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Status: In contract, 27-Aug-13

Summary of Order

The purpose of DOE O 243.1B 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.

 ClauseImplementationStatus
a

Manage all agency records created, received and maintained for the Government (including subcontractors) in accordance with 44 U.S.C. Chapters 21, 29, 31 and 33; the Freedom of Information Act (5 U.S.C. 552); the Privacy Act (5 U.S.C. 552a) and 36 Code of Federal Regulations (CFR), Subchapter B, Records Management. This includes web content and all other media used for official business resulting in the creation of agency records.

Our Archives and Records Management Policy establishes line management responsibility for records management and outlines division requirements. It also establishes the Archives and Records Office (ARO), which is responsible for coordinating records management. ARO provides support to divisions, including training.

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b

Establish and maintain vital records management in accordance with 44 U.S.C. 3101; 36 CFR Part 1223, Managing Vital Records; the CRD of DOE Order 150.1, Continuity Programs, dated 5-8-2008, or its most current version; CRD of DOE O 151.1C, Comprehensive Emergency Management System, dated 11-2-2005, or its most current version, and the Homeland Security, Federal Continuity Directive 1 (FCD 1), Federal Executive Branch National Continuity Program and Requirements, as amended.

Redundant to clause a - per our Continuity of Operations policy, the Berkeley Lab COOP Implementation Plan identifies vital records. ARO assists the COOP in identifying and planning for vital records and ensuring that vital records requirements are met. At this time vital records for the Lab are identified in the Master Emergency Program Plan. The Archives and Records Management Policy also requires that divisions/departments identify and ensure the availability of records for disaster recover and/or contingency planning (note that these are not considered vital records). ARO is available to assist divisions.

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c

Establish recordkeeping requirements that reflect adequate and proper documentation of the contractors’ work performed on behalf of DOE.

ARO identifies records schedules and establishes procedures to support implementation of record requirements. Divisions are responsible for implementing within their division.

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d

Develop and maintain up-to-date inventories, file plans, or systems that provide for the identification, location, and retrieval of all categories of records created and received in the course of official business.

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

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e

Work through the appropriate Program Records Official (PRO), Records Management Field Officer (RMFO) or Records Liaison Officer (RLO) to request disposition authority for all unscheduled records and to transfer records to commercial storage facilities or to the custody or possession of another Federal agency.

Standard practice - since 2001, ARO has submitted 5 requests for disposition authority (SF115) which have been approved.

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f

Preserve records beyond their approved retention periods when they have been placed under a legal hold for purposes of audits, litigation, Freedom of Information Act appeals, and similar obligations. A legal hold imposed by the Department shall be lifted only by the Departmental Records Officer, in coordination with the DOE/NNSA Office of General Counsel, or an Office of Chief Counsel.

Standard practice - the ARO preserves records in coordination with DOE and LBNL Legal Counsel.

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g

Implement records management and vital records management training or awareness programs that will provide appropriate training to contractor employees to ensure the management of DOE records in accordance with applicable legal requirements, including 36 CFR, Subchapter B, Records Management.

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).

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h

Store inactive records in facilities that meet the requirements of applicable Federal regulations found in 36 CFR, Subchapter B, Records Management and ensure that all provisions are met when storing inactive records in agency, contractor and commercial facilities.

Redundant to clause a. The Federal Records Center at San Bruno, California houses all LBNL records.

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i

Work with the appropriate contracting official and/or records professional to ensure agency records are identified for turnover and/or delivery at completion or termination of the contract. Provide all documentation of final disposition (e.g., finding aids, destruction certificates, electronic records management systems) including a complete inventory of records to be delivered or transitioned to a successor contractor, their locations, and point of contact information.

The ARO keeps a database that tracks Berkeley Lab records and includes documentation on final disposition. If UC’s contract with DOE terminates, the ARO will work to facilitate transfer of the records.

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j

When deliverables or agency records turnover includes electronic records, provide sufficient technical documentation to ensure access to the records throughout their life cycle.

Berkeley Lab does not maintain long-term, inactive electronic records currently. However, a pilot project is ongoing to begin to preserve electronic records in the OCFO. This system is being designed to met the requirements of this paragraph, with sufficient documentation to ensure access as well as the use of prevailing standards (such as PDF-A) for storing such records. At this time, LBL does not contemplate long term (25+ year) electronic records storage of inactive records.

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k

Provide the PRO, RMFO, or RLO, as appropriate and Emergency Management Program Administrators and COOP Coordinators with a copy of their current vital records inventory on an annual basis, preferably in electronic media. A list of the current Records Management contacts can be found on the DOE Office of the Chief Information Officer (OCIO) website, on the Records Management page entitled “U.S. Department of Energy Contacts for Records Management.

The set of vital records is identified in the MEPP.

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l

Identify locations where vital records will be stored, such as Emergency Operations Centers, command centers, and relocation sites that will provide adequate protection and accessibility.

Redundant to clause a and b - Berkeley Lab stores Vital records in NARA’s San Bruno facility. The Berkeley Lab COOP Implementation Plan is responsible for identifying additional locations. 

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m

Records will be stored in a manner that ensures ease of access, retrieval, and control. Storage systems must allow for access in accordance with 36 CFR 1223, Managing Vital Records, as amended. Classified and unclassified records must be handled in accordance with applicable requirements (CRD for DOE O 471.1B, Identification and Protection of Unclassified Controlled Nuclear Information, dated 3-1-2010, or its most current version; the CRD for DOE O 471.3 Admin Chg 1, Identifying and Protecting Official Use Only Information, dated 4-9-2003, or its most current version; and the CRD for DOE O 475.2A, Identifying Classified Information, dated 2-1-2011, or its most current version.)

Redundant to clause a or inapplicable - NARA’s San Bruno facility meets this requirement. Berkeley Lab does not generate classified, unclassified controlled nuclear information, or OUO information.

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n

Vital records will be maintained for the period of time specified in the DOE records disposition schedules. Duplicate copies of vital records stored at COOP identified locations should be destroyed or deleted when obsolete or superseded and replaced with updated copies. Vital records inventories and copies of vital records should be provided to the appropriate Emergency Management Program Administrators and COOP Coordinators and to the designated Program Records Officer/Records Management Field Officer

Redundant to clause a, b, c, and k - all records, including vital records, are kept per NARA or DOE schedules. Records Retention Schedule Definition

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