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.,l'REQUEST FOR RECORDS DISPOSITION AUTHORITY .(S TOInstructions on re",erse)NATIONAL ARCHIVES and RECORDS ADMINISTRATION (NIR)WASHINGTON, DC 204082. MAJOR SUBDIVISIONNUMB.i /If.J(NAAA.::J"a:»u Only)0('-.1'01 -/-IJ!/lJ!,. A·40a e7'7 11NOTIFICATION TO AGENCYWashington, DC 20585I" .ccord lice wilh Ih. provi.ioll. or Uu.s.c. 33031 Ih. di.po.ilio" r.q .ul.includlnl .m.ndm.llla. i. Ipproyed ncep,for iI.aI. Ihl' mil b. meruit -di.pOt,liot\ftOC Ipproved- Of withdraw,,- in column 10.Department-wide3. MINOR SUBDIVISION4. NAME OF PERSON WITHJoeBLANKDATE eCEIVEC ,. F A:-::O M (A:"g . n r;y OI . s t. b I ls hm .nt )------------- Department of Energy .LEAVEWHOM TO CONFER50 TELEPHONeMary Ann Wallace301 9034353lJ6. AGENCY CERTIFICATION.Ihereby certify that Iam authorized to act for this agen in matters pertaining to tfle disposition of its recordsand that the records proposed for disposal on the attached 10 page(s) are not now needed for the businessof this agency or will not be needed after the retentionreriodsspecified; and that written concurrence fromthe General Accounting Office, under the provisions 0 Title 8 of the CAO Manual for Guidance of FederalAgencies,l8i0is not required;ois attached; orTIn.E7.ITEMNO.II. oeSCRIPTlONOF ITEM ANO PROPOSeoTeam Leeder,Records Mgt.8. GRS ORSUPERSEDEOJOB CITATIONCISPOSI"ON10. ACTIONTAKEN (NARAuse ONLY)/6Administrative Schedule,basedupon GRS I ;See Attachment. " '09has been requested.NSN 7540-00-834-40&4PREVIOUS ECITION NOT USA.BU!. SEP 2) 2 1999j rU-lj:tV .UW/)1J)STANCARC FORM 1'5Pr .( ev.3·9'crlbed by N.AFV36 CF '22 )
· ,. ".ADMINISTRATIVE RECORDS SCHEDULE 16:ADMINISTRATIVE MANAGEMENT RECORDS221.Administrative Issuances1.1.Issuances Documenting Substantive Functions1.2Management Improvement Programs1.3Performance Indicators . .1.4Baseline Management1.5Correspondence1.6All Other Copies of Issuances23333442.Records Disposition Files . . .53.Forms Files54.Records Holdings Files55.Project Control Files6.Reports Control Files67.Records Management Files . .68.Committee and Conference Files69.Feasibility Studies810.Microform Inspection Records811.IRM Triennial Review Files812.Information Collection Budget Files813.Documents Published in the Federal Register914.Management Control Records915.Electronic Mail and Word Processing System Copies,.,1611
'1""IDEPARTMENT OF ENERGYADMINISTRATIVE RECORDS SCHEDULE 16:ADMINISTRATIVE MANAGEMENT RECORDSThis schedule covers those administrative management activities not covered by otherAdministrative Schedules. Included are disposable records created in the course of. organizational planning, development, and simplification of procedures; records managementactivities; and administration of management improvement programs. See ADM 1 (Items 12and 13) for the disposition of case files on individuals involved in incentive award and similartypes of management improvement programs.The organizational locations and titles of administrative management units vary. They may bescattered at numerous levels or locations, or they may be centralized. For the purposes of thisschedule, these nomenclature standards are followed: the first Departmental level is theSecretarial level, the next level is the program office; followed by the subordinate componentsthe division, branch, section, and unit.This schedule covers the records of management activities that are carried on by a specializedperson or unit with wide responsibilities.Similar or comparable records created at lowerorganizational levels in the Department and in field offices are not covered by this schedule.A relatively large proportion of administrative management records are of continuing value.Files of potential archival value must be scheduled by submission of an SF 115 to NARA.Among these records are organizational charts and reorganization studies, functional statements,delegations of authority, and histories. Certain materials related to these records that are notarchival, however, include working papers that do not have a direct bearing on the transaction,preliminary or intermediate drafts of documents and preliminary work sheets that do notrepresent significant basic steps in the preparation of final drafts, letters or memoranda oftransmittal and acknowledgment, routing slips, and extra copies of documents.All records described in this schedule are authorized for disposal in both hard copy and electronicformats.1.Administrativea.Issuances.(GRS 16, item 1)Notices and other types of issuances related to routi. n ",u'.llll(e.g., payroll, procurement, personnel).1 esADM-16: ADMINISTRATIVERev. 0: 3-14-97related to (a) above which document aspects of the development of theMANAGEMENT RECORDS2
·" ,Destroy , heniSsuance is destroyed.1.1.Issuances Documenting Substantive Functions.Record set of DOE Secretary, Assistant Secretary, or equivalent contractor or Federallevel records documenting the substantive functions for which the maintainingorganization is responsible including policies, plans, procedures, practices, and directives.Permanent. Cut off at the end of each fiscal year. Transfer to inactive storage after 5years. Transfer to NARA in 5 year blocks when most recent record is 25 years old.1.2Management Improvement Programs.Records generated as a part of a cultural philosophy which promulgates managementimprovement programs. The focus is on streamlining operations, providing costeffectiveness, improving customer satisfaction, and continuing improvement of workprocesses or products. Proactive preventive program records are included. Records mayprovide internal information, advice, or recommendations. Includes such files asemployee suggestion forms, analyses, non-conformance process records, and relatedbackground material. Also includes corrective action plans in response to managementimprovement recommendations.Cut off at the end of each fiscal year. Destroy 5 years after cutoff.1.3Performance Indicators.The performance indicator (PI) program establishes a uniform system for analyzing datato support progress for improving performance and strengthen control of operations.Files include documentation of improvement, performance gains, and earlyidentification of deteriorating conditions. Information includes quarterly reports,summary reports, associated data sheets, errata forms, trending and analysisdocumentation, distribution diagrams, program schedules and status logs, facility lists,and charts used to summarize the information evaluated and data compiled; includingcontrol charts that serve to alert management to the existence of special causes ofvariation within a system or process.Cut off at the end of each fiscal year. Destroy 5 years after cutoff.1.4Baseline Management.Records generated to document facility project activities' technical scope, projectADM-16: ADMINISTRATIVERev. 0: 3-14-97MANAGEMENTRECORDS3
. .'. "schedule, and cost. Deviations from the baseline are documented and approved ordisapproved in baseline change proposals.a.Development of baselines and all supporting documentation.Cut off at the end of each fiscal year. Destroy when 10 years old.b.Baseline change proposals, approvals, and supporting documentation.Cut off at the end of each fiscal year. Destroy when 10 years old.1.5Correspondence.Correspondence files are arranged according to general information or subject content.Files include letters, memorandums, forms, reports, and other data that relate to functionsfor which the office exists, but not to specific case files.a.Correspondence files documenting the development and overall implementationand administration of plans and policies pertaining to the mission or functionsfor which the office has primary responsibility; opinions and decisions of animportant policy or those that set precedents. (These files will generally befound in the offices of principal or senior staff.)Permanent. Cut off at the end of each fiscal year. Transfer to inactive storage after5 years. Transfer to NARA in 5 year blocks when most recent record is 25 yearsold.b.Correspondence files documenting the day to day operations and routineadministration of established or new missions, policies, and procedures for whichthe office or contractor has primary responsibility, provided that thedocumentation in I.5a, above is preserved.Cut off at the end of each fiscal year. Destroy 15 years after cutoff.1.6All Other Copies of Issuances.Destroy when no longer need for reference.ADM-16: ADMINISTRATIVERev. 0: 3-14-97MANAGEMENTRECORDS4
,2.-:'."Records Disposition Files. (GRS 16, item 2)Descriptive inventories, disposal authorizations, schedules, and reports.a.Basic documentation of records description and dispo . . n programs, includingSF 115, Request for Records Disposition Authori ; SF 135, Records Transmittaland Receipt; SF 258, Request to Transfepproval, and Receipt of Records toNational Archives of the United Ss; and related documentation.Destroy when relatedords are destroyed, or transferred to the Nationalno longer needed for administrative or reference purposes.Destroy when no longer needed for reference.3.Forms Files. (GRS 16, item 3)a.One record copy of each form created by the Department oractor withrelated instructions and documentation showing ince . , scope, and purpose ofthe form.ISb.discontinued, superseded, or canceled.als, requisitions, specifications, processing data, and controlDestroy when related form is discontinued, superseded, or canceled.4.Records Holdings Files. (GRS 16, item 4)Statistical reports of Departmental holdings, including feeder reports from alldata on the volume of records disposed of by destruction or transfer.a.Records held by offices which prepare reportsholdings.b.ADM·16: ADMINIS1RATIVERev. 0: 3·14·97MANAGEMENT RECORDS50
·5.Project Control Files.(GRS 16, item 5)Memoranda, reports, and other records documentiae-ascompletion ofprojects.6.Reports Control Files.(GRS 16, item 6)Case files maintained for each Departmental report createdposed, including publicuse reports. Included are clearance forms, inclu .B 83 (formerly SF 83); copies ofpertinent forms or descriptions of fo, opies of authorizing directives; preparationinstructions; and documen109 to the evaluation, continuation, revision, anddiscontinuanceorting requirements.estroy 2 years after the report is discontinued.7.Records Management Files.(GRS 16, item 7)Correspondence, reports, authorizations, and other records thate to the managementof Departmental records, including such matters as fo, correspondence, reports, mail,and files management; the use of microformomated information systems, and wordprocessing; records management ss; vital records programs; and all other aspects ofe elsewhere in this schedule.n 6 years old. Earlier disposal is authorized if records are superseded,olete, or no longer needed for reference:.8.Committee and Conference Files.a.(ADDITIONS TO GRS 16, ITEM 8)Records relating to establishment, organization, membership, and policy ofinternal committees.Destroy 2 years after termination of committee.b.Records created by committees.(1)Agenda, minutes, final reports, and related records documenting theaccomplishments of official boards and committees, EXCLUDING thosemaintained by the sponsor or Secretariat.Destroy when 3 years old or when no longer needed for reference,whichever is sooner.ADM·16: ADMINISTRATIVERev. 0: 3·14·97MANAGEMENT RECORDS6
·,.,e.·".: .'."(1.1)Advisory Committee Records.Advisory committee records maintained by the committee sponsor for twotypes of committees: Presidential and those having a national interest,e.g., national security. (Advisory committee means a committee subject tothe Federal Advisory Committee Act. See definitions in 41 Code ofFederal Regulations, Section 101-6.1003.)Permanent. Transfer to the National Archives 10 years after terminationof the committee or, in the case of standing committees, cut off annuallyand transfer 10 years after cutoff.(1.2)Closed Advisory Committee Meeting Records.Closed advisory committee meeting records (meetings closed in whole orin part). Included are records prepared to comply with the provisions ofthe Government in the Sunshine Act or to comply with the provisions ofother law authorizing closed meetings. Also included are records thatauthorize, justify, or report on closed meetings. Additional recordsincluded consist of transcriptions, minutes of, and electronic recordings forwhich verbatim transcripts do not exist.Permanent. Transfer to the National Archives 10 years after terminationor, in the case of standing committees, cut off annually and transfer 10years after cutoff.(2)All other committee records.Destroy when 3 years old or when no longer needed for reference,whichever is sooner.c.Records maintained by Departmental Committee Management Officers forcommittees established under the Federal Advisory Committee Act, includingcopies of charters, membership lists, agendas, policy statements, and materialrequired to be available for public information.Destroy 5 years after termination of committee.ADM·16: ADMlNISlRATIVERev. 0: 3·14-97MANAGEMENT RECORDS7
9.,'1e ,.,.·.,.,(Feasibility Studies. (GRS 16, item 9)Studies conducted before the installation of any technology or e , .information management systems, such as word procegsi , copiers, micrographics, andcommunications. Studies and system analysee initial establishment and for majorchanges of these systems. Such stud'pically include a consideration of thealternatives of the proposedem and a costlbenefit analysis, including an analysis ofthe improved efficiand effectiveness to be expected from the proposed system.oy 5 years after completion or cancellation of study.10.Microform Inspection Records. (GRS 16, item 10)a.Departmental copy of inventories, logs, and reports documenting the inspermanent microform records, as required by 36 CFR Part 1230.Destroy 1 year after the records are transferred to the IeArchives.[NOTES: (1) This item does not covercopy oflogs and reports that areattached to the SF 135 when reco are transferred to a Federal records center orcords are transferred to the National Archives. (2)Inspection records for scheduled records that are converted to microform area may not be destroyed.]b.Depental copy of logs and other records documenting the inspection ofporary microform records, as recommended by 36 CFR Part 1230.Destroy when no longer needed.11.IRM Triennial Review Files. (GRS 16, item 11)Reports required by the General Services Administroncerning reviews ofinformation resources management (Ic Ices. Included are associatedcorrespondence, studies, d'. s, feeder reports, and monitoring surveys and reports.12.\Information Collection Budget Files. (GRS 16, item 12)Reports required by the Office ofMand Budget under the PaperworkReduction Act abouter of hours the public spends fulfilling Departmentalirements. Included are associated feeder reports, report exhibits,ADM·16: ADMINISTRATIVERev. 0: 3-14-97MANAGEMENTRECORDS8
.Je .t! 'I't M correspondence, directives, and statistical compilations.Destroy when 7 years old.13.Documentsa.Published in the Federal Register.(GRS 16, item 13)Files documenting the processing of notices announcing co. e meetings,including meetings open to the public under the Govet in Sunshine Act (5U.S.C. 552b (e) (3); hearing and investigations; fi . g of petitions andapplications; issuance or revocation of a lie; grant application deadlines, theavailability of certain environmen. pact statements; delegations of authority;and other matters that are noified in the Code of Federal Regulations.Destroy when 2 years old.[NOTE: Departmental files documenting the development, clearance, and processing ofproposed and fmal rules for publication in the Federal Register are not covered by this RecordsSchedule. These records may be, but are not necessarily, permanent. They must be individuallyscheduled so that NARA can analyze and appraise the records to determine their appropriatedisposition. ]14.ManagementControl Records.(GRS 16, item 14)Records created in accordance with procedures mandated by OMB Circula-123,Management Control Systems, and P.L. 97-255, the Federal Manager'mancial IntegrityAct. Under these authorities, agencies are required to perform e uations of theiraccounting and administrative controls to prevent waste, frand mismanagement.a.Policy, procedure, and guidance files.Copies of internal directivesmtained by the Department's internal control staff(but not those copies mai ined in the Department's official file of internaldirectives); exteirectives such as OMB Circular A-123; and correspondenceand procedure for performing management reviews.Management control plans.ADM-16: ADMINISTRATIVERev. 0: 3-14-97MANAGEMENT RECORDS9
".\-r'". ,;e. -,Comprehensive plans documenting the Department's efforts to ensure compliancewith OMB Circular A-123.Destroy when superseded.c.Risk analyses.Reports and supporting materials used to document review of pro am areas forsusceptibility to loss or unauthorized use of resources, errors in ports andinformation, and illegal and 'unethical actions.Cut off closed files annually. Destroy after next reviewd.Annual reports and assurance statements created by ganizational componentsbelow the Departmental level, and compiled by th Department into a singleunified report for direct submission to the Presi nt and Congress.Cut off closed files annually. Destroy afteext reporting cycle.[NOTE: The consolidated final report ubmitted directly to the President andCongress must be scheduled by sub tting a SF 115 to the National Archives.]e.Tracking files.Files used to ensure the co pletion and timeliness of submission of feederreports, including sched es of evaluations, interim reporting, lists of unitsrequired to report, an orrespondence relating to the performance of the reviews.f.Reviewfii.1correr.:,p ndence, reports, action copies of audit findings, and other records thatidenti program internal control weaknesses, and corrective actions taken toreso e such problems. Since A-123 provides for alternative internal controlre iews under OMB Circulars A-76, A-127, or A-130, this item also applies toopies of these reviews, provided they are identified as alternative reviews in themanagement control plan.(1)Office with responsibility for coordinating internal control functions.Cut off when no further corrective action is necessary. Destroy 5 yearsafter cutoff.ADM-16: ADMINISTRATIVERev, 0: 3-14-97MANAGEMENT RECORDS10
v \.,(2),. JA . . '. "'" Copies maintained by other offices as internal reviews.Cut off when no further corrective action i[NOTE: Altern'reviews such as computer security reviews andmanageand consultant studies may need to be kept longer than provided. . em 14f(2). This item applies only to copies maintained as internal reviews.]15.Electronic Mail and Word Processing System Copies. (GRS 16, item 15)Electronic copies of records that are created on electronic mail and word proces ' gsystems and used solely to generate a recordkeeping copy of the records coed by theother items in this schedule. Also includes electronic copies of recordeated onelectronic mail and word processing systems that are maintainedupdating, revision, ordissemination.a.Copies that have no further administrative val after the recordkeeping copy is made.Includes copies maintained by individua ' personal files, personal electronic maildirectories, or other personal direct'son hard disk or network drives, and copies onshared network drives that ared only to produce the recordkeeping copy.o days after the recordkeepingb.copy has been produced.Copies usor dissemination, revision, or updating that are maintained in addition tothe re rdkeeping copy.Destroy/delete when dissemination, revision, or updating is completed,ADM-16: ADMINISTRATIVERev. 0: 3-14-97MANAGEMENTRECORDS11
Records Management Files. (GRS 16, item 7) Correspondence, reports, authorizations, and other records that e to the management of Departmental records, including such matters as fo , correspondence, reports, mail, and files management;
