DOE O 1324.2A Chg 1, Records Disposition

U.S. Department of Energy Washington,D.C. I DOE 1324.2A I 9-13-88 Change 1: 4-9-92 SUBJECT: RECORDS DISPOSITION 1. 2. 3. 4. 5. 6. 7. 8. PURPOSE. To assign responsibilitiesand authorities and to prescribe policies, procedures, standards, and guidelines for the orderly disposition of records of the Department of Energy (DOE) and its management and operating contractors. CANCELLATION. DOE 1324.2, RECORDS DISPOSITION, of 5-28-80. SCOPE. The provisions of this Order apply to all Departmental Elements and contractors performing work for the Department as provided by law and/or contract and as implemented by the appropriate contracting officer. APPLICABILITY. The provisions of this Order cover records of the Department and management and operating contractor records created and managed at the exr)enseof the Der)artment. For other contractors (see definition] the provisions cover their employees, the Department. REFERENCES. The of 1-6-87, apply BACKGROUND. The ;ecords involving health and health related matters of who are/were involved in the performance of a contract with references cited in DOE 1324.5, RECORDS MANAGEMENT PROGRAM, to this Order. introduction of technology and the rising costs of personnel, space, and equipment have made it necessary to-review and revise the policies and procedures promulgated by DOE 1324.2, RECORDS DISPOSITION, of 5-28-80. This Order focuses on the procedures for disposition of records, and attempts to provide a clear set of guidelines to assist Departmental and contractor managers for controlling and managing the records of the Department. DEFINITIONS. Definitions are contained in Attachment 1. POLICY. a. Use of the General Records and Record Administration with internally generated, disposition of Department” Schedules, published by the National Archives NARA) is mandatory. Those schedules, along NARA approved schedules, will be used for records. b. Managers are accountable for records management programs organizations. n their Vertical line denotes charme. DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Information Resources Management --—--, 2 D~E91::4.2A Chg 1 .- C. Departmental Records shall be: —,, (1) Created, maintained, and used in an effective, efficient and authorized manner; and (2) Routinely disposed of in accordance with procedures in this Order. 9. OBJECTIVES. The objectives of the Departmental records management program are to minimize the paperwork and recordkeeping burden in the Department and in the public sector; minimize the cost of records management activities; and, maximize the usefulness of Departmental records. Specific objectives pertaining to records disposition are to: a. b. c. d. Establish a system for inventorying,maintaining, and obtaining disposition authority for all Departmental records, including those created and maintained under contractual arrangements by managing and operating contractors and other contractors as specified in their contracts. Identify and plan for the preservation of records documenting the organization, functions, policies, decisions, procedures, and essential transactions, including records containing evidence or information necessary for the protection of the rights of the Government and individuals. Develop a planned approach to retire or transfer records no longer required for current activities to lower cost storage with a preference + for use of Federal Records Centers over local records holding areas.

Activel.vDursue the dis~osition of records on a rewlar basis including transfe~ ko lower cost storage, or to the National-Archives for permanent records, and timely destruction of records in accordance with authorized dispositions, and to consider the application of technologies such as microfilming in the reduction of records holdings. 10. RESPONSIBILITIES AND AUTHORITIES. I a. Director of Administration and Human Resource Management (AD-11. throuqh t~, as the designated “Single Agency Official” under the Paperwork Reduction Act of 1980, establishes and directs the Departmental records disposition program. ! b. Director of Information Resources Management throuqh the Director of Information Resources Management Policv. Plans and Oversiqht (AD-241: (1) Prescribes DOE-wide procedures for the implementationof the records disposition program. (2) Provides staff guidance and assistance to the Office of I Administrative Services (AD-60) and field elements in carrying out the records disposition program. — Vertical line denotes change DOE 1324.2ACha 1 4-9-92 -~ (3) (4) I (5) (6) I Reviews and coordinates recommendations for records retention standards. Negotiates with the National Archives and Records Administration (NARA) and the General Accounting Office (GAO), as applicable, for approval of proposed disposition of records created by the Department and its M&O contractors under terms of their contracts. Issues schedules to Headquarters and field elements. 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 element records officer. (1) (2) (3) -. (4: (5: I (6) I (7) 1 Prescribes procedures and directs the implementationof the records disposition program in Headquarters elements. Provides staff guidance and assistance to Headquarters elements in their implementationof the records disposition program. Maintains records holding area facilities for use by Headquarters elements. Maintains liaison with the Washington National Records Center in connection with the transfer, storage, retrieval, and disposal of records of Headquarters elements. Reviews and coordinates recommendations for new records retention standards, or changes to existing standards, originating in Headquarters elements. Submits such recommendations to the Office of Information Resources Management (IRM) (AD-20), Office of IRM Policy, Plans and Oversight (AD-24). Submits consolidated DOE F 1324.6, “Report of Records Holdings” (Attachment 2) for Headquarters elements, through AD-20, to the Information Management Division (AD-242), Office of IRM Policy, Plans and Oversight, (AD-24), as required. Submits HQ F 1324.8, “Records Transfer Form” (Attachment 3), to the Chief Historian (AD-35) for review, to assure that records of historical value-have been scheduled for permanent retention. I d. Chief Historian (AD-351. (1) — . Vertical line Determines that records of historic value have been scheduled for permanent retention in accordance with this Order by reviewing all Records Transfer Forms (HQ F 1324.8), and other forms used for transfer from office space to low-cost storage. denotes change DOE 1324.2AChg 1 4-9-92 4

I (2) Recommends to the Director of Administration and Human Resource _ Management and field elements heads where necessary, records of historical value to be scheduled for permanent retention. (3) Accepts custody of records of historical value no 1onger 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. I (5) Assists Headquarters and field elements in determining the historical value of records, upon request. e. Heads of Headmasters Elements. (1) Designate a Records Officer in compliance with DOE 1324.5, RECORDS - MANAGEMENT PROGRAM, of 1-6-87, page 5, paragraph 7b(3). (2) Prepare an annual records management plan providing for the following as a minimum: (a) The inventory of records using DOE F 1324.10, “Records Inventory and Disposition Schedule,” (Attachment 4); and (b) The systematic disposition of records under their control and – jurisdiction in accordance with approved disposition authorities. (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 DOE F 1324.5, “Request for Records Disposition Authorization” (Attachment 5) to AD-1, Attention: Office of Administrative Services, to recommend new records retention standards, or changes to existing standards. (6) Review recommendations for new records retention standards, or changes to existing standards, upon request. (7) Submit the “Report of Records Holdings,” DOE F 1324.6, to the Director of Administrative Services, as required. Vertical line denotes change I -—_..— .— I I I DOE 1324.2AChg 1 5 4-9-92 f. Heads of Field Elements. (1) Designate a Records Officer in compliante with DOE 1324.5, RECORDS MANAGEMENT PROGRAM, of 1-6-87, page 5, paragraph 7b(3). (2) Prepare an annual records management plan providing for the following as a minimum: (a) The inventory of records using DOE F 1324.10, “Records Inventory and Disposition Schedule,” or an appropriate electronic form; and (b) The systematic disposition of records under their control and jurisdiction in accordance with approved disposition authorities. (3) Uti1ize Federal Records Centers to the ful1est extent practicablee and compatible with security regulations. (4) Assure that M&O contractors and other subcontractors under their jurisdiction implement this program as required by the applicable records clause in their contracts. (5) Maintain 1ocal records holding areas where operational1y necessary or economically feasible. (6) Submit DOE F 1324.5, “Request for Records Disposition Authorization” to AD-242, to recommend new records retention standards, or changes to existing standards. (7) Submit DOE F 1324.6, “Report of Records Holding,” to AD-242, when requested. (8) Review recommended disposition for new records or changes thereto, submittal by other organizations, on request. (9) Send a copy of the form used to transfer records to records holding I areas to AD-35 for review. 11. REQUIREMENTS AND PROCEDURES.

a. The requirements and procedures for implementing this program are contained in the following Chapters of this Order: (1) Chapter I, “Implementing Instructions”; (2) Chapter II, “Records Inventory and Disposition”; (3) Chapter III, “Appraisals“; (4) Chapter IV, “Transfer of Records”; and I (5) Chapter V, “Department of Energy Records Schedules (DOERS).” Vertical line denotes change 6 DOE 1324.2AChg 1 4-9-92 b. Records disposition authorities will be prescribed only in Orders in the _ standard subject classification of 1324. Orders outside this classification are to refer users to the appropriate Order in the 1324 series when discussing disposition of records. BY ORDER OF THE SECRETARY OF ENERGY: Vert JOHN J. NETTLES, JR. Director of Administration and Human Resource Management cal line denotes change DOE 1324.2A 9-13-88 I .— Attachment 1 Page 1 DEFINITIONS 1. 2. 3. 4. 5. 6. 7. I - ----- 8. 9. 10. 11. 12. 13. ACCOUNTABLE OFFICERS ACCOUNTS. Specific documents prepared by accountable officers and required by for audit. he General Accounting Office (GAO) to be maintained Also known as site audit records. 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. AUTOMATIC DATA PROCESSING (ADP) RECORDS. See Machine-Readable Records. CASE FILES. A folder or file series containing material relating to a specific action, event, person, place, project, or other subject. Sometimes referred to as a project file or a transaction file. CLASSIFIED INFORMATION. Restricted Data, Formerly Restricted Data, and liatlonalSecurity Information as defined in DOE 5650.2A. COi!TRACTORS. Management and Operating (M&O) contractors (as described at 48 CFR subpart 17.6 and as designated by the Secretary) and other prime contractors and subcontractors provided that they are performing work, at least in part, on-site at a DOE-owned or -leased facility. CORRESPONDENCE FILE. A collection of documents not possessing the uniform characteristics found in a filin series, arranged by subject and covering various types of transactions. !ome of the com orientse ments of a correspondence file may be a filing series, suc[ 7as a fo der of monthly activity reports or a subject file classification consisting of travel vouchers. CURRENT FILES AREA. The office or laboratory space used for the maintenance of current records. CURRENT FILES. Files referred to frequently in the conduct of current business and maintained in office space of the using organization. DISPOSITION. An action taken to remove records from current files, including transfer to local records holding areas, to Federal Records Centers, to the National Archives for permanent retention, or for destruction. ELECTRONIC RECORDS. Records created, stored, or transmitted using personal computers, word processors, and associated electronic office equipment. FEDERAL RECORDS CENTER (FRC). A records storage facility operated by the FlatlonalArchives and Records Administration for storage and servicing noncurrent records, see Chapter IV. FILE CUTOFF. Termination of a file at periodic intervals to facilitate continuous disposal of the filing series in complete blocks, sometimes called “file break.” I . Attachment 1 Page 2 14. FILE ITEM. A single of corres ondence, a volume. !t may also papers or a personal

DOE 1324.2A 9-13-88 document or case file of a filing series such as an item report, a completed form, a map, a drawing, or a bound be a case file such as a voucher with attached supporting - history folder relating to an employee. 15. FILING SERIES. A series of identical or e uivalent file items characterized 3by a consistent method of assembly and han ling, a common arrangement of the component items, and uniform as to subject, type of information recorded, or kinds of transactions reflected. A filin series may also include related elements physically separated from it suc{ as finding aids or bulky material. 16. GENERAL RECORDS SCHEDULES (GRS Schedules issued by National Archives and Records dmlnlstratlon hat govern the mandatory disposition of specified recurring filing series common to several or all Federal agencies. 17. LOW-COST STORAGE. Facilities specially designed for storage of records. Includes records holding areas and Federal Records Centers. 18. MACHINE-READABLE RECORDS. Machine-readablerecords are records that require machine processing and decoding for conversion to human readable information. Examples of machine-readable records include magnetic tape, disc packs, floppy discs, tabulating cards, punched cards, paper tape, drums, and optical discs. 19. NATIONAL ARCHIVES AND RECORDS ADMINISTRATION (NARA An independent Agency hat succeeded National Archives Records Service It is responsible for establishing policies and procedures for managing the records of the Federal Government. It exercises final authority for approving the disposition of Government records. 20. NONRECORD MATERIAL. Nonrecord material inc- or other material that may be disposed of w the following: a. Library or museum material made or acqu purposes; udes those classes of documentary thout archival authority such as ‘— red for reference or exhibition b. Extra copies of documents preserved only for convenience of reference on which no action is recorded or taken; c. Stocks of publications or other processed documents that require no action and are not part of a case on which action is taken; d. Routing slips and transmittal sheets adding no information to that contained in the transmitted material, i.e., concurrences, direction on how to proceed or implement; and e. Papers of a private or nonofficial character that pertain to an individual’s private affairs. A See Disposition of Records Management Handbook, FS 7610-01-055-8704). Federal records, DOE 1324.2A 9-13-88 Attachment 1 pa9e 3 (and 4) 21. PERMANENT RECORDS. Recdrds that have been determined, by NARA3U:: have -—...— historical or other value warranting ermanent reservation. E Edeterminations are reflected in the ATHORIZED ISPOSITION columns of the GRS and DOE Records Schedules, as a propriate. ! Normally, permanent records are offered to NARA when they are 2 years old. 22. PERSONAL PAPERS. Pa ers of a private or nonofficial character which pertain only to an indfvidua!‘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. 23. RECORD MATERIAL. Those classes of documentary materials which may be disposed of only after archival authority is obtained. The statutory definition of i “records” (44 U.S.C. 3301 is ...books. papers, maps, photographs, machine readable materials, or ot er documentary materials, regardless of physical form or characteristics,made or received by an a ency of the United States

i!Government under Federal law or in connection wit the transaction of public business and preserved, or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of the data in them.” This definition applies to all Departmental records including those created, received, and maintained by contractors pursuant to their contracts. Virtually all recorded information in the custody of the Government (including information held by contractors which is considered by contract to be Government information) regardless of its media (hard copy, machine-readable,microfilm) is considered “Government records.” 24. RECORDS HOLDING AREA. A local low-cost records storage facility, often — staffed on a part-tfme basis, for the economical storage of noncurrent records pending their destruction or transfer to a Federal Records Center. 25. RECORDS INVENTORY ANDDISPOSITION SCHEDULE (DOE F 1324.10). The Departmental form used to both Inventory records and indicate the appropriate authorized disposition and other instructions regarding their dis osition. Commonly referred to as “RIDS.” IThis urpose and contents of t e form may be placed in felectronic media as long as a 1 requirements of the form are met. 26. RECORDS MANAGEMENT. The planning, controlling, directin , organizing Ytraining, promoting and other managerial activities invo ved with respect to records creation, records maintenance and use, and records disposition. 27. RECORDS SCHEDULES. These are the means by which the disposition standards for records are publfshed. The General Records Schedules, issued by NARA, includes records relating to civilian personnel, fiscal functions, accounting, procurement, communications, printing, and common or housekeeping functions, and certain nontextual records. The Department of Energy Records Schedules, issued b the Department, pertain to unique records not covered by the GRS, {for whit the Department has obtained NARA a proval for their disposition. It Ris estimated that the GRS covers about one t ird of the records of the De artment. R The De artment is responsible for preparing and revising separate Rsc edules for all t e records the GRS does not cover. I — [ DOE 1324.2A Chg 1 Attachment 2 4-9-92 Page 1 (and 2) ~ — REPORT OF RECORDS HOLDINGS Us.DsPAnTmEmw mEnoY ~-- tnedm REPORTOF 1 ~-~ RECORDS HOLDINGS FY-mS6 ZTV Information Management Division ~-~~ AD-242 DOE Field Office DOE/HQ: FORS WMMARYOFRECORDS HOLOlt4GS (corr@etoelll12rru Dormthb&rkB) WATUS 00s I WTAL 4 VOLUMEDFRECORDS(CUITJCINIFAND ENO&REFORTWG VEM IN @)cunRENTFrLE -s,usom~ ANDmP?cE~ e) STAGING ~AJUDOT~RTEMP~ fl)Auo@wsuALawcrRos rNcLmeDrN4b) fc]?o?ufumoa++ S VOLUME OF RECORDS TRANSF -NIZATW DURING *) To FmERAL RE- C VOLLIME OPRECDROS =SWROYED(CU =.x RECORDS DESTROWD M OFFICES OR NOLD!NG M&45 UNDER AUTHORITY OF APPBOVED RECORDS SCHEDULES 7 cmlrPrcAlm4 TNE RECORDS WLDINGS REPWTEO ~ THS POW ARE COVERED ADEWATELV SV CURREW AW*- = AM 00E-CONTRACT~ RECORDS SCW OULES S PWVLDED IN TME EPFECTIVE ~ W DDE -R 1=2 REcORSS Otsmsmm mm o olofr!”lro-,pbaa mmdlo~m 8 oRlMNlz4TroNs EuPPomm ●Y FE@ -NT (&o ~m~ w ~-o~~J tkrtfn ?4rletta Energy System Inc: Uesttnghouse htertals Co. of Ob&; Office of Scientific and T@blrrlcil ln$ormtion: ORAU; hst Engineering b.; science ApplIcatlons, Inc. ●nd; MI ti~ny

9 nEuAMsfh6Cmouu~ ~rnhmm@eryplam* dtMaM~m, --W~-b--=——— ~m~ wMwla- ~-.w~) )brtfn Marietta carried out a very successful destruction ●ffort. 10 NAMEwmmRDe wF-m Orlm PEneONwmt-To I Fr,epNGNEmr7AnDe 11. mmPm?m lsMMawTKoF~~ l&7-86 fiEv ~CGfd &cords hneger = ‘%r? Zt2L Vertical 1ine denotes change. . DOE 1324.2AChg 1 4-9-92 Attachment 3 Page 1 (and 2) I .— HO F 12348 13.m) RECORDS TRANSFER US DEPARTMENT OF ENERGY RECOROS TRANSFER 00E LOCATION (Fo, R,<o, ds HotdlnQ Ar- U-) [DOE JOBNUMBER .5.W: 3 comma cotnot ems NOTE A’c.,1 10 $E0ve8 f,cord$ 1%r,,tr,c led 10 c.erwnnel 01 lh. ? CO** of tlru W** 10, owaniz maon Inlti.lmq III. Iv. n$lw. AOO#llO. al rmtri, t,o. s, FRC LOCATION FRC ACCESSION NuMEER RaOPds Noldlns Atba bf d.wed. mould ba w wear.1. memorandum. l.ORGANIZATION INITIATING TRANSFER l~*lon,Off*.Srsnch,*~lOnlOf fioe of Information Reaouroee Management, off ice OSMof 1,..s10, Of IRM POIICY, Plans & Overalght, Information Management Division (T,tlel ?40 04 Cub,c FN’ A. Green Chiefof Records 3. BRIEF DESCRIPTIONOF RECORL3 llncludI GIOUP or %rtm TIIIO cn O!her ldsn~,f,c~l,onl Records involving management of DOE records lForRocordi NOUlnS At- UN) DOX NO. 4 INvENTORY (G,ve comolete ,.lwmatmn for each *tern lI%tsdl FOLOER OR ITEM TITLE 1324 1324-A 1324-B 1324-C 1324-C.1 1324-D 1324-E RECORDS MANAGEMENT FILES MANAGEMENT MICROGRAPHICS MANAGEMENT ELECTRONIC RECORDKEEPING PRE-COOROINATINGCOMMENTS VITAL RECORKEEPING RECORDS DISPOSITION ORDER ON ELECTRONIC RECORDS 1324.2A ,.1”,,”. Dot*l of .cotd% (Mo. V,. ) 10-85 thru 10-86 UNCL. I ;RS 16, 11 b. RETENTION Psmloo ~ Years & MAY ‘THESE RECOROS SE OESTROYEO AS SCHEOULEO WITHOUT FURTHER OIVISION OR OFFICE CONCURRENCE> @ YES O NO OATE ELIGIBLE FOn P IFOm REC0R05H0LDlNG AREAUSEI CERTIFICATION The boxes hsted under Nem 4 haw WTl@EMEN1 10 FRC 0ArETPAN5FF.RREO TOFRc hecn rece$ved ,. !he Headwaiters Recwds I+oldmilAfM8. DATE CLlal SLE FO14 DESTFIUCTION} l_)ATE DE5TROVED (Smn.t”ml ( OM*I Vertical line denotes change. ( 4. (-) m. A .4. : Q (-0 : d- (D (/l (3 Q1 ii m ID. ( — 1 Otx-tsnw ftlECORDS INVENTORY AND DISPOSITION SCHEDULE w-m Wv l*ISTIW ~ 00E L1 Contmclof 1 ~+:&o _ 2- chgmizalioMl Udl@091hllw c~ unit) 2b.Roullng 3. flaw Error Control Division, Inspection Office, symbol Assistant Secretary for Zero-Defects AD-79 8-26-87 4. S@llaturas (ol SpprO@91ep8f8wI@ ~Mt 3A z tn Owb 4-7-87 ~b ~-m m z-m. 2A E-17. Q7 T.)n. (AJJu#x 7-7-87 ~m M8 -omm Awwd LJ m .- o.Fsh$eulwllaD,onawomaldl.oCMondFb, mdhdmh0Dslo9 ?.0bg09mkmIl.AdmizoII OiwmSlm ImWuUbm 9. T- havcmlu WD. Aultmdly 1. Flexlti~ Attendance Records. Supplemental time GRS-2,3,b Destroy after GAOaudit or Hold ~n current files 1 year ~lme and atte ndance records such as sign in / when 3 years old, whichever then transfer to RHA. sign out sheets and work reports, used for time is sooner. accounting under Flexitime supervisors. (Central file, current) 2. Travel Files. Obligation copies of vouchers, GRS-9,3.b Until funds are obligated. Iransportatfon requests and records reimbursing Destroy in office. Individual travelers; i.e., travel orders, per dfem vouchers, and receipts. Arranged by DOE Classification System. (Central files, current) 3. Reference Material. a. P~hlets, reports, leaflets, file manuals, Nonrecord Screen periodically. or other publlshed or processed documents, Destroy in office. relatin to management projects. Reference !materia filed in bookcase. (Exclusive of official records.)

b. Files consist”of Journals, books, technical Nonrecord Screen periodically. Send reports, studies, articles, special com- journals and books to pilation of statistics, and data not part library. Destroy other of the official file (Exclusive of master material in office. copies). Arranged on bookcase shelves. 4. b. Analytical Logbooks recording analysis of DOE-2,9.b Destroy when 3 Years old. samples in separation operations” activities for quality control purposes. L w D m m m o m u tn H z < m z -1 0 m -c > z 0 0 L/-l -u o W) -i o z v) n m m o c 1- Pl Iv . - DOE 1324.2A Attachment 5 9-13-88 Page 1 (and 2) . REQUEST FOR RECORDS DISPOSITION AUTHORIZATION m F 1=.5 w U.S. DEPARTMENT0FENER6Y *cmwNa mPum REOUESTFORRECORDS DISPOSITION AUTHORIZATION t.~~ 2a.OrgankatbnalUntt andRouUngSymbol 2b.DepartmontalCkganization M ContractcrDfgankaUon ❑ S. V~u~(txFt.) Coal Combustion and Control Systems/ 4. Racordmesmmmo) S. klantifkaticn ot FdingUnit (/- type ot raced, tirrctbn pstirrnad, sacudfyoksdficetbrr, U)d Ofhu Q* hcts) CZtSt?files 9f applicants for Coal Loan Guarantees, under the Coal Loan Guarantees Program. Records consist of applications for loan guarantees to finance underground coal mine project; financial statements and other data relevant-to-the project; financial, technical, and environmental analyses; correspondence and memoranda. 0 SeaCOntinuaticnPage 0. @pmisal (lncb&bsMka~ timMtin paricdh cwmrt~s, bwmsts-~, andtlnaldapdtkm-dsstrutincf wrstartoAnWvas) Authority for the Coal Loan Guarantee Program is contained in PL 94-163, sec. 102; as amended by PL 94-385, sec. 164, and PL 95-620, sec.’802. The program was suspended by the Secretary of DOE effective August 8, 1986, notice having been published in the Federal Register on July 9, 1986. Retention for 10 years is recommended because the program could be reactivated at sometime in the future. However, if at the end of that period the program is still inactive, it is unlikely that it will ever by resumed. Reconsnendfiles be transferred to Federal Records Center upon approval of their disposition. ❑ SeaContinuatkmPage 7. RecommendedDisposition Retain 10 years 8. ConcurrancaSignatures” ntb Organisation Date 8. H. Coal Dir~tor. QMl FF-QQ G 1~ b. S. Coal Deputy of Control FE-9 6-7fIn7-n c. . L. Coke R&ord Liaison FE-97 .-,- d. ●. “Program,Legal,Historical Orgmkation,andOthers,asrequlredbybcalpolky S. Name,Signature,end Or@nlS~~ Of~~< ~lc+ Qste L. Coke, Records Llalson 6-21-87 lo.Racordsorficwconcurrence HDs ❑ FIeldD Data I.bl.Smart 6-23-87 I DOE 1324.2A 9-13-88 TABLE OF CONTENTS CHAPTER I - IMPLEMENTING INSTRUCTIONS PAGE 1. Background.● ● 0● ● .● ......● ● ● *......● ........● . . . ● ● . . . ● ● ● , ..** . . . . . . . . I-1 2. Inventory Files...● ....● ● ...● ..● ........*....● ..● ...........● *...● .. I-1 3. Identify or Obtain Disposition Authority.......● . . . . . . . . . . ● . ..* . ● . . . I-1 4. Management Plans.● ● ......● . ● . . . . . . . . ● . . . . . . ● ● . . . . . . . . . . . . . ● ● . . . ● . . . . I-2 5. Disposition Actions...**● ...............*......0● .........● ● . . . . . . . . I-2 6. Other Considerations.● ........................● ....● ...0......● ..● .. I-2 CHAPTER II - RECORDS INVENTORY AND DISPOSITION SCHEDULES 1. Summary.......0● ● .● ...● .0● ....● ..● ....● ...0● ...● ...● s....● ..● O*● .... a. Work Steps and Processes.● ..........● ...● ...0....● .....,● ....... b. Procedures............,.*......● . . . ● .0. . . . . . . . . . ● . . . . . . ● ● . . . . . . .

2. Preparation and Application of Records Inventory and Disposition Schedule (RIDS)● * . . . . . ● . . . ● . ● . . . ● . . . ● . . . . ● . . . ● . ● . . . ● . . a. Inventory● ● ● ..**● ● .● .*. ● . . . . . ● . . . . . . . . . ● ● . . . ● . . . ● . . . . . ● ● . . . . . . . . b. Scheduling Records....*..0......● ...● *● ..● .● .*O...● ● . . . . . ● ● . . . . . c. Final Preparation, Coordination, and Distribution of RIDS....... d. Using RIDS..........● **......● ....● .........● ........● .......... — e. Disposal.....*..........................● ...● .......● ........... f. Deferred Disposals..● .......● .....● .....● ...● ...● ● . . . . . . . . . . ● ● . . II-1 II-1 II-1 II-1 II-1 II-5 II-7 II-8 II-8 II-9 CHAPTER III - APPRAISALS 1. Appraisal Procedures.....● .......● .................● ..● *........● ... III-1 2. Existing Standards....● .0...● ● *......● ● .....● ● ....● ..0● ..● ....● ..● .. III-1 3. Administrative Value● .....● ....0● ● ............● . . . . . . . ● . . . . ● . . . . . . . . III-1 4. Financial Value.....● O.*..*● .....● . . . . . . ● . . . . . . . ● ● . . . . . . ● . . . ● . . . ● ● . . III-1 5. Legal Value● ....● ..● ............● .....● .● .....,....● . . ● . . . . . . . . . ● . . . III-2 6. Historical Value● *● ......● ...**● ....● ● ● ....● ● ● ........● . . . . . .*. . . . . . III-3 7. Volume...● ● ● ......● ....● .● ...● . . . . . . . . . . . . . . ● ● . . . . ● . . . . . . .* ● . . . . . . . . III-3 CHAPTER IV - TRANSFERS OF RECORDS 1. General...● .....● ● O. . . . .0. ● . . . . . . . . ● . . . . . . ● . . ..* . . . . . . . . . . . . . . . . ● . . . IV-1 2. Transfers to Federal Records Centers● ..0● ● ..*● .● .0 ● . . . ● . . . . . . . . . . . . . IV-1 Figure IV-1 - Record Groups.....● *....● ● . . ● . . . . . ● . . . . . . . .* ● . ● * IV-2 3. Transfers to Local Records Holding Areas....● . . . . ● ● . . . . . . . ● ● ● . . . ● . . . IV-3 4. Transfers to National Archives● .........● .....● ...● *....● .......● . . . IV-3 5. Transfers or Donations to Federal and Non-Federal Agencies . . . . . . . . . . IV-3 I ii DOE 1324.2A g-13-88 CHAPTER V - DEPARTMENT OF ENERGY RECORDS SCHEDULES 1. General.........................*...● .............................*. v-1 2. Citations● *.● ...0.● ● ● ..● ● , ● . . . . ● , . . . . ● . ● ● ● . . . . . . . . . . ..** . . . . . . . . . . . . v-1 3. Changes . . , ● ● ● . . ● . . . . . . . . . . . . ● . . . . . . . . . . . . . . . . . . . .*. . . . . . . .0.. . . ● . ..0 v-1 Index to Attachments...................● ..*..0......0.. v-2 DOE 1324.2A 9-13-88 I _ .. I-1 CHAPTER I IMPLEMENTING INSTRUCTIONS I I 1. BACKGROUND. The four basic steps in the disposition process are: a. Inventory files; b. Identify the authorized disposition for the records; c. Plan the disposition actions on a regular basis; and d. Carry out the plan. 2. INVENTORY FILES. a. The first step in the disposition process is to inventory the files (both record and nonrecord) in the organization. This inventory provides the foundation for the next three steps and includes the following: (1) A description of the filing series; (2) Location; (3) Identification of the organization holding the files; (4) Their arrangement or filing scheme (alphabetical,by year, month, by number); (5) The existence of filing plans, indexes, or other finding aids; (6) Restrictions on access and use; and (7) The media in which the record is maintained. (Hard copy, microform, and machine-readable records are inventoried separately to allow for showing their specific disposition.)

b. DOE F 1324.10, “Records Inventory and Disposition Schedule,” is used to document the inventory. Care must be taken to describe the records as they are. The blocks on the form pertaining to disposition are completed later. 3. IDENTIFY OR OBTAIN DISPOSITION AUTHORITY. The completed inventory is reviewed to determine the proper disposition authority for each filing series. The files described will fall into one of the following categories: a. Nonrecord material. This is disposed of when no longer needed. b. Record material covered by the GRS or Department of Energy Records Schedule (DOERS). Filing series descriptions are compared to the item descriptions in the schedules. Where they match closely enough to determine coverage, the schedule and item number, are indicated in block 7 of DOE F 1324.10. I-2 DOE 1324.2A Chg 1 4-9-92 c. Record material not covered by existing schedules. .—.. (1) Two situations are possible: (a) The filing series description simply cannot be matched against any of the descriptions in the schedules, or (b) They can be matched but the creator or holder of the records does not agree with the authorized disposition of those schedules. (2) In either case, DOE F 1324.5, “Request for Records Disposition Authorization,” must be completed and submitted through the appropriate records officers to AD-242. 4. MANAGEMENT PLANS. Information on DOE F 1324.10 is necessary for planning the systematic, regular disposition of records; this cannot be done without the initial inventory process. DOE and contractor organizations must assure all their records are inventoried and the inventories are kept current. Planning for disposition must not be delayed waiting for completion of the inventory of all records, however. The annual records management plan has to balance inventory and disposition efforts to maximize benefits. For example, it would be more beneficial to inventory, obtain disposition authority, and dispose of 10,000 cubic feet of discontinued files than to spend all the available time inventorying 50,000 cubic feet of records. A model management plan is under development and will be included as part of DOE 1324.5, RECORDS MANAGEMENT PROGRAM. 5. DISPOSITION ACTIONS. Disposition actions include removing noncurrent files from high-cost office space to local records holding areas and/or direct to the servicing Federal Records Center; destroying records authorized under appropriate schedules; or transferring them to the National Archives for permanent retention. The transfer of records is a local decision the timing of which is established during the inventory process. If office files are infrequently used after a certain amount of time (1, 2 or 3 years, for example), they are to be transferred at that time. This information is used in making up the disposition portion of the annual records management plan. (See Chapter IV, which discusses transfer of records to the Federal Records Centers.) 6. OTHER CONSIDERATIONS. a. Automatic Data Processing (ADP)/ElectronicRecords. ADP/electronic, machine-readable information is included in the statutory definition of records. Such records are described separately from hard copy records. This is done by entering a separate subitem on the DOE F 1324.10 to show the filing series is also in an electronic media (e.g., tape or disc). As long as they generally duplicate hard copy records, they have the same disposition. However, they are inventoried separately and their disposition is to be shown.

Vertical line denotes change. DOE 1324.2A 9-13-88 I-3 (and I-4) I I -———— b. Micrographics. This includes those means of reducing the size of hard copy records, such as microfiche and microfilm. There are instances when reducing records by these means is a sound course of action. Each such project of significant size requires a cost-benefit study to assure the project is clearly to the advantage of the Government when purchase of a micrographic system is contemplated. These copies have to be adequate substitutes for the hard copies they are replacing, and be readable and usable for the approved retention period of those hard copy records. Note that approval of NARA is required if the project involves microfilming of permanent records. Local approval is permitted for temporary records. Once quality control checks are completed on the films, the hard copy records should be disposed of. c. Classified Records Disposal. Classified documents (records) are scheduled just like unclassified records. While accountability for Secret and Top Secret records is required, the protection of all classified records (including Confidential records) involves high costs in manpower, space, and filing equipment. The disposition of accountable documents involves special effort because of security requirements. Vigorous efforts are to be made to assure compliance with disposition authorities. Nonrecord and extra copies of classified documents are promptly disposed of when no longer needed. DOE 5635.1A, CONTROL OF CLASSIFIED DOCUMENTS AND INFORMATION, of 2-12-88, contains the security requirements and procedures for these documents. Classification of the records is to be indicated on the DOE F 1324.10 to aid in complying with the procedures in DOE 5635.1A. d. Unclassified, Sensitive Information. This category of records includes IJnclasslfledControlled Nuclear Information (UCNI), Naval Nuclear Propulsion Information (under the cognizance of NE-60), Export Controlled Information, Official Use Only Information, and a variety of other sensitive information on which controls are placed by organizations. No attempt will be made to comply with the numerous requirements for the handling, including special markings, of these records in records holding areas or in Federal Records Centers. However, where these types of records are recalled by their custodial office or organization it is incumbent on that office to comply with the requirements in Departmental regulations or directives, such as DOE 5635.4, PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION, of 2-3-88. NO action on these records will be taken by records personnel. I ( ~ DOE 1324.2A II-1 9-13-88 — I -. CHAPTER II RECORDS INVENTORY AND DISPOSITION SCHEDULES 1. SUMMARY. a. Work Steps and Processes. The preparation and application of comprehensive Records Inventory and Disposition Schedules (RIDS) involve the following work steps and processes: (1) (2) (3) (4) (5) (6) (7) (8) Selection of appropriate subordinate units within the overall organization to be covered by separate RIDS (one RIDS per file station); Inventory of all record and nonrecord material; Analysis of the inventory to identify (a) filing series covered by approved records schedules, (b) nonrecord material, and (c) filing series not covered by approved records schedules; Appraisal of filing series not covered by approved records schedules (see Chapter III); Development of cutoff instructions and retirement periods;

Coordination to obtain local approvals for the RIDS; Initial application of the schedule by disposin of records for which ?the retention periods have ex ired, disposing o unneeded nonrecord Tmaterial, and retiring eligib e records; and Periodic reviews of RIDS, to keep the RIDS current, as part of the annual records management plan. b. Procedures. The procedures summarized in paragraph la, above, involve the use of hese forms: (1) DOE F 1324.10 or its equivalent , is used in connection with subparagraphs [ i2), (3) and (5) t rough (8) above. (2) DOE F 1324.5 used in connection with subparagraph (4) above. 2. PREPARATION AND APPLICATION OF RECORDS INVENTORY AND DISPOSITION SCHEDULE . The first step is to inventory the files of the organizational a“ %%%%h has custody of records This unit is identified by being a file station and by having a corr~spondence symbol in Departmental organizations. ;he ‘anagement and ‘!eratinilcontractor ‘hou’d ‘se anappropriate desi nation. The schedu e 1s t e key to the dlsposltlon program. A comp ete and accurate records inventory is important and is treated in some detail as follows: I _ . II-2 DOE 1324.2A 9-13-88 (1) Characteristics of a Records Inventory. (a) It must cover all records in the organizational unit. (b) Nonrecord material must be included. (c) Filing series descriptions must be clear. (d) Records must be 1istealb filing series (not document by zdocument or folder by fo der). (e) ;~~$t]:n, access restrictions, file indices are placed on DOE F . . (2) OrganizationalUnit Designation. (a) Separate RIDS are prepared for each file station. For example, in an office services branch consisting of a mail section, a word processing section, a records management section, and a graphics section, each section has its own set of files constituting four separate file stations which require four 8separate RI S, one for each file station. (b) Responsibility for files maintenance and dis osition actions Bmust be assigned to an appropriate staff mem er. (3) Sco e. + The inventory covers all files of each file station and it lnc udes the following: (a) Record and nonrecord material; (b) Classified, controlled, and unclassified papers; (c) Machine-readable and microfilm records; (d) Audiovisual records; (e) Filing series and correspondence files; (f) Permanent as well as temporary records; and (g) Reference material (pamphlets, reports, handbooks, reading files, and extra copy files) maintained in filing equipment. (4) Inventory Items. (a) Inventory items should be descri tive of filing series, not !separate forms, reports, file fo ders, or other papers which do not constitute filing series. For exam le, applications for Iemployment are not inventory items if t ey are filed in personnel files along with job descri tions, change of status Yforms, and other data about individua employees. The inventory item (filing series) is the official personnel folder. Applications for employment are filing series only if they are — -.. 1324.2A 13-88 I (b) I .- filil~wgeparately.Some examples of filing series are as .. ~ An entire voucher file, arranged numerically by voucher num~onsisting 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.

~ Solar energy research project case files reflecting the history of the pro”ects completed under grant programs. Case ifolders include al information relevant to each project, such as: project proposal, review memoranda and comments; project authorization and directives; copies of unpublished manuscripts, journal articles and papers; pro ress reports; !correspondence influencing the direction of t e project; and listin of final publications and films. Project case files 7are fi ed chronological accordin to proposed dates. z 7 Each separate project case fo der is a ile item. ~ A purchase order file, arran ed numerically by purchase 7order number or alphabeticaly 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. Inventory items should be limited to filing series, wherever possible. They should not be ex anded to include all of the !records of an activity unless al of the separate items are interfiled. For example, a contractor engineering file of 100 cubic foot volume, and consisting of six or seven distinct filing series, with different retention values, one filing series of which is field notebooks, should not be inventoried as a single item. If the field notebooks comprise 40 cubic feet and are filed separately in one series, they are a separate inventory item. (5) Description of Records. (a) It is essential that the records in the inventor be described i!in terms that will be meaningful to the person w o will apply the schedule. Inventory items are described as they exist in the organizational files - generally acce ted titles in normal 1day-to-day use - not as they are, or may e, described somewhere else. (b) The use of the descriptions 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 eriods on the RIDS. RTherefore, the item descriptions s ould be accurate portrayals of the files so that the disposal and retirement eriods can be fapplied without error by the custodians of the fi es. I . DOE 1324.2A 9-13-88 (6) (c) (d) A proper descri tion of an inventory item consists of the name Ror title of eac filing series. The title of a single form may be used if it applies to an entire filing series e.g., bills of — Jlading, payroll checks vouchers, and urchase or ers). Form Enumbers or titles should not be used w en 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.) Indicate whether the files consist of original records, or copies. Descriptive data in the inventory items should indicate the filing arrangement (as alphabetic, chronological, numer~~;l), since the arrangement can affect disposition actions. example, procurement files arran ed alphabetically by vendor !names or general files arranged y subject must be artificially broken or “cut off” periodically to permit disposal or retirement. The filing arrangement can also be a factor in identifying records to be preserved, retired, or destroyed. For example, some procurement or animations maintain both numerical Iand alphabetic files of pure ase orders; the main distinction between them is the filing arrangement. It is likely that the alphabetical file is a finding ald and may be designated as nonrecord material.

(e) Exact location of file station by room/area numbers. General Correspondence Files. (a) It is more difficult to inventory and schedule eneral i’correspondence files than it is for specific fi in series such “— !as foreman’s time cards, purchase orders, and vouc ers. General correspondence files are usually arran ed by subject and Yconsists of correspondence, completed orms, and reports. The entire file is seldom a filing series, but portions of the file are. Therefore, in the inventory and scheduling process, general correspondence files should be reviewed and analyzed in some detail to identify and evaluate the filin ? series. Since typical general correspondence files consist o both record and nonrecord material, a main pur ose of the review is to identify tnonrecord material, which can e disposed of as soon as it has served its purpose. All nonrecord material often can be identified as a single filin i! series; inventory of the record material is facilitated by t ese procedures. (b) Filing series in general correspondence files should not be broken down too finely. Often, a breakdown at the primary subject level is sufficient. Breakdown into detailed subdivisions, such as secondary and tertiary classifications, is discouraged. — I .— I .— DOE 1324.2A II-5 9-13-88 (c) For the reasons stated in the above subparagraphs, establishing general correspondence files should be limited. It is preferable to have correspondence filed in the program or project case files to which it pertains. This resolves many of the issues brought about by general correspondence files. (d) It is recommended that a record and a reference set of these files be set up to reduce the need for screening files for extra copies and nonrecord materials when disposition actions are taken. b. Scheduling Records. (1) Review of Inventorv. (a) The completed inventory is reviewed to determine the proper disposition of the items described thereon. Normally, the items will fall into the following three categories: ~ Record items covered by records schedules (GRS or DOERS); ~ Nonrecord items; and ~ Record items not covered by records schedules (2) (3) (b) Record iternsin the inventory, which are covered by existing records schedules, are identified by matching the items on the inventory with appropriate records descriptions in the GRS or the DOERS (Chapter V of this Order). Use of Approved Schedules. The GRS and DOERS to records in the custody of M&O contractors and the Department. DOERS contain NARA approved disposition authorizations on records unique to DOE. When records are created which are not described in the GRS or the DOERS, their creator is responsible for initiating action to obtain their authorization for disposition. Using these schedules will be facilitated by use of their index; however, the appropriate records officer should be contacted when any doubt arises on their use. Use of Broad Standards. Records are described in many of the schedules in general terms, instead of in specific terms, to describe individual filing series. Since filing series are described on the RIDS in terminology familiar to the organization for which the RIDS are prepared, often the descriptions will not coincide exactly with the descriptions in the authorized schedules. Judgment is required in finding appropriate standards for comparable records. Personnel who prepare the RIDS should contact their records officer when it is not clear which standards apply. Records officers will review RIDS to assure there is agreement, on request, and on assistance visits.

I —, II-6 DOE 1324.2A,Chg,14 4-9-92 (4) Record Material. (a) (b) I (c) (d) The periods stated in the authorized disposition column 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. Care must be taken to assure disposition action is taken in the year following the event or the passage of the minimum retention period requirements specified in the schedules. Occasionally, it may be necessary to establish longer or shorter periods than prescribed in the records schedules. If the criteria on which the disposition was originally based have changed, a DOE F 1324.5 should be prepared giving the reason for the change. The form is forwarded by the Headquarters or field element Records Officer (or person serving in that capacity) to the InformationManagement Division (AD-242), Office of IRM Policy, Plans and Oversight (AD-24) after proper coordination at the local level. AD-242 will obtain the necessary NARA and other approvals. If a local situation requires that records be temporarily retained for 1 year or less beyond the authorized retention period, Headquarters or NARA approvals are not required. Extensions of over 1 year require Headquarters and NARA approvals. Such data is to be part of the management plan. If Federal or State laws, or regulations issued thereunder, require specific retention periods those periods are entered on the RIDS. 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. (5) Identifvinq and Evaluating Nonrecord Material. (a) (b) The definition of nonrecord material in Attachment I includes examples of nonrecord items. These examples should be used as guides in identifying nonrecord filing series described on RIDS. Each nonrecord filing series is designated on RIDS by entering “nonrecord” in column 7, “Disposition Authority.” If the determination of nonrecord is based on physical duplication, also indicate the office responsible for keeping the record copy. Nonrecord items are evaluated to determine appropriate disposal times. Short periods (less than 2 years and often not more than 1) should be established for nonrecord filing series since they are usually duplicated elsewhere in the organization, and are retained for convenience of reference only. The disposal dates are posted in column 8 of RIDS. .= Vertical line denotes change. I .-.-.-, DOE 1324.2AChg I II-7 4-9-92 Nonrecord material may be disposed of without NARA or other authority. Disposal periods are construed as maximum, rather than minimum, periods for nonrecord material; the disposal date is used to assure disposal action not later than that date, but disposal may occur anytime up to that date. (6) Filina Series Not Covered bv Amroved Schedules. A third category consists of “record” filing series for which disposition standards have not been established. For these filing series, new records retention standards need to be developed. Because several months are usually required for obtaining new authorizations, the entry “to be obtained is posted in column 7 of RIDS and “to be developed” in column 8. In this way the RIDS can be completed and disposition actions for other records and those established for nonrecord material, can be immediately applied. The guide for appraising the deferred or open items, and the procedures for obtaining approval of disposition standards for new records are contained in Chapters I and III.

(7) 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 DOE facilities.. This timetable provides instructions for file cutoff, retirement, transfer, or destruction. Retirement and transfer periods are developed only after the disposition is determined, since usually a significant part of each collection of records can be destroyed in the organization responsible for them. 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 Prer)aration.Coordination, and Distribution of RIDS. (1) (2) (3) (4) In preparing RIDS for approvals, it may be desirable to rearrange the sequence of the filing series from the way they appear on the preliminary draft, especially if a large number of filing series are involved. Discontinued filing series, for example, should be listed on a separate continuation sheet 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 authorizations are needed) may be listed on a separate sheet since that part of the RIDS is not subject to immediate application. The Office of Administrative Services (AD-60) prescribes the procedures for approval of RIDS at Headquarters. Each field element and each contractor prescribes procedures for approval of RIDS within their own organization. Approvals required should be limited to organizations having a legitimate interest in the records. Approval by the Information Management Division (AD-242), Office of IRM Policy, Plans and Vertical line denotes change. II-8 DOE 1324.2A Chg 1 4-9-92 \ Oversight (AD-24), 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 custodian(s) 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. The RIDS is a key document in the records management plan. d. Usina RIDS. (1) The approved RIDS is the basic document in the management plan. They are to be reviewed, analyzed, and compiled at records officer level, i.e., each Departmental and M&O contractor records officer will have a plan for their records management activities, based on the RIDS. (2) Some considerations in using RIDS are as follows: (a) Records are to be disposed of no later than 1 year from their authorized disposal dates (records material disposal dates are stated as the minimum periods of time which records must be retained). (b) Nonrecord material should be disposed of prior to but no 1ater than the scheduled disposal date (nonrecord material disposal - dates are construed as maximum, rather than minimum, periods). (c) Disposal and transfer of inactive records are accomplished on a reqular basis; coordination with the servicinq FRC is required prior to transfers of such records; - (d) An expedited timetable is necessary if records accumu’ rapidly; and (e) Given careful planning, actions under the management scheduled as much as possible so as not to interfere current operations. e. DisDosal. (1) Method. ate 1an are with

(a) Unclassified records are disposed of by maceration, shredding, landfill, burial or by sale as waste paper. 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. Vertical line denotes change. ~ DOE 1324.2A Chg 1 II-9 (and 11-10) 4-9-92 I (b) All classified and controlled 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 which is notified by the local records holding area or the Federal Records Center, where the records are stored, when they are eligible for disposal. At this time the original office of custody authorizes their disposal or, through the appropriate DOE Records Officer, Justifies deferral. This may require a change to the schedule. Note that if the original office of custody does not respond within 90 days of its notification, authorization for disposal will be assumed. f. Deferred DisL)osals. 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 series 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. I — I — Vertical line denotes change. — .—. DOE 1324.2A 9-13-88 111-1 CHAPTER III— APPRAISALS 1. APPRAISAL PROCEDURES. Appraisal is the evaluation of filing series to determine whether hey have permanent or ternorary values and, if temporary, how long they should be retained. IThrough t e appraisal process disposition authorizations are developed for unscheduled filing series. In appraising filing series, consideration is given to existing schedules, and to the administrative, financial, legal, scientific, research, and historical value to the Government, or to the public. 2. EXISTING STANDARDS. The GRS and DOE Schedules often provide practical ;:;l~m;e in developing disposition authorizations for similar or related They should be used in the appraisal process to maintain consistency. I .— 3. ADMINISTRATIVE VALUE. Records have this value if they help an organization to carry out its res onsibilities. [ The time durin which the value exists may be long or short. YT e fre uency and purpose of re erence normally indicate !administrative value an for many filing units provide sufficient appraisal data for establishing their disposition. 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 ! rocedures, and those reflecting the or anization of DOE and its components. %he master set of directives at DOE Hea quarters, for example, is designated for permanent retention.

4. FINANCIAL VALUE. Financial records include budget records which show how expenditures were planned. Included also ma be accounting voucher or xexpenditure filing series of several kinds w ich document the purposes for which DOE funds were spent. Most financial records are transaction files which have temporary value { 6 years or less). Financial records relatin to the development of financia policy may have long-term or even permaneni value. a. 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. b. Proposed disposition for records created by contractors are submitted to the General Accounting Office (GAO) for concurrence. GAO approval also is obtained for the following DOE filing series if their recommended disposition is shorter than those prescribed in the General Records Schedules: I . II I-2 DOE 1324.2A 9-13-88 (1) (2) (3) (4) (5) (6) (7) (8) (9) (lo) onment; Payroll and pay administration; Procurement and supply; Property disposal; Budget preparation, presentation, and apport Accountable officers’ accounts; Expenditure accounting; Stores, plant, and cost accounting; Travel and transportation; Motor vehicle maintenance and operation; and All pro ram records whose proposed disposition is 3 years or less. ?GAO wil not approve or disapprove proposed disposition for rogram !records which are lonuer than 3 vears. but it will occasiona lV suggest shorter disposition consbnant’with good records managefient practices. c. Note that all GRS dispositions are mandatory unless NARA approves an SF 115 for individual deviations. 5. LEGAL VALUE. a. Records have legal value if they contain evidence of le ally enforceable rights or obli ations of the Government. ! f!Among those o ligations are the legal rights o persons to make claims against the Government. Records having legal value include but are not llmited to the following: (1) Legal decisions and opinions; (2) ~l~utn~n;;a~~~ol~~~glegal agreements, such as deeds, leases, titles,.7 (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 is to be considered. tatutes of limitation are not necessarily controlling factors in the establishment of retention periods. zFor examp e, paid payroll checks are dis osable after !3 years even though in most “jurisdictionsthe applicable sta ute of limitations is 6years. iIn t is instance experience shows that controversies and claims over the pa men~ of wages and salaries arise in a matter of hours or days, not years. {he cost of storing the records for 6 years would clearly exceed any benefits to the Government. — — DOE 1324.2A 9-13-88 III-3 (and III-4) 6. 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 ori in, organization, procedures, and functions of major DOE programs. ?Records o historical value are often found in files containing Presidential or White House correspondence;with Members of Congress, congressional committees, Cabinet Secretaries, heads of agencies, and prominent citizens; internal corres ondence with Heads of Departmental

TElements, and other key DOE officia s; 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; memoirs and transcripts of interviews. NARA makes the final determination about the historical value of all Federal records. 7. VOLUME. While volume has nothing to do with the administrative, financial, ~ or other criteria used in the appraisal process, volume should be taken into account when establishing disposition for filing series which accumulate at a rapid rate and occupy considerable filin and storage space. i cost reduction or cost avoidance in maintaining an storing records is an important objective of the records disposition program. In establishing retention standards for high volume records, the cost of retainin them should be 7weighed against potential benefits derived therefrom. I such costs significantly outweigh potential benefits, an element of calculated risk should be considered in establishing their disposition. It 1s not necessary for records to be completely valueless in order for them to be disposed of. NARA 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. I -- . ( DOE 1324.2A Chg 1 4-9-92 IV-1 I —- 1. 2. I I CHAPTER IV TRANSFERS OF RECORDS GENERAL. This chapter pertains to the transfer of records from the office which created or holds them to the local records holding areas, and to the National Archives and Records Administration (NARA), its Federal Records Centers (FRC), and donations. TRANSFER TO FEDERAL RECORDS CENTERS. a. b. c. d. e. Departmental approval is not required for transferring noncurrent DOE records to FRC. Requests for reference service directed to a FRC should be made by a specific individual or designee authorized to do so by the Director of Administrative Services, or Heads of Field Elements, as appropriate. Routine requests are made in writing using Optional Form 11, “Reference Request - Federal Records Centers.” Priority or requests may be made by telephone or teletype. Requests must provide information such as the Records Group Number, FRC Accession Number, date(s), and descriptions of the desired records, to facilitate retrieval. Record Group (RG) numbers are assigned to Federal agencies by the Assistant Archivist for the National Archives, to be used for identification and control purposes in transferring concurrent records to Federal Records Centers. The appropriate RG number must be shown in Column 6(a) of the Standard Form 135 covering each transfer of records to an FRC. The Assistant Archivist for the National Archives has prescribed the following RG numbers to be used by DOE, some of which will be used only until the disposition of all of the records transferred from the predecessor organizations has been accomplished. Others will have continuing use by DOE. RG numbers to be used by DOE and their used are explained in figure IV-1, below. Coordination will be made with the appropriate FRC to schedule those transfers. I — Vertical line denotes change. IV-2 DOE 1324.2A 9-13-88 Record GrouD Number To Be Used For RG 201 Records of the Western Area Power Administration. RG 434 General Records of the Department of Energy, and records generated by the former Federal Energy Administration.

RG 305 Records of the RG 387 Records of the RG 388 Records of the RG 447 Records of the RG 326 Records of the RG 430 Records of the Bonneville Power Administration. Southwestern Power Administration. Southeastern Power Administration. Alaska former former Power Administration. Atomic Energy Administration. RG 48 Records transferred from the dated prior to 1-19-75. RG 412 Records transferred from the dated prior to 1-19-75. RG 70 Records transferred from the 1-19-75. RG 307 Records transferred from the prior to 1-19-75. Figure IV-1 Record Groups — Energy Commission. Research and Development former Office of Coal Research, Environmental Protection Agency, Bureau of Mines, dated prior to — National Science Foundation, dated DOE 1324.2A 9-13-88 3. 4. 5. — — TRANSFER TO LOCAL RECORDS HOLDING AREAS. fleers establlsh and lm~lement transfer IV-3 (and IV-4) Headquarters and Field Records procedures to local records holding areas under their-control. Such olicies and procedures, which are also part of the records mariaement ! % fan i!enera”y ‘“’~”w ‘herocedures for transferring recor s to F Cs. ocal prlorltles and needs are to e considered. TRANSFER TO THE NATIONAL ARCHIVES. This transfer ertains only to permanent records, and 1s documented in tandard Form 258. ff such transfers are under consideration, the Departmental Records Officer must be contacted for assistance and approvals. TRANSFEROR DONATIONS TO FEDERAL AND NON-FEDERAL AGENCIES. If these are under conslderatlon, he Departmental Records flee w1ll be contacted where necessary approvals will be sought. ( ( —. DOE 1324.2A 9-13-88 CHAPTER V V-1 (and V-2) DEPARTMENT OF ENERGY RECORDS SCHEDULES 1. GENERAL. The records covered by the attached schedules are unique to the D@iFEEent and its M&O contractors. An index of the schedules showing the categories of these records is provided to facilitate their use. 2. CITATIONS OF AUTHORIZED DISPOSITIONS. In disposition actions regarding these records, cite he schedule and item number as follows; DOE 1,1 to reflect the author!!ed disposition under DOE schedule 1, item 1. The GRS is cited the same way. 3. CHANGES. Changes to these schedules will be made by Page Change in accordance FiThlJUE 1321.lB, DEPARTMENTAL DIRECTIVES SYSTEM, of 4-7-83. DEPARTMENT OF ENERGY RECORDS SCHEDULES INDEX Schedule 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Subject Attachment MEDICAL, HEALTH, AND SAFETY INDUSTRIAL FACILITY RECORDS NUCLEAR WEAPON RECORDS FACILITY RECORDS SPECIAL MATERIALS ACCOUNTABILITY RECORDS 5 RECORDS 1 2 3 4 E UIPMENT CONTROL MAINTENANCE, AND !O ERATIONS RECORD$ 6 LEGAL RECORDS 7 PROCUREMENT, SUPPLY AND GRANT RECORDS 8 PROPERTY DISPOSAL RECORDS 9 BUDGET PREPARATION PRESENTATION, AND APPORTIONMENT RECOhDS 10 ACCOUNTABLE OFFICERS’ ACCOUNTS RECORDS 11 TRAVEL AND TRANSPORTATION RECORDS 12 COMMUNICATIONS RECORDS 13 DESIGN AND CONSTRUCTION DRAWINGS AND RELATED RECORDS 14 Pagg v-3 V-19 V-31 v-35 v-37 V-41 v-43 v-47 v-49 V-51 v-53 v-55 v-57 v-59 — ( DOE 1324.2A Chg 1 4-9-92 Attachment V-1 Page V-3 I —. I .— I .- DOE RECORDS SCHEDULE 1 MEDICAL, HEALTH, AND SAFETY RECORDS Records covered by this schedule include the following classes of records: (a) safet management; (b) medical and health research; (c) operational records for health units fire units, and biological laboratories; (d) individualcase files of employees expose to hazardous or toxic substances, or radioactivity; and (e) records of DOE-controlled activities reflecting the protection provided to employees, the public, property, and the environment during the conduct of the activity.

ITEM ~ DESCRIPTION OF RECORDS 1. SAFETY MANAGEMENT RECORDS. a. Occurrence (as defined by the Assistant Secretary for Environment, Safety, and Health or predecessor). (1) Report files maintained by the Office of the Deputy Assistant Secretary for Safety and Quality Assurance. (a) Files on occurrences which were of widespread public and congressional interest. (b) Files on all other occurrences. (2) Files maintained by field organizations, including a copy of the report, related correspondence, technical data, state- ments of witnesses and employees, other relevant information and data. b. Correspondence files of organizational units responsible for facility safety program, consisting of reports, statistics, memoranda, and correspondence relative to traffic and property damage accidents, including records and statistics relative to summaries of industrial personal injury accidents, (exclusive of cases involving personal injuries which are retained permanently). c. Records of reports of routine safety inspec- tions, including evidence of action taken. d. Reports, statistics, and correspondence rela- tive to traffic and property damage accidents, including records relative to summaries of industrial personal injury accidents, exclusive of cases involving personal injury. AUTHORIZED DISPOSITION Permanent. Offer to NARA25 years after case is closed. NC 326-75-2 Destroy when 80years old. NC 326-75-2 Destroy when 15 years old. NC 326-75-2 Destroy when 10 years old. II NNA-1023(2~ Destroy when 1 year old. II NNA-31O(6) Destroy when 10 years old. II NNA-1023(3) Attachment V-1 Page V-4 DOE RECORDS SCHEDULE 1 ITEM ~ DESCRIPTION OF RECORDS e. Prescriptions for safety glasses. 2. FIRE UNIT RECORDS. a. b. c. d. e. f. 9. Alarm, investigation, and incident reports relating to various types of fire alarms and investigations of fires, including source data concerning fires in which fatalities may result or when arson is suspected. Fire extinguisher history records and fire hose records. Fire extinguisher inspection records showing description of extinguishers, recharging data, and names of inspectors. Fire station operating logs. Ambulance service reports. Fire alarm system tests, radio communications reports on inside and outside fire drills, daily force reports, and building inspections. Auxiliary brigade attendance and training records. 3. MEDICAL OR HEALTH RESEARCH PROJECT CASE FILES reflecting the history of the research project from initiation to completion, including research, development, design, and test results. Included are records such as: project proposal; review memoranda and comments; project authorizations and directives; copies of unpublished manuscripts, journal articles, and conference papers; progress reports; correspondence influencing the direction of the project; and lists of publications and films resulting from the project. Also included are the records of any subsequent studies resulting from the research. DOE 1324.2A 9-13-88 AUTHORIZED DISPOSITION Destroy when 6 months old. II NNA-409(25) Destroy when 10 years old. NC 430-76-2(3) Destroy 1 year after removal of equipment from service. II NNA-1858(1BI Destroy when 1 year old. II NNA-2939 Destroy when 6 years — old. II NNA-1858(1C) Destroy when 3 years old. II NNA-1858(E) Destroy when 1 year old. II NNA-1858(1FI Destroy when 1 year old. Permanent. Offer to NARA 25 years after project is completed. NCI-430-76-9(2) - Attachment V-I Page V-s

DOE 1324.2A 9-13-88 I DOE RECORDS SCHEDULE 1 I ITEM NO. 4. 5. DESCRIPTION OF RECORDS RECORDS CONCERNING PERSONNEL EXPOSURE TO HAZARDOUS IALS R d (includes correspondence)pre- pared in ~he ~~~~a? course of business concerning or documenting the exposure of personnel to hazard- ous concentrations of toxic chemicals and other materials, excludin radionuclides and individual “+employee fl es. a. b. c. d. Standards, operating guides, and procedures, including revisions and background records which establish or relate to establishing operating practices. Operating lans for specific jobs within the Kscope of t e above-establishedoperating practices. Records and investigationsestablishing the !extent of employee exposure to toxic c emicals and materials. These records should be filed in the Health Hazard case file (item 6, below), wherever possible. Industrial hy iene logsheets recordin 8 i!survevs for in ustrial hazards other t an radiaiion and contamination. (1) Surveys indicating no industrial hazard. (2) ~~~~:~s indicating a potential industrial . RADIATION-CONTAMINATIONCONTROL PROGRAM RECORDS (includes correspondence) concerning or docu- menting accurate, quantitative description of the exposure of personnel to external radiation and internally deposited radionuclides, including development of appropriate regulations and procedures used as a basis for the radiation- contamination control rogram; excludes !’individual employee fi es. AUTHORIZED DISPOSITION Permanent. Offer to NARA in 25 years. NCI-430-76-9(5) Destroy when purpose is served or when 1 year old, whichever is earlier. Destroy when 75 years old. NCI-430-76-9(5) Destroy when 75 years old. NCI-430-76-9(5) Until related facility is dismantled. NCI-430-76-9(5) I -. - Attachment V-1 Page V-6 DOE RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS a. Personnel Exposure Dose Record concerning or documenting radiation exposure dose to the individual due to alpha, beta, gamma, and neutron radiation as determined by ersonnel Eradiation monitors or by estimates ased on other radiation dose instruments. (1) Results of equipment calibration establishing the authenticity of the above dose results. (2) Automatic data processing system pro- grams, codes, instruction tapes, and di:;~ if used for retrieval of item a, . (3) Worksheets, requests for analysis, chart records recording information which must be interpreted or further modified before use, automatic data processing system input records, other information used in interim calculations or to verify that recorded data is correct (such as checksheets), film badges, and statis- tical summaries duplicating the above exposure data. b. Technical Standards, Operating Guides, Labora- tory, peratlng, and Radiation-Contamlnatlon Control Procedures describing he technical and administrative basis for the radiation- contamination protection program. (1) (2) Historical file of standards, guides, and B rocedures, including revisions, and ack-ground records definin philosophy in Ydevelopment, methods of eva uation, and mode and scope of radiation-contamination protection efforts. Detail plans for specific jobs performed within the scope of the above procedures and similar records relating to routine daily operations. DOE 1324.2A 9-13-88 .— AUTHORIZED DISPOSITION Destroy when 75 years old. NCI-430-76-9(4> Destroy when 75 years old. NCI-430-76-9(4~ Until exposure record above has been veri- fied and ap roved, or

Eone Year, w ichever is earner.’ NCI-430-76-9(4) -— Permanent. Offer to NARA when 25 years old. NCI-430-76-9(4) Until purpose is served or 1 year, whichever is-earlier. NCI-430-76-9(4) DOE 1324.2A 9-13-88 I —. Attachment V-1 Page V-7 DOE RECORDS SCHEDULE 1 I — ITEM NO. DESCRIPTION OF RECORDS c. d. e. f. Logbooks (chronological-history)which provide a concise summary of shift and daily activi- ties, including unusual incidents, radiation and contamination problems, release of radionuclides to work areas or public zones, interpretation of unusual chart recordings, and similar items. Routine Radiation and Contamination Surveys and alr samDle leas. lncludlna resultlna laboratory analys;s’and equipfientcalib~a- tions, indicating no unusual health or safety problems. Recorder Chart Records of radiation and contamination detected by air activity monitors (gaseous and particulate) and ionization chambers. (1) Records directly applicable to the workplace. (2) Other records. Reports and Engineering Studies of unusual radiation or cbntaminafion problems. 6. INDIVIDUAL EMPLOYEE HEALTH HAZARD CASE FILE. Indlvldual employee radlatlon ex osure f history file both internal and external . Records iinclu e those of visitors. Each file provides a record of an individual’s exposure, includin both dude:negative and positive results, and s a a. Records of skin and nasal contamination incidents, including decontamination details. b. Incidents involving contaminated injuries, along with decontamination and treatment of such injuries, including tourniquet time records, if used. AUTHORIZED DISPOSITION Destroy when 75 years old. NCI-430-76-9(4) Destroy when 75 years old. NCI-430-76-9(4} Destroy when purpose is served or when 3 months old whichever is i“ear ler. Reserved Until pur ose is served Eor 3 mont s, whichever is earlier. Destro when 100 years old. iCI-430-76-9(4) Destroy when 75 years “d’ y . Attachment V-I Page V-8 DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS c. Results of direct measurement of radiation from the chest, specific organs, or whole body. d. Investigations of the following types: (1) Assimilations of radioactive materials in excess of standards and control guides. (2) Missing or unusual data concerning exposure of personnel to radiation. (3) Radiation exposures exceeding quarterly to yearly exposure guides and standards. e. Records of bioassay data. (1) Positive laboratory results on bioassay samples (urine, feces, blood) used to determine internal assimilation by an individual of a radionuclide. (2) Laboratory results indicating no assimilation of radioactive materials. AUTHORIZED DISPOSITION w 7. PLANT RECORDS. a. Radiation Detection Instrument Calibration Records relatlng to he calibration and -ion of instruments used in the detec- tion and recording of radiation, aqainst sources of known radioactive emission or dose rate. (1) Histor of procedures indicating criteria z ;::troy when 75 years for se ection and methods used, and . NCI-430-76-9(1) schedules giving frequency of calibration and maintenance of radiation detection instruments and equipment. .—,. . (2) Report instrument and equipment distri- Destroy when purpose bution, decontamination, performance, is served or when 1 inventories, statistical data, physical :~;fig~d, whichever is status, operating condition, and any related data. NCI-430-76-9(1) — DOE 1324.2A 9-13-88 Attachment V-I Page V-9

DOE RECORDS SCHEDULE 1— ITEM NO. DESCRIPTION OF RECORDS b. Radiation Detection Charts used with alarm svstems to record radlatlon in excess of established guides in production plant areas, provided unusual radiation data are posted to other records which are retained. (See item 6a, this schedule.) 8. ENVIRONMENTAL CONTAMINATION MEASUREMENT RECORDS lndlcatlng presence and amount of contaminating materials (including radioactive materials) in samples of air, water, earth, biolo ical (animal 7and ve etation) and special materia s from onsite ?and of site locations. a. Procedures which detail the methods used and Trequency of analysis of environmental samples. Includes records or correspondence which give the philosophy and scope of sampling, provide interpretationsof results, and detail the lans for sampling and analysis !of environments samples. (1) General procedures. (2) Specific procedures. AUTHORIZED DISPOSITION Destroy when 1 year old. NCI-430-76-9(7) Permanent. Offer to NARA in 25 years. NCI-430-76-9(3) Destroy when analyti- cal results are verified, accepted, and summarized, or when 5 years old, whichever is earlier. NCI-430-76-9(3) b. Analytical Summaries of results of analyses, Destroy when analyti- lncludlnq results on standards or other cal results are calibrations used to establish the validity of verified, accepted, analytical results. and summarized, or when 5 years old, whichever is earlier. NCI-430-76-9(3) .—- Attachment V-1 Page V-10 DOE RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS Lo books containing pertinent sampling c“ +ana y lcal calculations, observations, interpretations of results. or and old. d. Worksheets, recorder charts, laboratory analvsis reauests, radio-autocmaph film, dosiieter data, and other int~rirnrecords or devices used in determining the basic data from which results in item b, above, are obtained. e. Notebooks of laboratory technicians and field Inspectors concerned with earth sciences. f. Data gathered to measure residual contami- ~on of soil and ground water with long- lived radioactive or toxic substances at or near DOE sites. 9“ Environmental Monitoring Reports and topical reports defining he extent and levels of radioactive contamination in soil or real estate. 9. RADIOACTIVE WASTE DISPOSAL OR UNPLANNED DEPOSITION . a. Regulations governing radioactive waste ship- ments and burials, including DOE orders, Federal regulations and guidelines, and other pertinent standards, guides, and procedures. DOE 1324.2A 9-13-88 AUTHORIZED DISPOSITION Destroy when analyti- cal results are verified, accepted, and summarized, or when 5 years old, whichever is earlier. NCI-430-76-9(3) Destroy when analyti- cal results are verified, accepted, and summarized, or when 5 vears old, whichev~r is earlier. NCI-430-76-9(3) Destroy when analyti- cal results are verified, accepted, and summarized, or when 5 years old, whichever is earlier. NCI-430-76-9(3) Permanent. Offer to NARA when no longer needed by the Department. NtI-430-76-9(3) Permanent. Offer to NARA when no longer needed by the Department. NCI-430-76-9(3) Permanent. Offer to National Archives when no longer needed. NCI-430-76-9(6) — . DOE 1324.2A Attachment V-1 Page V-II 9-13-88 DOE RECORDS SCHEDULE 1 ITEM NO. 10. DESCRIPTION OF RECORDS b. Records which indicate type of waste (solid, Ii uid, or gaseous), degree of radioactivity; 3an for solld waste: date of burial, volume buried, activity level, and storage location.

c. Miscellaneous worksheets, checklists, or other data sheets from which pertinent data has been transcribed to item b, above. d. Unplanned deposition records (spills or or radioactivity. eaks) e. Records of radioactive gaseous wastes dis- charged to atmosphere and radioactive liquid wastes discharged to surface ground or water. f. Miscellaneous waste disposal records including transfers from operating building or between tanks, boiloff rates, and intank solidifi- cation information provided pertinent data have been transcribed to records which are retained. BIOLOGICAL LABORATORY RECORDS documenting pro~rams under which Ydata concerning the effect o radia- tion on animal and aquatic life are accumulated, evaluated, and reported. a. Researcher’s Biology Notebooks containing all notes pertinent to laboratoryex eriments, Yincluding observations and calcu ations, and all other data pertinent to the experiment, including discussions by the researcher and conclusions. (1) Research notebooks deemed b the DOE, {contractor, and the Nationa Archives to have exceptional value because of the highly significant nature of the research involved or uniqueness of the research. AUTHORIZED DISPOSITION Permanent. Offer to National Archives when no lon er needed. NCI-480-76-9(6) Destroy when purpose is served or when 1 .Yearold, whichever is-earlierl NCI-430-76-9(6) Permanent. Offer National Archives no lon er needed. NCI-4~0-76-9(6~ Permanent. Offer National Archives no Ion er needed. !NCI-4 O-76-9(61 to when to when ~~~troy when 1 year . NCI-430-76-9(6) Permanent. Offer to NARA within 25 years. NCI-430-76-4(1) Attachment V-1 Page V-12 DOE RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS (2) Al1 other notebooks. b. c. d. e. f. 9. Periodic Reports relating to activity and progress prepared weekly, monthly, and annually from data recorded in biology notebooks described in item a, above. Machine-Readable Data taken from worksheets (see Item n, be1ow ‘! ertaining to radiological analysis or beta ana ysis of animal or aquatic life, used for organization of data for entry in biology notebooks. Necropsy Protocols recording data collected during autopsies performed on animals, includ- i~~n$~thologicdiagnosis of various organs and i? Provides source data for animal case { istor{es see item e, below) and is pertinent to the eva uation of experimental results. Animal Case Histories recording such facts as: data from lamblng records, treatment records, genealogical records, gestation periods, lamb- lng dates, numbers, sex, and weight that are important in the evaluation of experimental results and as a source of entries to biology notebooks. Thyroid Count Records consisting of tabulating cards Ilstlng data taken from animal thyroid count worksheets (see item n, below). Records provide source of data entered in biology notebooks. Radio Analysis Sample Data describing collect- ed samples, counted samples, and listing the beta count, decay factor, anal sis factor, and remarks. fThis record is usefu to accumulate data for transferring to keypunch cards, and is useful during retention period for checking errors on such cards (related to item e, above). DOE 1324.2A 9-13-88 -— AUTHORIZED DISPOSITION Destroy when 15 years old. NCI-430-76-4(1~ Destroy when 6 years old. NCI-430-76-4(1) Retain until entered in biolo y notebook. !NCI- 30-76-4(1) Destroy when 15 years old. NCI-430-76-4(1) Destroy when 20 years old. NCI-430-76-4(1)

.... Destroy when 15 years old. NCI-430-76-4(1) Destroy when 2 years old. NCI-430-76-4(g) I —. ~oE 1324.2A 9-13-88 ITEM NO. DESCRIPTION OF RECORDS h. i. j. k. 1. m. n. o. DOE RECORDS SCHEDULE 1 Aquatic Biology Data Analysis showing type of sample, location or source, counting infor- mation, laboratory correction factors, and related data. Decay Curve Data Sheets used to identify and verify characteristics of radioactive samples tested under laboratory conditions. Absorption Curve Data Sheets listing sample number. samDle designation. data samt)ledand related facts, obse~ved laboratory “ reactions, and corrected entries. Daily Counter Background Reports listin count-lng instruments and 7summarizing a 1 the background data recorded on radiation counters on a daily basis. Reports are transcribed to results of all requests for analysis, such as items g and h, above. Analytical Requests describin samples for which !laboratory analvsis is esired. includ- ing results of the an~lysis and related facts pertinent to special or to alpha-beta-tritium counting requests. Information from this record 1s abstracted to biology notebooks (item a, above) for correlation and evaluation. Photomicrographic Requests and requests for related photographic work, including instruction and justification. Laboratory Worksheets recording data pertain- lna to animal birth records. animal weiaht. an~mal treatment, habit patterns, thyroid “ counts, and related data compiled in animal case histories and useful in evaluation of experimental results. Animal Tissue Preparation Request listing tissues to be prepared, flx to be used in laboratory, thickness of section, stain to be used, special instructions, and schedule of completion. Attachment V-1 Page V-13 AUTHORIZED DISPOSITION ;:;troy when 2 years . 11-NNA-1595(h) ;y;troy when 2 years . 11-NNA-1595(i) t$itroy when 2 years . 11-NNA-1595(J) g~;troy when 2 years . 11-NNA-1595(k) Destroy when 2 years old. 11-NNA-1595(1) Destroy when 2 years old. 11-NNA-1595(m) Destroy when 5 years old. NCI-430-76-4(n) ;y:troy when 2 years . 11-NNA-1595(0) I -._..—— Attachment V-1 Page V-14 DOE RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS P. Radiation Counter Control Data used to maintain correct operating conditions for radiation detection instruments. 11. 12. q“ Radiation Counter Plateaus listing equipment number. tube number. date. time, mica window thickness, voltage,’li hts and total counts; i’used to determine and ist the operating condition of radiation counters. r. Source Data Card Files used to check accuracy of radiation counters aaainst the known calibration standards pfiblishedby the U.S. Bureau of Standards. PERSONAL INJURY FILES. Forms, reports, corres- pondence, and related medical and investigatory records relatin to on-the-job injuries, whether for not a claim or compensation was made, EXCLUD- ING copies filed in the Official Personnel Folder and copies submitted to the Department of Labor. SYNOPTIC METEOROLOGY RECORDS accumulated to evaluate, interpret, and determine meteorological and climatoloqical condition; bearin on engineering and icontamination pro lems. a. b. c. d. Wind logs recording wind speed and direction at hourly intervals and at various levels. Summary sheets recording actual and average wind speeds and direction. Reports of Synoptic Wind Observations llstlng wind velocities and dlrectlon at every half hour intervals in each project area.

Soil and Air Temperature Logs, recordin temperatures at everv half 7hour interva s DOE 1324.2A 9-13-88 Destroy when 1 year old. 11-NNA-1595(q) Destroy when 1 year old. 11-NNA-1595 Reserved 11-NNA-2144 Destroy when 10 years old. Destory when 10 years old. — AUTHORIZED DISPOSITION Destroy when 1 year old. 11-NNA-1595(p) l)~;troywhen 10 years . Destroy when 10 years old. at barious levels beiow and above surface. DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS. e. f. 9* h. i. j. k. 1. Solar Radiation Logs recording hourly averages and dally totals of solar radiation, direct and indirect, received on a horizontal surface. Psychometric Computations figured from wet and drv bulb readlnas. dew t)oint. relative hfimidity,and ~d~ustme~t figures taken from other records. Pressure Logs listing hourly barograph readlnqs and corrections, station pressu~es, and temperatures. Surface Weather Observation Data ~ celllng; vlslblTity; sea level pressure; temperature; dew point; direction, speed, and character of winds, and total sky cover. Summary Reco~~~d::ncerningpressure, sky cover, { frost, fog, and miscellaneous weat &r phenomena, including data and readings on frontal passage and chinook inversions. Precipitation Measurements and summaries, Ilstlng water in rain gauge, snow, sleet or ice on the ground, water equivalent, and unmelted amounts, together with observer’s remarks. Meteorological Recorder Charts recordin veloclty and dlrectlon, 7em erature, so ar ‘[rediation, thermograph and ydrograph read- ings, and atomspheric pressure over 24-hour periods. Pilot Balloon ascension reports, indicating elevatlon of balloon at minute intervals, azimuth, distance, speed, temperature, and observer’s remarks. Attachment V-I Page V-15 AUTHORIZED DISPOSITION Destroy when 10 years old. Destroy when 10 years old. :f;troy when 10 years . C$atroy when 10 years . :y:troy when 10 years . ~~jtroy when 10 years . Destroy when 5 years old. Destroy when 2 years old. — Attachment V-1 Page V-16 DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS. AUTHORIZED DISPOSITION m. Weather Maps and Charts on which are plotted ;~:troy when 2 years weather information received by telety e, including i . [ seudoadiabatic charts, U.S. .B. plotting c arts, U.S.W.B. plotting charts, and upper air charts. n. Background Recording Charts and monitor logs Destroy when 1 year old. measuring miscellaneous background readings of air contamination: I —. DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 2 Attachment v-2 Page V-17 I . INDUSTRIAL FACILITY RECORDS This schedule covers records pertaining to the management and operation of DOE industrial facilities. Such facilities include, but are not restricted to, Naval, test, and production reactors; production facilities; laboratories; and separation plants. The records consist of a wide variety of facility management records such as R regress, production, and status re orts; quality control data files; equipment istory and control records; specia! material accountability files; and product output summaries. Records accumulated in the operation of the facility would include such documents as logbooks; instrument monitoring charts; industrial X-rays and radiographs; equipment inspection and servicing records; work permits; and many other documents that are generated in the operation, monitoring, production, and maintenance of the plant and its equipment.

ITEM ~ 1. 2. DESCRIPTION OF RECORDS MANAGEMENT OF PRODUCTION RECORDS. Production control files developed In coordinating work programs in the production of components and equipment, consisting of minutes of meetings of production personnel to work out production schedules and to adjust difficulties arising in production program. WORK PERMIT (WORK ORDERS) RECORDS. a. Log sheets pertaining to special work permits in operating activities, together with work order reason sheets. b. Work permits authorizing electrical work in processing plants, including related switching instructions. c. Photo rapher’s work permits, reflecting data %re ar ing instruction in safety rules, use of !sa ety equipment and protective clothing, and accompaniment in hazardous areas. AUTHORIZED DISPOSITION Destroy 2 years after completion of individ- ual production program. II NNA-1837 Destroy when 1 year old. II NNA-2257(19) Destroy 1 year after completion of work. II NNA-1598(4) Destroy when 1 year old. II NNA-2984(5) I — Attachment v-2 page V-18 DOE 1324.2A 9-13-88 .- DOE RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS 3. PROGRESS REPORTS. AUTHORIZED DISPOSITION a. Progress reports of production departments and product testing laboratories. (1) Weekly reports covering progress in substantive work program. Destroy when 5 years old. II NNA-1941(1A) Destroy when 2 years or old. II NNA-1941(1B) Destroy when 1 year old. II NNA-1941(1C) Destroy when 1 year old. II NNA-2838(1) (2) Weekl reports covering administrative {house eeping matters. (3) Daily output reports. b. Administrative, progress, production, and $ uality control reports and records, providing etail and summary data pertaining to produc- tion and quality of products such as cost; recovery; alloy variables; quantity of items Droduced. inst’)ected.acceDted. or re.iected: and related information, kxclusive OF mana6e- .— ment production reports-and monthly qualitj control progress reports. 4. PRODUCT MANAGEMENT RECORDS. ng of records of specific Project History Files consist accumulated during he course production rejects, such as “ Yreports, fi m slides, graphs,. Destroy when 5 years old. II NNA-1941(2) a. b. c. aboratory samp- drawings, and e related papers and correspondence. Retain unt product is to DOE. II— 1 finished transferred NNA-2536(2) Run Books providin !E recess history of product hrough series of a rication phases. Deviation Files consisting of records approv- ing and acceptfng or rejecting products which deviate from drawings, or specifications, together with revised drawings or specifi- cations, serving as basis for inspection, reacceptance, and reconversion of material. Destro.v10 years after date of issue. II NNA-2064 — I DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 2 Attachment V-2 Page V-19 I -. ITEM NO. DESCRIPTION OF RECORDS d. Quality Control Records. (1) (2) (3) AUTHORIZED DISPOSITION Technical data files consisting of reports Destroy when 5 years and records documenting the quality character- % old. 11 NNA-2838(3) istics of each ro uct produced, and Tproviding detai ed information pertaining to composition, casting extrusion, machining, canning, testing, and inspections. Data reflecting impurities of product metal rolled at specified temperatures. Lot fabrication and inspection records develoDed in auality control activities at material ptocess~ng plants, of ref- erence value only during short life of metal slug product.

‘“ P“” Industrial inspection X-ray 1 es, consisting of X-ray film made to deter- mine physical status of products utilized in operating plants, exclusive of radiographs of equipment and materials used in nuclear systems (see item 7b). f. Seal Files. Seal status report files con- sisting of daily and weekly summaries showing numbers of seals built each day; type of seal; and number transferred, issued, or used in processing operation. 5. INDUSTRIAL METHODS RECORDS. a. Procedures of operatin activities covering iphases of operation an consistin of ?calibration books and makeup shee s. b. Process Work Reports pertaining to improve- ments in handling, operating, processing, and material quality. Destroy when 2 years old. II NNA-1527(2) Destroy when 1 year old. II NNA-2536(1) Destroy when 1 year old. II NNA-675(4~ Destroy when 1 year old. II NNA-1554(5) Destroy when su erseded. ~ Destroy when 3 years old. II NNA-2260(2A) I .— Attachment V-2 I)(IE 1324.2A 9-13-88Page V-20 DOE RECORDS SCHEDULE 2 — ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Destroy when 2 years old. II NNA-2252(1) c. Work Simplification Records consisting of case files containlnq detailed descriptions of plans for simplification of work or improvement in nonprocess operation. d. Industrial Engineering Reports pertaining’to potential cost reductions or improvements in nonprocess work or separation operations. Destroy 1 year after proposal is adopted or rejected. II NNA-2252(2) Destroy when 1 year old. II NNA-962(4) e. Sampling Checklists made out by supervisors observing sampllng techniques of operators taking process samples, to determine compliance with established procedures. 6. PRODUCTION EQUIPMENT INVENTORY CONTROL RECORDS. a. Production Equipment Inventory Listings. Destroy when 2 years old. II NNA-31O(7) b. Reserved c. Reserved 7. EQUIPMENT MAINTENANCE RECORDS. Maintenance records include testing, inspection, servicing, and repair records. a. Life of the Equipment Records. Service life of he equipment history and radiograph records. (1) Seal history sheets and related loabooks Destroy 1 year after seal is removed from service. II NNA-1554(2&4~ reflecting work performed on speci?ic seal from time of installation until seal is not longer used, to ether with test 7sheet data reflecting acts concerning test made on individual seals. Pump history files consisting ofmainte- nance records, including descriptions of repair work performed and material used from installation of pump until its removal from service. Destroy 1 year after pump is removed from service. II NNA-1554(3) (2 DOE 1324.2A 9-13-88 Attachment V-2 Paqe V-21 —. DOE RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS (3) Radio raphs of reactor system welds, iinclu ing coolant systems, and reactor vessels. b. Monitored Equipment Records. Inspection, service, maintenance, and repair records reflecting unresolved monitored problems. c. Equipment Records. Inspection, service, maintenance, and repair records reflecting performance. (1) (2) —. (3) (4) Pressure vessel inspection reports reflecting data concerning periodic hydrostatic tests of pressure vessels, and serving as checklists to assure compliance with specified test intervals. Gamma distribution files consisting of recorded calculations of expected gamma ray activity in reactor shields, based upon measurement data taken experimentally. Reports of preliminary tests of equipment systems in production plants indicating readiness for operations.

Routine monitoring records of inspection, maintenance, or repair which reflect satisfactory performance. (a) Logs or supporting records recording equipment test results for: J. Converter status (daily reports); ~. Cylinder pipe leaks; ~. Individual tube (gamma tests); ~. Valves; AUTHORIZED DISPOSITION Destroy when equipment is removed from service. NN 170-57(1) Reserved. Destroy after subsequent test of vessel con- cerned. II NNA-2808(2) Destroy when 3 years old. II NNA-1527(3) Destroy 3 years after action. II NNA-2143 Destroy when 1 year old. II NNA-1554(1O) II NNA-1554(9) II NNA-1554(11) II NNA-1554(8} Attachment V-2 Page V-22 DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS g. Valve equipment; and g. Industrial ins ection X-ray files !consisting of -ray film, to determine status of equipment used in o crating plants. R (See radiograp s of reactor system welds in item 7b(3), above.) (b) Operators’ reports of equipment failure, reflecting equipment data, failure characteristics, and cir- cumstances leading up to interruption of operations. 8. REACTOR OPERATIONS RECORDS reflecting equipment- operatlons data. See o erators’ reports of !equipment failure, item d(4)(b), above.) a. Control room logs recording operating conditions and procedures on each shift. b. Shift supervisors’ logbooks recordin ?significant incidents and actions ta en. c. Daily operations summary reports. d. Reactor Temperature Control Records. (1) Graphite data sheets listing graphite temperature inside reactors. (2) Temperature and flow maps reflecting reactor power levels and providing outlet water temperatures and flow data of reactor tubes. AUTHORIZED DISPOSITION II NNA-1554(8) II NNA-675(4] Destroy when 1 year old. II NNA-1601(5~ .- Destroy when 6 years old. 11 NNA-3002(1) Destroy when 6 years — old. II NNA-3002(2) Destroy when 6 years old. II NNA-3002(3) Destroy when 5 years old. II NNA-2088(2A) Destroy when 3 years old or until expended core examinations have been completed and final inspection reports issued, whichever is later. NN 170-57(3) DOE 1324.2A 9-13-88 Attachment V-2 page V-23 .— . e. f. 9“ h. DOE RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS (3) Temperature cards and tapes recording at set levels the temperature readings of individual tubes in reactors. Source records used to accumulate information summarized in items a through e, above, including checklists and logs reflecting source data recorded in connection with the operation of various reactor and associated equipment. Generator sheet files recording operating characteristics of fluorine or other gener- ators, reflecting such data as voltages, temperatures, pressures, and weights. Reserved Recorder charts which record temperature, pressure, flow, power fluctuation, and other data in connection with testing and control operations, exclusive of radiation detection charts; provided pertinent data is transcribed to logbooks, reports, or other records. 9. MATERIALS PROCESSING RECORDS. a. Control Records Pertaining to Work Performed In Analytical Laboratories. (1) (2) (3) (4) Laboratory manuals, standards, and procedures. Laboratory logbooks describing analyses daily activities of the laboratory. Sample receiving logs. Special nuclear material accountability logs, provided official accountability record is retained. AUTHORIZED DISPOSITION Destroy when 3 years old. II NNA-1527(1)

Production reactors, destroy 1 year after FY involved. All other reactors, destroy when 3years old. NN 170-57(5) Destroy when 2 years old. II NNA-1521(5) Destroy when 1 month old. NN 163-145 II NNA-2256 Destroy when superseded. II NNA-2256(1)” Destroy when 5 years old. II NNA-2256(2) Destroy when 2 years old. II NNA-2256(3) Destroy when 2years old. 11 NNA-2256(4) and Attachment v-2 Page V-24 DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (5) Spectrograph film 1ogs supporting analysis work. Destroy when 2 years old. II NNA-2256(6) (6) Spectral slides used in spectrographic analysis of samples. Destroy when 1 year old. (7) Analysis requests. Destroy when 1 year old. 11 NNA-2256(7) (8) Analytical assay records 1isting results of analysis, provided pertinent data are retained in other records. Destroy when 1 year old. II NNA-2256(8) (9) Quality control monthly reports. Destroy when 1 year old”. 11 NNA-2256(9) (10) Supervisor’s shift logbooks. Destroy when 1 year old. II NNA-2256(10~ (11) Essential materials analysis reports. Elestroywhen 1 ear old. ~ (12) Investi ations of high hand scores, !provide significant data pertaining to individuals are retained in other records. ‘EiiMEarar“d”- (13) Comparative analysis logs pertaining to samples analyzed by two different methods for the same test. Ilestroywhem 1 ear old. M!WMEQJ (14) Daily sample report. Destroy when 1 ear old. ~ b. Analytical Logbooks recording analyses of samples in separation operations activities for quality control purposes. Destroy when 3 years old. 11 NNA-2258(1) c. Sample Analysis Data accumulated by work laboratories in production materials for quality or other control purposes. Destroy when 2 years old. 11 NNA-2063 DOE 1324.2A 9-13-88 Attachment V-2 P8ge V-25 DOE RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS d. e. f. h. Batch Information consistin of technical, %analytical, or statistical ata pertinent to chemical makeup or process batches, provided information pertinent to product history is transcribed to records which are retained. Sample Reports on chemical solutions, used for control of process variables. Process Transfer Records of metals, solids, or solutlons used for operational control purposes. Slug Storage Records. Slug storage basin records listing quantities and types of slugs awaiting processing. Sample History Sheets recording history of uranium sample. 10. BARRIER RECORDS.-. a. Barrier Retubing Inventories consisting of reports compiled daily showfng amount of barrier material received and transferred, usage made, amount on hand, and scrap inventory of broken or rejected tubes. b. Inventory and Transfer Files serving as accountability records for barrier materials. c. Barrier Progress and Usage Reports Files t)ertalnlnato maintenance of barrier material ‘inprocessing o erations, reflecting type, Blength, and numer of barrier tubes installed; number broken and rejected; and the number of plugs in each converter. 11. SPECIAL RESEARCH AND REACTOR MATERIALS ALLOCATIONS conslstlnq of records concerning estimated AUTHORIZED DISPOSITION Destroy when 1 year old. II NNA-1521(2) Destroy when 1 year old. II NNA-2258(10)_ Destroy when 1 year old. II NNA-2258 Destroy when 1 year old. II NNA-2258(9) Destroy when 1 ear old. ~ Destroy when 2 years old. 11 NNA-1554(6) Destroy when 1 year old. II NNA-1554(13) Destroy when 1 year old. II NNA-1554(7)

RiijiiTrementof Beryllium, Zirconium, Hafnium, Heavy Water, and Graphite. Attachment V-2 Page V-26 DOE 1324.2A 9-13-88 — ITEM NO. DESCRIPTION OF RECORDS a. b. t. d. e. f. 9* h. Files of offices with allocations, together pondence. DOE RECORDS SCHEDULE 2 AUTHORIZED DISPOSITION authority to make Destroy when 3 years with related corres- old. II NNA-1735(3A) Files of operations offices, consisting of Destroy when 2 years estimates submitted by contractors projecting old. II NNA-1735(3B)_ special material needs over a 3 year period. Files of requesting agencie~~7~onsistingof Destroy when 2 years retained co les of ! Form “Special old. II NNA-1735(3C~ Materials A location Request and Projected Requirement Information,” or equivalent form, together with pertinent correspondence. Files of approved allocations in area offices Destroy when 2 years which handle he supplying of special materials. old. II NNA-1735(3D) Essential Material Reports of operating actlvltles, showing beginning and ending inventories, receipts, disbursements, and consumption. Accountability Reports showing uranium transfer between operating activities for read reference by supervisors. f (This data is a so recorded in morning reports and log books which are retained indefinitely.) Essential (non-SS) Materials Accountability ‘tilesdocumenting he receipt, transfer, and ment of essential materials (other than SF materials) and consisting of worksheets, inventories, ledgers, reports, and other source records providing detail for reconciliations and accounting audits. SS Material Accountability and Transfer Files (inter and lntraplant transfers) consisting of records utilized within an SS station to account for transfers from one unit to another within plant or facility or between such plants. Destroy when 5 years old. II NNA-2257(9) Destroy when 1 ear old. – ~ Destroy when 2 years old. II NNA-2838(2) Destroy when 1 year old providing Depart- mental audit has been completed. NN 165-90 ---- DOE 1324.2A 9-13-88 I —- Attachment V-2 Page V-27 -— i. j. k. 1. m. DOE RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS Daily Line Operations Reports. Re orts or logs prepared !daily primarily for ine opera- tions includin operating and maintenance !information, s ift and status, essential material and chemical tank inventories, and technical, analytical, or statistical data pertinent to chemical or process materials or solutions. Feed and Waste Reports Files consisting of records which reflect physical inventory of material on hand at beginning of each day, depleted feeds, waste withdrawals, and other processing data used in measuring daily per- formance and to assist in locating foreign material. Product Withdrawal Sheets reflecting ross, %tare, and net weights of product with rawn from each cylinder in processing plants. SS Material Shipping Form Files consistin of torm !or eaulvalent. used in t e transfer of source and special-nuclear materials or other materials controlled by the SS materials accountability system. (1) Copies filed in DOE offices (2) Copies filed in shipping and receiving contractor installations. Reports of Shipper-Receiver Measurement m fferences filed in shlDt)lnCIand WCelViMI AUTHORIZED DISPOSITION Destroy when 1 year old. II NNA-962(3) Destroy when 5 years old. II NNA-1598(2) Destroy when 2 years old. NN 170-21 Destroy when 3 years old. II NNA-3225(1) Destroy after audit by DOE accountability survey teams.

II NNA-1735(7) installations, pertaining’to”transfers of !$S material between installations under the same or under different operations offices, and containing conclusions, recommendations, and resolutions of the measurement differences. I — Attachment V-2 Page V-2~ DOE RECORDS SCHEDULE 2 DOE 1324.2A 9-13-88 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (1) Copies forwarded to staff division admini- ~f;troy when 3 years stering SF accountability system. . (2) Copies filed in operations offices and in Destroy when 2 years shipping and receiving installations. old. — DOE 1324.2A 9-13-88 Attachment V-3 page V-29 DOE RECORDS SCHEDULE 3 NUCLEAR WEAPON RECORDS This schedule covers nuclear weapon records and reports for design agencies (laboratoryfacilities) and production agencies (manufacturingfacilities). Files consist of design and production drawings for weapons, components, and related equipment. Included in this schedule are records reflecting data concerning testing, inspection, assembly, quality assurance, and production. ITEM NO. 1. DESCRIPTION OF RECORDS DRAWING SYSTEM RECORDS. a. Design Drawings for weapon components, assemblies, and ancillary equipment. (1) Latest issue. (2) Superseded issues. I -— b. Production Fabrication Drawings for weapon components, assemblies, and ancillary equipment. c. Production Tool and GacteDrawinm. AUTHORIZED DISPOSITION NCI 430-78-2 ALL) Retain until superseded. Destroy 6 months after retirement of the weapon system from stockpile. Record copies are retained by the design agency from which drawings for a repre sentative sample of weapons are to be offered to the National Archives as permanent records. Upon accept- ance destroy remaining drawings. Destroy 6 months after retirement of the weapon system from stockpile. Destroy 6 months after retirement of the weapon system from stockpile. I Attachment V-3 Page V-30 DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 3 ITEM NC). DESCRIPTION OF RECORDS d. Acceptance Equipment Drawings. (Record copy maintained by design or production agency assigning drawing numbers.) e. Engineering Releases which change the product deflnltlon permanently or for specific units of weapon material, ancillary, or acceptance equipment. (Record copy maintained by design agency.) 2. TEST AND INSPECTION DATA AND ANALYSIS RECORDS. a. Evaluation, quality control, recess, and Kinspection data required by t e design agency in the Drawing System and sent to the design agency. (Record copy maintained by design agency.) b. Evaluation, quality control, recess, and Rinspection data required by t e design agency in the Drawing System generated and retained by the production agency. (Record copy maintained by design agency.) c. Production bulk raw material records. 3. WEAPON ASSEMBLY AND DISASSEMBLY RECORDS required he design agency. d~sign agency.) Record copy maintained by 4. QUALITY ASSURANCE RECORDS. a. Weapons Test and Inspection Data, e.g., New Material Laboratory Test data, and Stockpile Laboratory Test data. (Record copy maintained by design or production agency performing test or inspection.) b. Quality Audit Reports and related corrective action recommendation reports. (Record copy maintained by auditing agency.) AUTHORIZED DISPOSITION Destroy 6 months after retirement of the weapon system from stock pile. Destroy 6 months after retirement of the weapon system from stock pile. Destroy 6 months after retirement of the weapon system from stock pile.

Destroy 6 months after retirement of the weapon system from stock pile. —- Destroy when 5 years old. Destroy 6 months after retirement of the weapon system from stock pile. Destroy 6 months after retirement of the weapon system from stock pile. Destroy when 3 years old. - l)OE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 3 ITEM NO. DESCRIPTION OF RECORDS c. Certificates of Inspection. (Record copy maintained by Dot Quallty Assurance Inspection Agency.) 5. REPORTS. a. Design or production agency audit reports and related corrective action recommendation reports. b. Weapon information reports repared by the Ymilitary to report the resu ts of inspection, modification, alteration, or component changes on major assemblies. (Record copy maintained by design agency.) 6. MAJOR ASSEMBLY RELEASES prepared to establish the stockpile status of weapon material. (Record copy maintained by design agency.) Attachment V-3 Page 31 (and V-32) AUTHORIZED DISPOSITION Destroy when 3 years old. Destroy when 3 years old. Destroy 6 months after retirement of the weapon system from stock pile. Destroy 6 months after retirement of the weapon system from stock pile. -- I I -— IDOE1324.2A 9-13-88 Attachment V-4 Page V-33 I —. I -.. I DOE RECORDS SCHEDULE 4 FACILITY RECORDS This schedule amlies to those records accumulated by contractor offices in the management, maintenance, and general upkeep of facilities such as buildings, structures, plants, laboratories, utilities, and houses, exclusive of design and construction drawings and related records covered by DOERS 14 and those Industrial Facility Records covered by DOERS 2. This schedule includes records documenting maintenance and reDair of fixture-tvDe eauit)mentsuch as boilers, heating and ventilating system~, and equipment ~~qui~ing the use of design and const~uction drawings to make repairs. (For other equipment see DOERS 6). ITEM NO. DESCRIPTION OF RECORDS 1. FACILITY INVENTORY RECORDS. Files accumulated by contractors acting as agents for DOE in connection with the execution of leases for the operation of commercial or other facilities, or other uses of Government property under lease. a. Inventory Lists. b. Reserved c. Reserved 2. FACILITY MAINTENANCE RECORDS, including inspection, servicing, and repair records. a. Reserved b. Reserved (1) Reserved (2) Reserved (a) Boilers, electric motors, and unfired pressure vessels. (b) Others. AUTHORIZED DISPOSITION Destroy 6 years after close of fiscal year in which inventory is superseded. II NNA-2067(1) Destroy after 5 years. NC 430-76-2 Destroy 3 fiscal years after close of fiscal year in which work is done. NN 167-124 Attachment V-4 Page V-34 ITEM ~ 3. DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 4 DESCRIPTION OF RECORDS MANAGEMENT RECORDS. a. Reserved b. Power and Utility Plant Operational Source Records, lncludlng checkl logs, inspection ~ and other forms a~~ ~~cords used to record-the procedural steps followed by the operators; and instrument recorder charts, tapes, and graphs reflecting source data recorded in connection with the operation of various power and utility equipment. — AUTHORIZED DISPOSITION Destroy after 3 months. NN 167-124 .— DOE 1324.2A 9-13-88 Attachment V-5 Page V-35 I —. I —~ DOE RECORDS SCHEDULE 5 SPECIAL MATERIALS ACCOUNTABILITY RECORDS DOE s ecial materials accountability records pertain to documentation involved in !the a location and transfer of nuclear material. Transfer of special nuclear

material, DOE-owned source material, and certain other DOE-owned material trans ferred within the United States or between the United States and forei n entities is controlled. fRecords included in this schedule cover material trans er, reporting, inspections, requests for material, allotments, and allocations. ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1: REQUEST FOR MATERIALS. Requests for s ecial, Y Destroy when 4 years source, and fissionable materials: fi es main- old. 11 NNA-1735(2) tained by accountability stations to authorize and control the use of these materials under the allotment system, and in accounting for transfers. 2. MATERIALS ALLOTMENT FILES. Source and special (SS) nuclear materials allotment files: Records docu- menting requests for annual allotments and special allotments of source and special nuclear materials, and actions taken by higher authority in concurring with or amendin estimated requirements, and in 7establishing al otments. a. Reserved b. Files of operations offices pertaining to each ::~troy when 2 years organization requesting source and special II NNA-1735(1B) nuclear materials; and consolidated requests for “ allotments, together with related correspondence. 3. MATERIALS ALLOCATION FILES. Special research and reactor materials allocation files consisting of records concerning estimated requirements of beryllium, zirconium, hafnium, heavy water, and graphite. a. Files of offices with authority to make Destroy when 3 years allocations, together with related old old. II NNA-1735(3A} correspondence. b. Files of operations offices consisting of ;y;troy when 2 years estimates submitted by contractors projecting II NNA-1735(3B) special material needs over a 3-year period. . I —. Attachment V-5 Page V-36 DOE 1324.2A 9-13-88 ITEM & 4. 5. DOE RECORDS SCHEDULE 5 DESCRIPTION OF RECORDS c. Files of a proved allocations in area offices !which hand e the supplying of special materials. ACCOUNTABILITY REPORTS. Source and special nuclear materials balance and accountability reports files consisting of periodic reports and related documents compiled and submitted by contractors, lessees, and DOE field offices, and including the files of the staff division responsible for administration of the SS Material Accountability System. a. b. c. Report files of the staff division administering the accountability system. (1) June 30, and December 31, reports. (2) Al1 others. Report files of Materials Leasing Office, including related correspondence. (1) ~~~le~~, and December 31, reports submitted . (2) All others. Report files of field offices, including related correspondence. REPORTS OF APPARENT LOSSES of source or nuclear material losses as defined b.vdirectives issued in the a. 5630 ~eries). Cases which are of widespread public, ~overn- mental, or con ressional interest, subJect to %review every 1 years to verify that reports should remain in that category. AUTHORIZED DISPOSITION Destroy when 2 years old. II NNA-1735(3D) Destro when 25 years old. iN 167-78(1A) Destro when 5 years old. iN 167-78(1A) —. . . — Permanent. Offer to National Archives when 25years old. NC 430-76-3(5A) — DOE 1324.2A 9-13-88 Attachment V-5 Page V-37 (and V-38) ITEM NO. 6. 7. —. 8. 9. DOE RECORDS SCHEDULE 5 DESCRIPTION OF RECORDS b. Others, subject to review every 10 years to ascertain that report still represents an apparent loss.

REPORTS OF SHIPPER-RECEIVER MEASUREMENT DIFFERENCES pertaining to transfers of SS material between installations under the same operations office and under different operations offices, and containing conclusions, recommendations, and resolutions of the measurement differences. a. Copies forwarded to staff office administering SS accountability system. b. Copies filed in operations offices and in shipping and receiving installations. SS TRANSFER JOURNALS maintained by accountability stations as a continuin control record of contrac- ;tcrs’ inventories, to w ich are posted receipts and shipments of SS materials. SS MATERIAL TRANSFER FILES (inter and intraplant consisting of records utilized to account ers from one unit to another within pro- duction plants or facilities, or between such plants. SS MATERIAL SHIPPING FORM FILES consisting of DOE/ or equ~valent, used in the transfer of source and special nuclear materials, material controlled by the SS materia’ accountability system. a. Copies filed in DOE offices. b. Copies filed in s contractor instal ipping and rece ations. or other s ving AUTHORIZED DISPOSITION Destroy when 25 years old. NC 430-76-3(5B) Destroy when 3 years old. II NNA-1735(7A) Destroy when 2 years old. II NNA-1735(7B) Destroy 3 years after date of last entry. 11 NNA-1735(4) Destroy after 1 year, E roviding DOE audit has een completed. NN 165-90 Destroy when 3 years old. II NN-3225 Destroy after audit by DOE accountability survey team. II NN-3225 — i DOE 1324.2A 9-13-88 Attachment V-6 Page V-39 (and V-40) DOE RECORDS SCHEDULE 6 EQUIPMENT CONTROL, MAINTENANCE, AND OPERATION RECORDS Records described in this schedule are those generally maintained by property and plant management ersonnel fulfilling their responsibility for the management, B icontrol, accounta ility, maintenance, and operation of mo ile or stationary equipment and personal property. Fixture-type equipment requiring use of design and construction drawin s for repair and maintenance is covered by Facility Records (DOERS 4). i’This schedu e covers personal property, equipment, machinery, machine tools, vehicles, office equipment, accessory and auxiliary items, and spare parts, exclusive of motor vehicles (GRS 10) and Industrial Facility Records (DOERS 2). Equipment records may complement or supplement procurement and supply records and accounting records. Records may be segregated into groups by equipment kind, type, purpose, use, locatlon, valuatlon, or other assigned category, e.g., plant, office, supplier-owned, personal-use, tool receipts, loaned property, borrowed property, and controlled-use equipment. Records may be either as brief or as detailed as is required to efficiently manage equipment consistent with its value, usage, or servicing requirements. In some instance, copies of a primary control record are used for additional secondary record or indexing purposes, e.g., a duplicate equipment inventory card is filed by name of accountable employee. ITEM NO. DESCRIPTION OF RECORDS —. 1. 2. EQUIPMENT HISTORY FILES. Records which document receipt, use, and disposition of equipment items, including manufacturer’s statement of origin, equipment repair estimates, repair orders and billin s, inspection reports, move orders, and !any ot er records effecting or reflecting alter- ations of status of equipment, including refer- ence notes to excess or salvage records when such action is taken.

d. Property Transfer Files documenting accountability transfers of property and equipment. (1) Copy in property accountability office. (2) Copy in offices transferring property. EQUIPMENT UTILIZATION REPORT FILES. Records accumulated in he control of issuance and use use of equipment, providing basic data for projecting equipment needs on project, showing classification of equipment, scheduled and actual hours of operation, hours idle, and pertinent ~~hark, AUTHORIZED DISPOSITION Dispose 5 years after disposal or clearance of eaui~ment from project’. II NNA-716A(3) Destroy when 4 years old. II NNA-845 Destroy when 1 year old. II NNA-845 Destroy when 5 years old. II NNA-716(2) I ( DOE 1324.2A 9-13-88 Attachment V-7 Page V-41 DOE RECORDS SCHEDULE 7 LEGAL RECORDS Legal records include the files created in the provision of legal services to the Department. Legal services protect the legal and financial rights of the Government, the Department of Energy, and persons directly affected by the Department’s activities The records retention standards in this schedule include patent records, litigation files, and true copy certifications. This schedule does not apply to cases which an action, in negotiation, or under prosecution. ITEM NO. DESCRIPTION OF RECORDS 1. INVENTION DOCKETS containing copy of invent disclosure and pertinent correspondence on inactive cases, abandoned applications, and closed items. on 2. U.S. PATENT APPLICATION case files containing record of invention disclosure, record of invention, draft of patent application with inventor’s notes, copy of patent application as filed in Patent Office, pertinent correspondence, amendments, reports, and references on issued patents domestic and foreign. a. Issued patents (domestic and foreign). 3. PATENT CONTRACTS subcontracts, and purchase orders containing miscellaneous correspondence and related papers pertaining to negotiation of contract patent provisions, inventions or discoveries conceived under contract, reports and papers reviewed for patent clearance, and patent clearance of terminated contracts on cleared purchase orders, both prime and subcontract. 4. PATENT LICENSING RECORDS containing license agree- ments and assignments in U.S. patents and pertinent correspondence regarding execution of license agreements and royalty payments. 5. EMPLOYEE PATENT AGREEMENT FORMS (DOE Form GC 203) “Aweement CoverinclDiscoveries. Inventions, and oyees at time ofIm~rovements,” sig~ed by all emp” employment. AUTHORIZED DISPOSITION Destroy when 30 years old. NN 169-84(1B) Destroy when 25 years old. NN 169-84(2B) Destroy when 10 years old. NN 169-84(3C) Destroy 25 years after issuance of the patent. NN 169-84(41 Destroy when 56 years old. NN 169-84(5)- Attachment V-7 Page ITEM NO. 6. I 7. I DOE 1324.2AChg 1 4-9-92V-42 DOE RECORDS SCHEDULE 7 DESCRIPTION OF RECORDS DOCKET FILES (PATENTS) containing findings, deter- minations, and statements of reason, decisions, backup material, and correspondence with the Patent Compensation Board, U.S. Court of Appeals and U.S. Court of Claims. a. Headquarters. Destroy when 25 years old. NN 169-84(6A) b. Field elements. Destroy when 10 years old. NN 169-84(6BI PATENT INFRINGEMENT FILES containing copies of patents which have been or possibly might be infringed; pertinent correspondence regarding use of patented process, device, or material; copies of purchase orders and other backup material; Court of Claims petitions and actions.

a. DOE Headquarters. b. Field elements and contractors. 8. REPORTS OR PATENT APPLICATIONS DISCLOSING INVENTIONS/ DISCOVERIES USEFUL IN THE PRODUCTION OR USE OF SPECIAL NUCLEAR MATERIAL OR ATOMIC ENERGY. AND/OR RELATED CORRESPONDENCE REFERRED FOR REVIEW UNDER SECTIONS 151 AND 152 OF THE ATOMIC ENERGY ACT OF 1954, AS AMENDED. a. Section 151(c) Reports--Completedescriptions of inventions or discoveries useful in the production or use of special nuclear material or atomic energy. Required to be filed with DOE by the inventors/discovererswithin 180 days of invention/discovery,unless otherwise described in applications for patent filed with the Commissioner of Patents within the required time (refer to item8b below). AUTHORIZED DISPOSITION Destroy when 30 years old. NN 169-84(7AI Destroy 5years after ‘- final action. NN 169-84(7B) Destroy 25 years after date of last action. NN 169-84(8) - ,- Vertical line denotes change. Attachment v-7 Page V-43 — DOE RECORDS SCHEDULE 7 DOE 1324.2A 9-13-88 ITEM NO. DESCRIPTION OF RECORDS b. Section 151(d) Patent Applications--Applications referred to DOE from the Commissioner, U.S. Patent and Trademark Office disclosing inven- tions/discoveries required to be reported to DOE under section 151(c). c. Section 152 Patent Applications (Corres ondence Only I !--Applications in condition for al owance whit disclose inventions/discoveriesreferred to DOE from the Commissioner, U.S. Patent and Trademark Office, to determine if the inven- tions/discoverieswere made or conceived under any contract, subcontract, or arrangement with DOE. 9. LITIGATION FILES reflecting all aspects of DOE or contractor litigation proceedings and documenting the General Counsel actions taken in protecting the interest of DOE and the Federal Government. Records consist of general reports, investigationreports, -.. analyses, recommendations, and copies of contractual records. a. b. c. d. e. Si nificant case files determined by DOE to have %ha a significant effect on a statute, regula- tion, or rule. Intense public interest cases determined by DOE to have attracted the interest of a Congres- sional Committee, the Executive Office of the President, or national media. Cases reviewed by the Supreme Court. Cases involving personal injuries alleged to have been caused by radiation. Other cases. AUTHORIZED DISPOSITION Destroy 25 years after date of last action. NCI-434-83-3(lB~ Destroy 25 years after Section 152 statutory period expires. NCI 434-83-3(1C) Permanent. Offer to National Archives 25 years after close of case. NCI 430-78-l(lA) Permanent. Offer to National Archives 25 years after close of case. NCI 430-78-l(lB) Permanent. Offer to National Archives 25 years after close of case. NCI 430-78-l(lC) Destroy 75 years after close of case. NCI 430-78-l(lD) Destroy 10 years after close of case. NCI 430-78-I(lE) — Attachment V-7 Page V-44 ITEM NO. 10. 11. 12. DOE 1324.2A 9-13-88 DOE RECORDS SCHEDULE 7 DESCRIPTION OF RECORDS INVENTION DISCLOSURE LOGS AND LEDGERS showing inven- ~lon disclosures reported, date, disposition, and U.S. Patent Office actions. TRUE COPY CERTIFICATIONS certif ing or evidencing itrue copy nature of material su mitted for publica- tion in the Federal Register or elsewhere, including copy of material to be published, evidence of cer- tification of true copy, letter of transmittal, and related correspondence and documents. CONGRESSIONAL HEARING COORDINATION CASE FILES containing corres ondence and other documentation

!includina amrova s that reflect Departmental coor- dination”of’~ongressional hearings it which Departmental witnesses testified. Records document coordination activities and response actions such as advance approval of testimony by the Office of Management and Budget and DOE’s Office of General Counsel, than es in planned testimony, approval of !final edited earing transcript, selection of wit- nesses to respond to the subject matter of the incoming request letter from the congressional com- mittee, approval of date for testimony, provision of written answers to questions asked of the Department to furnish either supplementary testimony or a direct response, and transmittals of written answers to the committees. Destroy 10 years after close of case. NN 169-84(10} Destroy when 1 year old. NN 162-85(1~ — AUTHORIZED DISPOSITION Destroy 5 years after close of calendar year in which testimony was given. NCI 434-83-2 — Attachment V-8 PageV-45 (andV-46 ) I — DOE 1324.2AChg 1 4-9-92 DOE RECORDS SCHEDULE 8 PROCUREMENT, SUPPLY, AND GRANT RECORDS This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for the cited records. ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1. Uniaue Procurement Files. Procurement files Permanent, offer to documenting the initiation and development National Archives after of transactions that deviate from established 25 years. precedents with respect to general agency NCI-430-77-3 procurement programs. 2. PRIORITIES AND ALLOCATION RECORDS. II NNA-340 a. b. Records on the use of DO, DX, and Destroy when 3 years Authorized Controlled Material (ACM) old. rating authority, exclusive of correspondence on planning, policy, procedures, and authorizations. Requirements studies in connection with Headquarters offices mobilization planning and the Controlled destroy when 5 years old Materials Plan, exclusive of corres- DOE Field Offices and pondence on planning, policy, procedures M&O contractors and authorizations which are be retained. destroy when 2 years old. Vertical line denotes change. I _, DOE 1324.2A 9-13-88 — DOE RECORDS SCHEDULE 9 PROPERTY DISPOSAL RECORDS This is addendum to the General Records Schedule of the approved disposition standards for the cited records. ITEM NO. 1. 2. —. 3. 4. 5. DESCRIPTION OF RECORDS Surplus Property Precedential Case Files. Case files on sales of surplus personal property [as described elsewhere herein] documenting the initiation and develo ment of ~ransactions”that Edeviate form establis ed recedents with respect !to general agency disposa or to major disposal programs. Property Disposal Case Files. Case files on dis- posal of surplus real and related personal property. Attachment V-9 Page V-47 same subject, and includes Excess Real Property Reports. NUCLEAR MATERIALS-RELATED, REVENUE-PRODUCING . Revenue-producing contracts with forelqn and domestic customers, includinq docum~ntation of the negotiations, adminis- tration, payment, and delivery for goods and services for (1) the sale of nuclear products, including source, by-product, special nuclear materials, and heavy water; (2 toll enrich- iment services; and (3) chemica processing of irradiated fuel. RECORDS OF THE TRANSFER OF NUCLEAR MATERIALS AUTHORIZED DISPOSITION Permanent. Offer to National Archives within 25 years of case closure. NC-430-76-5

Destroy 10 years after unconditional sale or release by the govern- ment of conditions, restrictions, mortgages, or other liens. NCI-430-77-8 Destroy 10 years after unconditional sale or release by the govern- ment of conditions, restrictions, mortgages, or other liens. Destroy 6 years after receipt of final payment. NC-326-75-l(1) Destroy 6 years after transfer is completed. NC-326-75-1(2} nuclear material in quantitie; suitable for research purposes only. —, I Attachment v-9 Page V-48 DOE RECORDS SCHEDULE 9 ITEM NO. DESCRIPTION OF RECORDS 6. NUCLEAR MATERIALS LEASING RECORDS. Lease agreements documenting he leasing of nuclear materials and heavy water to foreign and domestic customers. DOE 1324.2A 9-13-88 AUTHORIZED DISPOSITION Destroy 6 years after termination of the lease. NC-326-75-l(3) I — I -- Attachment Y-10 DOE 1324.2A 9-13-88 Page V-49 (and V-W) DOE RECORDS SCHEDULE 10 BUDGET PREPARATION, PRESENTATION, AND APPORTIONMENT RECORDS This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for the cited records. ITEM No. DESCRIPTION OF RECORDS 1. 2. 3. 4. Budget Policy Files. Correspondence or subject files in formally organized budget offices docu- menting agency policj and procedures governing budget administration,and reflecting policy decisions affecting expenditures for agency programs. EMdaet Estimates and Justification Files. a. Copies of budget estimates and justifications prepared or consolidated in formally organized budget offices at the bureau (or equivalent) or higher organizational level. Included are appropriation language sheets, narrative state- me~tsj and related schedules and data. b. Working papers and background materials. Budget Correspondence Files. Correspondence files ~n formally organized budget offices pertaining to routine administration, internal procedures, and other matters not covered elsewhere in this schedu” AUTHORIZED DISPOSITION Permanent. Offer to National Archives when 25 years old. NCI-430-76-8 Permanent. Offer to National Archives when 25years old. NCI-430-76-8 Destroy 6 years after close of fiscal year covered by budget. NCI-430-76-8 Destroy when 2 years old. e. Budget Background Records. Working papers, cost Destroy 6 years after statements, and rough data accumulated in the pre- close of fiscal year paration of annual budget estimates, including covered by budget. duplicates of papers dkwicribedin item 2; and NCI-430-76-8 originating offices’ copies of reports submitted to budget offices. I .— (’ ( DOE 1324.2AChg 1 4-9-92 Attachment V-n Page V-51 I I I DOE RECORDS SCHEDULE 11 ACCOUNTABLE OFFICERS ACCOUNTS RECORDS This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for the cited records. ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1. AUDIT FILES. NN-166-124 a. Audit files generated in the performance of DOE and cost type contractor operations, including pertinent reports and revisions thereof, concurrences, comments, reports relative to action on recommendations, pertinent correspondence, and related work papers. (1) Files relating to DOE-wide audits conducted by DOE Headquarters audit staff and the General Accounting Office. (2) Files relating to audits of individual DOE organizations and contractors, conducted by DOE field elements or the Headquarters audit staff. (a) Report files and related correspondence.

(b) Work papers. (3) Audit fi1es generated by M&O contractor audit staffs performing internal audits, including pertinent reports and revisions, thereof: concurrences; comments; reports relative to action taken on recommendations, pertinent correspondence; and, related work papers. b. Monthly memorandum reports summarizing activities between GAO and DOE pertaining to audits and inquiries, together with related correspondence reflecting specific requests for information and records by GAO and compliance by DOE. Destroy when 10 years old. Destroy when 10 years old. Destroy when 5 years old. Destroy when 5 years old. Destroy when 3 years old. I .- Vertical line denotes change. Attachment V-n Page V-52 DOE 1324.2A 9-13-88 ITEM & 2. 3. DOE RECORDS SCHEDULE 11 DESCRIPTION OF RECORDS PENSION PLAN case files consisting of cost-type contractor pension plans, modifications and amendments; correspondence, reports, studies, and analyses; negotiations; DOE requirements for acceptance and modification; funding and cost data; industry pension plan comparability studies. a. Cases for which DOE has continuing obli- gations or liability for pension plan claims or adjustments after contract completion or termination. b. Cases for which DOE has no obligations for liability after contract completion or termination. CASUALTY INSURANCE (including Workmen’s Compensation) plan case files: Case files on casualty insurance coverage plans for DOE cost-type contractors, including policies, endorsements, reports, correspondence, studies, analyses, actuarial data, and computations. Included is information showing premium adjustments, coverage, funding, billing, and losses incurred. a. Cases assigned to or administered by DOE upon contract completion or termination. b. Cases for which DOE has no obligation or liability after contract completion or termination. AUTHORIZED DISPOSITION NN-173-232 Destroy 80 years after contract completion or termination. Destroy 6 years after contract completion or termination. NN-173-232 Destroy 80 years after contract completion or termination. Destroy 6 years after ‘ contract completion or termination. I DOE 1324.2A 9-13-89 DOE RECORDS SCHEOULE 12 TRAVEL AND TRANSPORTATION RECORDS Attachment V-12 Page V-53 (and V-54) This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for the cited records. ITEM NO. 1. DESCRIPTION OF RECORDS HAZARDOUS MATERIAL (radioactive and fissile material) shipping packaging records including Certificates of Compliance, Safet Analysis zRe orts for Packaging (SARP), eva uations of RSA Ps, licenses, amendments to licenses, and a uality assurance records documenting packaging %esi n, fabrication, maintenance, an use in Ycomp iance with established safety and engineering standards. AUTHORIZED DISPOSITION Destroy 5 years after Certificate of Compli- ance has terminated, unless information is recieved indicating that renewed use is definitely anticipated. NCI-430-76-7 I ( DOE 1324.2A 9-13-88 Attachment V-13 Page V-55 (and V-56) — DOE RECORDS SCHEDULE 13 COMMUNICATIONSRECORDS This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for the cited records. ITEM NO. DESCRIPTION OF RECORDS 1. COMSEC RECORDS consistin of forms, reports, %and correspondence recor ing or relating to the accountability, transfer, inventory, receipt, and destruction of COMSEC materials.

a. Records of Departmental COMSEC Custodian b. COMSEC card files. c. Key Card and Key List Usage Reports. d. Other COMSEC accounting records. AUTHORIZED DISPOSITION NN-167-141 Destroy when 5 years old. Retain until COMSEC account is closed. Destroy when 1 month old, provided destruc tion report has been E repared and sent to OE COMSEC custodian. Destroy when 1 year old, provided reconciliation of COMSEC material has been completed. I I —. I OOE 1324.2A 9-13-88 Attachment V-14 Page V-57 . DOE RECORDS SCHEDULE 14* Design and Construction Drawings and Related Records This schedule provides guidelines for the disposition of design and construction drawings and related records that have been created or received by DOE or DOE mana~ement and operating contractors in connection with official activities. Drawings refer to the raphic or engineering records that depict conceptual as well !as precise measured in ormation essential for the planning, design, and construction of facilities such as building, structures, plants, utilities, and other public works projects, as well as miscellaneous engineering and fabrication projects such as machinery and equipment. Related records include engineering studies, design calculations, project performance documentation, indexes and finding aids, specifications, and three dimensional models. Most design and construction records lose their usefulness after specific periods of time. Generally, drawings pertaining to the conceptual or preliminary design process lose their administrative usefulness after the final construction plans are accepted; these records should be considered inactive after the completion of the construction project. Precise measured drawings which are used and finalized during the construction process have a continuing value during the life of the facillty especially for repair and maintenance needs. The finalized (“as-built”) construction drawings as well as repair and alteration drawings (or microform copies) should be considered active while the structure is still used, maintained, or owned by the Federal government. After the design and construction files are no longer useful to DOE or contractors, certain records have continuing historical value, particularly for the architectural historian, historic preservationist, and social historian. Since it is uneconomic and unnecessary to retain a complete set of drawings and related records for each construction project sponsored by the Federal government, it is necessary to make a selection of records for ermanent preservation. Y This selection must take into consideration not on y the types of records but also the nature of the individual construction projects. The general intent of any selection should be based on documenting the structures and projects that are architecturally, historically, and technologically significant. Criteria for the selection of the significant records are contained in the notes following the schedule. The selection of individual buildings or projects should be made by I ersonnel with appropriate historical training subject to the approval of the ational Archives and Records Service (NARA). However, any records created prior to 1-1-21, must be offered to NARA before applying the disposition instructions in this schedule. This schedule relates rimarily to records on the design and construction of buildings. RHowever, t e principles established here can also be a plied to other static structures and miscellaneous engineering projects. T~ose records which are developed during the design process generally consist of:

* This schedule, a variation of the GRS of the same title, was approved by NARA (NCI 434-78-2), also includes quality assurance records. I -- Attachment V-14 Page V-58 WE 1324 9-13-89 Initial Design Planning Records. Drawing and sketches that are conceptual in nature, and architectural renderings, that show the basic design features of the ‘— project, including building perspectives, elevations, floor plans, and other general features; order-of-magnitude cost estimates and performance schedules; and may include three-dimensional models prepared for illustration or presentation purposes. Advanced Planning Records. These cover the pre-Title I design activity documentation, including construction project data sheets of other types of project proposals, conceptual design studies and reports, conceptual safety and environmental impact analyses, cost estimates, performance schedules, methods of project performance, and the design criteria for the project; and development of the project management plan. Preliminary (Title I) Design Records. Title I design studies, and reports summarizing he design results (incTudingmore refined definition of project requirements, cost estimates, performance schedules, methods of project performance, safety and environmental impact analyses) and preparation of preliminary drawings and construction specifications. Final (Title II) Design Records. Title II (final working) drawings, final construction speclflcatlons, T erformance schedules, methods of project performance, final safety and environments impact analyses (reports); and final project management plan for construction. Other Engineering and Design Records. Engineering studies and reports, design calqulatlons, analyses, and other engineerin data and information developed during {proJect planning and design which document t e engineering and design decisions. Other Documents and Information. Information, correspondence, and other -- records developed arming and design phases, essential to the performance of the ~~~~~sse~h ETut not essential for project record purposes following project completion. Those records which pertain to or are developed during the construction process usually consist of: Final Working Drawings. (Developed during Title II Design) Architectural and englneerln Yd rawings which consist of the master tracings which are acceptable reproducib es. These drawings provide information about various as ects of the Yconstruction of the building or facility including architectural (f oor plans, interior and exterior elevations, and sections), ornamental, structural, mechanical, electrical, heating, ventilating, and air-conditioningdetails, as well as site and landscaping plans. These are important records because they provide not only detailed instructions for the erection of the building, but also present a comprehensive and detailed picture of its design. Final Construction Specifications. A Developed during Title II Design) Detailed re ulrements for 8 which i entify materials and workmanship requirements, an explain the mat~r!~!~e~nd equipment items depicted on the related working drawings. I Attachment V-14 DOE 1324.2A Page V-59 9-13-88 — Project Management Plans for Construction. (Developedduring R reject planning and breakdown structure; aut orities and ?t!~sso~ par!i!~~~%s;w~~rformance diagram; and technical, cost, and schedule control systems for the project.

“As Built” Drawings. Annotated copies of final workin drawings or additional Idrawings which show changes in the construction from t e original design. w“ Detailed drawings prepared by construction contractors or su con rac ors of particular arts of the building which the are to supply or by E imanufacturers of products to e fabricated or assembled in t eir shops. These drawings which include plans for architectural features and interior design such as tile and marble work, special cabinet work, elevators, or heating, ventilating, and air-conditioning systems, not only provide instructions for assembling the products on the job site, but may also be necessary of future operation and maintenance. Repair and Alteration Drawings. Original drawings which depict repairs and alterations to he building as it was originally constructed. Standard Drawings. Final drawings for standard details and other documents created in heir preparation. Reports and other Documentation. Progress reports, construction completion reports, equipment speci ications, operating and maintenance instructions (manuals],warranty data: final inspection and acceptance reports, and other information documenting the construction process. Other Documentation and Information. Information, correspondence, and other records developed he construction process, essential to performance of the process but not ess~~~!~l for project record purposes following project completion (such as interim process reports and other interim project activity information). I Attachment V-14 page V-60 ITEM NO. DESCRIPTION OF RECORDS 1. Project Planning and Design Files a. Initial Design Planning Records b. Records selected for architectural, historical, and technological signi- ficance (see’notes at end of schedule for selection criteria). (1) Project description, location, engineering/designcosts and performance schedule. (2) Architectural renderings and final architectural and engineering drawings (selected to adequately depict the principal architectural and engineering features). (3) Special engineering/designreports, studies, and data (for projects of technological or architectural significance). (4) Construction Completion Reports. (5) Models. c. Other Planning and Design Records dvanced plannlng, preliminary and final design, and-engineering/design studies, calculations, analyses, and other engineering/designdata docu- menting design decisions made.) (1) Records of com leted projects [costing more t an $750,000, or which involve special equipment, systems, or processes. (2) Records of completed rejects fcosting $750,000, or ess, which do not involve special equipment, systems, or processes. DOE 1324.2A 9-13-88 AUTHORIZED DISPOSITION W:lbproject completion (see ., below, for exception) or u on project termination Iwhit ever is earlier. Permanent. Offer to NARA when file is inactive. See first Jparagra h of intro uction to Rthis sc edule.) -— Until dismantlement or disposal of facility, equipment, system, or process; or when superseded or obsolete, whichever is earlier. (See item b.. above, for exception.) 10 years after comp” project. etion of - Attachment V-14 Page V-61DOE 1324.2A 9-13-88 — Item NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (3) Records of terminated projects i 10 years after project is term- projects not authorized for inated. (See item b., on esign, construction, or fabri- previous page for exception.) cation; or terminated rior to Ecompletion of any of t ese acti- vities) costing more than $750,000, or which involve special equipment, systems, or process projects.

(4) (5) Records of terminated projects ~n;fe~s after project is term- A projects not authorized for . esign, construction, or fabri- cation, or terminated rior to Rcompletion of any of t ese acti- vities) costing $750,000, or less which do not involve special equip- ment, systems, or process projects. Miscellaneous planning and design Until project com letion or records, information and correspon- Rtermination, whit ever is dence, essential to performance earlier. of the processes but not essential for project record purposes (such as interim progress reports, pre- liminary drawings and specifications, and other in-process documentation or information). 2. Project Construction Files a. Working drawings and construction s edifications, I “as-built” d~awings, s op drawings, standard drawings, repair and alteration drawings, equipment specifications, operating and maintenance manuals, equipment warranty data, final inspection and acceptance reports, construction cost and schedule data, space assignment plans, and other essential information to document the construction process. 1 (1) For completed projects. (2) Until dismantlement or disposal of facility, equipment, system, or process; or when superseded or obsolete, whichever is earlier (see item d., below, for exceptions). For projects terminated prior to 5 years after construction construction completion. is terminated. I >.. Attachment V-14 Page V-62 DOE 1324.zA 9-13-88 ITEM ~ 3. 4. 5. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Construction Completion Reports Documented summary of he proJect, rom design through construction completion.) (1) For unique or special-interest 20 years, unless covered by projects. exception in d., below. (2) For other projects. Until dismantlement or dis- posal of the facility, equipment, or process; or when superseded or obsolete, whichever is earlier. c. Miscellaneous Construction Records. Tnformatlon, correspondence, and other Unt records developed during the construc- tion process, essential to performance of the process but not essential for project record purposes following project completion. 1 project completion. d. Records selected for architectural, Permanent. Offer to NARA when historical, and technolo ical signi- i file is inactive. See first ficance (see notes at en of schedule i for selection criteria). paragra h of intro uction to Ithis sc edule). (1) Project description, location, construction costs and performance schedules. (2) “As-built” architectural and engineering drawings (selected to adequately depict the principal architectural and engineering features). (3) Photographs of completed project. (4) Construction Completion Reports. (Reserved) (Reserved) Finding Aids Indexes and other finding aids to des construction files. gn Destroy in accordance with and instruction coverin the related ?design and construe ion records. .— DOE 1324.2A 9-13-88 Attachment V-14 Page V-63 — ITEM NO. 6. AUTHORIZED DISPOSITIONDESCRIPTION OF RECORDS Quality Assurance Records prepared, received and maintained in conjunction with the design, manufacture, construc- tion, installation,test, and operation of equipment, structures, plants, and systems. 1 Reference for nuclear facili- ties: ANS /ASM NQA-1-1986 Edition) a. Records which would be of significant Until the item is removed from value in demonstrating capability for service. safe operation; in maintaining, reworking, repairing, replacing or modifying the item; in determining the cause of an accident or malfunction of the item; and those which r)rovidebase- line data for inservice inspection.

b. Records which verify that an activity was performed in accordance with the applicable requirement but need not be retained for the life of the plant or item. (1) Records maintained in compliance with regulatory requirements. (2) Records for nuclear facilities item which are useful through first overhaul or reload. (3) Records which are needed to process and support claims made under the warranty. (4) Records which have no value after plant or item is put into operation. Retain in accordance with current regulatory re uire- !ments or for nuclear acilities, 6 years after plant or item is put into operation. 2 years after plant or is put into o eration or after Rfirst over aul or reload, whichever is later. 1 year after plant or item is put into operation or upon expiration of warranty, whichever is later. Until day after plant or item is put into operation. Attachment V-14 Page V-64 DOE 1324.2A 9-13-88 EXPLANATORY NOTES Items lb and 2d Criteria for the selection of architecturally,historically, and technologically significant files: Architectural Significance. Original Design. Primary consideration should be given to those buildings and facilities which are essentially original in design. Although it may incor orate standard features, a uniquely designed building or facility is Rone t at was designed to meet specific needs or functions, and whose basic design is not repeated in another building. Standard or Repetitive Design. If building or facilities use a standard or repetitive design, lt 1s not necessary to permanently retain a file for each building. However, a file should be retained for the building or facility most representative of the basic design, for each variant of standard designs, and for each repetitive but slightly different design. Architectural Style. Buildings characteristics of either a per Innovations. Buildings or faci” engineering innovations. Historical Significance. which embody the distinguishing od or-a regional architectural style. ities which include architectural or — Administrative Functions and Activities. Buildings which are associated with he maJor functions of he Iederal government (executivedepartments, agencies, and bureaus) and the major activities of the various Federal agencies. National Events or Personalities. Buildings or facilities which are associated with events or persons who represent the broad history of the country. Noted Architect. Drawings b noted architects or engineers of both zproposed and constructed bui dings or facilities. Controversial. Buildings or facilities which were involved in controversy in regard to their design, construction, or utilization. Projects terminated because of cost overruns, safety hazards, and environmental hazards are included. Attachment V-14 Page V-65 (and V-66)DOE 1324.2A 9-13-88 Technological Significance. This category includes files for such projects as first-of-a-kindenergy research, development, or demonstration projects of other unique buildlng or facility projects. Since this is a broad category which covers many different ty es of technical facilities, specific details have not been attempted. Eowever, Y ermanent records relating to these objects can be chosen more selective { than records relatin to buildings. In general, ifiles which show how t e project was designe , constructed, and altered, should be retained for a selection of the most unique structures and for a representative sample of repetitive and similar structures.

A selection which is to be based on engineering and historical significance should consider projects which include engineering innovations or prototypes, projects which have achieved national acclaim or controversy, or projects which re resent the major product of an agency (such as NASA’s Ispacecraft or TVA’s ydroelectric projects). Representative samples should be based on the type of structure or project, cost, and regional variation. Structures and criteria used by the Historic American Engineering Record and similar comprehensive lists can serve as a guideline and minimum standard. It should be noted that comprehensive site development plans or master plans are closely related to ma s. I These comprehensive plans can be evaluated in terms of cartograp ic records (see Schedule 17), while individual buildings and facilities within the system can be evaluated on the basis of this schedule. 1- 1 —