility for authorizing the physical disposal of records belongs to the original office of custody. All records transferred to records holding areas or to Federal Records Centers must be scheduled before they will be accepted for storage. Records holding area or Federal Records Center personnel provide notice to the original office of custody when records have become eligible for disposal. At that time the original office of custody may either authorize the disposal of the records or, if there is sufficient justification, defer disposal. If the original office of custody does not respond to the notice within 90 days, it will be assumed that disposal is authorized. f. Deferred Disposals. Records pertaining to current or pending litigation and investigations, pending Freedom of Information (FOI) matters, or to exceptions taken by the General Accounting Office, shall be retained until the litigation is settled, the FOI matter resolved, or the GAO exception is cleared. If such cases exist, and involve records otherwise eligible for disposal, the specific records should be removed from the filing unit and retained in a suspense file until the matters in controversy are settled. RIDS should then be applied to the remaining items. Original offices of custody should make certain that there are no such cases pending before authorizing the disposal of the records. 10. APPLICATION OF RETENTION PERIODS. Retention periods are applied in terms of filing units - not individual file items within a filing unit. For example, if a retention period is established as 1 year for a specific filing unit, it obviously would be impractical to screen the records each day and dispose of each document which had become 365 days old. The disposal date of each filing unit is calculated from the most recent date of a file item within the filing unit, as of the date of the commencement of the RIDS program. Implicit in a 1 year retention period is "1 year plus the remainder of the current year. II a. Initial Application. After a RIDS has been approved, all disposable records s~ou1d be removed from the files and disposed of at once. For some organizations which have not had a records disposition program, the volume of records subject to initial disposal may be much greater than those to be retained, especially if the files have been established for several years. After the initial disposals have been made, the remaining records which are eligible for retirement (transfer to storage) should be removed from the files and retired immediately. II 1-16 DOE 1324.2 5-28-80 landfill, burial, or by sale as waste paper. Classified or privileged records shall be shredded, macerated, or otherwise rendered illegible. Contracts for the sale of records as waste paper shall contain a provision prohibiting their resale or use as records or documents. (b) All classified records shall be disposed of in accordance with security regulations. (2) Responsibility. The responsibility for authorizing the physical disposal of records belongs to the original office of custody. All records transferred to records holding areas or to Federal Records Centers must be scheduled before they will be accepted for storage. Records holding area or Federal Records Center personnel provide notice to the original office of custody when records have become eligible for disposal. At that time the original office of custody may either authorize the disposal of the records or, if there is sufficient justification, defer disposal. If the original office of custody does not respond to the notice within 90 days, it will be assumed that disposal is authorized.

f. Deferred Disposals. Records pertaining to current or pending litigation and investigations, pending Freedom of Information (FOI) matters, or to exceptions taken by the General Accounting Office, shall be retained until the litigation is settled, the FOI matter resolved, or the GAO exception is cleared. If such cases exist, and involve records otherwise eligible for disposal, the specific records should be removed from the filing unit ~ and retained in a suspense file until the matters in controversy are 1 settled. RIDS should then be applied to the remaining items. Original offices of custody should make certain that there are no such cases pending before authorizing the disposal of the records. 10. APPLICATION OF RETENTION PERIODS. Retention periods are applied in terms of filing units - not individual file items within a filing unit. For example, if a retention period is established as 1 year for a specific filing unit, it obviously would be impractical to screen the records each day and dispose of each document which had become 365 days old. The disposal date of each filing unit is calculated from the most recent date of a file item within the filing unit, as of the date of the commencement of the RIDS program. Implicit in a 1 year retention period is "1 year plus the remainder of the current year. II a. Initial A~plication. After a RIDS has been approved, all disposable records s ou1d be removed from the files and disposed of at once. For some organizations which have not had a records disposition program, the volume of records subject to initial disposal may be much greater than those to be retained, especially if the files have been established for several years. After the initial disposals have been made, the remaining records which are eligible for retirement (transfer to storage) should be removed from the files and retired immediately. DOE 1324.2 5-28-80 IIl-17 r r b. Periodic A~plications. After the initial application of the RIDS, a specified bme shoUld be established for their subsequent reapplication. In most instances RIDS are applied at 1 year intervals such as the end of a calendar year or fiscal year when the files are cut off. If the rate of accumulation of a filing unit is high, the RIDS may be applied more frequently such as quarterly or semiannually. Conversely, if the volume is small, a 2-year interval may be established. (1) Retention periods in terms of months, such as 3 months or 6 months, may be applied each month if the volume warrants such action. For example, if the retention period for a monthly report is 3 months, the January report can be disposed of when the April report is filed, the February report when the May report is filed. This results in a continuous purging of the file, and the file will never contain more than a 4-month collection of the reports in this example. (2) Retention periods based on the occurrence of an event are applied literally without regard to complete years. Thus a period of "6 years after final settl ement of a contract" means that if fi nal settlement of a contract occurred on 3-1-80, the disposal of the contract and related correspondence would be scheduled for 3-1-86. In this example, the contract when settled, should be removed from the active files for ultimate transfer to storage until the expira­ tion of its retention period. 11. APPRAISAL - DEVELOPMENT OF NEW STANDARDS.

a. Retention standards for the majority of the filing units of DOE and its contractors have been established and are contained in attachment 1 of chapters IV and V. Occasionally, however, there will be an inventory item which cannot be matched up with an authorized standard. These filing units should be identified on the inventory with lito be developed" posted in column 7 of the RIDS form. b. In these instances, as well as for new filing units which have come into being subsequent to the inventory, a recommendation for a new standard should be initiated. The recommended retention standards, when approved internally in DOE, by GAO when appropriate, and by NARS, will become DOE-wide standards unless the filing units are unique to the organization, in which case they are made applicable to that organization, only. (1) Local Actions. (a) Form DOE AO-331, "Records Retenti on and Oi sposal Authori zati on" (attachment 111-2) is the form used to initiate a request for a new records retention standard. The organization which has custody of an unscheduled filing unit prepares a Form DOE AD-331. The original and a duplicate, approved locally, are r r DOE 1324.2 5-28-80 IIl-17 b. Periodic A~plications. After the initial application of the RIDS, a specifiedlme shoUld be established for their subsequent reapplication. In most instances RIDS are applied at 1 year intervals such as the end of a calendar year or fiscal year when the files are cut off. If the rate of accumulation of a filing unit is high, the RIDS may be applied more frequently such as quarterly or semiannually. Conversely, if the volume is small, a 2-year interval may be established. (1) Retention periods in terms of months, such as 3 months or 6 months, may be applied each month if the volume warrants such action. For example, if the retention period for a monthly report is 3 months, the January report can be disposed of when the April report is filed, the February report when the May report is filed. This results in a continuous purging of the file, and the file will never contain more than a 4-month collection of the reports in this example. (2) Retention periods based on the occurrence of an event are applied literally without regard to complete years. Thus a period of u6 years after final settl ement of a contractU means that if fi nal settlement of a contract occurred on 3-1-80, the disposal of the contract and related correspondence would be scheduled for 3-1-86. In this example, the contract when settled, should be removed from the active files for ultimate transfer to storage until the expira­ tion of its retention period. 11. APPRAISAL - DEVELOPMENT OF NEW STANDARDS. a. Retention standards for the majority of the filing units of DOE and its contractors have been established and are contained in attachment 1 of chapters IV and V. Occasionally, however, there will be an inventory item which cannot be matched up with an authorized standard. These filing units should be identified on the inventory with lito be developedu posted in column 7 of the RIDS form. b. In these instances, as well as for new filing units which have come into being subsequent to the inventory, a recommendation for a new standard should be initiated. The recommended retention standards, when approved internally in DOE, by GAO when appropriate, and by NARS, will become DOE-wide standards unless the filing units are unique to the organization, in which case they are made applicable to that organization, only.

(1) Local Actions. (a) Form DOE AO-331, uRecords Retenti on and Oi sposal Authori zati on" (attachment 111-2) is the form used to initiate a request for a new records retention standard. The organization which has custody of an unscheduled filing unit prepares a Form DOE AD-331. The original and a duplicate, approved locally, are 111-18 DOE 1324.2 5-28-80 sent to the Director of Organization and Management Systems. When necessary for clarification of the description or purpose of the filing unit, a sample or facsimile thereof may be attached to the form to facilitate approvals. (b) A separate Form DOE AD-331 should be prepared for each filing unit. It is not advisable to combine two or more filing units on a single Form DOE AD-331 even though they may be related by subject or function. Form DOE AD-331 is sent to Headquarters only when it is necessary to establish a new standard or to change an existing standard. (c) Forms DOE AD-331 should be prepared for filing units only. They should not be prepared for file items within filing units. (d) Since most Form DOE AD-331's request authorization to destroy records, it is essential that the filing unit be fully described, including all of the facts relied on in the appraisal process to support the proposed retention period. If more space is required for descriptive and appraisal data, the reverse side of the form or supplemental pages may be used. In describing records, the language or terms used should be meaningful. Abbreviations, code names, or local expressions for activities, programs, or processes should be avoided. (2) Headquarters Actions. (a) Forms DOE AD-331 are examined at Headquarters for conformance with established policies, regulations, and statutes, coor­ dinated with interested Headquarters organizations, and reviewed by the Office of the General Counsel. Unless the filing unit is unique to the SUbmitting organization, the request for disposal authorization may be expanded to cover similar records wherever they are located. Headquarters also obtains required GAO concurrences and the approval of NARS. (b) When the authorizations are obtained, they are posted to the AD-331's, and the originals are returned to the SUbmitting organization. If the authorizations are applicable to other DOE and DOE contractor organizations, as well as the originating organizations, all of the organizations' having custo~ of such records are notified. Approved DOE-wide records standards are published in this order periodically. Pending publication, the distributed authorizations may be used, wherever applicable. (3) Appraisal Procedures. Appraisal is the evaluation of filing units to determine whether they have permanent or temporary values and, if temporary, how long they should be retained. Through the appraisal 111-18 DOE 1324.2 5-28-80 sent to the Director of Organization and Management Systems. When necessary for clarification of the description or purpose of the filing unit, a sample or facsimile thereof may be attached to the form to facilitate approvals. (b) A separate Form DOE AD-331 should be prepared for each filing unit. It is not advisable to combine two or more filing units on a single Form DOE AD-331 even though they may be related by subject or function. Form DOE AD-331 is sent to Headquarters only when it is necessary to establish a new standard or to change an existing standard. (c) Forms DOE AD-331 should be prepared for filing units only. They should not be prepared for file items within filing units.

(d) Since most Form DOE AD-331's request authorization to destroy records, it is essential that the filing unit be fully described, including all of the facts relied on in the appraisal process to support the proposed retention period. If more space is required for descriptive and appraisal data, the reverse side of the form or supplemental pages may be used. In describing records, the language or terms used should be meaningful. Abbreviations, code names, or local expressions for activities, programs, or processes should be avoided. (2) Headquarters Actions. (a) Forms DOE AD-331 are examined at Headquarters for conformance with established policies, regulations, and statutes, coor­ dinated with interested Headquarters organizations, and reviewed by the Office of the General Counsel. Unless the filing unit is unique to the submitting organization, the request for disposal authorization may be expanded to cover similar records wherever they are located. Headquarters also obtains required GAO concurrences and the approval of NARS. (b) When the authorizations are obtained, they are posted to the AD-331's, and the originals are returned to the submitting organization. If the authorizations are applicable to other DOE and DOE contractor organizations, as well as the originating organizations, all of the organizations' having custo~ of such records are notified. Approved DOE-wide records standards are published in this order periodically. Pending publication, the distributed authorizations may be used, wherever applicable. (3) Appraisal Procedures. Appraisal is the evaluation of filing units to determine whether they have permanent or temporary values and, if temporary, how long they should be retained. Through the appraisal ~r DOE 1324.2 5-28-80 II I -19 process retention standards are developed for unscheduled filing units. The appraisal process also is used in shortening or length­ ening existing retention standards, if warranted. In appraising filing units, consideration is given to existing standards, and to the administrative, financial, legal, scientific, research, and historical value to the Government, or to the public. r (a) (b) (c) Existing Standards. DOE and DOE contractor records schedules often provide practical guidance in developing retention stan­ dards for similar or related records. They should be used in the appraisal process to maintain consistency in the establish­ ment of retention standards. Administrative Value. Records have this value if they help an organization to carry out its responsibilities. The time during which the value exists may be long or short. The frequency and purpose of reference normally indicate administrative value and for many filing units provide sufficient appraisal data for establishing retention standards. Some filing units possess continuing administrative values and should be designated for long-term or even permanent retention, even though reference to them is infrequent. In this group are those records which document the development of DOE policies, programs, and procedures, and those reflecting the organization of DOE and its components. The master set of directives at DOE Headquarters, for example, is designated for permanent retention. Financial Value. Financial records include budget records which show how expenditures were planned. Included also may be accounting voucher or expenditure filing units of several kinds which document the purposes for which DOE funds were spent. Most financial records are transaction files which have tempo­ rary value (6 years or less). Financial records relating to the development of financial policy may have long term or even permanent value.

1 An ,important consideration in assessing the financial value of records is their need for audit purposes. A 3-year retention standard for such records will usually suffice. ' 2 Proposed retention standards for all contractor records are submitted to the General Accounting Office (GAO) for concur­ rence. GAO approval also is obtained for the following DOE filing units if ,the retention periods being recommended are shorter than those prescribed fn the General Records Schedules: ~ r r DOE 1324.2 5-28-80 II I -19 process retention standards are developed for unscheduled filing units. The appraisal process also is used in shortening or length­ ening existing retention standards, if warranted. In appraising filing units, consideration is given to existing standards, and to the administrative, financial, legal, scientific, research, and historical value to the Government, or to the public. (a) (b) (c) Existing Standards. DOE and DOE contractor records schedules often provide practical guidance in developing retention stan­ dards for similar or related records. They should be used in the appraisal process to maintain consistency in the establish­ ment of retention standards. Administrative Value. Records have this value if they help an organization to carry out its responsibilities. The time during which the value exists may be long or short. The frequency and purpose of reference normally indicate administrative value and for many filing units provide sufficient appraisal data for establishing retention standards. Some filing units possess continuing administrative values and should be deSignated for long-term or even permanent retention, even though reference to them is infrequent. In this group are those records which document the development of DOE poliCies, programs, and procedures, and those reflecting the organization of DOE and its components. The master set of directives at DOE Headquarters, for example, is designated for permanent retention. Financial Value. Financial records include budget records which show how expenditures were planned. Included also may be accounting voucher or expenditure filing units of several kinds which document the purposes for which DOE funds were spent. Most financial records are transaction files which have tempo­ rary value (6 years or less). Financial records relating to the development of financial policy may have long term or even permanent value. 1 An ,important consideration in assessing the financial value of records is their need for audit purposes. A 3-year retention standard for such records will usually suffice. . 2 Proposed retention standards for all contractor records are submitted to the General Accounting Office (GAO) for concur­ rence. GAO approval also is obtained for the following DOE filing units if ,the retention periods being recommended are shorter than those prescribed fn the General Records Schedules: 111-20 DOE 1324. 2 5-28-80 a Payroll and pay administration; b Procurement and supply; c Property disposal; d Budget preparation, presentation, and apportionment; e Accountable officers· accounts; f Expenditure accounting; i Stores, plant, and cost accounting; h Travel and transportation; i Motor vehicle maintenance and operation; j All program records whose proposed retention period is 3 years or less. GAO will not approve or disapprove proposed retention periods for program records which are longer than 3 years, but it will occasionally suggest shorter retention periods consonant with good records management practices.

(4) Legal Value. (a) Records have legal value if they contain evidence of legally enforceable rights or obligations of the Government. Among those obligations are the legal rights of persons to make claims against the Government. Records having legal value include but are not limited to: 1 Legal decisions and opinions. 2 Documents involving legal agreements, such as deeds, leases, titles, and contracts. 3 Evidence of actions in particular cases such as claim papers and legal dockets. (b) In assessing the legal value of records, the probability of the records in question being needed as evidence should be considered. Statutes of limitation are not necessarily controlling factors in the establishment of retention periods. For example, contractors paid payroll checks are disposable after 3 years even though in most jurisdictions the applicable 111-20 a Payroll and pay administration; b Procurement and supply; c Property disposal; DOE 1324. 2 5-28-80 d Budget preparation, presentation, and apportionment; e Accountable officers· accounts; f Expenditure accounting; i Stores, plant, and cost accounting; h Travel and transportation; i Motor vehicle maintenance and operation; j All program records whose proposed retention period is 3 years or less. GAO will not approve or disapprove proposed retention periods for program records which are longer than 3 years, but it will occasionally suggest shorter retention periods consonant with good records management practices. (4) Legal Value. (a) Records have legal value if they contain evidence of legally enforceable rights or obligations of the Government. Among those obligations are the legal rights of persons to make claims against the Government. Records having legal value include but are not limited to: 1 Legal decisions and opinions. 2 Documents involving legal agreements, such as deeds, leases, titles, and contracts. 3 Evidence of actions in particular cases such as claim papers and legal dockets. (b) In assessing the legal value of records, the probability of the records in question being needed as evidence should be considered. Statutes of limitation are not necessarily controlling factors in the establishment of retention periods. For example, contractors paid payroll checks are disposable after 3 years even though in most jurisdictions the applicable DOE 1324.2 5-28-80 I II-21 (5 ) .~ , \ statute of limitations is 6 years. In this instance, experience shows that controversies and claims over the payment of wages and salaries arise in a matter of hours or days, not years. The cost of storing the records for 6 years would clearly exceed any benefits to the Government. Historical Value. Records have historical value if they preserve a reasonable portrait of significant past events. Historical records include those reflecting significant decisions or events in energy development, regulation, and management. Of special value are records related to events that aroused extensive public interest or controversy. Records may be of historical value if they describe the origin, organization, procedures, and functions of major DOE programs. Records of historical value are often found .in files containing Presidential or White House correspondence; correspondence with Members of Congress, Congressional committees, Cabinet Secretaries, heads of agencies, and prominent citizens; internal correspondence with Heads of Departmental Elements, and other key DOE officials; background material in significant policy or operational studies; office diaries and logs; notes or records of meetings or telephone conversations by Heads of Departmental Elements; memoires; and transcripts of interviews.

(6) Volume. While volume has nothing to do with the administrative, financial, legal, or other criteria used in the appraisal process, volume should be taken into account when establishing retention periods for filing units which accumulate at a rapid rate and occupy considerable filing and storage space. Cost reduction or cost avoidance in maintaining and storing records is an important objec­ tive of the records disposition program. In establishing retention standards for high volume records, the cost of retaining them should be weighed against potential benefits derived therefrom. If such costs significantly outweigh potential benefits, an element of calculated risk should be considered in establishing retention standards. It is not necessary for records to be completely value­ less in order for them to be disposed of. NARS is authorized to approve standards for records that apparently will not, after the elapse of the period specified, have sufficient administrative, legal, research, or other value to warrant their further preservation by the Government. 12. RETENTION PERIODS. a. Retention periods indicate whether filing units are permanent or temporary. If the filing units are temporary, retention periods prescribe how long the filing units must be retained before they are eligible for destruction. Retention periods should be stated in short, simple, understandable terms, whether they are on DOE Form AD-331 or DOE Form AD-384 • . ~ , \ DOE 1324.2 5-28-80 (5 ) I II-21 statute of limitations is 6 years. In this instance, experience shows that controversies and claims over the payment of wages and salaries arise in a matter of hours or days, not years. The cost of storing the records for 6 years would clearly exceed any benefits to the Government. Historical Value. Records have historical value if they preserve a reasonable portrait of significant past events. Historical records include those reflecting significant decisions or events in energy development, regulation, and management. Of special value are records related to events that aroused extensive public interest or controversy. Records may be of historical value if they describe the origin, organization, procedures, and functions of major DOE programs. Records of historical value are often found .in files containing Presidential or White House correspondence; correspondence with Members of Congress, Congressional committees, Cabinet Secretaries, heads of agencies, and prominent citizens; internal correspondence with Heads of Departmental Elements, and other key DOE officials; background material in significant policy or operational studies; office diaries and logs; notes or records of meetings or telephone conversations by Heads of Departmental Elements; memoires; and transcripts of interviews. (6) Volume. While volume has nothing to do with the administrative, financial, legal, or other criteria used in the appraisal process, volume should be taken into account when establishing retention periods for filing units which accumulate at a rapid rate and occupy considerable filing and storage space. Cost reduction or cost avoidance in maintaining and storing records is an important objec­ tive of the records disposition program. In establishing retention standards for high volume records, the cost of retaining them should be weighed against potential benefits derived therefrom. If such costs significantly outweigh potential benefits, an element of calculated risk should be considered in establishing retention standards. It is not necessary for records to be completely value­ less in order for them to be disposed of. NARS is authorized to approve standards for records that apparently will not, after the elapse of the period specified, have sufficient administrative, legal, research, or other value to warrant their further preservation by the Government.

12. RETENTION PERIODS. a. Retention periods indicate whether filing units are permanent or temporary. If the filing units are temporary, retention periods prescribe how long the filing units must be retained before they are eligible for destruction. Retention periods should be stated in short, simple, understandable terms, whether they are on DOE Form AO-331 or DOE Form AD-384 • 111-22 DOE 1324,2 5-28-80 b. Retention periods for temporary filing units, when concurred in by appropriate DOE organizations and GAO, and when approved by NARS, are continuing authorizations to destroy the filing units covered by the· standards after the elapse of the specific periods of time, or, in some cases, after a fixed period following the occurrence of a predictable event. c. Retention periods for temporary filing units can be expressed in one of two ways: (1) A fixed period after the creation of the filing unit. For example, the phrase 112 years" means destroy the given fil ing unit 2 years following its creation. The destruction date of each filing unit is calculated from the date of the latest file item in the filing unit. (2) A fixed period after the occurrence of a predictable event. The wording depends on the kind of event involved and is usually preceded by a time period such as 116 years after fi nal payment. II Exampl es are: (a) IIAfter completion" (as of a study, project, or audit). (b) "After sal e or transfer ll (as of personal or real property). (c) "After publication" (as of an annual report). (d) "After supersession ll (as of a directive). (e) IIAfter revision or cancellation" (as of a directive or report). (f) IIAfter expiration" (as of a program). (g) IIAfter acceptance or rejection" (as of an application). (h) "After auditll (as of accounts). (1) IIAfter settl ement" (as of accounts or a cl aim). (j) IIAfter acceptance ll (as of a bid or recommendation). (k) "After the close of the fiscal year" (as of some fiscal filing units) • (1) "After final payment ll (as of a contract). (m) "After transfer" (as of an employee). ~ I y ~t, .'", 111-22 DOE 1324,2 5-28-80 b. Retention periods for temporary filing units, when concurred in by appropriate DOE organizations and GAO, and when approved by NARS, are continuing authorizations to destroy the filing units covered by the· standards after the elapse of the specific periods of time, or, in some cases, after a fixed period following the occurrence of a predictable event. c. Retention periods for temporary filing units can be expressed in one of two ways: (1) A fixed period after the creation of the filing unit. For example, the phrase "2 years" means destroy the given fil ing unit 2 years foll owi ng its creation. The destruction date of each filing uni tis calculated from the date of the latest file item in the filing unit. (2) A fixed period after the occurrence of a predictable event. The wording depends on the kind of event involved and is usually preceded by a time period such as "6 years after fi nal payment. II Exampl es are: (a) "After completion" (as of a study, project, or audit). (b) "After sal e or transfer" (as of personal or real property). (c) "After publication" (as of an annual report). (d) "After supersession" (as of a directive). (e) "After revision or cancellation" (as of a directive or report). (f) "After expiration" (as of a program). (g) "After acceptance or rejection" (as of an application). (h) "After audit" (as of accounts).

(1) "After settl ement" (as of accounts or a cl aim). (j) "After acceptance" (as of a bid or recommendation). (k) "After the close of the fiscal year" (as of some fiscal filing units) • (1) "After final payment" (as of a contract). (m) "After transfer" (as of an employee). ~ I y ~t, .'" , d. Other specific wording depends on the nature of the action involved. Some retention periods provide a disposal period based on the likeli­ hood that two different events in the future may affect a filing unit. In those cases one event governs the disposal if it occurs sooner or if it occurs later than another event. An event also may be associated with a fixed time period. Examples follow: (1) "When property is sold or when it is vacated, whichever is 1ater." (2) "Two years after the date of survey action or date of posting, whichever is earlier." r ODE 1324.2 5-28-80 111-23 e. In establishing retention periods beginning with or ending upon the occurrence of a predictable event, care must be taken to assure that the event will occur, and that its occurrence can be objectively determined and verified. Events such as "when the filing unit becomes inactive," or "when no longer needed" are not used since these events cannot be exactly predicted. Moreover, most records are disposed of only after they become inactive and when no longer needed. f. Events which are not 1i ke1y to occur at all, such as "when the regu1 atory program is discontinued," should be avoided. Retention periods which may occur only as individuals wish them to occur, such as "3 years after retirement to storage," also should be avoided. Retention periods are never based on the retirement of records. 13. PERMANENT RECORDS. a. The word "permanent" as applied to a r~tention standard for a fi1 ing unit means l archiva1." Only about 5 percent of the records of the Federal Government are designated for permanent retention. Lengthy retention periods are not equivalent to permanent. The label "permanent" can be applied to a filing unit only when the filing unit has been so designated by NARS. Table 4, "Permanent Records Appraisal Guidelines," in the GSA-NARS records management handbook "Disposition of Federal Records," is an authoritative guide for the identification and appraisal of filing units believed to have permanent value. This handbook has been distri­ buted to DOE officials having records management responsibilities. b. DOE Form AO-331 is also used for filing units believed to have permanent value. When approved by NARS, permanent filing units will be included in the applicable sections of DOE and contractor records schedules. c. Filing units recommended for permanent retention by DOE, in which NARS indicates it has no interest, shall be assigned retention periods based on DOE requirements, and DOE Form AD-331 shall be resubmitted to Headquarters for reprocessing. r ODE 1324.2 5-28-80 111-23 d. Other specific wording depends on the nature of the action involved. Some retention periods provide a disposal period based on the likeli­ hood that two different events in the future may affect a filing unit. In those cases one event governs the disposal if it occurs sooner or if it occurs later than another event. An event also may be associated with a fixed time period. Examples follow: (1) "When property is sold or when it is vacated, whichever is 1 ater. II (2) "Two years after the date of survey action or date of posting, whichever is ear1ier."

e. In establishing retention periods beginning with or ending upon the occurrence of a predictable event, care must be taken to assure that the event will occur, and that its occurrence can be objectively determined and verified. Events such as "when the filing unit becomes inactive," or "when no longer needed ll are not used since these events cannot be exactly predicted. Moreover, most records are disposed of only after they become inactive and when no longer needed. f. Events which are not 1 i kely to occur at all, such as "when the regu1 atory program is discontinued," should be avoided. Retention periods which may occur only as individuals wish them to occur, such as "3 years after retirement to storage,lI also should be avoided. Retention periods are never based on the retirement of records. 13. PERMANENT RECORDS. a. The word "permanent" as applied to a r~tention standard for a fi1 ing unit means "archival." Only about 5 percent of the records of the Federal Government are designated for permanent retention. Lengthy retention periods are not equivalent to permanent. The label "permanent" can be applied to a filing unit only when the filing unit has been so designated by NARS. Table 4, IIPermanent Records Appraisal Guide1ines," in the GSA-NARS records management handbook "Disposition of Federal Records,lI is an authoritative guide for the identification and appraisal of filing units believed to have permanent value. This handbook has been distri­ buted to DOE officials having records management responsibilities. b. DOE Form AO-331 is also used for filing units believed to have permanent value. When approved by NARS, permanent filing units will be included in the applicable sections of DOE and contractor records schedules. c. Filing units recommended for permanent retention by DOE, in which NARS indicates it has no interest, shall be assigned retention periods based on DOE requirements, and DOE Form AD-331 shall be resubmitted to Headquarters for reprocessing. :- v P E ; - • t ~ ~ ~ ,,_ ..... r ,.,. ~ -. '_J (~',j 7" ___' ~ :_ - ..it. ~" ..p~.' ,-.'~. ~. "._ ~ T ~ ".£ ._------------~ 14. ~ ·--~-··-~··-I·--·--"T-~----·-- I I I I ; DISPOSAL OF DISCONTINUED FILES. Discontinued files are records which have ceased to! accumulate and which may have insufficient values to warrant further retention. Authorization for the disposal of unscheduled discontinued files is requested u'sing DOE Form AD-331, in the same manner as for the establish­ ment of new st'andards. The difference is that the authorization provided is for one-time use, as opposed to the continuing authorization provided when new standards are established. 15. AUTOMATIC DATA PROCESSING (ADP) MACHINE-READABLE RECORDS. r a. Records generated in machine-readable form by automatic data processing machines are included in the statutory definition of records. Retention standards ~re contained in this Order, most of them in Records Schedule 20. A RIDS should be prepared and distributed for each computer­ based, system. b. RIDS for ADP machine-readable records generated by computer-based systems should be established at the time the systems are designed. The analyst, in consultation with the user, with records management guidance, and with audit guidance where necessary, should prepare DOE Form AD-384, or its equivalent, as part of the formal documentation supporting each system.

c. An important consideration in establishing retention periods for nonrecord ' material is to provide the ability to reconstruct or restart a system at an economical point in the event of data loss at a higher level of processi ng. A system commonly known as the "Grandfather System" provides an acceptable margin of safety. This system provides for the retention of three' generations of selected tapes; the first generation is erased after the successful completion of the fourth processing cycle (each cycle creates a new generation). 16. MICROFILM PROJECTS. b. a. There are instances when microfilming records is a sound course of action in the records disposition program, although microfilming solely to save i storage costs seldom can be justified. Each microfilm project of signifi­ cant size ($50,000 or more per year to implement and operate) should be preceded by a cost benefit study to make sure that the project is clearly to the advantage of the Government. Care should also be taken to ensure that the microfilm copies produced will be adequate substitutes for the original records and will serve the purposes for which such records were created and maintained. i NARS appro~al is required prior to establishing a microfilm project that I has. a!"ong p~s.Qbje.ctive!;,_ tha.t ~t ~estroyingoriginal records prior to the'...­ expiration1of their authorized retention period. The DOE Form AD-331 proce~ure 4s used to request approval of such a project (see page 111-17, i paragraph 11). The DOE Form AD-331 must contain a description of the ' I I Ir Vertical ,line' denotes change. ~ .J. __ ~_ __ "'. _~ __ .._ .• ulHf:criVE TYPP'JG (,,!IDE rVfN " .. ,,[ 14. :- v P E ,-. t ~ ~ ~ • _ ..... r ,.,. ~ •• ' _J I ~ ",j 7" _--,' ~ :_ A.H. ~A .. p~., ,-." ~ ~. -.0 ~T ~ -.£ ~ --~-·-~·-I·--·--"T-~------ .----. ---- ~ I I I : I ; I DISPOSAL OF DISCONTINUED FILES. Discontinued files are records which have : ceased to! accumulate and which may have insufficient values to warrant further I retent i on. Authorization for the di sposal of unschedul ed di scontinued fi 1 es . is requested u'sing DOE Form AD-331, in the same manner as for the establish­ ment of new st'andards. The difference is that the authorization provided is for one-time use, as opposed to the continuing authorization provided when new standards are established. 15. AUTOMATIC DATA PROCESSING (ADP) MACHINE-READABLE RECORDS. r a. Records generated in machine-readable form by automatic data processing machines are included in the statutory definition of records. Retention standards ~re contained in this Order, most of them in Records Schedule 20. A RIDS should be prepared and distributed for each computer­ based. system. b. RIDS for ADP machine-readable records generated by computer-based systems should be established at the time the systems are designed. The analyst, in consultation with the user, with records management guidance, and with audit guidance where necessary, should prepare DOE Form AD-384, or its equivalent, as part of the formal documentation supporting each system. c. An important consideration in establishing retention periods for nonrecord . material is to provide the abil ity to reconstruct or restart a system at an economical point in the event of data loss at a higher level of processi ng. A system commonly known as the "Grandfather System" provides an acceptable margin of safety. This system provides for the retention of three· generations of selected tapes; the first generation is erased after the successful completion of the fourth processing cycle (each cycle creates a new generation).

16. MICROFILM PROJECTS. ~ r'·· a. There are instances when microfilming records is a sound course of action in the records disposition program, although microfilming solely to save i storage costs seldom can be justified. Each microfilm project of signifi­ cant size ($50,000 or more per year to implement and operate) should be preceded by a cost benefit study to make sure that the project is clearly to the advantage of the Government. Care should also be taken to ensure that the microfilm copies produced will be adequate substitutes for the original records and will serve the purposes for which such records were created and maintained. i b. NARS appro~al is required prior to establishing a microfilm project that I has. a!"ong p~s.Qbje.ctive!i,_ th~t_ ~f. ~estroyi ngoriginal records prior to the: ____ expiration1of their authorized retention period. The DOE Form AD-331 proce~ure 4s used to request approval of such a project (see page 111-17, paragraph 11). The DOE Form AD-331 must contain a description of the ; I I ulHf:criVE TYPfI'JG ("Jlor rVfN ,,;",,[ DOE 1324.2 Chg 1 7-2-81 111-25 proposed indexing method, identification, and arrangement of the microfilmed records. It also must include the certifications required in paragraphs 5b and 5d of DOE 1300.1, MICROGRAPHICS MANAGEMENT of 5-19-80. 17. DISPOSAL OF SECRET DOCUMENTS. a. Protection of and accountability for the control of secret documents involve sizeable costs in terms of manpower, space, and filing equipment within the DOE complex. Attention is required to prevent secret documents from being retained long after they have served their useful purpose. Although classified documents are subject to the same retention standards as unclassified documents, their disposition involves a special effort because of security requirements. Appropriate efforts should be made to assure that retention standards are applied and that nonrecord extra copies of secret documents are promptly disposed of when no longer needed. r' ~ Vertical line denotes change. r' DOE 1324.2 Chg 1 7-2-81 111-25 proposed indexing method, identification, and arrangement of the microfilmed records. It also must include the certifications required in paragraphs 5b and 5d of DOE 1300.1, MICROGRAPHICS MANAGEMENT of 5-19-80. 17. DISPOSAL OF SECRET DOCUMENTS. a. Protection of and accountability for the control of secret documents involve sizeable costs in terms of manpower, space, and filing equipment within the DOE complex. Attention is required to prevent secret documents from being retained long after they have served their useful purpose. Although classified documents are subject to the same retention standards as unclassified documents, their disposition involves a special effort because of security requirements. Appropriate efforts should be made to assure that retention standards are applied and that nonrecord extra copies of secret documents are promptly disposed of when no longer needed. ~ Vertical line denotes change. 11 1-2p DOE 1324~~2 _ 5-28-80 b. Steps tha~ might be taken to reduce holdings of secret documents are: (I) (2 ) Revi~w control and accountability records to determine the age of documents in the collection. Most records are disposable in 6 years or less. Conduct periodic reviews of files containing secret documents to determine the need for. and the use made of. such records. (4 ) (3 ) Assure that secret documents are not interfiled with unclassified records unless at least 80 percent of the documents are secret.

Critically eval uate requi sitions for security-type fil ing equi pment to assure present equipment is being properly utilized for the storage of classified documents. 18. RETIREMENT STANDARDS. In establishing retirement periods for filing units. consideration should be given to the factors of frequency of reference. nature of reference. established retention standards. filing arrangement. and the volume of the filing unit. a. Retirement Period. (I) Generally the frequency of reference provides a good measure for the timing of transfers to storage or the establishment of retirement periods. Filing units should be retired when reference frequency diminishes sufficiently to permit their removal without impairing current operations. (3 ) ...".. .. (2) As a general rule. filing units having less than one reference per file drawer per month should be retired. Large filing units with a much higher frequency of reference may be retired if their further retention in the office affects the quantity of filing equipment. Accessibility of the records holding area. frequency of reference. and urgency of reference are criteria used in establishing earlier retirement periods for voluminous filing units. Completed case files of voluminous filing units may be retired soon after the case is closed. An example of early retirement is the Personnel Security Clearance Case Files. one of the largest filing units of DOE. Each time a case is closed. the case is removed from the active file. and held in the office until a few cubic feet i have accumulated. and then retired to storage to be held until the ' expiration of the retention period. This technique can be applied to; many types of case fi 1es. It reduces fi 1e equi pment and space needs. ; .and k,eeps the fi 1i ng unit to~manageabJe propo rt ions • ! ..__._ .._......_~__ . L t- ~ ~_•._. ~_~__ .• ,. , _ UlflECTlvr rYPI~jG '-iUIDE EVEN I'.\GE T·'/~..)f i~.,[".TIF-ICA':'"·~I"'" ...... '. ,"";;~. if';"" 11 1-2p DOE 1324-&. ..... 2 __ _ 5-28-80 b. Steps tha~ might be taken to reduce holdings of secret documents are: (1) (2 ) (3 ) (4 ) Revi~w control and accountability records to determine the age of documents in the collection. Most records are disposable in 6 years or less. Conduct periodic reviews of files containing secret documents to determine the need for, and the use made of, such records. Assure that secret documents are not interfiled with unclassified records unless at least 80 percent of the documents are secret. Critically eval uate requi sitions for security-type fil ing equi pment to assure present equipment is being properly utilized for the storage of classified documents. 18. RETIREMENT STANDARDS. In establishing retirement periods for filing units, consideration should be given to the factors of frequency of reference, nature of reference, established retention standards, filing arrangement, and the volume of the filing unit. . .."... .. a. Retirement Period. (1) Generally the frequency of reference provides a good measure for the timing of transfers to storage or the establishment of retirement periods. Filing units should be retired wh