243.1 Implementation

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.

(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.

(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.

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.

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.

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.

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.

g.

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

See 1.a.(1).

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.

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).

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

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.

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