PIC - J. G. Stewart
FPM - H. R. Hicks
Directives Coordinator
Directives Home
ORNL Internal Home
Search the ORNL/LMES Web
A hard copy of this document is valid only until the document revision number has changed on the Web. The hard copy should be dated and signed the day it is printed. If you continue working from the hard copy, you should verify its accuracy periodically on the Web.
Date Printed:_________________________ Verifier:__________________________
I. PURPOSE
To identify and to define the responsibilities and processes for the
management of records, including research and development, at Oak
Ridge National Laboratory (ORNL). This procedure interprets the
requirements of IO-101, "Records Management," and replaces ORNL QA
Procedure QA-L-17-100, "QA Records."
II. SCOPE
This procedure is applicable to records created by ORNL personnel and
those contractually required records created by ORNL subcontractors.
III. DEFINITIONS/ACRONYMS
A. Document Management Center--locations established for a discrete
collection of records maintained for current use.
B. Emergency Operating Records--vital records essential to (1) the
functioning of the government for the duration of an emergency,
(2) the protection of resources, services, and systems, and
(3) the maintenance of public health, safety, and order.
C. Quality Assurance Records--a completed document that furnishes
evidence of the quality of items and activities or credentials
affecting quality. QA records will be managed under the provisions
of this procedure in accordance with their importance.
D. Records/Nonrecords--refer to Appendix A.
E. Record Media--any of a variety of physical formats on which to
record information, including paper, microfilm, magnetic tape,
and magnetic disk.
F. Records Inventory--a process in which data are collected on
information in order to determine the value of the information to
ORNL and the U.S. Department of Energy (DOE).
G. Records Inventory and Disposition Schedules--a form used to
inventory records, to indicate appropriate disposition, and to
detail other instructions concerning their disposition
(Form TX-5518, ORNL, 1/93).
H. Records Schedule--a report providing authority for the final
disposition of records. All records, regardless of media, are
required to be scheduled.
I. Rights and Interests Records--vital records essential to the
preservation of the legal rights and interests of individual
employees and other citizens, ORNL, and the government.
J. Series (also called a Record Series)--file units or documents
arranged according to a filing system or kept together because
they (1) relate to a particular subject or function, (2) result
from the same activity, (3) document a specific kind of
transaction, (4) take a particular physical form, or (5) have
some other relationship arising from their creation, receipt, or
use, such as restrictions on access and use. Nonelectronic
records are generally scheduled by series, while electronic
records are generally scheduled within the context of the
electronic system, i.e., input, output, hardware, and software
(National Archives and Records Administration, "Managing
Electronic Records," 1990).
IV. GENERAL INFORMATION/REQUIREMENTS
ORNL Records Management procedures may be supplemented by division or
program procedures when necessary. Division-specific procedures
pertaining to records management that supplement this procedure and
contracted services for records management shall be reviewed by the
ORNL Records Manager to ensure compliance with this procedure and
ORNL standards.
V. RESPONSIBILITIES
The ORNL Records Manager assumes responsibility for the
interpretation, coordination, assessment, and related training for the
ORNL Records Management Program. Additional responsibilities are
identified by position in the requirements sections.
VI. RECORD-PROCESSING REQUIREMENTS
A. Identification and Generation of Records
1. Records Identification
All Employees
Identify records and record-keeping requirements associated
with ORNL and DOE.
Note: The design, generation, distribution, and use of
forms shall be standardized throughout ORNL to
promote uniformity and efficiency of operation through the
ORNL forms administrator, as stated in IO-101,
"Records Management," VI.J. Contact the ORNL Records Manager
for more information.
2. Records Generation
Generators/Originators
a) Create records that contain complete and accurate
documentation of the organizations, functions,
policies, decisions, procedures, and essential
transactions of ORNL and its interests.
b) Create records in a legible fashion and in a
reproducible medium.
c) Ensure that (1) required documentation is linked to
associated activities or items, (2) generated records
contain sufficient information to permit direct
identification and traceability to the system,
component, item, or activity involved, (3) the record
is complete and authentic, and (4) records are limited
to the subject matter and do not include comments of a
personal nature.
d) Determine if a document will be designated record or
nonrecord. Refer to Appendix A, "Guidelines for
Record/Nonrecord Determination."
B. Additions or Corrections of Records
All Employees
Make all additions or corrections to paper records by placing a
single line through the original data and initialing or signing
and dating the corrected information in a reproducible medium.
For records on other media, retain superseded copies. Alterations
or modifications are approved by authorized personnel.
C. Information Recovery After a Disaster
Protection of collections of records and systems of information
is addressed in procedures in the Laboratory Records Department
and the Office of Computing and Network Management. Contact the
ORNL Records Manager for information relating to the recovery of
records maintained outside of these organizations in other
offices and document management centers or to report an
information disaster.
D. Access Control
All Employees
Limit access to records in accordance with their sensitivity and
value (i.e., those protected by the Privacy Act: personnel
records of former contract employees, personnel medical records,
and personnel radiation exposure records).
E. Indexing and Retrieval of Records
Line Managers
1. Determine record retrieval needs.
2. Develop and document an identification system for the
retrieval of records considering needs for
retrieving/returning, utilizing, and storing information.
Refer to Appendix B, "Requirements for Records Storage."
F. Records Storage
Line Managers
Store records in their areas in accordance with Appendix B,
"Requirements for Records Storage."
G. Records Inventory and Disposition Scheduling
Line Managers and ORNL Records Manager
Work together to ensure that a records inventory is performed and
that records schedules are developed and approved in conjunction
with the ORNL Records Manager. The ORNL Records Manager will
coordinate the records inventory process for divisions (includes
orientation, training, inventorying, appraising, scheduling, and
revising).
H. Exit Interview
Line Managers
Ensure that exit interviews are conducted with transferring or
terminating employees and guest researchers to determine if
records in their possession were transferred appropriately.
I. Records Destruction
Line Managers
Ensure that records are destroyed as authorized by the records
schedule. For records housed in the Laboratory Records
Department, a Records Center Disposal Certificate (Form UCN-473)
will be sent to the appropriate office by Laboratory Records six
months prior to the destruction of records. For records housed in
offices or Document Management Centers, the line manager will
submit a signed Destruction of Records (Form TX-5518) to the ORNL
Records Manager.
Note: In special situations stated destruction dates might be
superseded by other considerations, including investigations or
litigation, Freedom of Information Act requests, hold orders, and
special studies.
VII. SUPPLEMENTARY REQUIREMENTS
Line Managers
A. Emergency Operating Records Protection Program
For information about the handling of these records, consult
IO-101, "Records Management" and/or the ORNL Records Manager.
B. Rights and Interests Records Protection Program
For information about the handling of these records, consult DOE
Order 1324.5B, "Records Management Program" and/or the ORNL
Records Manager.
C. Supplemental Media Requirements
1. Microfilmed Records
Line Managers
Ensure that a systems analysis, including a cost-benefit
study, is conducted prior to the decision to establish a new
micrographic system or to add a significant enhancement to
an existing system. For additional details refer to DOE
Order 1324.5B, "Records Management Program."
2. Electronic Records
Database Managers, Computer Protection Program Managers, and
Employees
Ensure that electronic records are created and maintained
according to DOE Order 1324.5B, "Records Management Program."
D. Supplemental Media Guidelines
Audiovisual Records
All Employees
Ensure that audiovisual records, including photographs,
videotapes, and audiotapes, are created and maintained according
to the guidelines stated in "Managing Audiovisual Records,"
National Archives and Records Administration, 1990. Contact the
ORNL Records Manager for a copy of the guidelines.
VIII.REQUIRED RECORDS
A. Records Procedures--for sites, divisions, and
departments/sections
B. Records schedules
C. List of emergency operating records (if applicable)
D. List of rights and interests records (if applicable)
E. Authorization for Destruction of Records, Form TX-5517
F. Records Center Disposal Certificate, Form UNC-473
IX. REFERENCES
A. REQUIREMENTS
1. IO-101, "Records Management"
2. DOE Order 1324.5B, "Records Management Progam"
B. SOURCES
1. National Archives and Records Administration, "Managing
Electronic Records," 1990
2. ISD-RM-XRC1.0, "Emergency Preparedness and Disaster
Planning/Recovery Plan, ORNL Site Records Center/Remote
Storage Area/Central Files," September 25, 1991
3. K/CSD/INF-92/29, "Emergency and Disaster Plan for Computing
and Telecommunications Division Computer Operations," May
1992
4. National Archives and Records Administration, "Managing
Audiovisual Records," 1990
Approved by: [R. I. Van Hook]
Executive Vice President
Lockheed Martin Energy Research Corporation
**********
APPENDIX A
ORNL RECORDS MANAGEMENT
GUIDELINES FOR RECORD/NONRECORD DETERMINATION
RECORDS
The legal definition of records, as contained in 36 CFR Pt. 1220, follows:
1. "All books, papers, maps, photographs, machine-readable materials, or
other documentary materials, regardless of physical form or
characteristics,
2. Made or received by an agency of the United States Government under
federal law or in connection with the transaction of public business
and
3. Preserved or appropriated for preservation by that agency or its
legitimate successor
4. As evidence of the organization, functions, policies, decisions,
procedures, operations, or other activities of the Government
5. Because of the informational value of data in them."
The three key points in the legal definition are:
1. created or received to conduct government business,
2. preserved because they constitute evidence or contain information of
value, and
3. varied in their physical form or characteristics.
Records refers to those classes of documentary materials that may be
disposed of only after authorization is obtained and includes 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 that is considered by
contract to be government information), regardless of its media (e.g., hard
copy, machine-readable, and microfilm), is considered "government"
records.
NONRECORDS
The term nonrecord applies to materials that are not categorized as
records. Examples of nonrecords are:
o library and museum material made or acquired and preserved solely for
reference or exhibition purposes;
o extra copies of records with the official record copy being retained
elsewhere;
o stocks of publications;
o reading file copies of correspondence;
o tickler, follow-up, or suspense copies of correspondence;
o identical duplicate copies of documents maintained in the same file;
o superseded manuals and other directives maintained outside the office
that is responsible for retaining them;
o materials documenting fringe activities of agencies such as charitable
fund drives;
o routing slips;
o working papers;
o drafts of correspondence and reports;
o blank forms;
o correspondence and other records of short-term value that, after action
has been completed, have neither evidential nor informational value,*
such as requests for publications and communications on hotel
reservations; and
o information-only copies of correspondence and other papers on which no
documented administrative action is taken.
*Evidential value--the value of a record that documents the history of
an organization and its activities. Informational value--the value of a
record that provides unique information of an organization and its
activities for purposes of documenting the functions, policies, decisions,
procedures, and essential transactions.
*********
APPENDIX B
REQUIREMENTS FOR RECORDS STORAGE
A. GENERAL REQUIREMENTS
The frequency of records use will determine the storage location.
Office personnel should have ready access to the information necessary
to perform their functions. In the case of paper or film documents,
close physical proximity is indicated. In the case of electronic
records, timely access to the information is indicated. Inactive
records (i.e., those referenced for use less than once a month) are
typically eligible for storage outside the office environment and can
be stored in the Laboratory Records Department or in the federal
records centers (FRCs).
B. SPECIFIC REQUIREMENTS FOR PAPER RECORDS
1. Duplicate records and nonrecord material should be stored in
standard letter-sized filing cabinets without locks or on
shelves.
2. Company-sensitive business records, records that easily can be
replaced or re-created, or low-risk records should be stored in
standard filing cabinets with locks. Company-sensitive records
should be segregated from nonsensitive records and appropriately
labeled.
3. The following types of records should be stored, on a long-term
basis, in FRCs:
o records that are irreplaceable,
o records required for the continued functioning or
reconstitution of an organization during and after an
emergency, and
o records that protect the rights and interests of Energy
Systems and DOE and of the individuals directly affected by
their activities.
While in active use in file stations, records in this category shall
be protected using one of three methods:
o a one-hour-fire-rated file cabinet, plus adequate smoke detection
or fire-suppression systems, and reasonable safeguards against
water damage, rodent and insect infestation, and floods;
o a duplicate storage area in a separate location sufficiently
remote to eliminate the chance of exposure to a simultaneous
hazard (these areas will be listed on the records schedules); and
o duplicate information on other records media, including microform
or optical disk.
Inactive records will be stored in the Laboratory Records Department.
When possible, records requiring long-term retention will be forwarded
to the FRC or the National Archives. Transfer instructions can be
obtained from the Laboratory Records Department and the ORNL Records
Manager.
C. SPECIFIC REQUIREMENTS FOR MICROFORM RECORDS, ELECTRONIC RECORDS, AND
RADIOGRAPHICS
Refer to DOE Order 1324.5B, "Records Management Program".
PIC - J. G. Stewart
FPM - H. R. Hicks
Directives Coordinator
Directives Home
ORNL Internal Home
Search the ORNL/LMES Web
http://www-internal.ornl.gov/ORNL/directives/data/800140000081.html
Updated: Tuesday, 11-Feb-97 15:56:22 EST(npn)