records management
policies and procedures
A. Personnel
B. Working Organization
C. Duties
A. Records Management Handbook
B. Office Procedures
C. Records Retention Schedules
D. Unscheduled Records
E. Review of Proposed "Draft" Retention Schedules
F. Records Inventory & Disposition Schedule (RIDS)
G. Storing Records
H. Retrieval of stored records
I. Returning records to storage for refiling
J. Transfer of records to Federal Records Center
K. Disposition/Destruction of stored inactive records
L. Conducting House Cleaning of Non-Records
V. How long to keep records or accessing the DOE website for records retention schedules
VI. Freeze on destruction of select records (EPI Moratorium)
EXHIBITS:
A. Records Inventory & Disposition Schedule (RIDS) Form
B. Records Storage and Disposition (RSD) Form
C. Fermilab Material Move Request Form
D. Disposal Authorization form
E. Clean-out Campaigns/Housekeeping Guide
F. Records Inventory Form
G. Definition of what is a Record
H. List of Records Coordinators and File Custodians
Fermi Research Alliance, LLC (FRA), operator of Fermi National Accelerator Laboratory (Fermilab), is committed under its contract with the Department of Energy (DOE) to maintain an effective program of Records Management implementing DOE Orders and directives on the subject.
The applicable DOE Order that specifically addresses Records Management is DOE Order 200.1, entitled Information Management Program. In addition there are other federal regulations governing records management:
- Federal Records Act - 44 U.S.C. Chapter 31 - Records Management by Federal Agencies
- National Archives and Records Administration - 44 U.S.C. Chapter 21
- Records Management by the Archivist of the United States and by the Administrator of General Services - 44 U.S.C. Chapter 29
- Disposal of Records - 44 U.S.C. Chapter 33
- Paperwork Reduction Act - 44 U.S.C. Chapter 35
- Clinger-Cohen Act - Information Technology Management Reform Act (ITMRA), dated February 10, 1996
- Administrative Procedure - 5 U.S.C. Chapter 5
- The Freedom of Information Act - § 552.
- The Privacy Act - § 552a.
DOE Order 200.1 states that contractors shall "manage information management activities in accordance with applicable laws and regulations." The actual authority for requiring DOE contractors to manage records in accordance with federal regulations stems from the Federal Records Act.
This Handbook provide instructions on the period of time records should be retained as well as preservation and destruction procedures in order to keep the total volume of active records in-house to a working minimum. It also provides for the transfer of inactive records that still need to be retained for a period of time according to the DOE order and federal records retention schedules to an offsite records storage facility.
Specific objectives to be met by the Fermilab Records Management Program are to:
A. Identify official "records" as opposed to incidental and general work papers, publications, etc. (non-records).
B. Maintain a Records Inventory & Disposition Schedules (RIDS) form for each department or group, entering all records and work papers (non-records), and indicating their scheduled disposition according to the appropriate federal retention schedules.
C. At all organizational levels, set up a workable system for retaining records and storing inactive records in accordance with FRA-Fermilab policy, DOE Orders and legal requirements.
D. Contract for the services of a commercial offsite records storage facility which meets federal fire protection regulations for records storage and which provides for timely and low cost storage and retrieval of records.
E. Provide a systematic method for disposition/destruction of outdated records in accordance with the DOE and NARA retention and disposition schedules.
F. Establish guidelines for selecting and identifying archival records.
G. Provide guidance to field personnel for the periodic disposition of inactive and non-records in the office work areas.
H. Respond to DOE Calls for Information on specific records issues and submit replies through the Directorate on behalf of Fermilab as required.
I. Provide a communications forum for the dissemination of information to records field personnel on records management issues and policies.
A. PERSONNEL
Fermilab personnel directly concerned with implementing the above policy are:
- The FILE CUSTODIAN, working with records at the office level
- The RECORDS COORDINATOR representing each major division or section
- The RECORDS MANAGER who oversees this function for the Lab
B. WORKING ORGANIZATION
1. The File Custodians are the individuals who are actually creating, maintaining and utilizing the files and/or filing systems in the various departments or groups at Fermilab. There are others who create records within these departments such as technicians, design engineers, experimenters, etc. but the file custodians represent the "first line" of records field personnel.
2. The Records Coordinators are appointed by their Division or Section Head, to whom they are responsible. The Records Coordinator works directly with the Records Manager and also acts as liaison between the Records Manager and the File Custodians providing control and coordination of the Records Management Program at the division level.
3. The Records Manager coordinates the records management program at the laboratory and activities of the Records Coordinators and File Custodians. The Records Manager is responsible to the Head of Business Services for the management of the Fermilab Records Management Program. He or she also works with the lab Archivist in identifying and preserving records of value to the scientific mission of Fermilab.
C. DUTIES
1. The File Custodian is responsible for:
a. Maintaining files and/or records within the departmental work place.
b. Preparing Records Inventory & Disposition (RIDS) forms by identifying, inventorying, and listing all records and non-records in their area in accordance with the applicable Fermilab, DOE and/or federal records schedule. The RIDS form is submitted to the designated division Records Coordinator for review and approval prior to forwarding to the Laboratory Records Manager.
c. Preparing records for storage according to instructions contained in this handbook.
d. Conducting periodic clean-out/housekeeping campaigns to keep the amount of non-record material stored in the office/work place to a minimum. For a helpful guide, see Exhibit E.
e. Maintaining a records management file for records placed in storage or disposed of for that office/work place.
2. The Records Coordinator is responsible for:
a. Acting as liaison between the File Custodian(s) and Records Manager and providing assistance to the File Custodian(s) when necessary.
b. Performing reviews of the RIDS forms prepared by File Custodian(s) prior to forwarding them to the Records Manager.
c. Acting as the point of responsibility for the records created by that Division or Section, communicating with the Records Manager on issues related to disposition of records series, and the disposal of non records/ inactive records following periods of major personnel reorganizations, etc.
3. The Records Manager is responsible for:
a. Managing the Fermilab Records Management program in accordance with Fermilab Policy, DOE Orders and various directives issued by DOE and/or the National Archives and Records Administration (NARA).
b. Preparing, updating, and distributing the Fermilab Records Management Program Handbook, which provides information on the retention of records, storage or retrieval, and proper disposition of records.
c. Conducting and supervising any DOE Records Inventory or other records searches requested by DOE.
d. Maintaining the official Laboratory files on the Records Management Program at Fermilab.
e. Maintaining accountability for stored records and summary information on destroyed records.
f. Preparation and submittal of Fermilab reports as required by DOE.
g. Arranging for off-site storage of inactive records at the area Federal Records Center or commercial storage facilities that meet federal fire protection regulations for racking and storage of records.
h. Distribution within the Laboratory of DOE directives regarding Records Management as required.
i. Maintaining several databases used to track and document inactive records sent to offsite storage, records temporarily retrieved from the storage facility, and records that have been destroyed in accordance with federal disposition regulations.
A. RECORDS MANAGEMENT HANDBOOK
The principal guide for records retention periods is the retention schedules established by the National Archives (NARA) and DOE in support of federal regulations. The Fermilab Records Management Handbook implements DOE Order 200.1 by providing step-by-step instructions for storing, retrieving and disposing of records. Any questions concerning the Handbook or its contents should be referred to the Records Manager.
B. OFFICE PROCEDURES
1. Create an index for all files in the work areas, listing them under common categories. The index should be updated regularly and can be used as a finding aid for office filing purposes as well as a basis for identifying the types of records series maintained by the department or group.
2. Set up and maintain a "Records Management" file to include all copies of information and forms concerning records stored, as well as an Index of Files in the department and any current RIDS forms. This will allow for tracking of records that have been stored or disposed of and to review records scheduled for destruction.
3. Conduct periodic Clean-Out Campaigns to keep the amount of non-record material stored in the office to a minimum, and to remove record material to a records storage facility when the records are no longer active but need to be kept in accordance with the DOE or federal retention schedules.
4. As employees leave the department, are transferred or retire, coordinate their exit activities to identify records that require retention and make arrangements to transfer these to other employees who will be responsible for them or to send them to inactive records storage if required.
C. RECORDS RETENTION SCHEDULES
Guidelines to determine the periods of time records are required to be maintained can be found in several retention schedules:
General Records Schedules (GRS) A set of record schedules published by NARA (The National Archives and Records Administration) providing retention schedules for records common to most or all Federal agencies.
DOE Administrative Records Schedules (DOE ADMIN) provides for the disposal of DOE records that are common throughout the Department and are normally associated with administrative matters rather than program issues.
DOE Research and Development (R&D) Records Schedule encompasses the records generated from research and development, scientific study and mission specific programs within DOE and its contractor community.
Fermilab Site Specific Records Schedules
A set of Fermilab site-specific records retention schedules is evolving to address records retention issues that are NOT included elsewhere in other schedules, or to specify retention periods which Fermilab has determined that best meet its operating and business requirements. However, it is a requirement that DOE approve the site-specific schedules generated by its contractors. It should be noted that these schedules are unique and specific to each laboratory or DOE facility.
D. UNSCHEDULED RECORDS
If a record series cannot be found under the categories and descriptions provided in the above Records Schedules, it is necessary to request a disposition for that series of records.
The Records Inventory form (EXHIBIT F) should be filled out providing the information requested for each series of records that needs to be scheduled. This information should be as detailed as possible to correctly identify the records and to assist in determining the period of time the records need to be retained. Forward the completed Records Inventory form to the Records Manager.
The description of the records and the retention period will be entered into the Fermilab Site Specific Records Schedule and forwarded to the DOE Chicago office for processing to secure DOE approval of the site specific schedule. Upon approval by DOE and NARA, the schedule will be distributed to records field personnel for inclusion in their handbook.
Unscheduled records cannot be disposed of. If you are unsure whether a record series is scheduled or unscheduled, contact the Records Manager who can assist you.
E. REVIEW OF PROPOSED 'DRAFT' RETENTION SCHEDULES
Periodically, the Fermilab Records Manager is asked to review new proposed records retention schedules that are being drafted by DOE or NARA for implementation by its agencies and/or contractors. It is the policy of the Fermilab Records Manager to forward copies of any pertinent proposed schedules to the groups within the Laboratory who might be affected. Their input is critical to assist in the identification of these records and to determine whether or not the proposed retention periods are feasible or not. These proposed drafts are generally forwarded to the Records Coordinators to obtain replies from their divisions or sections.
F. RECORDS INVENTORY & DISPOSITION SCHEDULE (RIDS) FORM
A Records Inventory & Disposition Schedule (RIDS) form should be submitted to the Records Manager by each division and on request will be updated periodically. The key word above is "Inventory." Once filled out, it will aid in identifying the type and quantity of records in a given work area, as well as specifying the required retention periods for these records. This will be of assistance when conducting clean-out campaigns, in orienting new personnel, and when filing records as part of a job function.
Blank RIDS forms can be obtained from the Records Manager and are included as an attachment to this Handbook under EXHIBIT A. The following paragraphs are key numbered according to the section numbers on the form.
(1) Number & Page - Enter as appropriate.
(2) Organizational Unit: Enter the office/department name.
(3) Enter date of preparation of form.
(4) Signatures
Enter the name(s) of the person(s) signing below the lines for "Prepared By" and "Approved By." The File Custodian or person preparing the RIDS form should sign the "Prepared By" line. The Records Coordinator should sign on the "Approved By" line. The Division/Section Head or their designee should signed on the "Division/Section Head" line if they choose to be included in this approval chain.
(5) Item No.
Sequentially number the items listed on the form.
(6) Filing Series Title, Description, and Location of file, and inclusive dates:
Enter the name of the file (or record series) together with a brief description of its contents. Inclusive dates are always useful.
(7) Disposition Authority:
a. Enter the retention schedule and paragraph that applies, i.e. DOE Schedule 6, paragraph 1.
b. If there is no schedule that accurately describes the record series, enter "To Be Scheduled" in the column in place of Disposition Authority.
(8) Authorized Disposition Instructions:
Enter the retention period indicated in the retention schedule (i.e. 6 years, 3 months).
(9) Transfer Instructions:
Enter the transfer instructions, if any.
(Example: Hold in office for 3 years, transfer to records storage for 3 years, 3 months).
After the form has been completed and the proper departmental signatures are affixed, forward to the Records Manager for review and approval.
Be sure to maintain a copy of the RIDS form in the "Records Management" file maintained in the department or office workplace.
G. STORING RECORDS
Fermilab contracts with offsite commercial records storage facilities to provide for storage of inactive records.
To store records at the offsite storage facility, the File Custodian or Records Coordinator should follow these steps:
- Use only the official records storage boxes from the stockroom, Stock No. 1350-0285 (Pkg./12).
Note: Records packed in "Xerox" or other unofficial cartons cannot be stored at the offsite facility. Records with different retention dates should not be packed together. If the individual disposal dates vary, then the entire box will be kept until the date of latest disposition. Efficient packing will alleviate records storage volume and keep storage costs low.
- The boxes should be sealed with clear packing tape (not DUCT tape) and clearly marked with the department's box number. Do not use the same number more than once. Each box should have its own individual number so there will be no confusion when attempting to retrieve records.
- Complete the Records Storage & Disposition (RSD) form as indicated in EXHIBIT B. Instructions for completing the form are contained on the reverse side. If additional forms are required, they can be copied from Exhibit B or obtained from the Records Management office.
- Keep a detailed back-up list of all files contained in the boxes in the event it is necessary to retrieve a file in the future, or enter as much detail into the description column (3) on the form so it will be easier to identify.
Note: The information provided is entered electronically into a database maintained by the Records Management office. The amount of detail placed in this database is an exact copy of the detail provided on the RSD form. The level of detail in the description should be sufficient to easily identify the record so that database searches can be conducted at a later date if it is necessary to retrieve the box. This is especially true in the case of scientific or R&D records which might be retrieved at a much later date by the person originating the storage or by someone who may inherit the records. In some cases this could conceivably span a period of ten years or more.
- Once the form has been completed, it should be forwarded to the Records Manager. The individual box numbers will be entered into a database for tracking and identification purposes. The form is then returned to the individual requesting the storage with labels for each box. These labels show the specific department box number as well as the records management number under which the boxes will be stored.
- Complete the Material Move Request form (available from the Laboratory Stockroom) in accordance with the example shown in EXHIBIT C. A template of this form usually accompanies the labels, referencing the name of the records storage facility and the current purchase order number covering the storage contract.
- Each Material Move Request must be signed stating whether or not the box has been checked for radioactivity before it is shipped. In most cases, the boxes will probably be non-hazardous and non-radioactive unless they have been in a beam enclosure or possible radiation exposure area. Sections or Divisions may have different policies for completing this part of the Material Move Request so your Division or Section Radiation Safety Officer can provide information about the signature policy. A signature and an indication of "yes" or "no" must be on the form for the boxes to be moved.
- The pink copy of the Material Move Request form should be attached to the RIDS form and maintained in the workplace. The yellow copy should be sent to the Records Manager at MS 109. The remaining copies should accompany the boxes for transmittal to the records facility.
- An Input Manifest will often accompany the labels. This document is for internal use only by the records storage facility to enter data electronically into their database for tracking and retrieval of records. Nothing has to be done with this Manifest except to staple it to the Material Move Request that ships with the records boxes.
- Call Dispatch at ext. 3132 to arrange for pickup and to take the boxes over to the Shipping Department.
H. RETRIEVAL OF STORED RECORDS:
The offsite Records Storage Facility is secured and access is allowed to authorized personnel only. For this reason any request for retrieval of a box must be coordinated through the Records Manager. The entire sealed records box will be delivered to the requestor's specified onsite location.
Our retrieval service provides standard delivery on Thursdays. Your retrived box will be returned to your physical location or to the office you indicate. To request retrieval of your record box, send an email to kadnz@fnal.gov with the RM box number(s) no later than Wednesday by 3:30 p.m for delivery on Friday. Emergency service is available upon request.
There is a designate in case the Records Manager is away from the office. Contact the Business Services Section office to request service in the absence of the Records Manager.
The Records Management office maintains a database for Records Temporarily Retrieved from Storage, noting the box numbers retrieved, the name of the requestor, the date and any other pertinent information related to the retrieval. This database is reviewed quarterly and reminders sent to those requestors who remain in possession of retrieved boxes after three months.
I. RETURNING RECORDS TO STORAGE FOR REFILING:
Before records can be returned to the offsite Records Storage Facility, a Material Move Request form will needed to be completed for a radiation check and a completed Input Manifest form must accompany the box(es). The Input Manifest is available through the Records Management office. The Dispatch office will pick up the boxes from the requestor's physical location.
The Records Management office will make any adjustments in the database for Records Temporarily Retrieved from Storage to reflect the return of these boxes to storage.
J. TRANSFER OF RECORDS TO FEDERAL RECORDS CENTERS (FRC's)
The facilities of the Department of Archives, Federal Records Centers are available for the storage of records that have a long-term or permanent retention.
There are several drawbacks to using the Federal Records Center in Chicago:
- It fails to meet federal fire protection regulations for the storage and racking of records.
- As of the year 2000, all DOE offices or contractors storing records at FRC's prior to their legal transfer to the National Archives will be charged for storage. These fees are generally higher than those for a commercial records facility.
Fermilab has elected to keep its longer-term records at commercial facilities that meet the fire protection requirements and where costs are lower. "If" records are transferred to the FRC, the action will be coordinated between the Fermilab Records Manager and the Federal Records Center
K. DISPOSITION/DESTRUCTION OF STORED INACTIVE RECORDS
Twice annually, the Records Management Office reviews its database of inactive stored records and compiles a list of boxes scheduled for destruction based on the type of record and its retention date.
Prior to destruction, the person who originally stored the records will be notified of the proposed disposition and requested to concur with such disposition within a specified period of time. This serves as a check to verify that correct disposition of the records is being made. In the event it is determined that the records should not be destroyed, the Records Manager, in conjunction with the requestor, will discuss the reason for the additional retention and modify any database information accordingly.
If the proposed destruction of records is appropriate, the requestor will be asked to sign the Disposal Authorization form (Exhibit D), which is then returned to the Records Manager.
The Records Management office will instruct the commercial records storage facility to dispose of the boxes and the Records Management office maintains a copy of the memo authorizing the destruction. In addition, the commercial storage facility provides a Certificate of Destruction to the Records Management office once the destruction has taken place.
A separate database is maintained by the Records Management office listing all destroyed records by box number, date and by requestor.
No inactive records will be destroyed without written permission from the person who originally stored the records or the Records Coordinator for that division if the person is no longer available to do so.
L. CONDUCTING HOUSE CLEANING OF NON RECORDS
Exhibit E has been provided for guidance and lists nonrecord material that can be safely disposed of in-house after it is no longer needed for routine business. Most periodicals, newspapers, manuals fall into this category.
If there are any questions concerning what is a "record" and what is a "nonrecord," guidance is available from the Records Management Office. It has been the custom of this office to lend direct field supervision during major reorganizations and house cleaning campaigns to confirm what needs to be maintained and what can be disposed of safely. To schedule such a visit, call the Records Management office.
V. How long should I keep records or Accessing the DOE website for the Records Retention Schedules
The Department of Energy now provides the federal and DOE specific Records Retention Schedules online at the following website: http://cio.energy.gov/records-management/disposition.htm
The primary retention schedules used by Fermilab are:
DOE Administrative Records Schedules that provide for the disposition of DOE records associated with administrative matters. (Replaced what we referred to previously as the GRS schedule). http://cio.energy.gov/records-management/adminrs.htm
DOE Research and Development (R&D) Records Retention Schedule that encompasses research and development (R&D) records generated within the Department of Energy (DOE) complex and its contractor organizations, such as national laboratories. These are generally mission-specific records dealing with program records, records of experiments, etc. http://cio.energy.gov/records-management/doeprs.htm
DOE Draft Environmental Records Schedule provides for the disposition of all DOE environmental records created or received to comply with or needed to support compliance with Federal and state laws and implementing regulations. This is still in draft form. http://cio.energy.gov/records-management/doeprs.htm
By clicking on the Schedule title shown on the web page, you will then see a new screen with the index for each and can work your way to the retention paragraph you are searching for. "Finds" can be conducted easily as well (using the Control F keys on your keyboard). Contact the Fermilab Records Management office if you want a hardcopy of these schedules (which can be printed from the website) or if you are unable to find a retention period for your records.
If you cannot find the retention schedule for a series of records, please contact the Records Management Office.
The moratorium preventing us from destroying certain specific series of records is still in effect. The list of these records covers a broad range of subjects.
These records have been determined to be useful in identifying employees, the locations where they worked, or conditions under which they worked and may also contain information regarding radiation protection programs, human experimentation with radiation and/or the releases of radiation into the atmosphere.
Before making the decision to authorize the destruction of any records, please check them against the list that follows.
Should the volume of these records become an issue in the workplace (i.e. taking up too much space), they can be stored offsite by using the procedures described under Section G of this Handbook, Storing records.
If there are any questions about how to interpret this index or about the moratorium, please contact the Fermilab Records Manager.
Exhibits A through G
To view the Exhibits A through G, please contact the Records Coordinator for your Division or Section or the File Custodian for your department. The list of coordinators and custodians is shown on the Records Management home page.
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