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Status: Removed from contract
C31 Modification: As part of Contract 31 Reform, DOE removed from the contract line items that were inapplicable, redundant, or related to implementation. Reference: Contract Mod 781, 12-Sep-2012.

Summary of Order

The purpose of DOE O 243.1 Records Management is to establish requirements for the management of records so that "DOE activities, organization, functions, policies, decisions, procedures, and essential transactions" are adequately and properly documented.

LBNL Implementation

The Laboratory operates a comprehensive archives and records program designed to identify and appropriately preserve records of the Laboratory's science and operations.

 

Clause

Implementation

Status

1.

The following requirements to ensure a DOE records management program that complies with objectives of this CRD.

 

 

a.

Implement a records management program in compliance with requirements for managing records in all formats, including early capture and control throughout their life cycles.

The Archives and Records Office (ARO) is the LBNL office responsible for coordinating records management, which is a line management function.

(tick)

 

(1) Electronically formatted records will be maintained in an approved electronic records management application meeting the requirements of DOE-STD-4001-2000, “Design Criteria Standard for Electronic Records Management Software Applications,” dated March 2000.

The Laboratory does not currently maintain archival electronic records. However, we are evaluating electronic RM systems. Printing to paper or fiche is the current compensating control.

(tick)

 

(2) E-mail records will be managed along with their metadata, including a listing of recipients and time of receipt, if available.

Not required per C31 Reform, implementation.

N/A

 

(3) Electronic systems that are not regularly backed up and controlled (e.g., instant messaging) should not be used for conducting official Departmental business.

Not required per C31 Reform, implementation.

N/A

 

(4) Until an electronic records management system is available and implemented, electronic records will be printed and retained as paper files.

Not required per C31 Reform, implementation.

N/A

b.

Create and maintain current file plans/indexes that describe all categories of records created, received, and maintained by personnel in the course of their official duties.

ARO maintains a system of information, consisting of a database, schedules, and Records Liaison Officers.

(tick)

c.

Preserve and disposition records in the same manner as National Archives and Records Administration (NARA)-approved records disposition schedules [Title 36, Code of Federal Regulations (CFR), Chapter 12], as posted on the DOE Office of the Chief Information Officer (OCIO) Records Management Web pages (http://cio.doe.gov/RBManagement/Records/records.html).

ARO schedules LBNL records per relevant records schedules.

(tick)

d.

Preserve records placed under a destruction moratorium (freeze) as necessary to support audits, court cases, Freedom of Information Act appeals, or similar obligations.

ARO preserves records in coordination with DOE and LBNL Legal Counsel.

(tick)

e.

Request disposition authority from NARA, through the Departmental Records Officer, for all unscheduled records.

Since 2001, ARO has submitted 5 requests for disposition authority (SF115) which have been approved.

(tick)

f.

Store records in a manner that meets the requirements of 36 CFR 1228, Subpart K placed on DOE [36 CFR 1228.220-1228.244]. Unscheduled records are not to be sent offsite for storage at either NARA or commercial facilities.

The Federal Records Center at San Bruno, California houses all LBNL records.

(tick)

g.

Review capital planning and investment control (CPIC) proposals and information architecture plans for electronic records management provisions.

See 1.a.(1).

(tick)

h.

Conduct internal evaluations of records management practices and programs, including the economy of the operation, at least every 3 years.

ARO completed a self-assessment, shared with BSO, in November 2010.

(tick)

i.

Ensure that records management program training is provided for all personnel with records management responsibilities on a regular basis.

ARO makes records management training available to all LBNL employees twice a year through the Berkeley Lab Learning Institute as well as on an as needed basis. Archives and records management is part of the New Employee Briefing (NEB).

(tick)

j.

Identify vital records and preserve them in a manner that ensures they are maintained, kept current and where appropriate, available in the event of a continuity of operations or catastrophic event (see paragraph 4a and related directives).

The Archives and Records Management Policy requires that divisions/departments identify and ensure the availability of records for disaster recover and/or contingency planning. ARO is available to assist divisions.

(tick)

k.

Ensure that the site exit process includes a requirement for the transfer of custodianship of Federal records to another employee or a records liaison officer when employees leave on a permanent or long-term basis.

Not required per C31 Reform, implementation.

N/A

2.

Identify and confirm compliance with additional recordkeeping requirements placed on DOE or Federal contractor activities; environmental, safety, health studies; quality assurance; emergency management; and other mission-related functions.

Not required per C31 Reform, implementation.

N/A

3.

Manage the disposition of Federal records according to NARA-approved schedules and practices. Request disposition authority from NARA, through the records management field officer, the program records official, and the Departmental Records Officer, for all unscheduled records.

See 1.c. and 1.e.

(tick)

4.

Use the following standards, schedules, and regulations to implement a records management program that meets the intent of this CRD.

Not required per C31 Reform, implementation.

N/A

Assurance

The following assessments provide assurance that LBNL's records management program is operating as intended. Full reports available on request.

LBNL Archives and Records Management Program: An FY 2010 Assessment

Conducted by: Archives and Records Office
Date: November 23, 2010

This is the self-assessment required by 1.h. The self-assessment incorporated checklists from DOE as well as information from a customer survey. The full report also appended the DOE HQ site assistance visit report (below) and input from a benchmarking visit by Argonne National Laboratory.

Familiarization and Assistance Visit: Trip Report

Conducted by: DOE Headquarters Records Management Division
Date: May 2009

Excerpt: Overall Findings

We determined that the ARO records management program is well run, comprehensive, and provides a level of care for the Lab's records that easily meets all Federal and Departmental requirements. The ARO team is extremely knowledgeable, has considerable professional experience, and is very good at what it does. The ARO team was very helpful during the visit, prepared outstanding briefing materials, and was very forthright and candid with its assessment of the state of the ARO records management program.

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