ML20127L433

Package Consisting of General Records Schedule 23,NRC Manual Chapter Bulletin 0231-30,NRC Manual Chapter 0231, Maint & Disposition of NRC Official Files & Records & Mgt Directive 3.53, NRC Records Mgt Program

ML20127L433
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Issue date:	10/30/1988
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ML20127L329	List: IA-92-382, Package Consisting of General Records Schedule 23,NRC Manual Chapter Bulletin 0231-30,NRC Manual Chapter 0231, Maint & Disposition of NRC Official Files & Records & Mgt Directive 3.53, NRC Records Mgt Program ML20127L324 ML20127L433
References
FOIA-92-382 NUDOCS 9301270150
Download: ML20127L433 (232)

Text

. _ _ _ _ _ _ - _ _ _ _ - _ . .. .,

Trsnsmittal No. 2 General Records Schedule 23 October 30, 1988 ITEM E22 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Vord Processine Files.

Documents such as letters, messages, memoranda, reports, handbooks, direc-tives, and manuals recorded on elec-tronic media such as hard disks or floppy diskettes.

a. When used to produce hard copy which Delete when no longer needed to is maintained in organized files, create a hard copy.

b. When maintained only in electronic Delete after the expiration of form, and duplicate the information the retention period authorized in and take the place of records for the hard copy by the GRS or that would otherwise be maintained a NARA-approved SF 115.

in hard copy providing that the hard copy has been authorized for destruction by the GRS or a NARA-approved SF 115.

3. Administrative Data Bases.

Data bases that support administrative Delete information in the data or housekeeping-functions, containing base when no longer needed.

information derived from hard copy records authorized for destruction by the GRS or a NARA-approved SF 115, if the hard copy records are maintained in organized files, and hard-copy printouts from these data bases created for short-term administrative purposes.

4. Electronic Screadsheets.

Spreadsheets that are recorded on electronic media such as hard disks or floppy diskettes:

a. When used to produce hard copy which Delete when no longer needed to is maintained in organized files. update or produce hard copy.

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l UNITED STATES NUCLEAR REGULATORY COMMISSION l

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i DATE: Janua.ry 28,1986 j NO. 0231-30 i

SUBJECT:

CREATION, MAINTENANCE, AND DISPOSITION OF AGENCY RECORDS IN I ELECTRONIC FORM

, A. Purpose i This Bulletin gives advance guidance on the creation, maintenance and

! disposition of agency records stored in electronic form. The guidance contained in this Bulletin will be incorporated in Manual Chapter 0231,

" Maintenance and Disposition of NRC's Official Files and Records."

i B. Coverace i

! This Bulletin applies to all NRC offices, including Regions, Boards, Panels, l

and Comittees.

i C. Definitions Authentication - The verification of infonnation or data for completeness and 1 accuracy by an individual authorized by the agency Records Officer to make

! such a determination.

l Certification - Any activity with respect to:

l . 1. The process of ensuring that magnetic tapes or other storage media used i to record and preserve information are free of defects and/or errors.

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2. The confirmation that magnetic tape, COM, or hard copy produced from electronic records is a true copy of the original record.

COM (Computer Output Microform) - Microfilm or microfiche containing data produced by a recorder from computer generated signals.

Disposition - Any activity with respect to:

2 (a) Disposal of temporary records no longer necessary for the conduct of business by destruction or donation; (b) Transfer of records to Federal agency storage facilities or record

, centers; (c) Transfer to the National Archives of the United States of records determined to have sufficient historical or other value to warrant continued preservation; or (d) Transfer of records from one Federal agency to any other Federal agency.

Disposal Authority - The legal authorization for the disposal of records obtainea from the Archivist of the United States and, for certain series, from the Comptroller General.

Disposition Schedule - A document governing, on a continuing basis, the mandatory disposition of recurring record series of an organization or agency.

The NRC Comprehensive Record Disposition Schedule, which incorporates the General Records Schedule, is the agency's record schedule as approved by the Archivist of the United States for the proper disposition of agency records.

Electronic Media - The format in which information may be electronically maintaineo, e.g., magnetic tape, magnetic card, optical disks, etc.

s Electronic Record - Records retained in electronic form that have not been converted to an archival form, i.e. , paper, microform, or magnetic tape.

,' Magnetic Tape - Thin strip of oxide coated plastic material used in certain computer systems for storage of large volumes of data.

Maintenance - The day-to-day use and protection of records.

Records - All books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the U.S. government under Federal law or in connection with the transaction of public business and preserved or- '

appropriate for preservation by the agency or its legitimate successor as i

l

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3 evidence of the oroanization, functions, policies, decisions, procedures,

' operations, or other activities of the government or because of the infomation value of the data in them.

D. Background Electronic records are those records whose informational content is oenerated electronically, i.e., by personal computers, word processors, electronic office equipment, audio tape recorders, dictaphones, telephone answerino machines, etc., and has not been converted to another form such as paper, COM, or magnetic tape.

The fact that infomation is created or stored electronically has no bearing upon whether that infomation is record or non-record. Record status is detemined by the same criteria for all infomation regardless of the medium on which it is created or stored. However, ensuring the retention of records stored electronically is not as simple as ensuring the retention of records stored on microform or paper. The decision about whether electronic data are record must be made earlier than for paper because of the ease with which electronic records can be erased or changed.

Electronic records fall within the purview of the definition of " record" and, therefore, must be controlled by the provisions of 44 U.S.C. Chapters 21, 29, 31, and 33; 36 CFR 1228, and 41 CFR 201-34 and 201-45 to ensure that the capability exists to identify the record content of such information and to provide for records retrievability and disposition. The increased use of personal computers and other equipment to produce electronically manipulated information has increased the probability of the inadvertent creation and destruction of agency records.

E. Policy As with paper, electronic records can be disposed of only in accordance with an approved NRC or General Records disposition schedule. The federal government is currently developing specific quidelines governing the creation, maintenance, and disposition of electronic records. In the interim, to ensure that no official record that is electronically produced and/or stored is inadvertently lost or destroyed, apply the following procedures:

1. Convert all existing electronic records that do not have approved NRC or General Records disposition schedules to hardcopy, COM, or magnetic tape and preserve the converted copies as official records.

2. For electronic records that are to be created in the future, contact the Information and Records Management Branch to detemine the disposal

. 4 authority. Determine the disposal autho' > ty before re

Ords are created to

!, ensure that the aporopriate identifiers aid storage and retrieval standards are employed and to facilitate their ultimate disposition.

a. Labeling - To better enable users to identify the content of electronic storage media, label each to include the title, date(s), originator, sof tware, data base femat, equipment, and the records disposition schedule,

b. Header / Indexing Information - To enable users to identify and retrieve specific records contained on electronic systems, establish a system that includes for each record the following:

(1) Title (2' Abstract - Brief description of record (3) Document Type - Report, letter, memo, etc.

.t) Date - Year, Month, Day (If undated, use date record is received / identified)

5. Author - Last Name, First and Middle Initials (As appropriate to identify originators of correspondence, reports, etc.)

(6) Addressee - Last Name, First and Middle Initials (As appropriate to identify recipients of correspondence, reports, etc.)

(7) Disposition Schedule - Ref. NUREG 0910 "NRC Comprehensive Records Disposition Schedule" (8) File Code - Ref. NUREG 1025 " Nuclear Regulatory Comission Uniform Subject Filing System" (9) Identification No. - Contract no. , report no. , fin no. , docket no. ,

license no., case eo. , purchase order no., accession no. , etc.

(10) Software (11) Data Base Format (12) Equipment

3. Do not erase or modify electronically stored records until they have been converted to paper, COM, or magnetic tape in accordance with the appropriate disposition sc hdules, i

4 Any magnetic tape used as an archival storage medium for records must meet the following requirements:

a. one-half inch 9-track tape reels

b. written in ASCII or EBCDIC

c. All extraneous control characters removed from the data (except record length indicators for variable length records, or marks designating a datum, word, field, record, block, or file).

d. blocked no higher than 30,000 bytes per block, at 800,1600, or 6250 bpi.

? l I. 5  :

5. All permanent records that have been converted to c!ther COM or nagnetic i*

tape must be transferred to the Information and Records Management Branch

_immediately for environmental storage. Permanent records converted in

-the future must be transferred to the Information and Records Management i

Branch within 10 days af ter their conversion.

6. Draft documents and transient data created, stored and transmitted electronically are not to be used for official record purposes.

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Office of Administration l

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P q Form NRC 409 i (1 76)

) U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL f' TRANSMITTAL NOTICE i

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l. CHAPTER NRC-0231 MAINTENANCE AND DISPOSITION OF i NRC OFFICIAL FILES AND RECORDS t

SUPERSr.0ED: TRANSMITTED:

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j Number Date Number Date

! TN 0200-36 f Cnapter Chapter NRC-0231 7/21/87 j Page Page NRC Bulletin

. 0231-30 1/28/86 Appendix Appendix NRC-0231 7/21 /97 i

l' L REMARKS:

i l- This chapter and appendix specify the responsibilities, ,

i authorities, and procedures for the organization, mainte- '

, nance, use and disposition of all official files and records j accumulated by the U. S. Nuclear Regulatory Commission in

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the course of its official business.

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i U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 0000 General Administration Part : 0200 Administrative Procedures and Services ARM CHAPTER 0231 MAINTENANCE AND DISPOSITION OF NRC 0FFICIAL FILES AND RECORDS 0231-01 COVERAGE This chapter and appendix specify the responsibilities, authorities, and proce-dures for the organization, maintenance, use and disposition of all official files and records accumulated by the U.S. Nuclear Regulatory Commission (NRC) in the course of its official business. Official NRC files, also referred to as offi-cial records, are the property of the United States and must be managed in ac-cordance with the provisions of this chapter and disposed of in accordance with the NRC Comprehensive Records Disposition Schedule (CRDS). Official files or records are the sole property of the United States Government and are subject to the provision of Section 2071, Title 18 of the United States code which stipulates:

011 Whoever willfully and unlawfully conceals, removes, mutilates, oblit-erates, or destroys, or attempts to do so, or with intent -to do so takes and carries away any official record, proceeding, map, book, paper, document, or other thing, filed or deposited with any clerk or oVficer of any court of the United States, or in any public office, or with any Judicial or public officer of the United States, shall be fined not more then $2,000 or imprisoned not more than three years, or both.

012 Whoever, having the custody of any such official record, proceed-ing, map, book, document, paper or other thing, willfully and unlawfully con-ceals, removes, mutilates, obliterates, falsifies, or destroys the same, shall be fined not more than $2,000 or imprisoned not more than three years, or both, and shall forfelt his office and be disqualified from holding any office under the United States.

0231-02 OBJECTIVES 021 To ensure compliance with Federal statutes and regulations governing the management of files and records.

022 To foster effective and efficient filing and records management practices.

023 To ensure the preservation of NRC records that have continuing val-ue for protection of the rights and interests of the Federal government and

- Individuals.

k Approved: July 21,1987

MAINTENANCE AND DISPOSITION OF NRC "

N R C-0231-024 OFFICIAL FILES AND RECORDS 024 - To ensure the preservation of records vltal to the continuity of NRC activities during periods of national emergency.

025- To provide for the systematic cutoff and periodic retirement and destruction of official files in accordance with the CRDS.

0231-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director, Office of Administration and Resources Management (ARM), by delegation from the Executive Director for Operations (EDO):

a. develops and maintains procedures for the organization, maintenance,

- use, and disposition of all NRC official files and records.

b. periodically surveys those activities engaged in the maintenance, use or disposition of NRC official files and records to ascertain that the provisions are adequate and being satisfactorily implemented.

c, makes changes in those activities to comply with this chapter and appendix.

- 032 Directors of Offices and Regional Administrators:

1

a. implement the records management procedures and programs of this chapter and appendix in their areas of responsibility.

b. designate a staff member to serve as Records Liaison Officer with re-sponsibility for coordination with the NRC Records Officer in matters )

of. records management.

033 The Director, Division of Security (SEC), administers the overall information security program which includes the management of the- security classification program and other programs for the protection of sensitive unclassified information.

034 The Director, Division- of Contracts, _ ensures that contracts contain instructions for the maintenance and _ disposition of contractor _ records (see Appendix, Part V, for detalls).

035 The NRC Records Officer, by delegation from the Director, DISS, and in accordance with the provisions and responsibilities of NRC under 36 CFR Part 1200;

a. plans and formulates files maintenance and records disposition policies, standards, systems, and procedures to meet the operating needs of NRC.

b. coordinates the overall NRC files maintenance and records disposition program and evaluates program effectiveness,

c. provides records management guidance and assistance to all organiza-tional levels.

)

' Approved: July 21, 1987

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MAINTENANCE AND DISPOSITION OF _NRC OFFICI AL FILES AND RECORDS N R C-0231-036

d. surveys the records management program in all offices to assure  !

{ compliance with established policies and procedures,

e. reviews and evaluates the utilization of filing equipment and makes decisions on allocation of filing equipment.

f. serves as liaison with--the National Archives- and Records Administra-

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tion (NARA), the General - Service Administration, the General Ac-counting Office (GAO), the Office of Management and Budget _(OMB),

and other agencies on matters relating to records management.

g. issues a Comprehensive Records Disposition Schedule (CRDS) to appropriate staff, as _ prescribed by the National Archives and Records Administration (NARA).

036 Records' Liaison Officers (RLO), by delegation from Office Directors and Regional Administrators:

a. administer records management policies, procedures and programs through designated file custodians to ensure the application of the NRC=CRDS and the implementation of the agency files maintenance system within their offices,

b. -review file maintenance and disposition plans (NRC Form 306) from each official file station to ensure accuracy, adequacy, completeness, compliance with the CRDS and records management policies and give final approval.

c. maintain file maintenance and disposition plans for all official file stations within their office and review annually to ensure all .

files are accounted for and that cited disposition authorities are appropriate.

d. Inform the Records Officer of records transferring to other offices as a result of realignment of functions or ' reorganization within 30 days of knowledge of the proposed reorganization, e,

review records transfer forms (NRC Form 35) for completeness and ensure the correct disposition authority is cited. RLO signs in block 3, and forwards original and 2 copies to Records ' Officer, f.

maintain records transfer forms for those records retired from the respective offices.

037 File Custodians:

a. ensure that official files under their cognizance are managed in ac-cordance with the policies and. procedures prescribed in this chapter and appendix and the CRDS.

b. upon termination or transfer of responsibilities, obtain an audit of r the files under their cognizance from the respective Records- Liaison

( Officer.

Approved: July 21, 1987 l

MAINTENANCE AND DISPOSITION OF NRC N R C-0231-038 OFFICI AL FILES AND RECORDS

c. provide reports and assistance to the respective RLO and/or NRC  ;

Records Officer, as necessary.

038 NRC Employees and Contractors:

a. any NRC employee who creates, receives, or accesses an official file or record is responsible for its preservation in accordance with the policies and procedures set forth in this chapter and appendix, in addition to applicable statutes and regulations.

b. all NRC employees have a legal responsibility for informing the NRC Records Officer of any actual or threatened unlawful destruction or removal of official files or records,

c. NRC and NRC contractor employees who are authorized access to classified or sensitive unclassified information in NRC official files and records are responsible for safeguarding such information in ac-cordance with the provisions of Chapter NRC-2101 and its Appendix.

0231-04 DEFINITIONS 041 Federal Official - any individual employed by the Federal government.

042 Official Files or Official Records -

all books, papers, maps, photo-graphs, machine readable material, or other documentary materials, regardless of physical form or characteristics, made or received by any agency of the United States Government in pursuance of Federal law or in connection with the I transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, func-tions, policles, decisions, procedures, operations, or other activities of the Government or because of the informational value of data contained therein.

Library and museum material made or acquired and preserved solely for refer-ence or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed docu-ments are not included in the definition of the term official " records"

[36 CFR 1220].

043 Agency Records - 10 CFR 9.3a(b) defines " record" for FOI A purpos-es, as any book, paper, map, photograph, brochure, punch card, magnetic tape, paper tape, sound recording, pamphlet, slide, motion picture, or other documentary material regardless of form or characteristics, made by, in the possession of, or under the control of the NRC pursuant to Federal law or in connection with the transaction of public business as evidence of NRC organ-ization, functions, policies, decisions, procedures, operations, programs or other activities. " Records" do not include objects or articles such as struc-tures, furniture, tangible exhibits or models, or vehicles and equipment. It should be noted that for agency purposes, the term " agency records" is more comprehensive than the term " official record."

044 Nonrecord Material -

material not usually included within the definition of records, such as unofficial copies of documents that are kept only for convenience or reference, stocks of publications and processed  ;

Approved: July 21, 1987

MAINTENANCE AND DISPOSITION OF NRC OFFICI AL FILES AND RECORDS N R C-0231-045 j documents, and library or museum material intended solely for reference or

% exhibition.

045 Personal Papers papers of a private or nonofficial character that pertain only to an individual's personal affairs and will not affect the con-duct of Agency business.

046 Official File Stations -

formally designated organizational locations where official record copies of correspondence and other documents are maintained.

047 Official Record Copy - the final, initialled concurrence copy. In or-der to ensure that the official record copy is adequately safeguarded for prop-er disposition,-the following policies are followed:

a. Stages of a Document. A document goes through many stages before a final version is generated. The cycle of draft, comment, and re-vis!on continues until a document that represents the agency's posi-tion is comoleted and concurred in. Only this final edition is the Official Record Copy. The drafts and comments represent working papers that can be destroyed upon completion of the concurred-in final document,

b. Concurrence Copy (NRC Form 318). The final version of the concur-rence copy is designated the Official Record Copy. The originator of the correspondence, or the originating office, is responsible i for maintaining the record in accordance with the approved CRDS.

c. Original Signed Internal Correspudence. Internal correspondence generates two record copies; the signed original and the concurrence

, copy. Each is maintained according to the applicable records sched-l ule for the series of records it is a part of.

048 Vital Records -

those records essential for maintaining the con-tinuity of Government activities during a national emergency and for protect-l ing the rights and interests of individuals citizen and their Government I

(36 CFR 1236).

049 Files Cutoff - segregation of active and inactive files.

0231-05 BASIC REQUIREMENTS l

051 Applicability. This directive is applicable to NRC employees, consul-tants, members of Boards and Panels, and contractor personnel.

052 Forms: The following forms shall be used as provided:

NRC Form 22 - Charge-Out Record NRC Form 35 - Records Transfer-l NRC Form 35A - Records Transfer (Continuation Sheet)

NRC Form 134 - Filing Equipment Request Analysis

( NRC Form 173 - Standard Order for DOE Work

( NRC Form 187 - Security / Classification Requirements Approved: July 21, 1987

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MAINTENANCE AND DISPOSITION OF NRC N R C-0231-053 OFFICIAL FILES AND RECORDS NRC Form 189 - Project and Budget Proposal for NRC Work NRC Form 306 - Files Maintenance and Disposition Plan NRC Form 306A - Files Maintenance and Disposition Plan (Continua-tion)

NRC Form 317 - Annual Report of Records Holding and Disposition NRC Form 317A - Records Inventory Worksheet NRC Form 318 - Official Record Copy NRC Form 331 - Records Retention and Disposition Authority 4

NRC Form 340 - Vital Records Plan l

NRC Form 341 - Vital Records identification Label NRC Form 355 - Report of Records /Nonrecords Disposal NRC Form 367 - DOE Source Selection Justification NRC Form 385 - Project File Identification NRC Form 400 - Request for Procurement Action NRC Form 426A - Publications Release for Unclassified NRC Contrac-tor and Consultant Reports Optional Form 21 - Cross-Reference

, SF 127 - Request for Official Personnel Folder (Separated Employee)

SF 135 - Records Transmittal and Receipt SF 135A - Records Transmittal and Receipt (Continuation)

SF 171 - Personal Qualification Statement or Application for Federal Employment SF 1081 - Voucher and Schedule of Withdrawals and Credits 053 Appendix. Detailed procedures and guides for maintaining and dis-posing of Commission files and records are set forth in Parts I through Vil as listed below.

a. Appendix 0231, Part I: Files Maintenance and Records Disposition Procedures.

b. Appendix 0231, Part II: Policy and Procedures for Revising NRC Comprehensive Records Disposition Schedules (CRDS).

c. Appendix 0231, Part Ill: Precedures for Managing Papers of Federal Officials and Presidential Appointees.

d. Appendix 0231, Part IV: Procedures for the Management of Vital Records.

l e. Appendix 0231, Part V: Procedures for the Management of Contractor Records.

f. Appendix 0231, Part VI: Standard NRC File System for Records of Work Performed under DOE /NRC Memorandum of Understanding.

g. Appendix 0231, Part Vil: Nuclear Regulatory Commission Docket-50 Filing System.

054 Exceptions or deviations from this directive shall be granted by the NRC Records Officer. Requests for exceptions or deviations shall be )

Approved: July 21, 1987

MAINTENANCE AND DISPOSITION OF NRC OFFICI AL FILES AND RECORDS N R C-0231-055

( documented in writing to specify need and the benefits to be derived from the change. Where substantive issues cannot be resolved internally, the problem will be referred to NARA.

055

References:

a. 44 U .S. C . Chapters 21, 29, 31, and 33, Federal Property Manage-ment Regulations.

b. 41 CFR 101-11, " Records Management," 36 CFR Part 1200.

c. 48 CFR Part 4, " Retention Requirements for Contractors and Subcon-tractors Records."

d. NRC Manual Chapter 0232, " Placement of Documentation in the NRC Document Control System."

, e. NRC Manual Chapter 0234, "Micrographics Management."

i

f. NRC Manual Chapter 1102, " Procedures for Placement of Work with the Department of Energy."

g. NRC Manual Chapter 2101, "NRC Security Program," and its appen-dix parts.

[ h. NRC Manual Chapter 3202, " Preparation of Technical Reports Pre-pared by NRC Contractors, including Reports Prepared Under or Pursuant to Interagency Agreements."

i. NRC Manual Chapter 4139, " Utilization of Consultants and Members."

J. NRC Appendix 5201, " Personal Property Management, Part V."

k. "NRC Comprehensive Records Disposition Schedule."

1. NRC Manual Chapter _0240, " Correspondence Management."

m. " Description of PDR File Classification System."

n. " Atomic Energy Act of 1954 as amended."

o. " Energy Reorganization Act of 1974."

p. Executive Order 12356 " National Security Information" dated April 6, 1982, and its implementing directives.

q. Federal Advisory Committee Act (P.L.92-463),

r. GSA Records Management Handbook, " Subject Filing," 1981.

Approved: July 21, 1987

4-2 .

MAINTENANCE AND DISPOSITION OF NRC 2 N R C-0231-056 OFFICI AL FILES AND RECORDS s ,

. 056 ' Acronyms and- Initials-ACRS Advisory Committee on Reactor Safeguards ADP Automatic Data Processing AF Archival Facility. Area AEOD Office for Analysis and Evaluation of Operational Data j ARM Office 'of Administration and Resources Management l ASLAP Atomic Safety and Licensing Appeal Panel l ASLBP Atomic Safety and Licensing Board Panel j ASME American Society of Mechanical Engineers

'C F Central Files CFR- Code of Federal Regulations 3

CRDS Comprehensive Records Disposition Schedule j DCS Document Control System j . DES Draft Environmental (impact) Statement

DISS Division of information Support Services

} DOE Department of Energy j EN Notification of Significant Enforcement Action )-

) ER Environmental Report 3

FES Final Environmental (Impact) Statement FIN Financial identification Number FOIA Freedom of information Act FPMR Federa! Property Management Regulation j FSAR Final Safety Analysis Report

. GAO General Accounting Office I GPA Office of Governmental and Public Affairs GPA/CA Congressional Affairs .

{ GPA/IP International Programs l

GPA/PA Public Affairs I GPA/SLITP State, Local and Indian. Tribe Programs GSA General Services Administration

l. )

LER- Licensee Event Report .I LPDR- Local Public Document Room LWA Limited Work Authorization MOU Memorandum of Understanding

! NARA National Archives and Records Administration

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Approved: July 21,1987 f

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[ MAINTENANCE AND DISPOSITION OF NRC-

OFFICI AL FILES AND ' RECORDS N R C-0231-056. a

!O NEPA National Environmental Protection Act NMSS Office of Nuclear Materials Safety and Safeguards NPRC National Personnel Records Center NRC U.S. Nuclear Regulatory Commission NRR Office of ' Nuclear Reactor Regulation i

OGC Office of the General Counsel

f. 01 Office of ' investigations

! OIA Office of Inspector and Auditor OMB Office of Management and Budget f

l PDR . Public Document Room PNO Preliminary Notification of-Occurrence PNS Preliminary Notification 'of Safeguards Event -

f' PSAR Preliminary Safety.. Analysis Report RES Office of Nuclear Regulatory Research i

i RFPA Request for Procurement Action l -SALP Systematic Assessment of Licensee Performance

! SDBU/CR Office of Small and Disadvantaged Business , Utilization

j. { and Civil Rights j SECY Office of the Secretary

[ SEP Systematic Evaluation Program l SER Safety Evaluation Report f SES Senior Executive Service

SRP Standard Review nlan i SSFS Standard Supplemental Filing System

' USC United States Code-

WNRC Washington National Records Center 4

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Approved: July 21, 1987

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MAINTENANCE AND DISPOSITION OF NRC OFFICI AL FILES AND RECORDS NRC' Appendix 0231 CONTENTS ,

.e h

.Pg PART I FILES MAINTENANCE AND RECORDS DISPOSITION PROCEDURES......... 1 A. Introduction................................................ 1 B. Planning and Arranging Files................................ I

1. Official File Stations...................-.............. 1

2. Centralization of Selected NRC Files................... 1

3. Basic Groups of NRC Fi1es.............................. 1

4. Benefits of Separating Files into Basic Groups......... 4

5. Basic Filing Arrangements.............................. 4

6. Files Maintenance and Disposition Plan (NRC Form-306).. 5 C. Files Maintenance Procedures................................ 6

1. Avoidance of Unnecessary Filing........................ 6

2. Categorizing Documents for Filing....................... 6

3. Cross References....................................... 8

4. Filing Classified and Sensitive Unclassified Records... 8 i 5. Charging out Material from the Files................... 9

6. Fillny Equipment and Supplies............<............. 9 D. NRC Standard Supplemental Filing System (NRC SSFS).......... 9

1. Definition and Purpose................................. 9

2. Descriptive File Elements of the NRC SSFS.............. 9 E. ecords Di sposition Pelicy and Procedures. . . . . . . . . . . . . . . . . . . 11

4. Records Disposition 0bjectives......................... 11

2. Records Disposition Definitions........................ 12

3. Authority.............................................. 12

4. Applicability of Records Disposition Schedule.......... 13

5. Files Cutoff Procedures................................ 13

6. Use of NRC Archival Facility........................... 14

7. Use of Washington National Records Center (WNRC)....... 16

8. Transfers to the National Personnel Records Center (NPRC)................................................. 16

9. Annual Report of Records Holdings...................... 16

10. Microfi1 ming........................................... 17

11. Machine-Readable Records............................... 17

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i Approved: July 21,1987

_ _ _ _ _ _ _ _ I

MAINTENANCE AND DISPOSITION OF NRC

_NRC Appendix 0231 OFFICI AL FILES AND RECORDS 4

CONTENTS (Continued)

P,ag Exhibits - Part 1 Exhibit No. Title 1 NRC Official File Stations.................................. 19 2 NRC Form 306, Files Maintenance and Disposition Plan........ 42 3 NRC Form 306A, Files Maintenance and Disposition Plan (Continuation).............................................. 43 4 Optional Form 21, Cross-Reference........................... 44

f. NRC Form 22,' Charge Out Record.............................. 45 6 NRC Forta 134, Filing Equipment Request Analysis. . . . . . . . . . . . . 46 7 NRC Form 355, Report of Records /Nonrecords Disposal......... 47 8 NRC 35, Records Transfer.................................... 48 9 NRC 35A, Records Transfer (Continuatiun Sheet).............. 49 10 SF 127, Request for Official Personnel Folder (Separated Employee)........................................- 50 11 NRC Form 317, Annual Report of Records Holding and Disposition................................................. 51 12 NRC Form 317A, Records Inventory Worksheet.................. 52 PART II POLICY AND PROCEDURES FOR REVISING NRC COMPREHENSIVE RECORDS DISPOSITION SCHEDULES (CRDS).. ..................... 53 3 A. Policy...................................................... 53 B. Application for Schedule Revision........................... 53

1. Annual Review.......................................... 53

2. Development of New or Revised Records Retention Schedules.............................................. 53

3. Review by the NRC Records 0fficer...................... 53 Exhibits - Part II Exhibit No. Title 1 NRC Form 331, Records Retention and Disposition Authority... 55 PART III PROCEDURES FOR MANAGING PAPERS OF FEDERAL OFFICIALS AND PRESIDENTIAL APP 0lNTEES................................ 57 A. Policy...................................................... 57 B. Personal Papers and_Nonrecord Materia 1...................... 57-

1. Personal Papers Defined................................ 57

2. Maintenance of Personal Papers......................... 57

3. Nonrecord Materia 1..................................... 58 L

11 Approved: July 21, 1987

i i

j MAINTENANCE AND DISPOSITION OF NRC 1

OFFICIAL FILES AND RECORDS NRC Appendix 0231

)

j.

! ! CONTENTS (Continued) a 1

)

j Pag  :

t i C. Personal Files of Presential Appointees..................... 58 i

l 1. Courtesy Storage....................................... 58 1 2. Donation of Personal Files............................. 58 '

i- 3. Review of Files Prior to Transfer...................... 58

4. Transfer of Dcouments to Research Institution for ,

! Historical Scholarship................................. 59 ,

l D. Official NRC Research Projects.............................. 60 ,

a E. Classified and Sensitive Unclassified Information........... 61 EXHIBITS - Part III l Exhibit No Title 4

! 1 Certification............................................... 62

2 Request to Chairman for Access to Classified Information.... 63

3 Continued Access to NRC Classified Information by i Former NRC Officials........................................ 64 i

i a

PART IV PROCEDURES FOR MANAGING VITAL RECORDS ...................... 65 1 i j A. Introduction................................................ 65 B. Vital Records............................................... 65 l:. C. Emergency Operating Records.................. .............. 65 D. Rights and Interests Records................................ 66 i E. Objectives of the Program................................... 66 .

} F. Duties...................................................... 67 i j G. Vital Records Plans and Reviews............................. 67  ;

1 j 1. Emergency Operating Records P1an....................... 67

! 2. Annual Plan Review and Revision........................ 67 j 3. Biannual Review of Rights and Interests Records........ 68  !

j H. Implementation of P1an...................................... 68

1. Records Preparation.................................... 68

j. 2. Wrapping and Labeling of Vital Records................. 68 i-

3. Transmission of Vital Records to NRC Records Officer... 68 -

4. Updating and Replacing Records......................... 68 I

4 i Exhibits - Part IV '

i Exhibit No. Title

! 1 NRC Form 340, Vital Records P1an.~........................... 69 2 NRC Form 341, Vital Records Identification Label............ 70 l

i-d i

lii Approved: July 21, 1987

, _ , _ _ - . _ . _ . , _ , , _ , _ . . - . . _ . . . _ _ , ~ . - . _ . _ _ , . _ _ . _ , . _ , _ , _ . - . . . . , _ _ _ . _ , . - . , _

MAINTENANCE AND DISPOSITION OF NRC NRC Appendix 0231 OFFICIAL FILES AND RECORDS CONTENTS (Continued) )

a

.P_a28 PART V PROCEDURES FOP. MANAGING CONTRACTOR RECORDS.................. 71 A. Definition.................................................. 71 B. Categories of Contractor Records............................ 71

1. Category 1 - General Administrative Material........... 71

2. Category 2 - Contract Administration Records........... 71

3. Category 3 - Contract Work Records..................... 71 C. Special Requirements For Category 3 Records. . . . . . . . . . . . . . . . . 72

1. Sponsoring Office...................................... ~72

2. Division of Contracts.................................. -72 PART VI STANDARD NRC FILE SYSTEM FOR RECORDS OF WORK PERFORMED UNDER DOE /NRC MEMORANDUM OF UNDERSTANDING................... 73 A. Purpose....................................................-. 73 B. Scope....................................................... 73 C. Definition.................................................. 73 D. Policy...................................................... 73 E. Duties...................................................... 74 i F. Basic Requirements.......................................... 74 G. Retention of Fi1es.......................................... 74 Exhibits - Part VI Exhibit No. Title 1 Office Project File Sections and Contents................... 75 2 NRC Form 385, Project File Identification................... 77 PART VII NUCLEAR REGULATORY COMMISSION DOCKET-50 FILING SYSTEM....... 79 A. Application / Construction Stage Documents and Correspondence. 79 B. Utility Preliminary Saf=ty Analysis Report (PSAR) and Amendments.................................................. 79 C. Utility Environmental Report (ER), Amendments and Correspondence.............................................. 79 D. NRC Draft and Final Environmental (Impact) Statements (DES and FES), Supplements and Correspondence.................... -79_

E. NRC Safety Evaluation Report (SER), Supplements and Correspondence.............................................. 79 F. Security, Medical, Emergency and Fire Protection Plans......- 79 G. Legal and Adjudicatory Correspondence....................... 79 H. General Correspondence...................................... 79 I. Financial Information....................................... 79' J. Insurance and Indemnity Information......................... 79 >

K. Utility Final Safety Analysis Report (FSAR) and Amendments..

79 iv Approved: July 21,1987

MAINTENANCE AND DISPOSITION OF NRC OFFICI AL FILES AND RECORDS NRC Appendix 0231 CONTENTS-(Continued)

P.*92 L. Limited Work Authorizations (LWA) and Related Correspondence.............................................. 79 M. Antitrust Review and Antitrust Correspondence............... 79 N. Antitrust Hearing Transcripts, Testimony and Briefings...... 79

0. Advisory Committee on Reactor Safeguards (ACRS) Reports and Correspondence.............................................. 79 P. Operating License Stage Documents and Correspondence........ 79 Q. Inspection Reports: IE Bulletins, Circulars and Information-Notices; Civil Penalties and Related Correspondence. . ...... . 80 R. Periodic Operating Reports and Related Correspondence....... 80 S. Reportable Occurrences, PN0's, PNS's, and Related Correspondence.............................................. 80 T. Transcripts,- Testimony and Briefings on. Nonantitrust  ;

Matters..................................................... 80 U. Congressional / Executive Correspondence....................... 80 V. Licensing Operators and Related Correspondence.............. 80 W. Decommissioning Stage Documents and Correspondence..........- 80 X. Onsite Low-Level Waste Storage.............................. 80 Y. Dry Cask Independent Spent Fuel Storage Installations....... 80 I

(

v Approved: July 21,1987 =

MAINTENANCE AND DISPOSITION OF NRC OFFICIAL FILES AND RECORDS NRC Appendix 0231 PARTI FILES MAINTENANCE AND RECORDS DISPOSITION PROCEDURES A. INTRODUCTION This Part establishes standardized procedures for the organization, maintenance, and disposition of records of the Nuclear Regulatory Commission. The purpose of these procedures is to promote efficien-cy and economy in administering official NRC files.

B. PLANNING AND ARRANGING FILES

1. Official File Stations. Official file stations, as designated in Appendix 0231, Part I, Exhibit 1, form a network of recordkeeping locations within NRC to:

a. Provide technical control and supervision of official records,

b. Facilitate coordination between and among file stations.

c. Ensure uniformity ir *! ling and reference procedures.

2. Centralization of Selected W ' P'les. Because of a common interest in

~

certain agency files by 's5UA organizational components, files may be centralized after the expiration of specific events. Approved NRC central file locations are listed in Exhibit 1, along with brief de-scriptions of the file content.

3. Basic Groups of NRC Files. The files collection within an official file station normally consists of more than one basic group of records. A file group consists of a collection of documents that have similar characteristics and should be kept apart from other groups of records in the office. This separation of records into readily dis-cernible groups assists in the filing and finding of documents and in the disposition of records with different retention periods. The file groups described below are generally maintained separately,

a. General Correspondence (Sub ect) Files. These files, often re-ferred to as the " general fi e" or the " subject correspondence file," consist of originals or copies of letters, memoranda, tele-grams, reports, and other material. Each official file station normally has a separate correspondence file. Because this file invariably involves a variety of subjects, it can best be identi-fled and used when arranged by subject,

b. Transitory Correspondence Files. These files consist of corre-spondence and other material of short-term interest that should not be filed in subject correspondence files. The materials in-( volved relate to routine transactions or do not contain informa-tion of continuing reference value. They consist of transmittal 1 Approved: July 21, 1987

NRC App: ndix 0231 MAINTENANCE AND DISPOSITION OF NRC Part i OFFICI AL FILES AND RECORDS letters or forms; requests for information or publications; com-munications correcting reports or records; or other documents not requiring action by the receiving office. The recognition and separate maintenance of transitory material is important.

Transitory material that has served its purpose is destroyed.

Transitory correspondence that is temporarily needed for refer-ence is normally filed by date so that the material may be easily destroyed after a short retention period, usually no more than 90 days.

c. Case, Project, Task Files. These types of files contain material relating to a specific action, project, person, company or or-ganization, or issue. The papers in these files may cover one or many subjects by name or number. This aids in distinguish-Ing them f_ rom general correspondence, which is filed by subject as described in 3.a above. These files document a transaction from beginning to end. The content of all such files is stan-dardized by each office or division accumulating them.

Some of the major NRC case, project, task files include:

(1) Docket files *

(2) inspection case files (3) Contracts or purchase orders ** I (4) Official personnel folders (5) Research project files ***

(6) General technical issues files (7) Standards development task files (8) Systematic evaluation- program task files (9) Freedom of information Act and Privacy Act files (10) Rulemaking action files d.- Case Workino Documents. Short-lived correspondence and work-ing papers accumulated in connection with specific case files in-clude background and working materials, such as- ref-rence materials and data obtained for the case or project, data

• NRC Docket-50 files are arranged in accordance with Part Vil of this appendix where applicable. NRC filing systems for other types of NRC dockets are being developed and will be issued as they become available.

• • Documents related to contracts or purchase orders are arranged in accor-dance with Part V of this appendix. )

• • • Documents related to work performed under the DOE /NRC Memorandum of Understanding are arranged in accordance with Part VI of this appendix.

Approved: July 21, 1987 2 i

_ __ _ . - _ .__ _ _ _ _ = _ _ _ , _ _ _ _ _ _ _ ._. _ _ . . _ _ . _

MAINTENANCE AND DISPOSITION OF NRC NRC AppOndix 0231 OFFICIAL FILES AND RECORDS Partj

}

analyses and summaries, drafts and- other preliminary papers leading to final results or findings. The most common types of working' documents are routine requests for case reports or da-ta, routine co respondence concerning the administration of a case or project, extra copies of documents or reference materi-als, etc. These working papers should be segregated from the important case documents for ease of disposal and to prevent clutter among more important papers. They may be filed in the same folder but kept separate by fastening them on the side opposite the essential papers or by filing in separate folders placed one behind the other in the file drawer.

e. Technical Reference Files. These files, sometimes called " refer-ence material" or " reference publications," consist of printed or processed material that is nonrecord but has a direct relation-ship to the work of the office and is needed for future refer-ence, it includes materials such as technical reports, periodicals, catalogs, handbooks, pamphlets, internal instruc-tional and informational manuals, etc. Unless the volume is very small, technical reference materials should always be maintained separate from correspondence files. Mixing correspondence files and technical reference papers hampers disposition of both types and overloads the correspondence files,

f. Convenience Files. Extra copies of records or publicationc I maintained for ease of access and reference.

(1) Readino Files. A file containing extra copies of documents arranged in chronological order. Sometimes known as a chronological file or a day file.

(2) Suspense Files. Also known as tickler, pending, or fol-low-up files, these files consist of copies of correspond-ence or other documents that require action or attention on subsequent dates.

(3) Alphabetical Subject Index Files. These- files consist of ex-tra copies of correspondence or cross-reference sheets ar-l ranged alphabetically by the subject or organizations to whom correspondence is addressed or to whom it concerns, it provides an additional source of reference to the subject files. This file is useful when papers are requested by subject or organization. The alphabetical subject index is not practical unless the subject file is large.

(4) - Workina Files. Documents such as rough notes, calcula- ,

tions, or drafts assembled or created and used in the preparation or analysis of other documents,

g. Nonstandard Size Files. These records are kept in a separate

( group because of size or physical characteristics and include films, tapes, computer printouts, photographs, etc.

3 Approved: July 21, 1087

4 l NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC j

Part i OFFICIAL FILES AND RECORDS

4. Benefits of Separatina Files into Basic Groups. The benefits derived l from separating files into the basic groups are numerous and dis-3 count most arguments against separate maintenance. Breaking a file collection down into separate groups facilitates:

a. Finding records by reducina the area of search. The reccrd-keeper need not look through a mass of unrelated material to i find the desired document. He/she will not be confused by the i

. variety of different filing arrangements often encountered when the basic types are combined in one file.

l b.

Disposing of records by keeping folders with different retention j period s - sepa rated . Essential documents are segregated from I those of only temporary value, and official records are not in-l termingled with nonrecord material. Separation of files into the 1 basic groups permits the retirement or destruction of records in i blocks, since all papers within any one group have the same

! retention period. (See Part 1.F) 1

! 5.- Basic Filino Arrangements.- Once the - basic file groups have been identified and separated within a files collection, the best method of arranging each type of file is determined. The arrangement should

! permit ease of filing and. finding and make use of special indexing i systems unnecessary. Frequently, filing procedures for- a series of i records (e.g., official personnel folder files) are provided in the j prescribing directive. This appendix prescribes the arrangement of-

' official general correspondence files and also suggests the name or )

i number arrangement of selected agency case flie series. When

! records are accumulated for which specific filing instructions are not

prescribed, one of the arrangement patterns described in this para-

graph should be selected. Within the basic' arrangement selected for

! the group, one or more additional arrangements can be used for fur-t ther breakdown or subdivision of the records. For example, records

) geographically arranged may be further arranged by organization; j records filed by subject can be further arranged chronologically.

] Five basic filing arrangements are described in the following:

i t a. Numerical Arrangement. A numerical system is used to arrange records identified and referred to by number (using the number as a code), such as docket files, contracts, purchase orders,

< etc. Numbers are not to be assigned to documents for the sole i purpose of arrangement for filing because this practice requires

the establishment of indexes to locate the documents.

b. Chronoloolcal Arrangement. A' chronological system is used to arrange - files in date sequence when the date is the primary means of reference, it is the most useful method for keeping documents in small, manageable g roups, usually by year,

, month, and day. A chronological arrangement is frequently used in conjunction with other arrangements. For example, transito-ry, reading, and suspense files are usually arranged g

, chronologically. )

4 Approved: July 21, 1987 4

~

MAINTENANCE AND DISPOSITION OF NRC NRC App:ndix 0231 OFFICIAL FILES AND RECORDS Part_i_

( c. Geographical Arrangement. Documents can be arranged by geo-graphical location, such as a foreign country. This arrangement is used when the geographical location is the primary means of reference. Such files are arranged in alphabetical sequence, first by the name of the main geographical division, such as a country, then by the next most important subdivision required for reference, such as a city,

d. Oroanizational Arrangement. An organizational arrangement is used when the grouping of documents by the name of a perti-nent organization is the primary means of reference. Organiza-tional arrangement is fundamentally an alphabetical arrangement of organizations.

e. Subject Arrangement. This arrangement is used when the grouping of documents by subject is the primary means of ref-erence.

6. Files Maintenance and Disposition Plan (NRC form-306). Each official file station prepares a Files Maintenance and Disposition Plan (NRC Form 306) and, if necessary, Files Malntenance and Disposition Plan continuation sheet (NRC Form 306A) (Exhibits 2 and 3) covering its records. This plan identlfles all records for which an office has re-sponsibility. Exhibit 2 illustrates a typical files plan and may be used as guidance.

I

a. Preparation. Prepare NRC Form 306 in triplicate. Use NRC Form 306A as a continuation sheet, if necessary.

(1) Items 1 through 4 are self-explanatory.

(2) Column A. Start with "1" and consecutively number each series of records on the " Plan."

(3) Column B. Enter a brief, precise description of each series of _ records, using the title of the applicable item from the NRC Comprehensive Records Disposition Schedule (CRDS) when appropriate.

If necessary for series identification, list various docu-ments in the series, if records are maintained apart from the majority of files of an official file station, enter their location in the series description. The filing arrangement of each series should also be a part of the description.

(4) Column C. Enter the specific disposition item number from the CRDS and the complete disposition instructions for each record series. Destruction or retention criteria are included in the CRDS. If a disposition standard cannot be determined, enter "none" in Column C and advise the NRC Records Officer.

k 5 Approved: July 21,1987

i l

NRC App:ndlx 0231 MAINTENANCE AND DISPOSITION OF NRC Part i OFFICIAL FILES AND RECORDS

b. Distribution. The official file station Custodian forwards the I original and two copies to the appropriate Records Liaison Offi-cer for review and approval.

c. Review and Approval. The Records Liaison Officer reviews the files plan for accuracy, adequacy, completeness, evidence of maintenance of unnecessary or duplicate files, etc., and gives final approval. After signature, the Records Liaison Officer keeps one copy, sends one copy to the NRC Records Officer, and returns the original to the official file station.

d. Updating the Files Plan. The Files Maintenance and Disposition Plan is reviewed annually and amended, if necessary, to ensure that all files are accounted for and that cited disposition au-thorities are appropriate. A new " Plan" is prepared when the old one is substantially changed or further corrections or addi-tions can be made. Revised plans are prepared in the same manner as original plans.

C. FILES MAINTENANCE PROCEDURES

1. Avoidance of Unnecessary Fillna. Filing unnecessary papers is a waste of manpower and equipment. Some ways to avoid unnecessary filing are:

a. Limit the creation of formal communications for routine matters.

A note, a phone call or a routing slip may be substituted, or a reply may be made on the incoming communication,

b. Limit the number of copies prepared to those specifically re-quired or requested,

c. Eliminate copies of routine communications that require no record.

d. Limit the quantity of technical reference documents received, and file only those which will be of significant reference value.

2. Categorizino Documents for Filino,

a. Categorization of Subject File Documents. Categorizing subject correspondence material is more complex and distinctly diifer-ent from categorizing other types of documents. The GSA Records Management Handbook, " Subject Filing," explains the classification of documents for administrative subject files and may be used as a reference guide for categorizing admi-nistrative subject correspondence. Documents must be read and analyzed, and then arranged on the basis of their infor-mational content. How quickly a particular document can be located after it has been filed depends largely on how care-fully it has been categorized before filing. The basic steps in categorizing subject material are the following:

Approved: July 21, 1987 6

MAINTENANCE AND DISPOSITION OF NRC NRC Appsndix 0231 OFFICI AL FILES AND RECORDS Part i l (1) Read and analyze the document to determine its major sub-i ject. The subject line appearing above the body of the correspondence is often helpful in categorizing but should not be relied upon too heavily. It may be vague, mislead-

! ing, or even remote from the real subject of the corre-spondence.

- (2) Select the proper file designation from the office subject file outline. Then, select the appropriate primary subject category and the correct subdivision of the primary subject, if any. If no subdivision was provided, use the primary subject itself as the file designation. When a sufficient volume of paper accumulates on a subdivision that was not originally selected as a subject topic, add the new topic

to the file outline and create a folder to accommodate j, those papers.

(3) Write the subject-numeric file code in the upper right corner of the file copy.

(4) Lightly underscore the references when papers refer to previous papers already on file. This emphasizes that there are previous papers involved. Consolidate earlier material with later correspondence on the same subject.

b. Categorization of Case File Documents. Case filing is the easiest and fastest type of filing if the case identification 4

I is prominently placed on the face of all material to be filed.

The author and the record keepe - can expect difficulties and filing errors if documents have to be read with great care just to determine whether they belong' in a case file series or l another type of file.

(1) Preparation of Case File Correspondence. Employees who prepare correspondence should place the case identification in the "In Reply Refer To," " File Reference," or a similar caption printed on the letter, or in the subject line of the letter. Underline or circle the case identification if it ap-pears in the body of the letter. If these practices are not always possible or acceptable, typists should type the case identification in the lower right corner of file copies.

(2) Filing of Case Documents - Use of the Identifying Name or Number for Categorizing and Coding Case-filed Documents.

in most instances, this identification is somewhere on the paper and need only be underlined or circled, if the case identification is not shown on the paper, determine the proper category and write the appropriate file code in the upper right corner.

c. Categorization of Temporary Documents. The item number from NRC Form 306 (Column A) is usually adequate categorization for

(- papers to be filed in the " Transitory" file, the office adminis-trative files, suspense files, etc. Some recordkeepers may

, 7 Approved: July 21,1987

NRC Apprndix 0231 MAINTENANCE AND DISPOSITION OF NRC Pcrt i OFFICI AL FILES AND RECORDS prefer to use an abbreviated symbol, such as "T" for tran- )

sitory, "S" for suspense, etc., to classify these papers.

3. Cross References. A cross reference is a means of referring to a document by a file identification other than that under which it is J filed. If a document being categorized involves more than one subject

, or case transaction and there is a possibility it might be asked for j by either, a cross reference should be prepared as a finding aid,

a. Preparation (1) Select the file category for the additional subject or case and write it directly below the file designation for the main subject or case. Mark an "X" by this file designation to show that a cross reference is required, for example:

EEM 12 - Indicates the location of this copy in the file, X OPM 1 - indicates that a subject cross reference is to be 4 made for this subject.

4 (2) Use the Cross Reference Form, Optional Form 21 1

(Exhibit 4), for preparing cross references of records maintained in all types of files. If extra copies of the pa-per are available, or if " quick" copies can be conveniently made, they may be used instead of the cross reference form.

b. Avoid Unnecessary Cross References. Avoid making and filing unnecessary cross reference forms , as they take up valu.eble space and time,

c. Cross Referencing Relocated Material. A cross reference is also used to indicate that a record has been moved from one place in the file to another, such as bringing forward a piece of corre-

, spondence from a cutoff or closed file for attachment to a letter in the current file. The cross reference form may be used for this purpose. (See Exhibit 4.)

4. Filing Classified and Sensitive Unclassified Records. NRC and NRC contractor offices shall comply with the applicable security require-ments for using, transmitting, storing or disposing of classified and sensitive unclassified documents. (See Chapter N RC-2101 and its appendix parts for specific standards, procedures, and requirements for the protection of classified and sensitive unclassified docu-ments. ) The same general filing maintenance procedures used for nonsensitive records are used in filing classified and sensitive un-classified documents. However, the following safeguards apply:

If classified and sensitive unclassified documents are filed separately from nonsensitive documents, place a nonsensitive cross reference form in the nonsensitive subject or case file folder to indicate that the classified or sensitive unclassified documents are filed in security containers. Do not reveal the content of the classified or sensitive  ;

3 Approved: July 21,1987 8

MAINTENANCE AND DISPOSITION OF NRC NRC AppOnditt 0231 OFFICI AL FILES AND RECORDS Part i j unclassified documents on the cross reference form. If an entire folder is kept in security containers, use a charge-out card.

5. Charging out Material from the Files. When records are removed from the file and forwarded to an individual or office, a record of such loan is made. A file charge-out record, such as NRC Form 22, is filled out and put in the folder or file drawer in place of the with-drawn material (see Exhibit 5). Place the File charge-out record at the exact location of the withdrawn material with the "OUT" portion clearly visible. The File Custodian reviews the file charge-cut record forms periodically and requests the return of files that have been charged out for more than six months. When the material is returned to the file, the charge-out card is removed and a line is drawn through the entry indicating the charge. Proper and consistent use of this form eliminates much wasted effort in searching for documents.

6. Filing Equipment and Supplies. It is NRC policy to use standard file equipment and supplies to the maximum extent possible. This stan-dardization prorr.otes efficient and simpilfled file operations and has these advantages: Interchangeability, lower cost through quantity purchasing, simplified stocking, and uniform appearance. All file equipment dealing with the creation, disposition and maintenance of records and special types of folders must be approved by the NRC Records Officer before purchase or exchange. (See NRC Appendix

, 5201, Personal Property Management, Part V.) Approvals are based i upon supporting audits or reviews conducted by the NRC Records Officer. Disapprovals are communicated via NRC Form 134, " Filing Equipment Request Analysis" (See Exhibit 6).

D. NRC STANDARD SUPPLEMENTAL FILING SYSTEM (NRC SSFS)

1. Definition and Purpose. The majority of NRC documents associated with individual transactions are filed alphabetically or numerically, as appropriate, in case files arranged in accordance with the principles i of files arrangement discussed in 2 below. The NRC SSFS was estab-l lished to accommodate the filing of this voluminous documentation.

l NRC staff may use any or all descriptive file elements of the SSFS to arrange hard copy files or to designate documents for placement in the Document Control System (DCS).

I

( 2. Descriptive File Elements of the NRC SSFS. Most of the standard, l descriptive file elements with the correspondence code of the NRC i SSFS listed below are automatically assigned by the DCS contractor;

! however, those marked with an asterisk must be displayed on a doc-l ument prior to submittal for placement in the DCS.

a. Accession number (ANO). A computer-assigned 10 digit number

, unique for each record.

b. Author affiliation (AA).

c. Author name ( AN).

9 Approved: July 21, 1987 L - __ _ _

NRC Appondin 0231 MAINTENANCE AND DISPOSITION OF NRC .

Part i OFFICIAL FILES AND RECORDS

d. Contract number. FIN is an alternative.

e. Date issued (DIS). The date the document was created. This

. structure is typically used for reading files.

f. Docket number (DKN).

g. Document identification number (DIN). This element is useful

< for filing specific types of documents, such as Inspection Reports, SECY Papers, LERs, Public Announcements, Board Notifications, IE Bulletins, Rlls, etc.

h. Document type code (DTC). A three-level hierarchical code from i

general to specific describing the nature of a document; e.g.,

l CLUTN, where C = correspondence, L = Letter, UTN = utility

! to N RC.

1

i. Formal report number (FRN); e.g., NUREGs, topical reports.

J. Recipient affiliation (RA).

1

. k. Recipient name (RN).

1. Office / Task / Case number (TASK). An element used to file records of formal task identification numbers used by NRC of-

, fices for specific long-term efforts; e.g. , Standards Task (Green Book), SEP Review Topics, and Unresolved Safety is- )

sues. Task number systems must be approved in advance by the NRC Records Officer.

m. File Levels. The NRC Document Control System (DCS) inclu, des filing nomenclature that reflects the file structure of the Public Document Room, and, in some instances, file structures common to NRC.

i

n. The file level (FIL) structure has four subfiles - File Center (FCEN), and File Levels 1, 2, and 3. FCEN reflects the office where the document is filed. The active file centers on the DCS are the Public Document Room (PDR), Central Files (CF), Re-search (RES), Nuclear Material Safety and Safeguards (NMSS),

and the NRC Library (LIB).

1 Files 1, 2, and 3 are used to represent the file location within the File Center. For a January 13, 1981 document filed in the PDR under Docket 50-302 (Crystal River) regarding an inspec-tion report the file level would be:

FCEN FIL 1 FIL 2 FIL 3 PDR ADOCK 0500302 Q (For Docket) Crystal River (PDR file for IE-related documents)

Approved: July 21, 1987 10

MAINTENANCE AND DISPOSITION OF NRC NRC Appsndix 0231 OFFICI AL FILES AND RECORDS Part I

', On DCS, a "?" entered in Files 1 and 2 may be used to pro-gressively find the various file levels within each file center.

The following primary file levels (File Level 1) apply for the FCEN. Secondary and tertiary PDR file levels and listings for other FCENs (i.e. , CF, RES, NMSS and LIB) are available by J

entering "?" on DCS. The PDR file levels listed below are de-scribed in NUREG/BR-0052:

(1) 10 CFR - Commission Meeting Records (2) ACRS - Advisory Committee on Reactor Safeguards (3) ADOCK - NRC Licensing Dockets (4) COMMISSION - NRC Commissioners (5) CONTRACT - NRC Contracts and Modifications (6) FOIA - Freedom of Information Act Requests and Releases (7) GEN TECH 15 - Generic Technical issues (8) l&E - Inspection and Enforcement (9) NUREG - NUREG Reports and Related Correspondence (10) ORG - Correspondence with Other Organizations (11) PR - Proposed Rule

(12) PRM - Petition for Rulemaking (13) PROJ - Projects - Predocket Licensing (14) PT21 - Noncompliance Reports and Related Correspondence

, (15) QA999 - Quality Assurance inspections (16) REGGD - Regulatory Guides

. (17) RES - Research and Technical Assistance Reports (18) REVIEW GROUP - NRC Research Review Groups (19) SECY - Position Papers Before the Commission (20) STATE PROG - State Programs (21) TOPREP - Vendor Reports and Related Correspondence (22) WASH - Regulatory Publications - Pre-NUREG Series (23) WASTE MGT - Nuclear Waste Management (24) XPORTLIC - Export and import Licenses Within DCS, documents may be crossfiled into any number of applicable file levels to facilitate their retrieval. For example, a publicly available SECY paper generated by the Office of Nucle-ar Regulatory Research related to Generic issue A-09 affecting the C'rystal River nuclear power pir.nt that is the subject of an FOIA request may be filed under PDR/ADOCK, PDR/SECY, I

PDR/FOI A, PDR/ GEN TECH 13, C F/SU BJ/R D-10-1 A and R ES/R-21.

+

E. RECORDS DISPOSITION POLICY AND PROCEDURES

, 1. Records Disposition Objectives. Th ee important objectives of a records disposition program are to (a) preserve records of continu-Ing value; (b) destroy records of temporary value as soon as they have served the purpose for which they were created; and (c) remove noncurrent records from office space and filing equipment to less expensive storage facil ties, thereby improving use of files and reducing maintenance costs.

(

11 Approvd: July 21, 1987

l

NRC AppOndix 0231 MAINTENANCE AND DISPOSITION OF NRC

• l part i OFFICI AL FILES AND RECORDS 1

j 2. Records Disposition Definitions. Disposition includes the retirement, q transfer, or destruction of records.

e j a. Retirement. Records are considered " retired" when they are

sent to the NRC Archival Facility (AF) and the NARA

Washington National Records Center (WNRC) for storage, ser-l vicing, and ultimate destruction or retention.

b. Iransfer. Transfer of records refers to a change of custody of

records from one organization or agency to another. Records may be transferred to another office as a result of the realign-7 ment of functions or' reorganization of NRC. The NRC Records I j Officer is to be informed by the Records Liaison Officer within 1

30 days of the transfer of all records that are transferred as a result of realignment of functions or reorganizations. No

records are' retired to a records center without prior approval i of the NRC Records Officer. Transfers of records to the Na-l tional Archives or another office or agency must also be ap-4 proved by the NRC Records Officer.

c. Destruction. The destruction of records includes the physical destruction of the record material itself or the removal of the informational content. Records authorized for destruction by i CRDS will be:

)

i (1) Placed in wastebaskets when the quantity is small and the

reccrds are unclassified and nonsensitive, i

(2) Destroyed by pulping or burning if, in the opinion of the j Records Officer, this action is necessary to avoid disclo-

sure of information that might be prejudicial to the Gov-

ernment, the public, or to private interests.

! (3) Erased, if appropriate, when the record consists of mag-

netic tape or comparable medium that can be reused.

I I (4) Classified and sensitive unclassified records must be dis-i posed of in accordance with Chapter N RC-2101 and Its j appendix parts.

L 3. Authority. Federal law requires proper authorization by the Archl-

! vist of the United States to destroy Government records. Authoriza-

tion for the destruction of records is contained in the CRDS. This j schedule provides for the selective retention of records of continu- '

ing value and the destruction of records - of temporary value after the expiration of a specific event. The schedule also ~ includes retirement procedures for moving inactive and semlactive records

from office space to low-cost storage facilities.

! a. Official records- are NOT to be destroyed except in accordance with the provisions of the disposition instructions contained in the CRDS. '

Approved: July 21, 1987 12

MAINTENANCE AND DISPOSITION OF NRC NRC App:ndix 0231 l

OFFICIAL FILES AND RECORDS Part I i

I b. Nonrecord material may be destroyed when its purpose is

{- served. To control the accumulation of nonrecord material, dis-posal standards identifying specific kinds of such material are included in the CRDS; NRC Schedule 1, Part 1. This schedule i establishes the maximum retention period for different types of j nonrecord material.

i

4. Applicability of Records Disposition Schedule. The disposition of all Nuclee Regulatory Commission. records is controlled by the author-

Ized thstructions contained in CRDS NRC Schedules 1 through -IV, l which apply to the NRC program or substantive records, and Gener -

al Records Schedules 1 through 24, which apply to housekeeping or l facility records.

The authorized disposition for each series of records has been ap-proved by NRC Officials and the General Accounting Office, and was authorized by the Archivist of the United States. The disposition schedules, as authorized, are leaally mandatory (36 CFR Part 1228).

When J e "ed by NRC operating officials, continued retention of any so " of records beyond the period authorized in these sche-dules mj c be approved by the NRC Records Officer and the National '

Archives and Records Administration (NARA).

l 5. Files Cutoff Procedures, l

a. Definition and Objectives 4

(1) Files cutoff is the segregation of active and inactive files.

Established periodic cutoff of files is essential to effec-tively control record accumulations and their growth and to facilitate economical disposition in convenient - bloc ks.

Recordkeepers cut off files annually and segregate inactive files from active files . Review all files eligible for retirement and destroy all eligible records and noncurrent technical reference material.

(2) Cutting off files is important because it controls the size of the file. if not cut off periodically, folder contents grow until individual papers become hard to find. If the files are cut off periodically, older files can be progres--

sively moved from active _ files space to lower cost storage space; e.g. , RHA, as their reference activity declines.

(3) Within 10 calendar - days of the disposal activity, each of-fice submits one copy of NRC Form 355, "R eport of Records / ' Nonrecords Disposal" (Exhibit 7), to the NRC Records Officer. This information is used -in compiling the NRC Annual Report of Records Hen. lings.

f 13 Approved: July 21, 1987

. NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC i Part i OFFICI AL FILES AND RECORDS i

l b. Cutoff Standards j (1) Chronological sequence files, such as accounting records, are filed by period of account (fiscal year) and lend them-selves to cutoff procedures. Chronologically arranged records can be readily cut off and retired in convenient i blocks.

i' (2) Subject files are cut off at planned intervals. There is no i natural cutoff point such as occurs with case files or chro-nologically arranged records. Subject files are usually l maintained on a fiscal year basis.

j (3) Case or project files are often cut off upon the termination i of a transaction or expiration of an event, such as separa-j tion .of personnel, final contract payment, or completion of

a project. When closed, the case file should be marked

with the date of closing and placed in an inactive file apart from the active files. The inactive files can then be j retired or destroyed in convenient fiscal year blocks. Case 1

files that continue over a long span of years can be cut j off by setting up a new folder each yea and retiring the

prior year folders that have little reference activity.

(4) Technical reference materials .have no established cutoff I and are destroyed when they are superseded, obsolete, or

no longer needed. These files should be reviewed at least 3 annually to determine whether they are current .and still

. useful, i

i 6. Use of NRC Archival Facility (AF).

{ a. Description and Purpose. The AF is located in Columbia, Maryland, and is designed to provide for the storage of classi-fled and sensitive unclassified records. Offices should retain 4 on hand a minimum volume of current records consistent with

! current operations.

i Tise AF functions as an extension of office and division file

! areas by providing for economical storage and subsequent ref-i erencing. Record material is retained . subject to the approved l records retention standards contained in the CRDS. Item 6.b.

l below describes the procedures for storing record material.

b. Procedures for Storing Record Material (1) Selection of Records for Transfer. Inactive records not yet eligible for disposal or not eligible for retirement to Federal- Records Centers are transferred to the AF for temporary storage.

+

(2) Notification. Organizations desiring to transfer records contact the Records Management Branch to request a l-Approved: July 21,1987 14

,,-,..p... 9 - --.# mm-- yy,,c y , - , . ,.,.%.-~,

4-.%, -

,_,m.-m. .w._,--_,.-gw.. y,e,%%.. + ww s o * ,m,yv. .

MAINTENANCE AND DISPOSITION OF NRC NRC App:ndix 0231 OFFICI AL FILES AND RECORDS Part I site review of the material proposed for transfer to the AF.

(3) Site Review. As necessary, the Records Management Branch reviews records at the office of origin to deter-mine their true record value and retention requirements.

(4) Containers. On approval of the transfer of records to the AF, record center boxes (one cubic foot capacity) are furnished. Each box accommod.ites 15 linear inches of letter-size files or 12 linear inches of legal-size files.

(5) Packing Boxes. Records with varying disposition dates are not to be packed in the same box, since the entire box must be held until the expiration of the longest period. When packing records in boxes, retain the normal filing arrangement in which the records were maintained within the transferring organization. Retire differing series of records as separate AF jobs.

(6) Numbering the Boxes. Number the boxes, beginning with number 1, in the space provided on the box.

(7) Transfer Request Form. The Records Management Branch provides the originating office NRC Forms 35,

" Records Transfer," and NRC Nm 35A, " Records Transfer i Continuation Sheet)" (Exhibits e and 9). Prepare the form in an original and two copies. Complete blocks 1 through

7. Note that the Records Liaison Officer in charge of the office transferring the records signs block 3. Beginning with box number 1, list the files being transferred. Files contalning records of similar character, such as purchase orders, may be listed by inclusive numbers. List records of dissimilar character by folder title. Single space the l listing for each box. Double space between boxes. Submit l

the original and one copy to the Records Management l Branch. Retain one copy as a suspense copy. A signed copy evidencing receipt of records transferred and their l

i assigned job number and shelf location within the AF is

! returned to the respective originating office's Records I

Liaison Officer. Assistance in completing the transfer form is provided by the Records Management Branch on request.

(8) Physical Transfer. The Records Management Branch ar-ranges for the physical transfer of the records to the RHA.

(9) Access to Records. Access to records or information con-tained in records stored in the AF is restricted to those persons designated by the transferring organization on the NRC Form 35, "Racords Transfer," or by subsequent 15 Approved: July 21,1987

NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC Part i OFFICIAL FILES AND RECORDS memorandum. Access is limited to Records Management Branch personnel.

(10) Recall of Records Material. Records stored in the AF may be recalled by contacting the Records Management Branch.

Requesting divisions or offices supply the job, box and shelf numbers; i.e., sufficient information to permit ready identification of the desired material. Recall requirements involve the return of an entire box. All requests for recalls are handled as expeditiously as pessible. The Records Management Branch maintains a nuntabilliy of all material stored at the AF, ,

ir . : ding withdrawals and returns. I

7. Use of Washington National Records Center (WNRC).

i

a. Records that are sufficiently inactive and are not scheduled for early destruction are retired to the WNRC after approval {

by the NRC Records Officer.  !

b. Retirement of records to WNRC in all cases is initiated by the Records Management Branch, which coordinates all records retirement actions with the appropriate offices that are respon-slble for the records being retired.

8. Transfers to the National Personnel Records Center (NPRC). Official personnel folders and related payroll records are retired to NPRC i (Civilian) at St. Louis, Missouri, as prescribed in the CRDS and as further explained in this paragraph. This center does not acknowl-edge receipt of records,

a. Official personnel folders of employees who are separated from NRC are placed in an inactive file upon their separation.

Thereafter, these inactive folders are transferred to the NPRC.

Loose papers to be included in official personnel folders previ-ously sent to the records center are forwarded to the center with Standard Form 127, " Request for Official Personnel Folder (Separated Employee)" (Exhibit 10), provided the papers are prescribed as permanent and essential for inclusion in an indi-vidual's folder. A separate copy of SF 127 is used to transmit the papers for each individual. In preparing the form, complete the entries in blocks 2, 4 and 6c and insert in block 5 the date

! of separation of the empnyee.

b. Payroll Records. Because c/ their value as auxiliary personnel records, certain payroll records (such as individual earnings and service cards, final leave e scords and, in some situations, memorandum copies of payrolls) are transferred to the NPRC.

Where practical, these records will be transferred to the NPRC using Standard Forms 135 and 135A in duplicate.

9. Annual Report Of Records Holdings. All NRC offices maintaining any file material submit an annual report of records destroyed and )

l Approved: July 21,1987 16 i

MAINTENANCE AND DISPOSITION OF NRC NRC App:ndix 0231 OFFICI AL FILES AND RECORDS Part I

~

r6 tired during the fiscal year, the number of cubic feet of records k on hand at the close of each fiscal year, and the number of file cabinets on hand.

a. Form. This repoc. is made on " Annual Report of Records Hold-Ing and Disposition," NRC Form 317 (Exhibit 11). NRC Form 317A (Exhibit 12) may be used by offices to collect the data re-qulred on NRC Form 317.

b. Submission. Each File Custodian submits a feeder report on NRC Form 317 to the appropriate Records Liaison Officer as soon as possible after the fiscal year closes. Records Liaison Officers submit consolidated reports to the NRC Records Offi-cer. The Records Officer prepares a consolidated NRC report for submission to NARA.

10. Microfilming. There are instances when microfilming records is a sound course of action in the records disposition program. However, microfilming solely to save storage costs can seldom be justified.

Care must be taken to ensure that the microfilm copies produced are adequate substitutes for the original records and serve the purposes for which such records were created and maintained,

a. Permanent Records. Approval by the Archivist of the United States is required prior to establishing a microfilm project involving permanent records for which the microfilm is proposed f as a replacement for the original records.

b. Temporary Records. The Archivist's approval is not required for microfilm projects involving temporary records. If it is anticipated that the microfilm coples of the records will have a value of 10 or more years, the microfilm record should conform to the standards set forth in Chapter NRC-0234, "Micrographics Management."

11. Machine-Readable Records,

a. Automatic Data Processing ( ADP) Records Management Function.

Records generated in machine-readable form by automatic data processing equipment are included in the statutory definition of records (36 CFR Part 1234). ADP machine-readable records are periodically reviewed and evaluated by the NRC Records Officer, in conjunction with the appropriate NRC office, to ensure agency compliance with established schedules. Retention sche-dules that are contained in the CRDS are periodically reviewed by the Records Management Branch and the appropriate NRC office to ensure identification of all ADP records, verifica-tion of the machine-readable records that are being generated, and accuracy of the established retention schedules.

Procedures defined in Part ll of this appendix are followed for any new machine-readable systems to establish a scheduled re-tention period.

17 Approved: July 21,1987

NRC Appendix 0231 MAINTENANCE AND DISPOSITION OF NRC Part i OFFICIAL FILES AND RECORDS As specified in Federal Property Management Regulation (36 CFR  ;

Part 1234), the objective of ADP records management is to en-sure efficient and economic automatic data processing by

, (1) using proper recording and presentation techniques of ma-chine instructions and operating procedures, and j (2) establishing standards for proper maintenance, storage, and disposition of machine-readable records.

I i ADP records management includes maintaining a current file-by-

file inventory of machine-readable records and the accompanying documentation for each file, and maintaining these files in a fa-

cility pursuant to 36 CFR Part 1234 while carrying out periodic 1 j checks to verify readability. Documentation of ADP records con- i

! sists of functional and operational flow charts, physical file I

< characteristics, recording mode information, including basic j coding structure (code books), recording system information, j record layout, printout plans (formats), and basic run instruc-tions (run books).

! b. Retention. An important consideration in establishing retention

} periods for machine-readable records- is to provide the flexibill-4 ty to reconstruct or restart a system at an economical point in the event of data loss at a higher level of processing. A system

. commonly known as the " Grandfather System" provides an ac-l ceptable margin of safety. This system provides for the reten-i tion of three generations of selected tapes; the first generation

is erased after the successful completion of the fourth process-l Ing cycle (each cycle creates a new generation).

i l

I s

}

l Approved: ' July 21,1987 18 i

- a i

EXHIBIT 1*

NRC OFFICIAL FILE STATIONS og "D

0FFICE HEADQUARTERS FILES FILE SERIES "z

Z Office of the Secretary Correspondence and Records Branch SECY Paper Comment Files ,$

n  ;

Subject Files of the Commission mm i m>

Commission Transcripts y$

' OU Docketing and Services Branch Commission Decisional License 4

Docket Files 5" no Rulemaking Docket Files 2

' O*^

o_

Historian Subject Files *@

[

Historical Background Files O

+

I$ Atomic Safety and Licensing ASLBP Menos to Panel Board Members $

-Board Panel (ASLBP) o t Panel Board Monthly Status i

< Report to Commissioners i

Transcripts of ASLBP Hearings

> Minutes of Advisory Screening E- Committees t 5

f- Advisory Screening Committee i i a Consultant Personnel Files $

n

}l' g Atomic Safety and Licensing ASLAP Power Reactor License Docket Files y q Appeal Panel (ASLAP) (adjudicatory and technical docu- g mentation only - official source e

3 files are located in the Docketing S

} ', and Services Branch, Office of the Secretary).

,5i

• o g .

t u "

" Supplement will be issued to accurately refleci. the changes in official file stations that resulted from the April 12, 1987 reorganization.

0FFICE HEADQUARTERS FILES FILE SERIES y Advisory Committee on Reactor ACRS Subject Files vz e Safeguards (ACRS) %5

} ACRS Member Personnel Files "_ O

• Minutes of ACRS Meetings E a

Transcripts of ACRS Hearings &

e

• E

< Files on Regulation Guidelines 8 3

3 Consultant Personnel Files

$ Consultants' Reports Annual Reports to Congress Nuclear Reactor Project Files Nuclear Power Plant Docket Files (copies maintained by ACRS as E E$ required by PL-92-463) E z

-i Defense Information File on D00 m Z

Reactor and DOE Production Facilities o mn z

Office of Inspector and OIA Subject Files Auditor (OIA) 9$

Audit Case Files %O nO Inspections and Investigations p Gi Case Files gy tn FOIA Files (reference file only)

{]

OO m2 mO O

mz O2 tn n

v. w

m . ~ . ..

OFFICE HEADQUARTERS FILES FILE SERIES Office of Investigations 01 Subject File o 3:

(01) 'R Investigation Case Files

-m 3

Investigation Procedure r2 (Formal Issuance) m$

FG mm Office of the General OGC Subject File Counsel (OGC) **

Litigation Case Files $@

OU Commission Memo File m m,

Legislative Files o@

m-Conflict of Interest (Personnel) @d Files @

O Formal Hearing Files 4

Patent and Technical Data Files b n

Office of Governmental and GPA/CA Subject Files Public Affairs / Congressional Affairs (GPA/CA) Congressional Correspondence Files g Senate and House Member Profile v Files 2

o c5 Legislative Files z a

z i- Office of Governmental GPA/IP Subject Files O

' and Public Affairs / >

k International Programs (GPA/IP)

Country (International Arrangement)

Files E

3 m

- a m Formal Arrangemer.t and Agreement o I g Files 3S

Foreign Visitor Files

OFFICE HEADQUARTERS FILES FILE SERIES

> Office of Governmental GPA/IP International Organization Files yz V and Public Affairs /  %:n

-n i International Programs 005 Cables and AIF Wires

{o. (GPA/IP) (Continued) g u

Export / Import and International Country (Export / Import and @

c Safeguards Office International Safeguards) Files &

E

• Export / Import License Docket S ,

5 Files and Related Control Log $

(Docket 110)

$ Office of Governmental and GPA/PA Subject Files Public Affairs (GPA/PA)

Information Files i NRC Press Releases Speeches NRC Chairman and Commissioners m

1 Office of Governmental GPA/SLITP Subject Files Z 4 and Public Affairs / State, m Local, and Indian Tribe Agreement State Files Z Programs (SLITP) o z Non-Agreement State Files mo

, Office for Analysis and AEOD Subject Files O$

Evaluation of Operational $o Data (AE00) Operational Data and Information ,o Screening Files (LER) ;m Case Study Report Files (LER) 8

1. G Office of Small and SDBU/CR Subject Files @g Disadvantaged Business ,z Utilization and Civil Rights EED Case Files mo (SDBU/CR) om .

EE0 Discrimination Complaint Oz Files Oy

- -W + . .

• e

__ . .__ _ ._ ._ _ . - _ . . __. - .=_

-s ~.

0FFICE HEADQUARTERS FILES FILE SERIES

.0ffice of Nuclear Material NMSS og Safety and Safeguards (NMSS) '>

Office of the Director Subject Files -2 Planning, Management, Policy / Reimbursable Agreement and h2 Development Analysis Staff Control Files ,y pn Division of Industrial and mm Medical Nuclear Safety

>z zo Medical Academic, and Commercial Use Safety Branch Subject Files o{

Certificate of Compliance Files O

n -

Quality Assurance Files O Fuel Cycle Safety Branch _ Subject Files Operations Branch Subject Files [

w  := ,

Sealed Source Files n Device Review Files '

Dockets 30, 40, 70, 71 and 72; and selected Docket 50 files

$ Division of Waste Management Subject Files i 3 Central Files g Contracts z

o. :n Docket 27 and 60 Files o C Project Files j

,x eo h dN w _5 e

g- --- , -

,y. , .  % _a- i -

y -

,.m . . . ..

0FFICE HEAD 00ARTERS FILES FILE SERIES y Office of Nuclear Material Division of Safeguards and Subject F;1es ,7 l m_ Safety and Safeguards (NMSS) Transportation =m  !

-n 3 (Continued) >.

2 d E Transportation Branch Subject Files g w

Licensing Branch Subject' Files E-

< o N ~ Operations Branch Subject Files' y.

g Office of Nuclear Reactor

$ Regulation (NRR)

(NOTE: NRR Subject Files and' Subject Files Docket 50 Files are located in Central Files under the control of DISS) 20ivision of Licensina Antitrust Antitrust Case Files and Economic Analysi., Branch Subject Files I:

y.

m n _

Division of Human Factors Safety Reactor Operator and Senior. z Operator License Branch Operator Docket Files m:

z-Reactor Operator Examination on zn Files Subject Files

_n m Office of Nuclear Regulatory 'RES. Research Program Files' Og Research

>o-F Subject Files-3 2'-

-. Reimbursable Agreewnts' and [$

Control Files (FIN) 58 z2 OO m*

mo n

O n'

mz O2 U1 o w

~

OFFICE HEADQUARTERS FILES FILE SERIES Office of Nuclear Regulatory Technical Project Files (Tasks) og m>

Research_(Continued) z Chemical Emergency Branch Regulatory Guide Development File .

Division of Risk Analysis Standards Committee Files ,y pn Instrumentation and Control Regulatory Guides Background Files m m.

Branch *>

>Z zo; Office of Enforcement (OE) OE og Director Subject Files- $h' o

Division of Inspection Programs Subject Files O *o -

Od'

' Division of Quality Assurance Subject Files *@.

Vendor and Technical' Training O Center Program .

E Division of Emergecy Preparedness Subject Files and Engineering easnonse O' Enforcement Staff- Escalated Enforcement Actions Enforcement Notices

> Resource Management Analysis DOE Work Order Files

@ Branch

% Administrative Branch .OE Manual Files 2

. g-

o. x NRC Operations Center- Emi;ency Preparedness Maps. O c

St- .ct Files @

"j-- Office of. Administration and ARM Resources Management;(ARM) -g l y Policy and Organization Files a m*

~ _-

f.

l

s-FILE SERIES 0FFICE HEADQUARTERS FILES Policy and Program Management Subject Files tv z -

y Office of Administration '% 2 V and Resources Management Staff (ARM /PPMS) Project Case Files "_ o (ARM) (Continued)

Policy and Organization Files E S $

NRC Annual Report 0:

X c_ Photographic Files S ru Management Directives Files

$ Organizational Chart Files Announcement Files Subject Files Office of Administrative and ARM /FMC Resource Management /

Financial Management and J i y Controller (ARM /FMC) -

Z en Division of Accounting and Finance Subject Files m Z

Accountable Officer Files OZ General Accounting Ledger mQ Appropriation Files $

?O Travel Files ,o Pw Payroll Files gyw Time and Attendance Files y ~i Oo Contract Payment Files ,z mo Individual Earnings Files Qm mz OM 00

_ _m .~

OFFICE HEADQUARTERS FILES FILE SERIES

' Office of Administration and Authorized Allotment Files og Resource Management / Financial m>-

Management and Controller Leave Administration Files -z (ARM /FMC) (Continued) 9M Facilities Files Nz >

mz Licensee Files pn mm Inspections Files *>

>z Materials Files 8 Foreign Travel $h OO Official Passports 09 od Travel Advance Receipts "@-

Travel Folders.- NRC-64,'64A, $

279, 279A, vouchers (original 7

$- in Division of Accounting) m o

Travel Authorizations Transportation Request - card' file

,y - Transportation Requests v

} Tax Return and Information Files IFMS FILES h

.. o e

c Division of Budget and Analysis Subject Files g u

E Budget Files @-

ro

" 9:

- Budget Apportionment Files v X-Budget Report Files

-ta i' '--..--' . - - -i1.4 .. .ir'--

+- . ' . , , ' ----~------w

-- . . - .-'- . . .-- ..<e-.. . . . - ..i

--n - . . - ..- -- -,-. . - ..t,. u.... . ii. . i- ir - , , 16 :i-4 ..

- - E, - i-, - *, - ' - i..:tr '%,',--

'--7 i-T

..4 . ;.i.r- - .. . . - - -

-. .. - -..-. .-._.-.-.-.- ..- - .- -. - ... . - . - ...~. -. . . - . - - . - - - . . . _ .

f OFFICE HEADQUARTERS FILES FILE SERIES Subject Files 4

5z

> Office of Administration ARM /ADM 3

, y and Resources Management / $$

Lg Administration (ARM /ADM). _

< v E. Division of Contracts J.

s-c _

Director Subject Files #

C

) I Contract Administration Branch Solicitations '8 1 m "a .

a

' Contractor Proposals

. a 1- e co u

Closed Contracts Active Contracts

. Expired Contracts Grant Files I m

co Small Purchase Vendor Files -

-i Technical Contract Negotiation Contract-Pre-Award Files g Branch-1 y

[

on zn i

. Grant Pre-Award. Files nm

. Contract Negotiation Branch-2 CIS/FPDS Record Sheets gy 4

(Contract' Info System)_ >g z I

Division of Publication Services n O.

Director Subject Files m ,

m5

' WO. m.

Printing and Graphics Branch Requisitions'for Printing and  ;

' Graphics Services (NRC Form 20) $-j l OO Contracts for Printing, Graphics, m 2.

Photography, Audiovisual mo Materials and Copying o T' i

az O2 mn j

v V ,

{

I

, . . . . _ . . . _ . . . _ . _ _ _ . . . _ . - _ . . . _ _ _ . _ . . . _ - - __.._______..__.____.....-_.-._______.s j,airm. aN4mc4

j. OFFICE HEADQUARTERS FILES FILE SERIES Office of Administration Negatives and original copy of og Reports published through '">-

and Resources Management /.

Administration (ARM /ADM) contracts (includes NUREGs, Reg gz (Continued) Guides,'etc.) -m rZ .

Pictures and Negatives n b' '[ '

n- ,

Video Tapes.(includes TMI mm

- Programming, training courses. *>

>z ..

- etc.) za oU Policy and Publications Editing Assistance Requests m j Management Branch my 1 Report Publishing Records- oo m1 Translation Case Files 0

• oz Subject' Files o ..

i

• y.

Division of Rules and Records

., E Director Subject Files b O 1

! FOI.and PA Branch FOIA Request Case Files j- FOIA/PA Subject Files j 1

t FOIA Appeals Files

i. 'E Privacy Act Files g <

_ .

g '. PA Appeals Files z.

a x_ .,

i' System'of Records Files o i c. D.

j. j- Rules and Procedures Branch Collection of Federal Registers. j 3

i m ~

" Supplements to Rules.:and. E i X j- ,

Regulations

.e %o

$ "_mU '.

I I 9

0FFICE HEADQUARTERS FILES FILE SERIES p Office'of Administration Pending Proposed and Final yz t u

and Resources Management / Rules Case Files *W-Administration (ARM /ADM) ~n .

S. (Continued) Unpublished Rulemaking Case E.

Files 3-3 c Proposed and Final. Rules Case a:~

c. Files. X

, < o

-N N Petitions for Rulemaking Case 3 Files-

, a i

$ Local Public Document Room Branch Subject' Files  ;

LPDR Case Files t f

Division of Facilities and

. Operations Support Director -Subject Files 3:

$ Building and Operations Branch . Structural Drawings E.

i z

i- -4 Floor Plans m 2

z Vehicle Records

j. o)

T.

• Accident Reports 2' "

n>

z 4

Driver's License Applications - fao

'g-

' Vehicle Fuel Logs m5

• Vehicle Assignment Logs *@ ,

j Shuttle Bus Time Sheets $qg

' z Job Order. Files "o nn Space Assignment Record Oz

ox' .

I Space Management *O '

5

.m .- /

OFFICE HEADQUARTERS FILES FILE SERIES Office of Administration . Mail and Messenger Branch Blue Bag Cards i and Resources Management / Of

' Administration (ARM /ADM) Certified Mail receipts 3-  !

(Continued) 0-4

-Express Mail receipts >Q t Messenger receipts 32 r- o m m-Property and Supply Branch Form Control Files my yz-Physical Inventory Printout' zo U o Completed Requistions yg OO Purchase Orders m

@H o

Supply and Furniture mO Inventory Cards Z O.

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.n .z E Division of Security .$.

Director Subject-Files y, c v.

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^

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t OFFICE HEADQUARTERS FILES FILE SERIES  ;

p Office of Administration Service Control and mz Operational Files "; m u and Resources Management "n -

(ARM /IRM)

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_ _ _ __ __ _ , _ r _ -_

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>Z Microfiche Holdings o Aperture Card Holdings Eh OO Records Services Branch Micrographics Operational Records O9 oH Computer and Telephone Subject Files "h Operations Branch O m

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{2 E

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< o

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z Staffing Plans File- -o z mo mm

, Vacancy Announcement Selection -

Packages 3

' z-

$o Classification Review File nO Fw Official Personnel Folders go.

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.v -

. _ ~ . . _ . . - . . . . - -.

0FFICE. HEADQUARTERS FILES FILE SERIES Office of Personnel Executive Resources and Subject Files og (Continued) . Organization Development  ;>

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[$

mm Executive, Management and Supervisor y $.

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> us x

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}

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y x

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OFFICE HEADQUARTERS FILES FILE SERIES y Office of Personnel Counseling Records, Alcohol yz v (Continued) and Drug Abuse Program "' m n )n y Training Program Files g o.- u Individual Training Courses @

c_ E Training Material (1.e., x c_

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Policy and Labor Relations Unfair Labor Practice Charges Z m

Labor Management Relations 'Z Records o z  ;

mo Grievance, Disciplinary and Adverse Action Files 9z

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m m

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~

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Contract File 55

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OFFICE HEADQUARTERS FILES FILE SERIES Region IV (Continued) . Uranium Recovery Licensing Docket 40 SUA Files OE Field Office, Denver, Colorado my 2z Region V Contract File 0-4

>m rZ Employee Travel Files >

mz o

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" 27

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Reports of Defedts on Non- O

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• e <

.NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC Prrt i OFFICI AL FILES AND RECORDS EXHIBIT 2 -

l

) NRC FORM 306,- FILES MAINTENANCE AND DISPOSITION PLAN  !

l l

ens == m sa ansi.aea soev6aren i non sneenmee

! rnas saanneauvece Aaso ompoenN3ef PUW8 3/5/XX 4 aene une= = a sum c5 ==. . -

ARM / DIS 5/ Records Management Branch Robert Wade l

= an=== ua=s. w.ama jme emmenmu John A. Harris, !!!

Records Management Analyst L reta ause oeosrvo.

TITLA 0e 048Cnarfloss Of aGComes M A,gg mem t. e.assue m -

i 1

, . ."U*T LW *""' " C

1. Reading Files NRCS !.1-11 Cut off at close l - of fiscal year. Destroy when one year old or when reference value has been exhausted.

whichever is sooner.

j 2. Transitory Files 14RCS !.1-3 Destroy when 90 days old or sooner if purpose

, has been served.

-1

3. Office Aeninistrative Files NRCS 1.1-5 Cut off at close

of fiscal year. Destroy when s two years old or. sooner if )

j purpose has been served, f 4. Records Management Files GRS 16-11 Destroy when six years old.

5. Records Holdings Files GRS 16-6 Destroy when three years old.

1

6. Records Retirement Lists NPCS !.1-1 Retain in active files until all records listed thereon have been destroyed.

Maintain list in Headquarters

, for permanent reference.

i.

i

)

J Approved: July 21, 1987 42

._ . . _ . _ . _ _ ___ . _ ~ . _ . _ ._. _ ._ - . . _ _

MAINTENANCE AND DISPOSITION OF NRC NRC App:ndix 0231 Part I-j OFFICI AL FILES AND RECORDS EXHIBIT 3

-i

NRC FORM 306A, FILES MAINTENANCE AND DISPOSITION PLAN I (Continuation) 1 i

( . ....--..

anc esse PtLt3 taAlsettesAseCl AND DerOSifl0N PLAN s

(Co- -

wu os ee=== o, anos== ma.a wa i e

%.= e i

,4 I

.i N

1-3' i

i 1

i t

i f

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4 j

l' 1

i 43 Approved: July 21, 1987

-n # e -,,-ee--a-, ---.n ,see a w a , ar m w o- e r um , , ,,w,,.- s e , e w w- www r -w- , w,m-- --

o gw p

NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC Part i OFFICI AL FILES AND RECORDS EXHIBIT 4 ,

OPTIONAL FORM 21, CROSS-REFERENCE Cross.

REFERENCE 1 IWW En 6 JM (N.aie, ne=6c. = .

M W'* w embreet under wAwh sAse in -

, __m ie Med) .

2;+, _+Mm LMD U sTt@ Era

. .~ . . ,. = + mma- :n i.. - , - . -

cara TO IDENTIFl.

CATION ~ -~-

OF RECORD saian lumMARY OF CONTtHT1 FILED (Nasse, ammeer, ne emeject madef wAwh the devuement knell es Ned)

.i

.e ,r n as !L!.7' CROSS. REFERENCE Approved: July 21, 1987 44

MAINTENANCE AND DISPOSITION OF NRC NRC Appendix 0231 OFFICIAL FILES AND RECORDS Part 1 EXHIBIT 5 t

NRC FORM 22, CHARGE OUT RECORD WA trJCLE AA DECMTCAY CommseIsa088 CHARGE 4UT RECORD ITEM CHARGE 0TO DATE ITEM CHARGEO TO DATE i

J e

(

45 Approved: July 21, 1987

NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC Prrt i OFFICIAL FILES AND RECORDS EXHIBIT 6

)

i NRC FORM 134, FILING EQUIPMENT REQUEST ANALYSIS 4

)

.fRC P.rm tM UA 98UCLGAR ReeULATOctY Z oAft FILING EQUIPME v w e eam.e-ra. NT. sREQUES.T n .an. aa eANALYSIS amas TO: haaft itsAf t cCot PROkt: NA&IE I Records o* *ict/oryiston I asAIL Coot 9tS$. Age lPHU.fE feUS.55R

t. Th. m l-1 m,,.nawe .r.esegem.raes- ..; me w. e m si.em p wti in a .# a e .se.d e an ma cm. seer sat,8.r1 v e 99i R 19 M.

1 t

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t .a.as. =,.=

r

. Wh, a'i ih. .r at treactVelwi.e.a .NI f er f.e.r.ac. m. mesi y.w a F t va, aiin o at comew av..n iocs) m i v.,  ?

.)

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. Ca* ,.w r m.as t. m.i e, im .* aver.* eP l l Y. l l e E mnee.

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• ef th. e.c."% t.ra w.r .e ens tl.a .ch i. th. 1. i. e .

. c. a . ,. .. c smi . , v.

Approved: July 21, 1987 46

MAINTENAtlCE AND DISPOSITION OF NRC NRC App:ndix 0231 OFFICI AL FILES AND RECORDS Part 1 r EXHIBIT 7 -

(

NRC FORM 355, REPORT OF RECORDS /NONRECORDS DISPOSAL

=ac ge.. me us. ucu*a .mvoav commes.O.

REPORT OF RECORD /NONRECORD/ DISPOSALS POMeAAS cSISLETe8 A5pDAT TOs PAceh neponie.ee oppecafo.ymo.e NRR/Div. Eneineerine 8 Systes Technology Nec massess Ofnes w4es Materials Engineering Branch 60CAftc -ewshOef.4 A.00 aOOne s.weepea Phillips P-525

a. s .

MM'?a'.'" "* """'*"""*"" mt.'# lr."/.4%n'"*"'""""  ::r"" " *" '" **"'"""* """ "

2 cubic feet 8 cubic feet u.s au Em f

ecGRATw.a pai, Chief. Materials Engineering Branch 5/15/XX O.esvens. ope TAsLa co.,va...a votw ei.cve.c ee, N F.h4 C sm., 15.s.t. I r.su.

W FIIIs4 G 8m 3.u.8. P e u.r r- c.= e.. is v c -ie.een .

.. ..e - .,,. , -

916 d.S f h 1Je .s.a. r e.sy.r

/' 13a h e PG. Op.ms.P f M .ns.a. e e u.r

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47 . Approved: July 21,1987

i NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC i Part i OFFICIAL FILES AND RECORDS EXHIBIT 8

)

- NRC FORM 35, RECORDS TRANSFER aus M ----

[ W.S. NWC&AAA MeuLATORT --- pas ceneutums av a.se stus

g. cw. . w .

N N" y, cer c. as .came

.%"'"C".O .T :::::'.".'.'e' T ". .". :::' ~ r = 'll".'. ."= ;::~ ::" . - - , .

. ARM: Records Services Branch Phillips 042 i swe.ven, e mosame same ram sumen 4

.,u..c e, ~._ . am - -.

.co. u .m .,wm

% clear Power Plant Docket Files I MRCS I-3.5.a.3 ]ermanent

_ .=,

-- .==

1 Docket 50-363 Forked River Environmental Reports. 8/15/73 4

Request for construction permit for Natural Draft Salt Water Cooling Tower 2 Docket 50-364 Farley Unit 2 Fire Protection Review 6/4/76 4

i i

I 4

?

\

i 4 .. ------ . w ,,

2 John A. Harris. I!! 9/4/XX

w. - ---- ._ . , , ,

- -c . - - _ _ . , . ..

=~

i Approved: July 21,1987 48

' MAINTENANCE AND DISPOSITION OF NRC NRC Appendix 0231 OFFICIAL FILES AND RECORDS Part I EXHIBIT 9 I

NRC FORM 35A, RECORDS TRANSFER (Continuation Sheet) d.Ic .e.no ma U 5 .m m MWT0181 -

neconosTuamoren (C O-_

..-- ~~

.0" . ~_: - - -- , ma "."'.'

• • f* ['

I 49 Approved: July 21, 1987

I NRC Appendix 0231 MAINTENANCE AND DISPOSITION OF NRC Part i OFFICI AL FILF.S AND RECORDS EXHIBIT 10 SF 127, REQUEST FOR OFFICIAL PERSONNEL FOLDER (Separated Employee) 3 I. DATEOFAE0utn REQUEST FOR OFFICIAL PERSONNEL FOLDER (SEPARATED EMPLOYEE)

SECTION 1-To et ConePLETEts sY REOutsTimo AGENCY 1 CURRENT hAMEllest.first..uddle/ 2s. NAABE UN0( A WMICH F0SM(RLY (MPLOYIO FIDERALLY (ifdifferent that lien 2) 1 OATE OF BIRTH GENERAL SERVICES ADMINISTRATION NATIONAL PERSONNEL RECORDS CENTER 4. 30CIAL SEcutlTY Num0ER (C4.at.n P.reenn.1 R rd.)

111 WINNESAGO STREET ST. LOUlt, MO. 43118 sues,trmotaxa rt sontAo#

roLoen neoutstgo ad 8Wer

.o, e.py. r 4.

r,se.t r .s d f.

v.

see.e.e.ry m.m.*sr.r F!.e es a e.e AA.L Yn.v e.py . a., s.rew emme a s enavtous eaosmAL s.seLove.s=7 ACthCV AND BUM 4 AU LOCATIOh e mo.4 70 4

L AEASON F0a A40utst tOiweappropnare hor /

O a. Cerventty erneioy.d. O b. Temporary uno O c. Prwmosoym.nt cormas. rete wul retan folder if hie,d.

7,A(MAAK$

i SECTION ti-POR USE SY RECOROt CENTER 8.

o~~ a . co .

a.. , %. . T.

o o g -a -.* si n - .-.a * ~e av a.,

oa ,

v. p w . ., .,

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.e w..-w= mwr.i.eac.a an. e.t.n =,we.es a

= , .,

i DATE INITIAu i SECTION lil-TO DE Coe.PLETED BY REOVESTING AGENCY a.

8.M.P .F f.WF

. .e

,.w r, C mi .".'"2^.".*.WeC"*;fe'.i! .. .u ,

i Approved: July 21,1987 50

-t MAINTENANCE AND DISPOSITION OF NRC NRC Appendix 0231 OFFICI AL FILES AND RECORDS Part i

!, EXHIBIT 11

, (

NRC FORM 317, ANNUAL REPORT OF RECORDS HOLDING AND DISPOSITION 1

88MC romu 31T v.t.huCLE Aa nacubATOav condwissioN l. REPOATING O AGAhl2Af toss (Ortsw. Dessoa. 8'e**J

~

% 821

=Acu ont NRR/ DEST /MEB ANNUAL REPORT '**'"*****"""#

J OF P-525 RECORDS HOLDING AND DISPOSITION A mama Os marOar *G OresciAL REPOAT FoM YEAR Enol 8ec sEPTEhesER 30. tem C. Y. Cheng

• M ' Oat'oa. (*=** m os Acting Chief E me AoovamT =s Oe slo Matis.Eng. branch YoLU8lbt iCoerc Fort) (500 Enhe6it 2.1 seer of EQurweennts for Cantenmer Capecity C " D

,meC DerOssfions DuetA60 AG#0Afles0 Ptn#00 9,I,C 4

g gEPTtestim ag tePTlastE A 30 TAA8SFERRED TRApSf(MRED ON MANO 9

LAST YtAR TMit VEAR 046Tmovt0 TOFSOGRAL TO SEPitedeta 30 MCOAOS ClasTE R$ OTNtm AOtascitt TMisysAn i a e C 0 E 8

5. O* Cs 10 13 4 0 0 28 4 STomAGE

• asAs 0 0 0 0 0 0 t

4

7. teTAt: 10 13 4 0 0 28 E, 4tAGast TIC T APE 0 0 0 0 0 -

e. RECORDS TRANSFERREDID OTHER FEDERAL OA STATE AGE 8eCIES y NA484 OF AGENCY LOCATlose OF RECOR06 VOLuwt OF RECOMOS 1 A . -C l NONE j 10. REconos TRANSFERRED FROM OTHER FEOkRAL OR STATE AGE 8sCIES eraMt OF AGE 8eCY LOC AT60's 08 REComO4 VOLutet of RECOeOG a e C TONE

pstino toutewfNT ON MANO

.-.. 0, c a . . m .u 0, ..

. TYPI 2 3 4 6- TYPE 2 3 e a e omanga omawt8 onawta Daanea T14 m Ts4 A T s4 n t sq a Te4 m

11. A& GULAR A 0 6-

34. 3MgLp p gLg LE TTE R 4428 LETTtm 1 1 1 ,

II REGULAR 93. SHELF FILE 4

LE GAL 4121 LEGAL a 13.$AFEI8LE 10.LAT1RAL LETTtA

' pyLLouT. 47" w I

14. SAf g FtLt 19. LATERAL LEGAL PUL L OU T. 38" W i to. TOTALS } 1 20 TOTALS 1 1

23. Cint a iDescrolmr eM pn kneer or cuenc feet caoacety out 33. OTnin IOescrsbe eM gow kneer or cubos teet capacoty sont QuWstory of each gaOnnetj quantity of each cabaset) 1 credenza - 3 cubic feet

23. Cint alDescrice anst gow Isosev or twanc lett cavecoty ernt 24. Cintn (Descr:De eM vn tuseer or esoOg feet cacecoty eM Qumtory Of each esbonet) Quentory of each cabonet) 26 SaGNatvat Of R85,08:58 84 8 08 plCs AL ser pesea seeeer.ay 7e isfat lgy cATp pagpanto reeerst l Robert Wade Records Analyst 5/15/ XX

==C eoam m eseesineev.ous so Tece.s oe Tw.s nonu Ana oem Ts AMO Ext $7 fee 4 STOC SMOULO 94 OCST ACVED.

61 Approved: July 21, 1987

i  :

NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC i Part i OFFICIAL FILES AND RECORDS i

EXHIBIT 12 .

NRC FORM 317A, RECORDS INVENTORY WORKSHEET i

i I

i i

• i:aceoas atta v s =vitaan neow6avoev co ..ssem cmssom.pnAnces Anoweteow # w AaBUnarnedt blaan w + Rranrh j of )

RECORDS MVENTORY WORKSPIET "'"",""*"."'"*N"'

anhar uma ._,

10/01/IX 1 cos a tr,= es .,=,,# '8' ' "#

p 4 i

I * .S.a4.

. # . desc . c- n. . a.., & . +. . . et. a Swanse ea teve,,at,. a . s.eyance.e a terse.a f[

a ggcatiope Ctlus ta*Ne m DAasEAf CuesC800f w% eso ot sC AeFitoes OF cowtI tsfl i sa - ~eo ,,,,, . ,,,,

g

....., o~~= r* * ~ ~'vs o - r- - c~~~ r*~o SS CoAD6 MahaG8 bat h1 Ull

a

. . .o. e e o a 2 W.540 ofta) 1 1 3. Personnel. Budget & Procurement Files for 4

FY 85-87 L i 1-l' 3. General Aeninistrative Filer FY 8184 j 2 1 1. Retired 8 Disposed Records lists

) date sean 1978 1984

2. ! 6. Office File ivstem . case files R2 84 i

] ._ $H 1 1 3. NRC StenU415. FP>ft's

! 24 12. Distribution Material LA 1 1! 13. NUREG Reports. Reference file i

.k i

.s i

4 s'" ** SueTOTAL 75 GAAtfD TOT AL 13 28

..e....n.....

1 Approved: July 21, 1987 52 f

4

-. . . , , , , - . , ,, ..w. _ . . . . ..v,~ ,-,y. . , . -,mm

MAINTENANCE AND DISPOSITION OF NRC OFFICI AL FILES AND RECORDS NRC Appendlu 0231 i

PART 11 POLICY AND PROCEDURES FOR REVISING NRC COMPREHENSIVE RECORDS DISPOSITION SCHEDULES (CRDS)

A. POLICY Each office is responsible for ensuring compilance with th? provisions of the records disposition schedule and ascertalning that all records of the organiza-tion are covered by appropriate disposition Instructions. Each office ruviews its files at least annually at the time of the annual inventory of NRC record holdings to determine whether the cpplicable standards are adequate and being followed.

B. APPLICATION FOR SCHEDULE REVISION

1. Annual Review. All recommendations to add, delete, or change records disposition standards are made when the annual review discloses:

a. Series of records not covered by the schedules.

b. Items that should be deleted from the schedules beGuse the

( records invo!ved are no longer being created or maintained.

c. Retention periods which need to be changed. Changes are re-commended only when the need is clearly indicated and Justified.

2 Development of New or Revised Records Retention Schedules

a. Retention scht 6Jles for the majority of the records of NRC are contained in the CROS. Occasionally, however, there are instances of newly created file series or ones that cannot be matched up with o.e existing schedules. In these instances, a j recommendation for scheduling of these records is initiated.

, b. NRC Form 331, " Records Retention and Disposition Authority" (Exhibit 1), is used to initiate a request for a retention period on any record that !s unscheduled. The original and a dupil-cate, approved by the Records Liaison Officer, ere sent to the NRC Records Officer. When necessary for clarification of the description or purpose of the record, a sample, or facsimile thereof, may be attached to the form to facilitate approvals.

Prepare a separate NRC, Form 331 for each series of records.

5 3. Review by the NRC Records Officer i

l a. The NRC Records Officer reviews, coordinates, and evaluates l [ the information furnished for conformity with established poll-

! \_ cles and regulations that were coordinated with other interested i

53 Approved: July 21,1987

. . - . -- -. - ... - - . - . - . -. . - - - . . = . _ . - - - . . _ . . ~ . .- . . ..-

i  !

1 NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC -

i Part 11 OFFICIAL FILES AND RECORD 5 i i

i offices and reviewed by the Office of the General Coun- 5

{ sel. If a decision is made to add or change a disposition ,

schedule, the NRC Records Officer takes the - necessary action to obtain the required GAO concurrence and approval of the  ;

1 Archivist of the United States for the disposition authority. '

( Unless the record is unique to one office, requests for changes j or additions to a - disposition standard are written to cover all NRC identical records.

s r j b. Additions or changes to schedules are published as numbered changes to the CRDS. Records recommended for disposal are not l destroyed until such specific amendments are issued.

l l

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1 Approved: July 21, 1987 54 i

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MAINTENANCE AND DISPOSITION OF NRC NRC Appendix 0231

OFFICIAL FILES AND RECORDS Part 11 EXHlBIT l ,

J NRC FORM 331, RECORDS RETENTION AND DISPOSITION AUTHORITY 1

4

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J 1. COs# TROL NUMet R W1 NUf a

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4. YOLUME isu tt i 6. DATES tlaciviiv.i 1

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- additene4 spece is ,oausred.l I.

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7. RECOMMEND RETENTION PEmiOD

4. CONCURRENCE $1GNATURES las ,eweed) TITLE ORGANiZATiOos DATE J

a! b. '

8-

' O. APPROPRIATE DISPOSITION AUTHORITY ANO/OR REMARKS:

10. SIGNATURE. TITLE AND ORGANIZATION OF Of FICIAL COMPLETING ITEM S ADOVE -DATE

/

l \

11 5 Approved: July 21, 1987

MAINTENANCE AND DISPOSITION OF NRC OFFICI AL FILES AND RECORDS NRC Apptndix 0231

,.I PART lil PROCEDURES FOR MANAGING PAPERS OF FEDERAL OFFICI ALS AND PRESIDENTIAL APPOINTEES A. POLICY Upon completion of their terms of office, Federal Officials may remove from NRC their personal papers or extra copies of publicly released, non-record material which they organized and maintained for reference during their tenure.

Extra copies of records that have not been released to the public must be handled in accordance with the requirements of this Part,10 CFR 2.790, Section 147 of the Atomic Energy Act of 1954, as amended, the Freedom of Information Act (5 U.S.C. 552), the Privacy Act (5 U.S.C. 552a), and NRC Chapter and Appendix 2101.

For the Chairman of the Commission and the Commissioners, hereinafter referred to as Presidential Appointees, extra copies of certain non-public records may be made available for historical research purposes to a university or other manuscript repository subject to the limitations set forth in Section C. For all other NRC employees, extra copies of non-public records may not be removed from the agency upon retirement i or separation. The NRC Records Officer should be contacted for assis-tance in determining whether particular NRC records have been made pub-lic and in separating official records from nonrecord material.

B. PERSONAL PAPERS AND NONRECORD MATERI AL

1. Personal Papers Defined. Personal papers of a Federal official, as distinguished from official agency records or other agency nonrecord material, are (a) papers of a private or nonofficial character which ordinarily pertain only to an individual's personal affairs and which do not affect the conduct of agency business, or (b) notes pertaining to agency business but which are prepared for the individual's own use to refresh the author's recollection, are not required to be maintained by NRC policy or procedures, are retained or discarded at the author's sole discretion, and over which the NRC exercises no control or dominion, and which would not be considered as agency records if requested under the ' Freedom of Information Act. Correspondence written or received by a Federal official and designated " personal," but relevar'. to the conduct of official business, is nonetheless an official record subject to the NRC Comprehensive Records Disposition Schedule, the General Records Schedule, and the provisions of Federal law pertinent to the maintenance and disposition of Federal records.

2. Maintenance of Personal Papers. Personal papers that are maintained in a Federal office shou!d be filed separately from official records to avoid inadvertent destruction or removal of official record 57 Approved: July 21, 1987

1 i .

NRC Appendix 0231 MAINTENANCE AND DISPOSITION OF NRC

] Part lli OFFICIAL FILES AND RECORDS >

material, to facilitate retrieval of official files and, thus,

, enhance operational efficiency, and to eliminate the likelihood that personal papers will be confused with official records and be made available under the Freedom of information Act. In cases where matters requiring the transaction of official business are recel ed or transmitted in personal correspondence, that portion of such cor-respondence that pertains to official business is to be extrac;ed and made part of the official files.

3. Nonrecord Material. Any Federal official may accumulate for convenience of reference extra copies of official records or documents. - These extra copies are commonly regarded as nonrecord material and may be disposed of without reference to the requirements of Chapter 33, Title 44, U.S. Code. The legal definition of records (44 U.S.C. 3301) specifically excludes " extra copies of documents preserved only for convenience of reference."

C. PERSONAL FILES OF PRESIDENTI AL APPOINTEES

1. Courtesy Storage. At the expiration of - their terms of office, Presidential Appointees may leave their personal files under courtesy storage with the Office of the Secretary - for a period of five years. As used here, personal files include personal papres and extra copies of nonrecord- materials that the official may have worked on, reviewed, approved, or retained for convenience during his or her NRC service. Courtesy storage is a tradition that is usually extended to high level officials in Federal agencies, and provides time for the official to determine where the filet, ultimately - are to go or to provide continued access, where necessary, to particularly sensitive information. At the conclusion of the five year period, unless the documents have already beni removed, the NRC Records Officer will contact the Presidential Appointee at his or her last address of record to make appropriate l arrangements for - the disposition of the ' files. If it is not l possible to contact the Presidential Appointee, the records will be i disposed of in accordance with the NRC schedule for the disposition l of nonrecord material.

2. Donation of Personal Files. Subject to the restrictions set forth '

below, upon leaving office, Presidential Appointees may donate their personal files to a research institution, university, or othet manuscript repository to ensure that a historical record of their term in office is available to researchers in later years. As noted in GSA Bulletin FPMR B-106, Archives and Records, these files can add to the store of - source mt. '.erial that: researchers - will have available in later - years to ' describe the historical significance of the official's tenure.

3. . Review of Files Prior to Transfer. Prior to the transfer . of any personal files from the NRC to a research institution or other repository, the departing Presidential Appointee is responsible-- for I conducting a review of the files and for completing a certification ,

l such as that shown in Exhibit 1. As~ part of -the certification L

Approved: July 21,1987 58 i

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j MAINTENANCE AND DISPOSITION OF NRC NRC Appandix 0231 OFFICIAL FILES AND RECORDS Part 111,.

1 I .. process, the Division of Security must be contacted to coordinate a

( review of all records and to determine the classification, if any,  !

' of nonrecord copies of documents, the applicable category of any 1 sensitive unclassified documents, and their prescribed protective measures.

j To allow adequate time for review and coordination, the Division of j

Security should be contacted at least six months prior to the i expiration of a Presidential Appointee's term of office.

I The review conducted by the Presidential Appointee shall separate i from the files the following categories of records, which shall be 4 Indexed and shall remain in the exclusive possession of the NRC:

1 (a) Official record copies, 4

(b) Classified information, 4 (c) Personnel information, (d) Proprietary information, (e) Safeguards information, (f) investigatory information,

{; (g) Official Use Only information, and i

(h) Other agency's protected information such as " Limited Official Use" (LOU), "For Official Use Only" (FOUO), and " Unclassified l j Controlled Nuclear information" (UCNI).

s A former Presidential Appointee may obtain access to his or her '

I i papers retained by the NRC by making appropriate arrangements with the NRC Historian in the Office of the Secretary. For continued access to classified information which he or she originated, reviewed, signed, or received while in office, a former Presidential i Appointee must first request such access from the head of the

agency, and acce will normally be granted upon a determination by

, the Chairman $nat allowing continued access to classified i information is consistent with the interest of national security.

Exhibit 2 ls an example of a request for access letter; Exhibit 3 is an example of a determination letter by the Chairman. A request for j continued access to classified information will be coordinated by 4 the Director, Division of Security, in accordance with NRC ses Jrity i directives and applicable statutes, Executive Orders, and implement-ing regulations.

4. Transfer of Documents to Research institution for Historical Scholar-ship. Except for the limitations set forth in paragraph 3 above, j a former Presidential Appointee may transfer any documents from his l or her personal files to a research institution or other manuscript repository whether or not such documents previously have been released to the general public by the NRC, and- may impose such

! terms and conditions on the gift to the institution as- he or she deems necessary to control access. . If non-public NRC documents are to be transferred to the institution, the official shall ensure, by contract, that the institution imposes adequate controls to prevent 4

the inadvertent release to the public of the following categories

.f of documents for the time periods specified:

59 Approved: July 21,1987 f

J

,-e- , , ,- . _ , ,

NRC Appandix 0231 MAINTENANCE AND DISPOSITION OF NRC Part lli OFFICIAL FILES AND RECORDS (a) Memoranda or other records originated by another member of the Commission or his or her personal staff. (While the mem-ber is still serving on the Commission.)

(b) Staff papers in the "SECY" series. (indefinitely)

(c) Vote sheets of other members of the Commission. (Indefinitely)

(d) Staff Requirements Memoranda prepared by the Office of the Secretary. (Indefinitely)

(e) Draft responses to Members of Congress which are less than five years old.

(f) Legal work products and other records covered by the lawyer-client privilege and originated by the Office of the-General Counsel or the former Office of the Executive Legal Director. (Indefinitely)

(g) Papers which refer to propo' sed or pendin0 enforcement actions.

(Release restricted until action has been completed.)

(h)' Reports prepared by the Office of Investigations or Office of Inspector arid Auditor. (Indefinitely)

(1) Transcripts of Closed Commission Meetings. (Indefinitely) )

(J) Government papers originated by other Federal agencies.

(Indefinitely)

(k) Any other documents which have not been released by the NRC and which are less than two years old.

Release of docoments in~ categories C.4(a) and 4(c) may not be permitted without the authorization of the Commissioner who originated the docu-ment if he or she is still serving on the Commission.

The determination regarding release of other documents in categories C.4(b) through 4(k) will be made by the Commission on the basis of a recommendation by the Office of the General Counsel.

1 The NRC, at the request of a former Presidential Appointee or the repository to which his or her papers are donated, will review any document ' in the categories listed above, within a reasonable . period of time, to determine, if the document may be released immediately to the public without further restrictions. Any such request should be made to the NRC Historian.

D. OFFICIAL NRC RESEARCH PROJECTS in order that the NRC may have. access to all : relevant- information in g compiling - - the official record of the agency, a former Presidential J Appointee shall -ensure by contract with' the research institution or Approved: July 21, 1987 60 L -__

= - . _ _ ... -- _ _ - -. ~ ~._ -_

MAINTENANCE AND DISPOSITION OF NRC NRC Appendin 0231 OFFICI AL FILES AND RECORDS Part til other repository that non-public NRC documents at the institution will be made available upon request for official research projects under-l taken by the NRC.

E. CLASSIFIED AND SENSITIVE UNCLASSIFIED INFORMATION Any Federal official who possesses classified or sensitive unclassi-fled information must coordinate the disposition of such information with the NRC Division of Security prior to his or her departure from 4 the NRC.

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l 61 Approved: July 21,-1987

NRC Appsndix 0231 MAINTENANCE AND DISPDSITION OF NRC Part lil OFFICIAL FILES AND RECORDS EXHlBIT 1

'\

CERTIFICATION ]

In accordance with Part til of NRC Appendix 0231, " Maintenance and Disposi- I tion of NRC Official Files and Records," a review was conducted by my staff to segregate papers within the following categories of records: (1) official record copies of government papers; (2) classified and Official Use Only  ;

papers; (3) personnel, proprietary, and safeguards papers., (4) investiga- l tive papers; and (5) other agency's protected information. Also, the review.

conducted by my, staff was subject to an audit conducted by the NRC.

On the basis of the review described in the foregoing paragraph and to the best of my knowledge, I hereby certify that all papers within the categories described in the foregoing paragraph have been segregated and that no such papers are included in the papers which I plan to donate to [NAME OF INSTl-TUTION).

I l

i Date:

Approved: July.21,'1987 62

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I MAINTENANCE AND DISPOSITION OF NRC NRC Appsndix 0231 i ' OFFICIAL FILES AND RECORDS Part lli i

l{t. EXHIBIT 2 1

l i l [NAME) 1 Chairman ,

i U.S. Nuclear Regulatory Commission

Washington, D.C. 20555 s

1

! Dear Chairman [NAME) s Executive Order 12356 provides that a former presidential appointee may con-tinue to have access to classified information that he originated, reviewed, i signed or received while in office if the agency, in order to' waive the require-

. ment that access to classified information may be granted only as is essential i to the accomplishment of authorized and lawful Government purposes, makes a j determination that allowing continued access to.such classified information is

consistent with the interest of national security.

} As you know,:all the classified information in my files will be retained by L NRC. Since it is my desir'e to have continued access to that information, it

is requet,ted that you make the determination = required by E.0. 12356 as

set forth

in the enclosure to this-letter.

Sincerely,

( ,

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Enclosure:

[

As stated  ;

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. .. . 1 63 Approved: ' July 21, 1987

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i NRC Appsndix 0231 MAINTENANCE AND DISPOSITION OF NRC 4

Part lli OFFICIAL FILES AND RECORDS i

j EXHIBIT 3 )

}

i 4

l CONTINUED ACCESS TO NRC CLASSIFIED INFORMATION BY

\

i FORMER NRC [ TITLE /NAME]

i i

I In order to waive the requirement of Section 4.1(a) of Executive Order (EO)

12356, " National Security Information," that access to classified information*

may be granted only as is essential to the accomplishment of authorized and

, lawful Government purposes, I have determined, as provided in Section 4.3(b)

! of E0 12356, that allowing former NRC [ TITLE /NAME] continued access to clas-

! sified information contained in items he originated, reviewed, signed or i received while serving as a Presidential Appointee is consistent with the j 'nterest of national security.

' This determination is made with the understanding that all classified informa-tion to which he will be-allowed access will be protected by him from unautho--

rized disclosure or compromise and will be safeguarded in a manner consistent l with E0 12356, its implementing directives, the Atomic Energy Act of 1954, as amended, NRC security regulations, and any requirements which may'be imposed by l other U. S. Government agencies for the protection of their information.

! Additionally, former [ TITLE /NAME] access to this classified information is con- )

!. tingent upon his signing or having signed a Standard Form 189, " Classified i

1 Information Hondisclosure Agreement."

I

[

! Date [NAME]

i' NRC Chairman i

I 4

C "NRC classified information includes National; Security Information covered by 3 E0 12356 and Restricted Data /Formerly Restricted Data covered by the Atomic 4 Energy-Act of 1954, as-amended.

4

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i Approved: July 21, 1987 -64

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fa MAINTENANCE AND DISPOSITION OF NRC OFFICI AL FILES AND RECORDS NRC Appendix 0231 I

s PART IV PROCEDURES FOR MANAGING VITAL RECORDS I A. INTRODUCTION 3

This Part provides instructions for NRC staff in the selection, pre-paration and inventory of vital records and the transmission, mainte-nance and disposition of these records at NRC relocation sites as part of the Commission's vital records program.

B. VITAL RECORDS Records essential to NRC8s continued operations comprise "NRC vital records." These records are categorized as either emergency operating records or rights and interests records.

C. EMERGENCY OPERATING RECORDS Records that are vital to the essential functions of the Federal Govern-ment for the duration of an emergency if the country is attacked comprise

" emergency operating records." Included are records needed for the millt-l ary effort; the mobilization and protection of material and personnel re-sources, services, and systems; the maintenance of public health, safety,

{ and order; and the conduct of essential civil defense activities. These records must be available at or in the vicinity of relocation sites and should be in a form usable without reliance on special equipment. Emer-gency operating records could include classified information/ documents and sensitive unclassified information.

Records in this category consists of those operating records needed to perform or administer the following essential, NRC functions:

4 1. Oversight surveillance of the operations of licensed nuclear reactors and fuel cycle facilities to assure minimum hazard to health and safe-ty consistent with national security needs.

2. Assessment of damage to nuclear facilities.

3. Assessment of threats to special nuclear materials, high-level radio-active wastes, and nuclear facilities.

4. Assessment of requirements for recapture of special nuclear material.

5. Assessment of safety criteria for licensed nuclea facilities (and spe-clal nuclear material) relevant to the national emergency.

65 Approved: July 21, 1987

NRC Appandix 0231 MAINTENANCE AND DISPOSITION OF NRC Part IV OFFICI AL FILES AND RECORDS

6. Llaison with:

a. The office designated by the President to receive reports on the NRC emergency- preparedness functions, advice on the con-tent of public instructions and information, and recommendations concerning the NRC role in achieving national objectives.

b. Other Federal agencies with related functions,

c. State agencies concerning emergency conditions and required actions related to licensed facilities and materials.

Current copies of records identified as emergency operating records are maintained on a continuing basis at the NRC relocation site.

D. RIGHTS AND INTERESTS RECORDS Records that are required for the preservation of the legal rights and in-terests of individual citizens and of the Federal Government comprise

" rights and interests records." These - records require- protection, but need - not be maintained at - or in the vicinity of the relocation site, nor kept in - paper form, since their need would not be immediate. Coples of rights and interests records are safeguarded in the NRC Archival Facility or the - Washington National Records Center. Examples- of this type of record are those containing proof- of ownership, . financial interest (pay-roll, leave, social security, retirement, insurance), legal proceedings .de-cisions, contractural obligations, and similar records. These records could contain sensitive classified documents.

E. OBJECTIVES OF THE PROGRAM The objectives of the vital records program are:

1. To ensure the continued operation of NRC in the event of an enemy attack or other related national emergency.

2. To develop plans based on a minimum 90-day emergency operating '

period.

3. Accord special protection only to those records essential to'emergen-cy operations or the reconstruction of NRC.

4.

To ensure that vital records are evaluated on the basis of their essentiality In carrying out~ emergency operations. or in protecting

- the rights and interests of citizens and the government and not on their value as permanent records. The records must be adequate for use- by Individuals other than those who would normally use .them.

5. To employ control - techniques to ensure - that needed records are available at NRC relocation sites.

6. To- ensure that ' records will be easily retrievable and mal.ntained in usable. condition.

Approved: July 21,1987 66

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MAINTENANCE AND DISPOSITION OF NRC NRC Appsndix 0231 OFFICIAL FILES AND RECORDS Part IV

'i'

7. To ensure that the necessary finding aids are available at the sites.

8. To ensure that a current inventory of records located at the sites is readily accessibic.

F. DUTIES

1. The NRC Records Officer is responsible for staff leadership, coordi-nation, and audit of the NRC Vital Records Program, as well as the periodic evaluation of files maintenance and disposition activities at emergency operating facilities. The NRC Records Officer makes quarterly site visits to evaluate the records stored at the reloca-tion site.

2. The NRC Records Officer collects and maintains a select master set of Federal and NRC directives, handbooks, forms, and other issu-ances, both administrative and technical, and the master list of key individuals at the NRC relocation sites.

3. Each major NRC program office is responsible for the implementation and operation of the vital records program within its area of respon-sibility.

4. Records Liaison Officers, designated by Office Directors as required by Chapter NRC-0231-031 b. , are responsible for ensuring that i copies of all records selected for retention at the relocation sites are collected and submitted on schedule to the NRC Records Officer for transfer to the appropriate relocation site.

G. VITAL RECORDS PLANS AND REVIEWS

1. Emergency Operating Records Plan. Each office shall propose a " Vital Records Plan," NRC Form 340 (See Exhibit 1), that will be used to identify t, ase records the office thinks should be stored at the -

I relocation sites. A copy of the plan, and supplements thereto, as approved by the Secretary of the Commission or Office Director will be forwarded by the Records Liaison Officer .to the NRC Records Officer for approval. The approved , current plan, including any necessary changes thereto, shall be distributed to all Commis-sioners, the Secretary of the Commission, the NRC Records Officer's Master File, and the relocation site file.

2. Annual Plan Review and Revision. The NRC Records Officer shall review each official vital records plan with appropriate program of fi-cials at least annually, preferably during the month of July, to en-sure that the records listed on the plan are still adequate and needed in view of new or revised NRC program _ requirements. Neces-sary revisions shall be determined, processed and distributed in accordance with the instructions in G.1 above. Each new record series to be retained at the relocation sites shall be listed on the approved revised plan.

67 Approved: July 21,1987

2 NRC Appondin 0231 MAINTENANCE AND DISPOSITION OF NRC i Part IV OFFICI AL FILES AND RECORDS 4

~

3. Blannual Review of Rights and interests Records. The NRC Records Officer shall conduct blannual inventories of program offices to de-l' termine those records that are to be maintained in an independent system of rights and interests records. These records will be stored at the NRC Archival Facility and will be purged by the RMB staff based on the biannual inventories.

H. IMPLEMENTATION OF PLAN

1. Records Preparation. To the extent possible, vital records selected 4

for retention at sites should be generated routinely as prepared or used to accomplish daily work to preclude having to make copies lat-er. (Copying ADP prepared records (printouts) needed for emer-gency preparedness should be included in the ADP program instruc-tions. ) The officials designated on the plans as responsible for vital records transmission are responsible for the preparation of

emergency operating records and rights and interests records, as appropriate.

2. Wrapping and Labeling of Vital Records. The officials designated on Ee plans as responsible for vital records transmission are also responsible for packaging and labeling the materials. Each item should be packaged separately. To the maximum extent possible, the separate packages should be limited in size to permit storage in letter-size filing equipment. Plain Kraft envelopes not to exceed

9-1/2 x 12 inches in size should be used whenever possible. Each separately wrapped packaged item should be labeled with the vital 4

records identification label (Exhibit 2). The separately packaged and labeled items shall then be assembled in the same numerical sequence as they appear on the approved vital records plan and for-warded to the NRC Records Officer.

3. Transmission of Vital Records to the NRC Records Officer. All record items listed on the vital records plan will be sent to the NRC Records Officer according to the designated Plan. The NRC Records i Officer is responsible for the timely transmittal of documents re-ceived for inclusion in the files of the relocation sites.

4. Updating and Replacing Records. Records stored at the relocation

. sites must be updated, as indicated on the vital records plan, when they are obsolete or no longer needed. The replacement of records -

, at the relocation sites will be accomplished by exchanging packages

(one for one, reel for reel, etc.), unless indicated otherwise on the vital records plan or records identification label.

Approved: July 21,1987 68

l MAINTENANCE AND DISPOSITION OF NRC NRC Appendix 0231 4

OFFICI AL FILES AND RECORDS Part IV l.

EXHlBIT 1

l

NRC FORM 340, VITAL RECORDS PLAN l t I l 1 l

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69 Approved: July 21,1987

NRC App:ndix 0231 MAINTENANCE AND DISPOSITION OF NRC Part IV OFFICIAL FILES AND RECORDS EXHIBIT 2 NRC FORM 341, VITAL RECORDS IDEATIFICATION LABEL

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a e l pts $ . FCAF 9/7/II 1 pateulesCT 08 DeePatCM harter1v er M sce=vse Casion Fundamental Nuclear Material Control Plans situ ManetthemCe asso DiePosetsoas esestavCT80ss Destroy when superseded F

E" "' vitu naconos mewrie. car.o., wu Approved: July 91 1987 70

MAINTENANCE AND DISPOSITION OF NRC '

OFFICIAL FILFS AND RECORDS NRC Appendix 0231 i

PART V PROCEDURES FOR MANAGING CONTRACTOR RECORDS A. DEFINITION Contractor records consist of all documentary materials created or re-ceived by an NRC contractor or a DOE contractor performing work for NRC under the DOE /NRC Memorandum of Understanding (DOE /NRC MOU) in the performance of administrative or technical /research work. These records consist of published and unpublished reports, background materi-l al, feeder reports, raw' data, test or trial results, working papers and/

or any other documentation received or developed in the execution of the

' contract. These records could be classified or sensitive unclassified documents.

Contractor records developed under contract with the agency are the property of NRC, whether submitted to NRC or retained by the contrac-tor, and are to be maintained or destroyed only in accordance with the applicable records retention schedules established by NRC.

B. CATEGORIES OF CONTRACTOR RE2ORDS i ( Contractor records can be classified into three categories:

1. Category 1 - General Administrative Material.- Internal general cor-responoence, internal notices, material relating to day-to-day opera-tions and administrative matters, comprise a group of material in which NRC has no interest. Unless specifically identified in the contract (41 CFR 1-20) to be retained and made available to NRC to =

satisfy negotiation, administration and audit requirements, this mate-rial may be destroyed when two years old or. sooner, if no longer needed by the contractor.

2. Category 2 - Contract Administration Records. Records held by the contractor that pertain to financial and cost accounting, pay adminis-tration, and acquisition and supply are to be retained in accordance with 41 CFR 1-20, " Retention Requirements for. Contractor and Sub-contractor Records." These records are to be retained by the con-tractor and are subject to examination and audit by NRC during the specified retention periods.

3. Category 3 -- Contract Work Records. Records generated or received by the contractor relating directly to the . function or purpose for which the contract exists are, in most cases, the contractual pro-perty of the NRC. These records do not, however, become " agency.

records" for the purposes of the FOIA until . they come into the tctual physical possession of -thG NRC. These records include sur-( vays, raw data, feeder reports, published and unpublished reports, experiment and test descriptions, methodology, test results, 71 Approved: July 21,1987 L . _ _ _ _ _ - _ _ _ _ _ __ _ _ - - - -

NRC App 2ndix 0231 MAINTENANCE AND DISPOSITION OF NRC Part V OFFICI AL FILES AND RECORDS l

}! laboratory notebooks and other records developed or received in i the execution of the contract.

C. SPECIAL REQUIREMENTS FOR CATEGORY 3 RECORDS

1. Sponsorino Office. The office that sponsors a contract is responsi-

ble for ensuring that disposition action for all Category 3 records

, is carried out in accordance with the approved NRC records sche-dules.

a. It is the responsibility of the NRC office requiring contrac-tural services to specify on the " Request for Procurement t

Action," RFPA NRC Form 400, Part 2, item 12, special require-l ments and appropriate instructions for the disposition of con-tractor records.

b. The sponsoring office Indicates in the RFPA that the contractor will, upon termination or completion of the contract, or at ap-propriate intervals during contract performance, transmit to the Commission all or certain records accumulated by the contractor

, in the performance of the contract.

c. Any records retained by the contractor after contract comple-tion that are not eligible for disposition are to be transmitted to the project officer for ultimate disposition in accordance with the NRC CRDS.

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d. When another agency has continuing need for NRC contractor records beyond NRC requirements, the RFPA shall include a brief statement to that effect. Such clarification is needed to preclude the destruction of this material before all require-ments are met.

2. Division of Contracts. The Division of Contracts shall include spe-cial requirements and appropriate instructions in the contract to meet the requirements of the sponsoring office.

i i

)

Approved: July 21,1987 72

MAINTENANCE AND DISPOSITION OF NRC OFFICIAL FILES AND RECORDS NRC Appendix 0231 i

PART VI STANDARD NRC FILE SYSTEM FOR RECORDS OF WORK i PERFORMED UNDER DOE /NRC MEMORANDUM OF UNDERSTANDING

< A. PURPOSE This Part establishes an Office Project File for maintaining admin-Istrative documents and records pertinent to work performed by DOE under the COE/NRC MOU dated February 24, 1978. The file contents and procedures for its maintenance are described.

B. SCOPE

1. This Part applies to all NRC Offices and to the Boards, Panels, and Committees of NRC. The provisions contained herein:

j a. prescribe the minimum information which must be retained in the Office Project File.

b. may be supplemented or ampilfled to meet individual needs and practices.

4

c. supplement the instructions contained in NRC Manual Chapters 1102 and 0240, which require that certain documents be sent to the Divisions of Accounting and Finance, Budget and Analysis, Security, and information Support Services.

2. This Part does not include provisions for technical documenta-tion (see Chapter NRC-0232). Maintenance of technical documents (e.g. , formal and interim technical reports) is the responsibil-

, ity of the NRC Document Control System (see NRC Chapters 1102 and 3202).

C. DEFINITION The Office Project File is the group of records maintained by the office that funds the work performed under the DOE /NRC MOU. The file con-tains the documents, memos, and references that are administrative mate-rial and pertinent to a project. A project provides for the specific acquisition of goods or services to satisfy an objective (s). It is assigned a unique Financial Identification Number (FIN).

i D. POLICY lt is NRC policy that all programmatic endeavors be properly documented in accordance with approved Federal Records Schedules and that a com-plete record be maintained for each project performed under the DOE /NRC MOU.

l i

l 73 Approved: July 21,1987 i

1 f

NRC Appendix 0231 MAINTENANCE AND DISPOSITION OF NRC *l OFFICIAL FILES AND RECORDS Part VI E. DUTIES The Project 16'anager is responsible for ensuring that all pertinent admin-ir,trative ir.rormation describing the projects for which he or she is responsible, from the point of initiation through final closeout action,  !

's provided to the Office Project File. The Office Director shall designate I in writing tne organizational location and the individual responsible for maintaining the Office Project File. These designations shall be provided to the NRC Records Officer. The files will be available for review by appropriate individuals at any time.

F. BASIC REQUIREMENTS The Office Project File includes all administrative documentation generated in the planning, execution, administration, and closecut of a project.

The components and sections listed in Exhibit 1 are to be used as a guide

. In establishing and maintaining the files. The listed components --re in-l cluded in the file if they are generated in support of the project. Each project file contains NRC Form 385, the Project File Identification Form

'; (Exhibit 2), to identify the responsible Project Manager and the organiza-tion of the file components. If all the documentation associated with a particular project is not maintained in one location, the Project File iden-tification Form shows the organization responsible for those components maintained elsewhere. A separate file folder for each FIN is maintained in each of the locations where the various elements of the file are stored.

1 G. RETENTION OF FILES 1

The Office Project File is maintained for the active period of the Financial identification Number (FIN). Upon closeout, the file is forwarded to the NRC Records Officer for disposition in accordance with the provisions of the U. S. General Records Schedule and the NRC CRDS.

6 1

A i

6 Approved: July 21, 1987 74

MAINTENANCE AND DISPOSITION OF NRC NRC App:ndix 0231 OFFICI AL FILES AND RECORDS Part VI EXHIBIT 1

[

OFFICE PROJECT FILE SECTIONS AND CONTENTS Section 1 - Project Background Project Descriptive Summaries Project briefs or other identifying documentation User request letters Response letters Endorsement letters DOE Source Selection Justification, NRC Form 367 Memorandum recording review group appraisal Section 2 - General Correspondence Memos on meetings, telephone conversations, decisions, etc.

Correspondence (interagency or interoffice)

Miscellaneous pertinent documentation Section 3 - Proposal Information Statement of Work Requests for Proposal Proposals (Schedule 189s)

Proposal evaluation memoranda

( -

Other appropriate proposal documentation Other Manual Chapter 4139, " Utilization of Consultants and Mem-bers," appropriate documentation Section 4 - Program Execution Initial NRC Form 173 and attachments, including any documentation (NRC Form 189 or others) that refine or augment the terms and conditions of the project Statement of Work Concurrence page of transmittal memorandum Security / Classification (NRC Form 187)

Subcontract information Program modifications (NRC Form 173 and attachments)

Program closecut (NRC Form 173 and attachments)

Property acquisition records Disposition of NRC-owned documentation generated at DOE work center Disposition / protection of proprietary information Section 5 - Program Monitoring Monthly / quarterly letter status reports Task and subtask reports Review reports Performing organization performance evaluation NRC Form 426A, " Publications Release for Unclassified NRC Contrac-

f. tor and Consultant Reports" 75 Approved: July 21,1987

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NRC Appendin 0231 MAINTENANCE AND DISPOSITION OF NRC .I Part VI OFFICIAL FILES AND RECORDS '

EXHIBIT 1 (Continued)

Section 6 - Fundino f r.fo_rmction Voucher log SF 1081 Voucher and Schedule of Withdrawals and Credits

- Project reprogramming documentation

- 90% funding notification Final closeout voucher f

)

Approved: July 21,1987 76

MAINTENANCE AND DISPOSITION OF NRC NRC App:ndix 0231 OFFICIAL FILES AND RECORDS Part VI a

EXHIBIT 2 NRC FORM 385, PROJECT FILE IDENTIFICATION I

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1 Project Background Descriptive Summary for the GE0 TECH &

HYDRO EVALUATION 2 General Correspondence 3 Proposal Information

$tataewnt of Wort t 4 Program Execution Program Modifications Program Closeout 5 Honitoring monthly Status Reports 6 Funding Information Voucher Log l Final Closeout Documentation Glen Brown 728-4182 Technical Programs Branch l

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77 Approved: July 21,1987

MAINTENANCE AND DISPOSITION OF NRC OFFICI AL FILES AND RECORDS NRC Appendix 0231 PART Vil NUCLEAR REGULATORY COMMISSION DOCKET 50 FILING SYSTEM This Part describes the Docket 50 Filing System common to the NRC Document Control System, the Public Document Room, and Local Public Document Rooms.

To ensure a convenient and standard point of reference, it is recommended that all NRC Offices that maintain Docket 50 Files conform to the system os the categories defined are applicable to the particular office filing needs. The category titles follow: Reference Description of PDR File Classification System for content of each category.

A. APPLICATION / CONSTRUCTION STAGE DOCUMENTS AND CORRESPON-DENCE B. UTILITY PRELIMINARY SAFETY ANALYSIS REPORT (PSAR) AND AMEND-MENTS C. UTILITY ENVIRONMENTAL REPORT (ER), AMENDMENTS AND CORRE-SPONDENCE D.

NRC DRAFT AND FINAL ENVIRONMENTAL (IMPACT) STATEMENTS (DES AND FES), SUPPLEMENTS AND CORRESPONDENCE

( E. NRC SAFETY EVALUATION REPORT (SER), SUPPLEMENTS AND CORRE-SPONDENCE F. SECURITY, MEDICAL, EMERGENCY AND FIRE PROTECTION PLANS G. LEGAL AND ADJUDICATORY CORRESPONDENCE H. GENERAL CORRESPONDENCE I. FINANCIAL INFORMATION J. INSURANCE AND INDEMNITY INFORMATION K. UTILITY FINAL SAFETY ANALYSIS REPORT (FSAR) AND AMENDMENTS L. LIMITED WORK AUTHORIZATION (LWA) AND RELATED CORRESPON-DENCE M. ANTITRUST REVIEW AND ANTITRUST CORRESPONDENCE N. ANTITRUST HEARING TRANSCRIPTS, TESTIMONY AND BRIEFINGS

0. ADVISORY COMMITTEE ON REACTOR SAFEGUARDS (ACRS)

REPORTS AND CORRESPONDENCE P. OPERATING LICENSE STAGE DOCUMENTS AND CORRESPONDENCE 79 Approved: July 21,1987

NRC App 2ndix 0231 MAINTENANCE AND DISPOSITION OF NRC Part Vil OFFICI AL FILES AND RECORDS Q. INSPECTION REPORTS: IE BULLETINS, CIRCULARS AND INFORMATION )

NOTICES; CIVIL PENALTIES AND RELATED CORRESPONDENCE R. PERIODIC OPERATING REPORTS AND RELATED CORRESPONDENCE S. REPORTABLE OCCURRENCES, PRELIMINARY NOTIFICATION OF EVENTS OR UNUSUAL OCCURRENCES (PNO's), PRELIMINARY NOTIFIC ATION OF SAFEGUARD EVENTS OR UNUSUAL OCCURRENCES (PNS's), AND RELATED CORRESPONDENCE T. TR ANSCRIPTS, TESTIMONY AND BRIEFINGS ON NONANTITRUST MATTERS U. CONGRESSIONAL / EXECUTIVE CORRESPONDENCE V. LICENSING OPERATORS AND RELATED CORRESPONDENCE W. DECOMMISSIONING STAGE DOCUMENTS AND CORRESPONDENCE X. ONSITE LOW-LEVEL WASTE STORAGE Y. DRY CASK INDEPENDENT SPENT FUEL STORAGE INSTALLATIONS i

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Approved: July 21, 1987 80 l

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DIRECTIVE TRANSMITTAL

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. s TN: DT-92-13 To: System Custodians

Subject:

Transmittal of Management Directive 3.53, "NRC Records Management Program" Purpose! Directive and Handbook 3.53, "NRC Records Management Pro-gram " replace Manual Chapter and Appendix 0231," Maintenance and Disposition of NRC Official Files and Records." Msanual Chap-ter and Appendix 0231 were revised to conform to the new Manage-ment Directive system. In addition to reformatting MC 0231 into the new Directives system, the following new sections have been added to Handbook 3.53:

Part I, ".NRC Records Management Program."

I Part II, Item (B)(6), " Developing a Subject File System."

Part II, Item (C)(8), " Requirements for Requisitioning Filing Equipment."

Part II, Item (D)(9), " Transfer of Official NRC Records to an Agreement State."

Part II, Item (D)(10)," Transfer of State Government Records to the NRC."

Part Disposing IX, " Procedures for Creating, of Electronic Recor ds." Maintaining, Using, and Office and Division of Origin: Office of Information Resources Management, Division of Information Support Services

Contact:

W,yne E. Davis,49-24249 Date Approved: September 17,1992 Volume: 3 Information Management Directive: 3.53 "NRC Records Management Program" Availability: Distribution Unit 49-27333 I

OFFICE OF ADMINISTRATION

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NRC Records Management Program Part 2 - Records Management Directive 3.53 Contents Policy................................................................. 1 Objectives . . . . . ....................................... ............. 1 Organizational Responsibilities and Delegations of Authority . . . . . . . . . . 2 The Director, Office of Information and Resources Management (IRM) . . . . . . . 2 Office Directors and Regional Administrators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Director, Division of Security (SEC), Office of Administration (ADM) . . . . . 2 The Director, Division of Contracts and Property Management (DCPM), ADM . 3 D e fi n i t i o n s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 A p p l i ca b i l i t y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 E mp l oye e s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Handbook............................................................ 5 R e fe r e n ce s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 D

Approved: September 17,1992 i

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part I I

l Part I NRC Records Management Program Introduction (A)

All Federal agencies are required to establish a records management program to ensure compliance with the regulations governing records management issued by the National Archives and Records Administration (NARA) and the General Services Administration (GSA). This part identifies the general requirements, duties, and responsibilities for implementing the NRC records management program in accordance with the NARA and GSA regulations. Part I also contains guidance to assist NRC employees in identifying official records and distinguishing between record and nonrecord materials.

General Requirements for Agency Records Management Programs (n)

Creation of Records (1)

NARA regulations require the NRC to create and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency.

Disposition of Records (2)

NARA regulations require the NRC to maintain and preserve permanent records and to ensure that temporary records are promptly f disposed of or retired when no longer needed. Effective techniques to accomplish these ends include the development of records disposition schedules, the transfer of records to the NRC Archival Facility, the conversion of the information to other media, and the prompt disposal of valueless records that have served their purpose. Disposition of any NRC records requires the approval of the Archivist of the United States.

D Approved; September 17,1992 1 l

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part I General Requirements for Agency Records Management Programs (B)(continued)

Liaison with NARA (3) ,

NRC is required by NARA to assign responsibility for developing the records management program to one or more offices. NARA also I requires the responsible d5ce to submit the name, title, and telephone  ;

number of the official authorized by the head of the agency to approve records disposition schedules and to transfer records to the custody of the Office of Records Administration, National Archives, Washington, DC 20408. (a)

The Office ofInformation Resources Management (IRM), Division of Information Support Services (DISS), Information and Records Management Branch (IRMB), is responsible for developing and implementing the NRC records management program. The Chief, IRMB, is the official authorized to approve records disposition schedules and to transfer records to the National Archives. (b)

Recordkeeping Requirements (C)

To proside for the adequate documentation of the organization, h

functions, policies, decisions, procedures, and essential transactions of the NRC, records shall be created and maintained that are sufficient to-Document the persons, places, things, or matters dealt with by the NRC. (1)

Facilitate action by NRC officials and their successors in office. (2)

Make possible a proper scrutiny by the Congress or other duly -

authorized agencies of the Government. (3)

. Protect the fihancial, legal, and other rights of the Government and of persons directly affected by the Government's actions. (4)

. Document the formulation and execution of basic policies and decisions and the necessary actions taken, including all significant decisions and commitments reached orally (person to person, by telecommunications, or in conference). (5)

. Document important board, committee, or staff meetings. (6)

O 2 Approved: September 17,1992

NRC Records Management Prograrn Part 2 - Records Management Handbook 3.53 Part I Duties and Responsibilities for Implementing the Records Management Program (D) f The NRC Records Officer (1) i By delegation from the Director, DISS, IRM, and as mandated by 36 CFR Part 1220-Plans and formulates files maintenance and records disposition policies, standards, systems, and procedures to meet the operating needs of NRC. (a)

Coordinates the overall NRC files maintenance and records disposition program and evaluates program effectiveness. (b) e Provides records management guidance and assistance to all organizational levels. (c)

Surveys the records management program in all offices to ensure compliance with established policies and procedures. (d) a Reviews and evaluates the utilization of filing equipment and makes decisions on filing equipment allocations. (e) e Serves as liaison with the National Archives and Records Administration (NARA), the General Services Administration (GSA), the General Accounting Office (GAO), the Office of Management and Budget (OMB), and other agencies on matters relating to records management. (f)

Issues a Comprehensive Records Disposition Schedule (CRDS)

(NUREG-0910) to appropriate staff, as prescribed by NARA, to

[ ensure the propt.r disposition of all NRC records. (g)

Coordinates the NRC Vital Records Program as described in Part V of this handbook. (h)

Grants or denies exceptions to or deviations from the records management procedures prescribed in Handbook 3.53. Requests for exceptions or deviations must be documented in writing to specify the need for the exception and the benefits to be derived from the change. The problem will be referred to NARA when substantive issues cannot be resolved internally. (i) 9 Approved: September 17,1992 3

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part I Duties and Responsibilities for Implementing the Records Management Program (o) (continued)

Records Liaison Officers (RLOs)(2)

By delegation from office directors and regional administrators- t

. Administer records management policies, procedures, and programs through designated file custodians to ensure that the "NRC Comprehensive Records Disposition Schedule" (NUREG-0910) is being followed and that the agency files maintenance system is being implemented within their offices. (a)

. Review and approve files maintenance and disposition plans (NRC Forms 306 and 306A; Exhibits 1 and 2) generated for each official rile station to ensure accuracy, adequacy, completeness, and compliance with NUREG-0910 and records management policies. (b)

. Request the return and withdrawal of their office's records to and from the NRC Archival Facility and the Washington National Records Center and maintain adequate documentation of all such activity. (c)

. Maintain file maintenance and disposition plans for all official file stations within their office and review plans annually to ensure the accountability of all files and the citation of appropriate disposition authorities. (d)

Inform the NRC Records Officer of records to be transferred to other offices as a result of realignment of functions or reorganizations within 30 days after becoming aware of the proposed reorganization. (e) I e

Review records transfer forms (NRC Forms 35 and 35A: Exhibits 3 and 4) for completeness and to ensure that the appropriate .

disposition authority is cited. (f) e Maintain records transfer forms for those records retired from their respective offices. (g) e Process requests for certifying copies of official records in accordance with Part II(C)(6) of this handbook. (h) ,

e Process requisitions for filing equipment (NRC Form 34) in l accordance with Part II(C)(8) of this handbook. (i) l

4 Approved: September 17,1992 l

l

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part I

)

Duties and Responsibilities for Implementing the Records Management Program (o) (continued)

Records Liaison Officers (RLOs)(2)(continued)

Coordinate their office's annual report of records holdings as described in Part li(D)(11) of this handbook. (j)

. Coordinate their office's vital records plan as described in Part V of this handbook. (k)

File Custodians (3)

Identified by management (office, division, branch, etc.) as the individuals responsible for maintaining the files of an official file station, file custodians- -

Ensure that official files under their purview are managed in accordance with the policies and procedures contained in this I

directive and handbook and the "NRC Comprehensive Records Disposition Schedule," NUREG-0910. (a)

. Upon termination or transfer of responsibilities, obtain an audit of the files under their purview from the respective RLO. (b)

Provide reports and assistance to the respective RLO and/or NRC Records Officer, as necessary. (c)

NRC Employees and Contractors (4)

. Must preserve official records that they create, receive, or access as

". prescribed by the policies and procedures set forth in this directive and handbook and by applicable statutes and regulations. (a) a . Are legallyresponsible for informing the NRC Records Officer of any actual or threatened unlawful destruction or removal of official files or records. (b)

. Are responsible for safeguarding classified or sensitive unclassified information contained in official NRC records in accordance with the provisions of Management Directive 12.2, "NRC Information Security Program" (formerly MC 2101). (c)

I Approved: September 17,1992 5

I NRC Records Management Program

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Part 2 - Records Management i Handbook 3.53 Part I Identifying and Distinguishing Between Record and Nonrecord Materials (E)

Defining Federal Records (1)

Federal records are statutorily defined in 44 U.S.C.3301 as '

follows:(a)  ;

"All books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government or because of the informational value of the data in them."

Several key terms, phrases, and concepts in the statutory definition of records are defined in 36 CFR 1222.12, as follows: (b)

. Documentary materials is a collective term for rewrds, nonrecord materials, and personal papers that refers to all meoia containing recorded information, regardless of the nature of the media or the method (s) or circumstance (s) of recording. (i) e Regardless of physical form or characteristics means that the medium may be paper, film, disk, or other physical type or form; and that the method of recording may be manual, mechanical, photographic, electronic, or any other combination of these or other technologies. (ii)  ?

e Made means the act of creating and recording information by agency personnel in the course of their official duties, regardless of the method (s) or the medium involved. The act of recording is generally identifiable by the circulation of the information to others or by placing it in files accessible to others. (iii) e Received means the acceptance or collection of documentary materials by agency personnel in the course of their official duties regardless of the origin of these materials (for example, other units of the agency, private citizens, public officials, other agencies, contractors, Government grantees) and regardless of how these 6 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management  ;

Handbook 3.53 Part I '

Identifying and Distinguishing-Between Record and Nonrecord Materials (E)(continued) s Defining Federal Records (1) (continued) materials are transmitted (in person or by messenger, mail, electronie means, or by any other method). In this context, the term does not refer to misdirected materials. The term may or may not j refer to loaned or seized materials, depending ori the conditions under which such materials came into agency custody or were used i

by the agency. Advice oflegal counsel should be sought regarding the " record" status of loaned or seized materials. (iv)

Presened means the filing, storing, or any. other method of

~

systematically maintaining documentary materials by the agency.

This term covers materials not only actually filed or otherwise systematically maintained but also those materials temporarily removed from existing filing systems. (v)

. Appropriate for preservation means made or received documentary materials that in the judgment of the agency should i

be filed, stored, or otherwise systematically maintained by an agency because they are evidence of agency activities or contain unique information, even though the materials may not be l_

covered by the agency's current filing or maintenance

procedures. (vi)

Identifying Federal Records (2)

To ensure that complete and accurate records are made and retained

!. in the NRC, it is essential that NRC employees distinguish between j- record and nonrecord materials by the appropriate application of the statutory definition of records to NRC documentary materials. The

, ,, following guidelines issued by NARA in 36 CFR 1222.34 should be applied to all documentary materials to determine their record or 4

nonrecord status.

Record status-Documentary materials are records when they meet both of the following conditions:(a) j They are made or received by an agency of the United States Government under Federal law or in connection with the transaction of agency business. (i)

Approved: September 17,1992 7

NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Part I Identifying and Distinguishing Between Record and Nonrecord Materials (E)(continued) t Identifying Federal Records (2) (continued)

- They are preserved or are appropriate for preservation as .

evidence of agency organization and activities or because of the

• value of the information they contain. (ii)

. Working files and similar materials-Working files, such as preliminary drafts and rough notes and other similar materials, will be maintained for purposes of adequate and proper documentation if-(b)

They were circulated or made available to employees, other than the creator, for official purposes such as approval, comment, action, recommendation, followup, or to communicate with agency staff about agency business. (i)

They contain unique information, such as substantive annotations or comments included therein, that adds to a proper understanding of the agency's formulation and execution of basic policies, decisions, actions, or responsibilities. (ii)

Nonrecord materials-The following nonrecord materials are Government- owned documentary materials that do not meet the conditions of records status (see 36 CFR 1222.34(b)) or that are specifically excluded from records status by statute (see 44 U.S.C.

3301). (c)

- Library and museum material (but only if such material is made or acquired and preserved solely for reference or exhibition purposes). (i)

L Extra copies of documents (but only if the sole reason such copies are preserved is for convenience of reference). (ii)

- Stocks of publications and processed documents. (Each agency shall create and maintain serial or record sets ofits publications and processed documents as evidence of agency activities and for the information they contain, including annual reports, brochures, pamphlets, books, handbooks, posters, and maps.)(iii) 8 Approved: September 17,1992

l h NRC Records Management Program

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NRC Records Manag2 ment Program Part 2 - Records Management Handbook 3.53 Parts I - IX

\s Contents Part I

, NRC Records Management Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 l, In t rod u ctio n (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 General Requirements for Agency Records Management Programs (B) . . . . . . . . 1-

j. Creation of Records (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Disposition of Records (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Liaiso n wi th N ARA (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

. Recordkeeping Requirements (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 4

Duties and Responsibilities for Implementing the Records Management Program (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 The NRC Records Officer (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . - 3 Records Liaison Officers (RLOs) (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-File Custodians (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 NRC Employees and Contractors (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Identifying and Distinguishing Between Record and Nonrecord Materials (E) . . . 6 Defining Federal Records (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Identifying Federal Records (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 i

Part II Files Maintenance and Records Disposition Procedures . . . . . . . . . . . . . . . . . 9 In tro d u cti o n ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Planning and Arranging Files (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

'. Official File Stations (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Centralization of Selected NRC Files (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 i

, Basic G roups of NRC Files (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Benefits of Separating Files Into Basic Groups (4) . . . . . . . . . . . . . . . . . . . . . . 12 Basic Filing Arrangements (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Developing a Subject File System (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-

" Files Maintenance and Disposition Plan" (NRC Form 306) (7) . . . . . . . . . . . 16 Files Maintenance Procedures (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Avoidance of Unnecessary Filing (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Categorizing Documents for Filing (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 L

Approved: September 17,1992 i

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Parts I - IX O

Contents (continued)

Part II (continued)

Cross-R e fe re n ces (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 v Filing Classified and Sensitive Unclassified Records (4) . . . . . . . . . . . . . . . . . . 19 ,

Charging Out Material From the Files (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19  ;

Procedures for Certifying Copies of Official Records (6) . . . . . . . . . . . . . . . . . 20 Filing Equipment and Supplies (7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Requirements for Requisitioning Filing Equipment (8) . . . . . . . . . . . . . . . . . . 21 Records Disposition Objectives and Procedures (D) . . . . . . . . . . . . . . . . . . . . . . . . . 24 Records Disposition Objectives (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Records Disposition Definitions (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Au th o ri ty (3 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Applicability of the Records Disposition Schedule (4) . . . . . . . . . . . . . . . . . . . 27 Files Cutoff Procedurbs (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Use of the NRC Archival Facility (AF) (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Use of the Washington National Records Center (WNRC) (7) . . . . . . . . . . . . 30 Transfers to the National Personnel Records Center (NPRC) (8) . . . . . . . . . . 31 Transfer of Official NRC Records to an Agreement State (9) . . . . . . . . . . . . . 31 Transfer of State Government Records to the NRC (10) . . . . . . . . . . . . . . . . . 33 Anaual Report of Records Holdings (11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 l M icro filming (12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 t

l Part III

~

Procedures for Revising NRC Comprehensive Records Disposition -

Sched u les (C RD S s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 I

I '

I n tro d u c ti o n ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Responsibilities (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Application for Schedule Revision (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 i

l _.

l l ii Approved: September 17,1992

l I

NRC Records Management Progrcm Part 2 - Records Management C Handbook 3.53 Parts I - IX t

Contents (continued)

Part IV g Procedures for Managing Papers of Federal Officials and Presidential A ppoi n t ees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 Scope and Purpose (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 Personal Papers and Nonrecord Material (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 Personal Papers Defined (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 Maintenance of Personal Papers (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 Nonre cord Material (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Personal Files of Presidential Appointees (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Courtesy Storage (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Donation of Personal Files (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Review of Files Before Transfer (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 O Transfer of Documents to a Research Institution for Historical Sch olarship (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 Official NRC Research Projects (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 Classified and Sensitive Unclassified Information (E) . . . . . . . . . . . . . . . . . . . . .44.

Part V Procedures for Managing Vital Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 In trod u ctio n ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 Vi tal R e co rds (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

' Emergency Operating Records (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 Rights and Interests Records (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . - 46 Objectives of the Program (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 D u ti e s (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Vital Records Plans and Reviews (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48 Implementation of the Plan (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Approved: September 17,1992 iii

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Parts I - IX O

Contents (continued)

Part VI Procedures for Managing Contractor Records . . . . . . . . . . . . . . . . . . . . . . . . . 50 .

D e fi n i ti on ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 .

Categories of Contractor Records (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50  ;

Special Requirements for Category 3 Records (C) . . . . . . . . . . . . . . . . . . . . . . . . . . 51 Part VII Standard NRC File System for Records of Work Performed Under the DOE /NU.C Memorandum of Understanding (MOU) . . . . . . . . . . . . . . . . . 53 P u rpose ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 S c op e (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 De fi ni ti o n (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 D u ti e s ( D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 Basic Require ments (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 R e t e n ti o n o f Fil es ( F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Part VIII Nuclear Regulatory Commission Docket 50 Filing System . . . . . . . . . . . . . . . 56 Part IX Procedures for Creating, Maintaining, Using, and Disposing of .

Electron ic Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 I n t r o d u c ti on ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 s G eneral Requiremen ts (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 O bje ctives (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 Creation of Electronic Records (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 Records Created at All Staff Levels (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 Records Status of Electronic Data (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 Examples of Record and Nonrecord Electronic Material (3) . . . . . . . . . . . . . 60 Disposition of Record Material (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 iv Approved: September 17,1992

NRC Records Managernent Program Part 2 - Records Management Handbook 3.53 Parts I - IX t

\

4 4 Contents (continued) a Part IX (continued) s

,i Disposition of Nonrecord Material (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 Official Record Copy of Text Documents Retained Electronically (6) . . . . . . 63 l Creation of Data Files (7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 Standards for Maintaining Electronic Records (E) . . . . . . . . . . . . . . . . . . . . . . . . . . 64 Maintenance Throughout Life Cycle (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 l Selecting the Storage Medium (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . - 65 l.

The Use of Floppy Disks (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 l Accessibility of Records (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 l Protection From Loss (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

{ Backup Copies of Electronic Records (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66 Maintaining and Testing Magnetic Computer Tapes (7) . . . . . . . . . . . . . . . . . . 66 4 Maintenance of Diskettes, Removable Disks, and Other Direct

[ '

j '-

Access Storage M edia (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 Retention of Inactive Electronic Records (9) . . . . . . .-. . . . . . . . . . . . . . . . . . . 68

! Records Disposition Schedules for

El e ctronic R e co rds (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 t

Disposing of Electronic Records (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70 l

Sensitive, Proprietary, and National Security Information (1) . . . . . . . . . . . . 70 Unscheduled Electronic Records (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 l Archival Records in Electronic Format (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 L Requirements for Permanent Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 Acceptance of Electronic Records -

by th e Co u r ts (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . - 72 -

l Security of Electronic Records (J) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 l ,, Ele ctronic M ail (K) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

G l ossa ry (L) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 i

f a

Approved:- September 17.1992 y

I l

NRC Records Management Program '

Part 2 - Records Management IIandbook 3.53 Parts I - IX O'

Contents (continued)

Exhibits

1. NRC Form 306. " Files Maintenance and Disposition Plan" . . . . . . . . . . . . . . . 76

2. NRC Form 306A," Files Maintenance and Disposition Plan (Continuation)" . 77

3. NRC Form 35, " Records Transfer" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 .

4. NRC Form 35 A, " Records Transfer (Continuation)" . . . . . . . . . . . . . . . . . . . . . 80

5. Optional Form 21, " Cross-Reference" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

6. NRC Form 22, " Charge-Ou t Record" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

7. NRC Form 513, " Certification of Copy of Official Record" . . . . . . . . . . . . . . . 83

8. NRC Form 134, " Filing Equipment Request Analysis" . . . . . . . . . . . . . . . . . . . 84

9. NRC Form 355, " Report of Records /Nonrecords Disposal" . . . . . . . . . . . . . . . 85

10. Instructions for Preparing Records for Retirement to the NRC Archival Facili ty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 6

11. Instructions for Preparing NRC Forms 35 and 35A, " Records Transfer" and

" Records Transfer Continuation" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

12. SF 127, " Request for Official Personnel Folder (Separated Employee)" . . . . . 95

13. NRC Form 519, " Transfer of Official NRC Records to an Agreement State" . 96

14. NRC Form 317, " Annual Report of Records Holding and Disposition" . . . . . 97

15. NRC Form 317A, " Records Inventory Worksheet" . . . . . . . . . . . . . . . . . . . . . . . 98

16. NRC Form 331, " Records Retention and Disposition Authority" . . . . . . . . . . . 99

17. Ce rtifica tio n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

18. Request to the Chairman for Access to Classified Information . . . . . . . . . . . . . 101

19. Continued Access to NRC Classified Information by Former NRC Official . . 102

20. NRC Form 340, " Vital Records Plan" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

21. NRC Form 340A, " Vital Records Plan Identification and Implementation -

Data"...........................................................104 ,

22. Office Project File Sections and Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105

23. NRC Form 385, " Project File Identification" . . . . . . . . . . . . . . . . . . . . . . . . . . . 107

24. NA Form 14028, "Information System Description" . . . . . . . . . . . . . . . . . . . . . 108

25. NRC Form 34, " Requisition for Supplies, Equipment, or Labor Services" . . . 110

26. NRC Form 400, " Request for Procurement Action (RFPA)" . . . . . . . . . . . . . . 111

27. SF 115, " Request for Records Disposition Author"v" . . . . . . . . . . . . . . . . . . . 112

28. NRC Form 545, " Transfer of State Government Records to the NRC" . . . . . . 114

29. NRC Form 545A, " Transfer of State Government Records to the NRC (Co n ti n u a tion)" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 ,

vi Approved: September 17,1992

d NRC Records Management Program i Part 2 - Records Management

' Handbook 3.53 Part I

\

4 t

Part I

!j NRC Records Management Program i

Introduction (A)

All Federal agencies are required to establish a records management

prcgram to ensure compliance with the regulations governing records management . issued by the National Archives and Records Administration (hARA) and the General Services Administration (GSA) This part identifies the general requirements, duties, and responsibilities for implementing the NRC records' management l program in accordance with the NARA and GSA regulations. Part I also contains guidance to assist NRC employees in identifying official O records and distinguishing between record and nonrecord materials.

U'

-General Requirements for Agency i Records Management Programs (a)

Creation of Records (1)

NARA regulations require the NRC to create and preserve records containing adequate and proper documentation of the organization,.

, functions, policies, decisions, procedures, and essential transactions of the agency.

Disposition of Records (2)

NARA regulations require the NRC to mamtain and preserve permanent records and to ensure that temporary records are promptly

," disposed of or retired when no longer needed. Effective techniques to accomplish these ends include the development of records disposition j schedules, the transfer _ of records to the NRC Archival Facility, the conversion of the information to other media, and the prompt disposal of valueless records that have served their purpose. Disposition of any

NRC records requires the approval of the Archivist of the United States.

Approved: September 17,1992 1

- ~ . . . .- - . - - .- - . - . . --. .-

NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Part I General Requirements for Agenc3 Records Management Programs (B)(continued)

Liaison with NARA (3) ,

NRC is required by NARA to assign responsibility for developing the records management program to one or more offices. NARA also requires the responsible office to submit the name, title, and telephone  :

number of the official authorized by the head of the agency to approve records disposition schedules and to transfer records to the custody of the Office of Records Administration, National Archives, Washington, DC 20408. (a)

The Office ofInformation Resources Management (IRhi), Divisien of Information Support Services (DISS), Information and Records Management Branch (IRMB), is responsible for developing and implementing the NRC records management program. The Chief, IRMB, is the official authorized to approve records disposition schedules and to transfer records to the National Archives. (b)

Recordkeeping Requirements (C)

To provide for the adequate documentation of the organization, h

functions, policies, decisions, procedures, and essential transactions of the NRC, records shall be created and maintained that are sufficient to-

. Document the persons, places, things, or matters dealt with by the NRC. (1)

. Facilitate action by NRC officials and their successors in office. (2)

. Make possible a proper scrutiny by the Congress or other duly .

authorized agencies of the Government. (3) '

. Protect the financial, legal, and other rights of the Government and of persons directly affected by the Government's actions. (4)

. Document the formulation and execution of basic policies and decisions and the necessary actions taken, including all significant decisions and commitments reached orally (person to person, by telecommunications, or in conference). (5)

. Document important board, committee, or staff meetings. (6)

O.

2 Approved: Septernber 17,1992

NRC Records Management Program Part 2 - Records Management g Handbook 3.53 Part I L)

Duties and Responsibilities for Implementing the Records Management Program (D)

The NRC Records Oflicer (1)

By delegation from the Director, DISS, IRM, and as mandated by

36 CFR Part 1220-

. Plans and formulates files maintenance and records disposition policies, standards, systems, and procedures to meet the operating needs of NRC (a)

. Coordinates the overall NRC files maintenance and records disposition program and evaluates program effectiveness. (b)

. Provides records management guidance and assistance to all organizational levels. (c)

. Surveys the records management program in all offices to ensure

[' compliance with established policies and procedures. (d)

. Reviews and evaluates the utilization of filing equipment and makes decisions on filing equipment allocations. (e)

Serves as liaison with the National Archives and Records -

Administration (NARA), the General Services Administration (GSA), the General Accounting Office (GAO), the Office of Management and Budget (OMB), and other agencies on matters relating to records management. (f)

. Issues a Comprehensive Records Disposition Schedule (CRDS)

• (NUREG-0910) to appropriate staff, as prescribed by NARA, to ensure the proper disposition of all NRC records. (g)

. - Coordinates the NRC Vital Records Program as described in Part V of this handbook. (h) e Grants or denies exceptions to or deviations from the records management procedures prescribed in Handbook 3.53. Requests for exceptions or deviations must be documented in writing to specify the need for the exception and the benefits to be derived from the change. The problem will be referred to NARA when substantive issues cannot be resolved internally. (i)

I l

Approved: September 17,1992 3 l

1 NRC Records Management Program  !

Part 2 - Records Management Handbook 3.53 Part I Duties and Responsibilities for '

Implementing the Records Management Program (D) (continued)

Records Liaison Officers (RLOs) (2)

By delegation from office directors and regional administrators-

. Administer records management policies, procedures, and '

programs through designated file custodians to ensure that the "NRC Comprehensive Records Disposition Schedule" (NUREG-0910) is being followed and that the agency files maintenance system is being implemented within their offices. (a)

. Review and approve files maintenance and disposition plans (NRC Forms 306 and 306A; Exhibits 1 and 2) generated for each official file station to ensure accuracy, adequacy, completeness, and compliance with NUREG-0910 and records management policies. (b) i . Request the return and withdrawal of their office's records to and from the NRC Archival Facility and the Washington National Records Center and maintain adequate documentation of all such activity. (c)

. Maintain file maintenance and disposition plans for all official file stations within their office and review plans annually to ensure the accountability of all files and the citation of appropriate disposition authorities. (d)

Inform the NRC Records Officer of records to be transferred to other offices as a result of realignment of functions or reorganizations within 30 days after becoming aware of the proposed reorganization. (e) .

. Review records transfer forms (NRC Forms 35 and 35 A; Exhibits 3 and 4) for completeness and to ensure that the appropriate ,,

disposition authority is cited. (f)

Maintain records transfer forms for those records retired from their respective offices. (g)

. Process requests for certifying copies of official records in accordance with Part II(C)(6) of this handbook. (h)

. Process requisitions for filing equipment (NRC Form 34) in accordance with Part II(C)(8) of this handbook. (i) 4 Approved: September 17,1992

NRC Records. Management Program Part 2 - Records Management Handbook 3.53 Part I 4

Duties and Responsibilities for Implementing the Records Management Program (D) (continued) l i

Records Liaison Omcers (RLOs) (2) (continued)

. Coordinate their office's annual report of records holdings as j- described in Part II(D)(11) of this handbook. (j)-

l e Coordinate their office's vitai records plan as described in Part V of this handbook. (k) i File Custodians (3)

Identified by management (office, division, branch, etc.) as the

! individuals responsible for maintaining the files of an official file station, file custodians-I e Ensure that official files under their purview are managed in accordance with the policies and procedures contained in this q directive and handbook and the "NRC Comprehensive Records 4 Disposition Schedule," NUREG-0910. (a) e Upon termination or transfer of responsibilities, obtain an audit of the files under their purview from the respective RLO. (b)

• Provide reports and assistance to the respective RLO and/or NRC Records Officer, as necessary. (c)

NRC Employees and Contractors (4) e Must preserve official records that they create, receive, or access as

, . prescribed by the policies and procedures set forth in this directive and handbook and by applicable statutes and regulations. (a) 4

e e Are legally responsible for informing the NRC Records Officer of any actual or threatened unlawful destruction or removal of official files or records. (b)

[ . Are responsible for safeguarding classified or sensitive unclassified information contained in official NRC records in accordance with the provisions of Management Directive 12.2, "NRC Information Security Program" (formerly MC 2101). (c)

II

(

4 3

Approved: September 17,1992 5 i

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part I Identifying and Distinguishing Between Record and Nonrecord Materials (e) 5 Defining Federal Records (1)

Federal records are statutorily defined in 44 U.S.C. 3301 as .

follows:(a) -

"All books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government or because of the informational value of the data in them."

Several key terms, phrases, and concepts in the statutory definition of records are defined in 36 CFR 1222.12, as follows: (b)

. Documentary materials is a collective term for records, nonrecord materials, and personal papers that refers to all media containing recorded information, regardless of the nature of the media or the method (s) or circumstance (s) of recording. (i)

. Regardless of physical form or characteristics means that the medium may be paper, film, disk, or other physical type or form; and that the method of recording may be manual, mechanical, photographic, elec.ronic, or any other combination of these or ,

other technologies. (ii) -

Made means the act of creating and recording information by agency personnelin the course of their official duties, regardless of s the method (s) or the medium involved. The act of recording is generally identifiable by the circulatica of the information to others or by placing it in files accessible to others. (iii)

Received means the acceptance or collection of documentary materials by agency personnel in the course of their official duties regardless of the origin of these materials (for example, other units of the agency private citizens, public officials, other agencies, contractors, Government grantees) and regardless of how these 6 Approved: September 17,1992

NRC Records Management Program Part 2 . Records Management Handbook 3.53 Part I Identifying and Distinguishing Between Record and Nonrecord Materials (e)(continued)

F Defining Federal Records (1) (continued)

' materials are transmitted (in person or by messenger, mail,

.- electronic means, or by any other method). In this context, the term

' does not refer to misdirected materials. The term may or may not refer to loaned or seized materials, depending on the conditions under which such materials came into agency custody or were used by the agency. Advice oflegal counsel should be sought regarding the " record" status of loaned or seized materials. (iv)

e Preserved means the filing, storing, or any other method of systematically maintaining documentary materials by the agency.

This term covers materials not only actually filed or otherwise-systematically maintained but also those materials temporarily removed from existing filing systems. (v)

Q b

• Appropriate for preservation means made or received documentary materials that in the judgment of the agency should be filed, stored, or otherwise systematically maintained by an agency because they are evidence of agency activities or contain unique information, even though the materials may not be

' covered by the agency's current filing or maintenance procedures. (si)

Identifying Federnl Records (2)

To ensure that complete and accurate records are made and retained in the NRC, it is essential that NRC employees distinguish between record and nonrecord materials by the appropriate application of the statutory definition of records to NRC documentary materials. The following guidelines issued by NARA in 36 CFR 1222.34 should be applied to all documentary materials to determine their record or nonrecord status.

Record status-Documentary materials are records when they meet both of the following conditions:(a)

- They are made or received by an agency of the United States Government under Federal law or in connection with the

'b - V transaction of agency business. (i) f Approved: September 17,1992 7

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part I

]

Identifying and Distinguishing Between Record and Nonrecord Materials (E)(continued) i Identifying Federal Recc:ds (2) (continued)

- They are preserved or are appropriate for preservation as evidence of agency organization and activities or because of the -

value of the information they contain. (ii) e Working files and similar materials-Working files, such as preliminary drafts and rough notes and other similar materials, will be maintained for purposes of adequate and proper documentation if-(b)

They were circulated or made available to employees, other than the creator, for official purposes such as approval, comment, action, recommendation, followup, or to communicate with agency staff about agency business. (i)

They contain unique information, such as substantive anrwions or comments included therein, that adds to a proge understanding of the agency's formulation and execution of basic policies, decisions, actions, or responsibilities. (ii)

. Nonrecord materials-The following nonrecord materials are Government- owned documentary materials that do not meet the conditions of records status (see 36 CFR 1222.34(b)) or that are specifically excluded frorn records status by statute (see 44 U.S.C.

3301). (c)

Library and museum material (but only if such material is made J or acquired and preserved solely for reference or exhibition purposes). (i)

Extra copies of documents (but only if the sole reason such copies are preserved is for convenience of reference). (ii)

Stocks of publications and processed documents. (Each agency shall create and maintain serial or record sets ofits publications and processed documents as evidence of agency activities and for the information they contain, including annual reports, brochures, pamphlets, books, handbooks, posters, and maps.) (iii) 8 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part II Part II Files Maintenance and Records Disposition

Procedures Introduction (A)

This part establishes standardized procedures for the organization, maintenance, and disposition of records of the U.S. Nuclear Regulatory Commission (NRC). Records of all organizational components of the NRC are subject to the procedures outlined in this part. The purpose of these procedures is to promote efficiency and economy in administering official NRC files.

Planning and Arranging Files (s) -

To provide for the adequate documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the NRC, each office must maintain official file stations and select the most effective and efficient method of arranging the files within each file station.

Official File Stations (1) l NRC official file stations, managed by file custodians, form a network

'. of recordkeeping locations within NRC to-Provide technical control and supervision of official records (a) e Facilitate coordination between and among file stations (b)

Ensure uniformity in filing and reference procedures (c)

Centralization of Selected NRC Files (2) 4 Because of a common interest in certain agency files by several organizational components, files may be centralized after the expiration of specific events.

Approved: September 17,1992 9

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part II Planning and Arranging Files (B)(continued)

Basic Groups of NRC Files (3)

The files collection of an official file station normally consists of more than one basic group of records. A file group consists of a collection of documents that have similar characteristics and that should be kept apart from other groups of records in the office. This separation of .

records into readily discernible groups assists in filing and finding documents and in disposing of records with different retention periods. The file groups described below are generally maintained separately:

e General Correspondence (Subject) Files. These files, often referred to as the " general file" or the " subject correspondence file," consist of originals or copies of letters, memoranda, telegrams, reports, and other material. Each official file station normally has a separate correspondence file. Because this file invariably involves a variety of subjects, it can best be identified and used when arranged by subject. (a)

. Transitory Correspondence Files. These files consist of correspondence and other material of short-term interest that should not be filed in subject correspondence files. The materials involved relate to routine transactions or do not contain information of continuing reference value. The material consists of transmittal letters or forms, requests for information or publications, communications correcting reports or records, or other documents that do not require action by the receiving office.

The recognition and separate maintenance of transitory materialis important. Transitory material that has served its purpose is destroyed. Transitory correspondence that is temporarily needed for reference is normally filed by date so that the material may be  ;

easily destroyed after a short retention period, usually no more than 90 days. (b)

Case, Project, and Task Files. These files contain material relating to a specific action, project, person, company or organization, or issue. The material in these files may cover one or many subjects by name or number, a practice that helps to distinguish this material from general correspondence that is filed by subject, as described in Section (3)(a) above. These files document a transaction from beginning to end.The contents of all these files are standardized by each office or disision accumulating them. Some of the major NRC case, project, and task files include-(c) 10 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part II Planning and Arranging Files (B)(continued)

Basic Groups of NRC Files (3) (continued)

Docket files * (i)

Inspection case files (ii)

Contracts or purchase orders" (iii)

Official personnel folders (iv)

Research project files"* (v)

General technical issues files (si)

Standards development task files (vii)

Systematic evaluation program task files (viii)

Freedom of Information Act and Privacy Act files (ix)

Rulemaking action files (x)

Fiscal accounting files (xi) e Case Working Documents. Short-lived correspondence and working papers accumulated in connection with specific case files j include background and working materials, such as reference materials and data obtained for the case or project, data analyses and summaries, and drafts and other preliminary papers leading i

to final results or findings. The most common types of working documents are routine requests for case reports or data, routine correspondence concerning the administration of a case or project, extra copies of documents or reference materials, and so forth. These working papers should be segregated from the 4

important case documents for ease of disposal and to prevent clutter among more important papers. They may be filed in the same folder but kept separate by fastening them on the side opposite the essential papers.or by filing them in separate folders placed one behind the other in the file drawer. (d)

• Technical . Reference Files. These files, sometimes called

" reference material" or " reference publications," consist of

• NRC Docket 50 files are ananged in accordance with Part Vill of this handbook, where applicable.

" Documents related to contracts or purchase orders are arranged in accordance with Part VI of this handbook.

• " Documents related to work perfocued underVII ofthe thisDepartment of Energa/ Nuclear Regulatory Commission

- ) of Understandmg are arranged in accordance wit Part ndbook.

4 Approved: September 17,1992 11

NRC Records Management Program Part 2 - Records Management finndhoc'< 3.53 Part II Planning and Arranging Files (n)(continued)

Ilasic Groups of NRC Files (3) (continued) printed or processed material that is nonrecord but that has a direct relationship to the work of the office and is needed for future reference. It includes materials such as technical reports, periodicals, ca talogs, han dbooks, pamphlets, in t ernal instru ctional and informational manuals, and so forth. Unless the volume is very -

small, technical reference materials should always be maintained separately from correspondence files. Mixing correspondence files and technical reference papers hampers disposition of both types of rnaterial and overloads the correspondence files. (e) e Convenience File. This file contains the following extra copies c,f records or publications maintained for ease of access and reference. (f)

Reading File. This file contains extra copio, of documents arranged in chronological o. der. This file is sometimes known as a chronological file or a day file. (i)

Suspense Fik. Also known as a tickler, pending, or followup file, this file consists of copies of correspondence or other documents that require action or attention on subsequent dates. (ii)

Alphabetical Subject Index File. This file consists of extra copies of correspondence or cross-reference sheets arranged alphabetically by subject or by the organizations to whom the correspondence is addressed or to whom it concerns. This file provides an additional source of reference to the subject file.

This file is useful when papers are requested by subject or or-ganization. The alphabetical subject index file is not practical .

unless the file is large. (iii)

• Working File. This file contains documents such as rough notes, calculations, or drafts assembled or created and used in the '-

preparation or analysis of other documents. (iv) e Nonstandard Size Files.These records are kept in a separate group because of size or physical characteristics and include films, tapes, computer printouts, photographs, and so forth. (g)

Benefits of Separating Files Into Basic Groups (4)

The benefits derived from separating files into the basic groups are numerous and discount most arguments against separate

) 12 Approved: September 17,1992

NRC Records Management Progrcm

{ Part 2 - Records Management

_Ilandbook 3.53 Part II i

Planning and Arranging Files (n)(continued) i Henefits of Separating Files Into Basic Groups (4) (continued) l, maintenance. Breaking a file collection down into separate groups facilitates the following:

. e Finding records by reducing the area of search. The recordkeeper l need not look through a mass of unrelated material to find the i desired document. He ar she will not be confused by the variety of  :

! different filing arrangements often encountered when the basic

}

4 types are combined in one file. (a)

. Disposing of records by keeping folders with difTerent retention j periods separated. Essential documents are segt egated from those

of only temporary value, and official records are not intermingled with nonrecord material. Separation of files into the basic groups

permits the retirement or destruction of records in blocks because

} all papers within any one group have the same retention period. (b) 4

! Hasic Filing Arrangements (5) a

Once the basic file groups have been identified and separated within a j

files collection, the best method of arranging each type of file is j

i determined by the recordkeeper.The arrangenient should permit ease of filing and finding and make the use of special indexing systems i unnecessary. Frequently, filing procedures for a series of records, for example, official personnel files, are provided in the prescribing i directive. This handbook prescribes the arrangement of official j general correspondence files and also suggests the name or number arrangement of selected agency case file series. When records are 4

, accumulated for which specific filing instructions are not prescribed, j -

one of the arrangement patterns described in this paragraph should be selected. Within the basic arrangement selected for the group, one or

~

' more additional arrangements can be used to further break down or i

subdivide the records. For example, records geographically arranged may be further arranged by organization: records filed by subject can i

be further arranged chronologically. Five basic filing arrangements j are described as follows:(a)

Numerical Arrangement. A numerical system is used to arrange recordsidentified and referred to by number, using the number as i

the filing code, such as docket files, contracts, purchase orders, and

[ so forth. Numbers are not to be assigned to documents for the sole Approved: September 17,1992 13

i NRC Records Management Program Part 2 - Records Management linndbook 3.53 Part II Planning and Arranging Files (n)(continued)

Hasic Filing Arrangements (5)(continued) purpose of filing because this practice requires the establishment of indexes to locate the documents. (i)

. Chronological Arrangement. Documents can be filed according to date when the date is the primary reference. This is the most useful j method for keeping documents in small, manageable groups, usually by year, month, and day. A chronological arrangement is frequently used in conjunction with other arrangements. For example, transitory, reading, and suspense files are usually arranged chronologically. (ii) e Geographical Arrangement. Documents can be filed by geographical location, for example, a foreign country, when the geographical location is the primary reference. These files are arranged alphabetically, first by the name of the main geographical division, for example, a country, then by the next most important subdisision required for reference, for example, a State. (iii)

. Organizational Arrangement. Documents can be filed

~

alphabetically according to organization when the name of a pertinent organization is the primary reference. (iv)

Subject Arrangement. Documents can be filed alphabetically by subject when the subject is the primary reference. (v)

When developing a file arrangement, if information about an individual is retrieved by the person's name or other personal identifier, a Privacy Act System of Records may have been created.

Refer to NRC Management Directive 3.2, " Privacy Act"(formerly M C 0204), for information about Privacy Act Systems of Records. (b) l

Developing a Subject File System (6)

An office must select the most effective and efficient method for filing its records to ensure their appropriate retention and retrievability. To facilitate this process, each office is responsible for developing a subject file system that conforms to the guidance in this handbook.

Two separate subject file plans are usually required in order to separate the different series of records: an Administrative Subject File System and a Programmatic Subject File System. Arranging subject correspondence chronologically is inappropriate when it causes inadequate documentation by separating the incoming document 14 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management llandbook 3.53 Part 11 Planning and Arranging Files (B)(continued)

Developing a Subject File System (6)(continued) from the response, or by separating documents that have a bearing on r the current activity described in the correspondence.

. Subject File Format. The structure for both administrative and

programmatic subject file systems is hierarchical so that correspondence with related subjectsis fi!ed together. The subject file is developed by selecting the prin;ary categories for each system and supporting these with secondary and tertiary categories when the volume of material warrants. Primary categories for administrative material can be selected from the major administrative activities required to support the office; for example, General Administrative (ADM), Budget (BUD), FOIA and Privacy Act (FOIA/PA), Personnel (PER), Procurement and Contracting (PRC), Records Management (REC), Security (SEC),

Space and Equipment (S&E), Training (TRN), Travel (TRV), and so forth. Secondary and tertiary administrative subject categories are added to these categories as appropriate. Primary categories for programmatic material are selected from the office's organization, functions, responsibilities, and major programs.

Secondary and tertiary subject categories are added to these primary categories as appropriate. (a)

Alphanumeric Arrangement of Subjects. The basic arrangement for a subject file is the alphabetical arrangement of primary categories. The secondary and tertiary categories- are then arranged alphabetically within the broader categories. This format is easily revised to reflect additions and deletions of subject categories ss office requirements change. An alphanumeric numbering system is used to code documents and label folders.

Administrative subjects are all numbered with an "ADM" prefix, followed by a three-letter abbreviation for the primary category.

Each secondary category within the primary categories. is numbered 1 through however many secondary subjects there are.

Tertiary categories within the secondary categories are numbered 1 through however many tertiary subjects there are. Programmatic subjects are numbered similarly. The organizational unit abbreviation, however, is used as the prefix, followed by the three letter abbreviation for each primary category. (b) e Subject File Labels. Labels should show the file code, subject, and date of the materialin the file. l.abeling in this manner ensures that

- Approved: September 17,1992 15 w .

NRC Records Manrgement Program i

^

Part 2 - Records Management

. Ilandbook 3.53 Part II J

Planning and Arranging Files (B)(continued)

Developing a Subject File System (6)(continued) folders are identified easily and can be returned to their proper file location quickly. The following examples of file c Jes for i administrative and programmatic categories are provided to l illustrate-(c)

Administrative Subject Format-(i)

ADM BUD 2 BUDGET ESTIMATES AND SUBMITTALS

FY 1992 Programmatic Subject Format-(ii)

RES/PRAD 2 ACCIDENT EVALUATION FY 1992

" Files Maintenance and Disposition Plan"(NRC Form 306)(7)

Each file custodian prepares a " Files Maintenance and Dispo.Jtion Plan" (NRC Form 306; Exhibit 1) and, if necessary, " Files Maintenance and Disposition Plan (Continuation)" (NRC Form 306A: Exhibit 2), for all records under their purview. This plan identifies all records for which an office has responsibility. Exhibit 1 illustrates a typical files pian and may be used as guidance.

Preparation, Prepare NRC Form 306 in triplicate. Use NRC Form 306A ns a continuation sheet, if necessary. (a) e Distribution. The file custodian forwards the original and two copies of the files plan to the appropriate Records Liaison Officer (RLO) for review and approval. (b)

Review and Approval. The RLO reviews the files plan for accuracy, adequacy, completeness, evidence of any unnecessary or duplicate .

files, and so forth, and approves the plan. After signing the plan, the '

RLO keeps one copy, sends one copy to the NRC Records Officer, and returns the original to the file custodian. (c) ,

e Updating the Files Plan. The " Files Maintenance and Disposition Plan"is reviewed annually and amended, as appropriate, to ensure that all files are accounted for and that cited disposition authorities  !

are accurate. A new plan is prepared when the old one is substantially changed or further corrections or additions can be made. Revised plans are prepared in the same manner as the original plan. (d)

O 1 1

16 Approved: September 17,1992

-. _ . --. . _-- __. - - - -- - . -. - - - - - = .--- -

4 i NRC Records Man:gement Program i

Part 2 - Records Manaement i

llandbook 3.53 lwt II j Files Maintenance Procedures (C) i Avoidance of Unnecessary Filing (1) 3 Filing unnecessary papers is a waste of staff resources and storage f

equipment. The following are ways to avoid unnecessary filing:

i e Limit the creation of formal communications for routine matters, j; A note, a telephone call, or a routing slip may be substituted, or a reply may be made dh cetly on the incoming communication. (a) 4

. Limit the number of cop es prepared to those specifically required l or requested. (b) 1

• Eliminate copies of routine communications that require no t

record. (c)

! . Limit the numbe of technical reference documents requested and i j file only those that will be of significant reference value. (d)  ;

l Categorizing Do.:uments for Filing (2)

e Subject File Documents. Categorizing subject correspondence i material is more complex and distinctly different from categorizing other types of documents. The GSA Records Management l Handbook, " Subject Filing," explains the classification of l documents for administrative subject files and may be used as a 1 reference guide for categorizing - administrative subject -

! correspondence. Contact the Information and Records i Management Branch (IRMB), IRM, to obtain a copy of the l handbook Documents must be read and analyzed, and then arranged on the basis of their informational con tent. How quickly a particular document can be located after it has been filed depends j- largely on how carefully it has been categorized before filing. The

+

basic steps in categorizing subject material are as follows: (a)

~

Read and analyze the document to determine its major subject.

i The subject line appearing above the body of the correspondence is often helpful in categorizing but should not be relied upon too heavily. It may be vague, misleading, or even remote from the true subject of the correspondence. (i)

Select the proper file designation from the office subject file j

outline, the appropriate primary subject category, and the appropriate subdivision of the primary subject. If no l, ' subdivision is provided, use the primary subject itself as the file 4

Approved: September 17,1992 17 v.m-- -w. e. , , , , a - , -ym- , -,-v-r -g-,,y v --,-e,4- ,3---y-v- cg

NRC Records Managernent Program Part 2 - Records Management Ilandbook 3.53 Part II

. Files Maintenance Procedures (C;(continued)

Categorizing Documents for Filing (2) (continued) designation. When a sufficient number of documents 3 accumulate under a subdivision that was not origir. ally selected as a subject topic, add the new topic to the file outline and create a folder to accommodate these papers. (ii)  ;

Write the subject-numeric file code in the upper right corner of the file copy. (iii) i -

Lightly underscore the references when they refer to papers already on file to emphasize this fact. Consolidate earlier material with later correspondence on the same subject. (iv) e Case File Documents. Case filing is the easiest and fastest method

, of filing when the case identification is prominently placed on the face of the material to be filed. (b)

Preparation of Case File Correspondence. Employees who prepare correspondence should place the case identification in the subject line of the letter. (i)

Filing of Case File Documents-Use of the ldentifying Namc or Number for Categorizing and Coding Case File Documents. In most instances, the case identification appears somewhere on the paper and need only be underlined or circled. If the case identification is not shown on the paper, determine the proper category and write the appropriate file code in the upper right corner. (ii) e Temporary Documents. The item number from NRC Form 306 -

(Column A)(Exhibit 1)is usuallyadequate to categorize papersto be filed in the " Transitory" file, the office administrative files, ,

suspense files, and so forth. Some recordkeepers may prefer to use .

an abbrevia ted symbol, such as "T" for transitory, "S" for suspense, and so forth, to classify these papers. (c)

Cross. References (3)

A cross-reference is an additional file identification. If a document being categorized involves more than one subject or case transaction and there is a possibility it might be asked for by either, a cross-reference should be prepared as a finding aid.

1 18 Approved: September 17,1992 l

NRC Records Mcnagement Program Part 2 - Records Managernent flandbook 3.53 Part II Files Maintenance Procedures (C)(continued)

Cross References (3)(continued)

. Avoid Unnecessary Cross References. Avoid making and filing unnecessary cross reference forms as they take up valuable space and time. (a)

. Cross Referencing Relocated Material. A cross reference is also used to indicate that a record has been moved from one place in the file to another. For example, a piece of correspondence may be taken from a cutoff or closed file for enclosure with a letter in the current file. The cross-reference form, Optional Form 21, may be used for this purpose. (See Exhibit 5.) (b)

Filing Classified and Sensitive Unclassified Records (4)

NRC and NRC contractor offices shall comply with the applicable security requirements for using, transmitting, storing, or disposing of classified and sensitive unclassified documents. (See Management Directives 12.2, "NRC Information Security Program," and 12.3, "NRC Personnel Security Program"(formerly MC 2101) for specific standards, procedures, and requirements for the protection of classified and sensitive unclassified documents.) The same general filing procedures used for nonsensitive records are used for filing classified and sensitive unclassified documents. However, the following safeguards apply:

If classified and sensitive unclassified documents are filed separately from nonsensitive documents, place a nonsensitive cross-reference form in the nonsensitive subject or case file folder to indicate that the classified or sensitive unclassified documents

". are filed in security containers. Do not reveal the content of the classified or sensitive unclassified documents on the cross-reference form. (a)

. If an entire folder is kept in security containers, use a charge-out card.(b)

Charging Out Material From the Files (5)-

When records are removed from the file and forwarded to an individual or an office, a record of this loan is made. A file charge-out record, such as NRC Form 22 (Exhibit 6), is filled out and put in the folder or file drawer in place of the withdrawn material, with the Approved: September 17,1992 19

NRC Records Management Program Part 2 - Records Management i

IInndbook 3.53 Part II Files Maintenance Procedures (C)(continued)

Charging Out Material From the Files (5)(continued)

"OUT" portion clearly sisible. The file custodian should review the file  :

charge outs periodically and request the return of files that have been charged out more than 6 months. Proper and consistent use of this form eliminates much wasted effort in searching for documents.  ;

Procedures for Certifying Copies of Official Records (6)

Definition and Purpose. Certification is the process of confirming that a document is a true and correct copy of an original record maintained by the NRC. NRC certifies copies of records when requested to do so by a member of the public. (a)

Certification Procedures (b) e The office Records Liaison Officer (RLO) with custody of the official record will obtain the record to be certified from the appropriate file custodian. (i)

The RLO will complete Part 1 of NRC Form 513 -(Exhibit 7)

" Certification of Copy of Official Record," and sign the form to certify that each document listed is from the official records of the office and is maintained in the regular course of business. (ii)

The RLO will forward the certification package containing the NRC Form 513, the document (s) to be certified, and the official record (s) to the Secretary of the Commission. (iii) e Upon verifying that the document is a true and correct copy of the official record, the Secretary or the Assistant Secretary of the l Commission will sign and date Part 2 of NRC Form 513 and affix the official seal of the Commission to it, thereby certifying the document. (iv) -

e Upon certification, the Office of the Secretary will reproduce the NRC Form 513 and the certified document (s) and file the copies in the permanent program correspondence subject files maintained by the Office of the Secretary. The certification package will then be returned to the RLO. (v)

• Upon receipt of the completed certification package, the RLO will return the official record to the file custodian and forward a copy of l 20 Approved: September 17,1992 l

NRC Records Mcnagement Program Part 2 - Records Management llandbook 3.53 Part II Files Maintenance Procedures (C)(continued)

Procedures for Certifying Copics of Omelal Records (6)(continued) the NRC Form 513 to the NRC Records Officer. The RLO will for-1 ward the completed certified copy (ies) to the requester after ensur-ing that the record has been reviewed to determine if it contains

, any information that should be withheld pursuant to the Freedom ofInformation Act or the Privacy Act.

Filing Equipment and Supplies (7)

It is NRC's pohcf to use standard filing equipment and supplies to the maximum extent possible. Standardization promotes efficient and simplified file operations and enhanced file interchangeability, reduced cost through quantity purchasing, simplified stocking, and uniform appearance. All file cabinets, microfiche cabinets, bookcases, safes, and any other equipment used for storing records and special types of folders must be approved by the NRC Records Officer before it is purchased or exchanged. (See Management Directive 13.1,

" Personal Property Management," Part V [formerly MC 5201).)

Requirements for Requisitioning Filing Equipment (8)

Offices request filing equipment by submitting a requisition (NRC Form 34; Exhibit 25) to the Property, Procurement, and Grants Branch (PPGB), Division of Contracts and Property Management (DCPM), Office of Administration (ADM). In an effort to employ sound records management practices and to ensure the efficient use of space and equipment, NRC policy requires that requisitions for filing equipment be adequately justified and submitted only after specific prerequisite requirements have been met. The Information and Records Management Branch (IRMB), Division of Information and Support Services (DISS), Office of Information Resources Management (IRM), reviews and approves requests based upon these policies. (a) .

RLOs are required to review requisitions for filing equipment that originate in their respective offices and to concur on the requisitions to indicate approval of the need for the equipment before submitting the requisitions to the PPGB. Before approving a request for filing

- equipment, the reference checklist contained in this section must be used to determine if the request meets the requirements of this directive and handbook and Management Directive 13.1," Personal Property Management." (b)

Approved: September 17,1992 21

NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Part II l Files Maintenance Procedures (c)(continued)

Requirements for Requisitioning Filing Equipment (8) (continued)

RLOs are to coordinate with the requester and IRMB, as appropriate, i, alternative ways of meeting the requester's needs, such as retiring the material to IRMB or destroying excess nonrecord material. (c)

Requisitions that do not meet the requirements described in this section or that do not support sound records management practices will be disapproved and returned to the requester. (d)

The following requirements pertain to each request for filing equipment: (e) e Prerequisites for Requisitioning Filing Equipment (i)

Requisitions for filing equipment are to be submitted only if the measures prescribed herein have been followed but failed to produce the needc.d file space.

l Dispose of all records that have been authorized for disposal. (a)

Transfer to IRMB those inactive records that are not needed in support of daily business but are not yet eligible for disposal. (b)

Periodically screen nonrecord and reference material, such as reference copies of docket submissions, publications, and working files, and dispose of material that is no longer needed. (c)

Store office supplies in supply cabinets. (d) -

Use letter-size filing cabinets instead of legal-size cabinets when possible. (e) '

Use five drawer filing cabinets when they are available in lieu of four-drawer cabinets. (/)

Depersonalize equipment. Filing equipment should be physically arranged so that all office staff members may have access to it. (g)

O 22 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management llandbook 3.53 Part 11 Files Maintenance Procedures (C)(continued)

Requirements for Requisitioning Filing Equipment (8)(continued) e Justification (ii)

Requisitions for equipment must include a justification that describes the need for the equipment and the nature, volume, and requirements of the material to be stored.

Cost / Benefit Statement for Specialized Filing Equipment (iii)

Requisi: ions for specialized equipment must include a statement to justify why only the equipment requested will meet the user's needs and must give the estimated annual savings anticipated, amortizing the cost of the equipment over 3 years. Factors to be considered include reduced manpower costs and the impact of the equipment on production and space.

Certification (iv)

In addition to these requirements, all requisitions submitted for filing equipment must contain the following certification, signed by the office or division director, or a designee:

"The measures prescribed in NRC Handbook 13.1, " Personal Property Management"(formerly MC 5201) have been taken but have failed to produce the needed file space."

(Signed) Office or Division Director or Designee Approval or disapproval of an equipment request will be based on the

' extent to which the above four requirements are satisfied. RLOs are to sign in block 2 of the requisition (NRC Form 34; Exhibit 25) when all requirements have been met and it is agreed that the equipment is needed. IRMB will review and also sign in block 2 if the request is approved. Requests will be disapproved if submitted with inadequate justification or lack of certification and will be returned to the office RLO with an NRC Form 134," Filing Equipment Request Analysis" (Exhibit 8). (f)

Approved: September 17,1992 23

NRC Records Mcnagement Program Part 2 - Records Management IIandbook 3.53 Part II  ;

l Files Maintenance Procedures (C)(continued)

Requirements for Requisitioning Filing Equipment (8)(continued)

Requests will generally be disapproved when excessive inactive ,

reference materials are being accumulated, when other sources of the information are readily available :hrough the Nuclear Documents Management System (NUDOCS) or the NRC File Center, or when

• offices retain material beyond the authorized retention period. (g)  ;

Records Disposition Objectives and i

Procedures (D)

Records Disposition Objectives (1)

Three important objectives of a records disposition program are to (a) preserve records of continuing value, (b) destroy records of temporary value as soon as they have served their purpose, and (c) remove noncurrent records from office space and filing equipment to less expensive storage facilities, thereby improving the use of files and reducing maintenance costs.

Records Disposition Definitions (2)

, Disposition includes the retirement, transfer, or destruction of records.(a)

. Retirement. Records are considered " retired" when they are sent to the NRC Archival Facility (AF) and the National Archives and Records Administration (NARA), Washington National Records Center (WNRC), for storage, servicing, and ultimate destruction or retention. (i)

. Transfer. Transfer of records refers to a change of custody of records from one organization or agency to another. Records may be transferred to another .fice as a result of the realignment of .

functions or the reorganization of NRC. The NRC Records Officer is to be informed by the RLO within 30 days of any transfer of records that results from realignment of functions or reorganizations. No records are retired to a records center without i prior approval of the NRC Records Officer. Transfers of records to the National Archives or to another office or agency must also be approved by the NRC Records Officer. (ii)

O 24 Approved: Septernber 17,1992

NRC Records Management Program Part 2 - Records Management llandbook 3.53 Part 11 Records Disposition Objectives and Procedures (D)(continued) ,

Records Disposition Definitions (2) (continued)

Destruction. The destruction of records includes the physical destruction of the record material itself or the removal of the

' informational content. Records authorized for destruction by NUREG-0910, "NRC Comprehensive Records Disposition Schedule," will be-(iii) t Disposed of through the NRC paper recycling program whenever possible. Contact the Office of Administration (ADM), Property, Procurement, and Grants Branch (PPGB),

for information on materials appropriate for recycling (a)

Placed in wastebaskets when the quantity is small and the records are unclassified, nonsensitive, and inappropriate for recycling (b)

Destroyed by pulping or burning if,in the opinion of the NRC Records Officer, this action is necessary to avoid disclosure of information that might be prejudicial to the Government, the '

public, or to private interests (c)

Erased, if appropriate, when the record consists of magnetic tape or a comparable medium that can be reused (d)

Disposed of in accordance with Management Directive and Handbook 12.2, "NRC Information Security Program" (formerly MC 2101), when the records are classified or sensitive unclassified (e)

• Documentation of Destruction. Within 10 calendar days of document disposal, the staff member or file custodian submits one copy of NRC Form 355, " Report of Records /Nonrecords

.. Disposal"(Exhibit 9), to the RLO. This information is used by the RLO in compiling the office's Annual Report of Records Holdings. (iv)

Authority (3)

Federal law requires proper authorization by the Archivist of the

, United States to destroy Government records. Authorization for the destruction of records is contained in NUREG-0910. This schedule provides for the selective retention of records of continuing value and Approved: September 17,1992 25

NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Part II Records Disposition Objectives and Procedures (o)(continued)

Authority (3) (continued) f the destruction of records of temporary value after the expiration of a specific event. The schedule also includes retirement procedures for  ;

moving inactive and semiactive records from office space to low-cost storage facilities.

Official records are NOT to be destroyed except in accordance with the provisions of the disposition instructions contained in NUREG-0910. (a)

Nonrecord material may be destroyed when its purpose is served. To control the accumulation of nonrecord material, disposal standards identifying specific kinds of this material are included in NUREG-0910, NRC Schedule 1, Part 1. This schedule establishes the maximum retention period for different types of nonrecord material. (b)

Official records are the sole property of the United States Government and are subject to the provisions of Section 2071, Title 18 cf the United States Code, which stipulates-(c)

. Whoever willfully and unlawfully conceals, removes, mutilates, obliterates, or destroys, or attempts to do so, or with intent to do so takes and carries away any official record, proceeding, map, book, paper, document, or other thing, filed or deposited with any clerk or officer of any court of the United States, or in any public office, or with any judicial or public officer of the United States, shall be -

fined not more than $2,000 or imprisoned not more than 3 years, or both. (i) e Whoever, having the custody of any such official record, proceeding, map, book, document, paper or other thing, willfully and unlawfully conceals, removes, mutilates, obliterates, falsifies, or destroys the same, shall be fined not more than $2,000 or imprisoned not more than 3 years, or both, and shall forfeit his office and be disqualified from holding any office under the United States. (ii)

Ol ,

26 Approved: September 17,1992 l

NRC Records Menagement Program Part 2 - Records Management Ilandbook 3.53 Part 11 Records Disposition Objectives and Procedures (o)(continued)

, Applicability of the Records Disposition Schedule (4)

The disposition of all NRC records is controlled by the authorized instructions contained in NUREG-0910, NRC Schedules 1 and 2, 1

which apply to the NRC program or substantive records, and General Records Schedules 1 through 23, which apply to housekeeping or facility records. (a)

The authorized disposition for each series of records has been approved by NRC officials and, if appropriate, by the General Accounting Office and was authorized by the Archivist of the United States. The disposition schedules, as authorized, are legally mandatory (36 CFR Part 1228). When justified by NRC operating officials, continued retention of any series of records beyond the period authorized in these schedules must be approved by the NRC Records Officer and by the NARA. (b)

Files Cutoff Procedures (5)

Definition and Objectives (a)

Files cutoffis the separation of active from inactive files. Established periodic cutoff of files is essential to effectively control record accumulations and their growth and to facilitate economical disposition of records in convenient blocks. Recordkeepers should cut off files annually, separate inactive files from active files, and retire or destroy materials as appropriate. (i)

Cutting off files is important because it controls the size of the file. If not cut off periodically, the content of folders grows until individual papers become hard to find. If files are cut off periodically, older files can be progressively moved from active files space to lower cost storage space, for example, the NRC Archival Facility (AF), as their reference usefulness declines. (ii)

Cutoff Standards (b)

Chronological sequence files, such as accounting records, are filed by period of account (fiscal year) and lend themselves to cutoff O

' procedures. Chronologically arranged records can be readily cut off and retired in convenient blocks. (i)

Approved: September 17,1992 27.

1 NRC Records Management Program Part 2 - Records Management flandbook 3.53 Part II _ _ _

Records Disposition Objectives and Procedures (o)(continued)

Fiks Cutoff Procedures (5)(continued) i CutoliStandards (b)(continued)

Subject files are cut off at planned intervals.There is no natural cutoff point, as is true for case files or chronologically arranged records.

Subject files are usually maintained by fiscal year. (ii)

Case or project files are often cut off upon the termination of a transaction or the expiration of an event, such as separation of personnel, a final contract payment, or completion of a project. When closed, the case file shoc!d be marked with the date of closure and placed in an inactive file apart from the active files. The inactive files can then be retired or destroyed in convenient fiscal year blocks. Case files that continue over taany years can be cut off by setting up a new folder each year and retiring the prior year's folders that are seldom referred to. (iii)

Technical reference materials have no established cutoff point and are destroyed when they are superseded, become obsolete, or are no longer needed. These files should be reviewed at least annually to determine whether they are current and still useful. (iv)

Use of the NRC Archival Facility (AF)(6)

Description and Purpose (a)

The NRC AF is an offsite records storage facility designed to provide for the indefinite preservation of NRC's environmentally sensitive -

archival records, as well as the economical storage, rapid re trieval, and eventual disposal of NRC's noncurrent temporary records. The AF provides secure storage for all physical forms of classified and .

unclassified NRC records, hard copy (paper), magnetic media (tape and disk), microform, and so forth. (i)

The AF functions as an extension of office file areas by providing for the storage, subsequent referencing, and maintenance of official agency records until their legal retention period has been met, or until they are eligible for transfer to a Federal Records Center or the National Archives. Offices should keep only the minimum volume of current records necessary for operation. (ii) 28 Approved: September 17,1992

NRC Records Management Program .

Part 2 - Records Management llandbook 3.53 Part 1Y Records Disposition Objectives and Procedures (o)(continued)

Use of the NRC Archival Facility (AF)(6)(continued)

Procedures for Retiring Record h1aterial (b)

' Selection of Records forTransfer. Inactive records that are not eligible for disposal or for retirement to a Federal Records Center are transferred to the AF for temporary storage. (i)

Notification. Headquarters organizations wishing to transfer records must contact the IRMB to request a site review of the material proposed for transfer to the AF. Regional orgaizations wishing to transfer records must contact their Records Liaison Officer, who will coordinate the transfer with the IRMB,IRM (ii)

Site Review. As necessary, the IRMB reviews records at the office of origin to determine their - true record value and retention requirements. (iii)

Containers. Upon approval of the transfer of records to the AF, record center boxes (1-cubic-foot capacity) are furnished to retire paper records. Each record center box accommodates 15 linear inches of letter-size files or 12 linear inches of legal-size files. The IRMB also has containers available for retiring environmentally sensitive records that must not be stored or transported in cardboard record center boxes. (iv)

Packing Containers. Records with varying disposition dates are not to be packed in the same container because the entire container must be held until the expiration of the last disposition date. When packing

• records for retirement, use the same filing arrangement that was used by the transferring organization. Retire different series of records as separate AF jobs. Exhibit 10 gives detailed instructions for preparing records for retirement to the AF. (v)

Numbering the Containers. Number each container of a job in the upper right corner, beginning with Number 1. (si)

Transfer Request Form.The IRMB supplies the originating office with NRC Form 35, " Records Transfer," and NRC Form 35A. ." Records

[ Transfer (Continuation)," (Exhibits 3 and 4). IRMB will also help i

f. - personnel to fill out the transfer form upon request. Exhibit 11 gives

,- detailed instructions for preparing NRC Forms 35 and 35A. (vii) l Approved: September 17,1992 29-

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part II Records Disposition Objectives and Procedures (o)(continued)

Use of the NRC Archival Facility (AF)(6)(continued) ,

Physical Transfer. The IRhiB arranges for the physical transfer of headquarters' records to the AF. Regional offices must arrange for the physical transfer of their records to the AF and must coordinate the  :

transfer with the IRhiB. (viii)

Access to Records. Access to records or information contained in records stored at the AF is restricted to the RLO and the alte nate RLO. (c)

Procedures for Recall of Retired Records. RLOs and alternate RLOs may recall records stored at the AF by contacting the IRhiB.

Requesting RLOs supply the job, box, and shelf numbers, that is, sufficient information to permit ready identification of the desired material. Recall requirements specify that the entire container be returned. All requests for recalls are handled as expeditiously as possible. The IRMB maintains accountability for all material stored at the AF, including v:ithdrawals and returns. (d)

Destruction of Retired Records. The IRhiB will notify the appropriate RLO when records stored at the AF or the Washington National Records Center (WNRC) have me t their legal retention period and are scheduled for destruction in accordance with NUREG-0910. Upon notification ofimpending destruction, the RLO must ensure that there are no legal actions or pending FOIA requests that would preclude the scheduled destruction of the records. If the records must be retained, the RLO may request an extension of the retention period by providing the IRhfB with written justification, including a proposed new destruction date. If no legal actions or pending FOIA requests f preclude the scheduled destruction, the records will be destroyed in accordance with the methods prescribed by the NARA in 36 CFR 1228.58. Unclassified paper records are disposed of at an authorized -

paper recycler and classified or sensitive unclassified records are disposed ofin accordance with hianagement Directive and Handbook 12.2, "NRC Information Security Program" (formerly h1C 2101). (e)

Use of the Washington National Records Center (WNRC)(7)

Records that are sufficiently inactive and are not scheduled for early destruction are retired to the WNRC after approval by the NRC Records Officer. (a) 30 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part II

\

Records Disposition Objectives and Procedures (D)(continued)

Use of the Washington National Records Center (WNRC)(7)

(continued)

In all cases, retirement of records to the WNRC is initiated by the IRMB, which coordinates all records retirement actions with the appropriate RLO. (b)

Transfers to the National Personnel Records Center (NPRC)(8)

Official personnel folders and related payroll records are retired to the NPRC (Civilian), St. Imuis, Missouri, as prescribed in NUREG-0910, and as further explained in this paragraph. This center does not acknowledge receipt of records. (a)

Official personnel folders of employees who are separated from NRC are placed in an inactive file upon their separation. Thereafter, these inactive folders are transferred to the NPRC. Loose papers that are to T be included in official personnel folders previously sent to the NPRC are forwarded to the center with Standard Form 127, " Request for Official Personnel Folder (Separated Employee)" (Exhibit 12),

provided the papers are permanent and essential for inclusion in an indisidual's folder. A separate SF 127 is used to transmit the papers for each individual. (b)

Payroll Records. Because of their value as auxiliary personnel records, certain payroll records (such as individual earnings and service cards, final leave records and, in some situations, memorandum copies of payrolls) are transferred to the NPRC as prescribed by NUREG-0910, General Records Schedule 2, Item 1, " Individual Accounts Files";

Item 10, " Leave Data Files"; and Item 13, " Payroll Files." (c)

Transfer of Official NRC Records to an Agreement State (9)

Official NRC records are transferred to a State Government when the Commission enters into an agreement with the State under Section 274b of the Atomic Energy Act of 1954, as amended. The specific records to be transferred are identified by the program or regional office based upon the regulatory function that is being relinquished to the State.

After identifying the specific records proposed for transfer, and before the removal of the records from the NRC, the appropriate RLO will Approved: September 17,1992 31-I

NRC Records Management Program Part 2 - Records Management Ilandbook 3.53 Part II Records Disposition Objectives and Procedures (D)(continued)

Transfer of Official NRC Records to an Agreement State (9) ,

(continued) -

prepare NRC Form 519, " Transfer of Official NRC Records to an Agreement State"(Exhibit 13), by completing blocks 1 through 9 and  ;

11, signing the form in block 12, and fonvarding the completed form to the NRC Records Officer for reviewand approval. In the event that the records proposed for transfer are in the physical custody of another NRC office (e.g., program records of the Office of Nuclear Material Safety and Safeguards (NMSS) maintained by the Office of Information Resources Management (IRM)in the White Flint File Center), the NMSS RLO shall fonvard the NRC Form 519 to the IRM RLO who has responsibility for physical custody of the records. The IRM RLO will complete blocks 4 (file custodian) and 11.D (date of each file) of the form, sign the form in block 13, and fonvard the form to the NRC Records Officer for review and approval. (a)

Upon receipt of the NRC Form 519, the NRC Records Officer will ensure that the records identified on the form are eligible to be removed from NRC custody and transferred to a State Government under the "NRC Comprehensive Records Disposition Schedule."(b)

Upon verifying that the records are eligible for transfer, the NRC Records Officer will sign the NRC Form 519 approving transfer of the records and forward the form to the RLO who has physical custody of the records. (c)

Upon receipt of the approved NRC Form 519, the office RLO who has physical custody of the records will complete block 10 (actual date of transfer) and coordinate the preparation and shipment of the records '

and the NRC Form 519 to the State agent with the appropriate file custodians and administrative staff. (d)

. The records should be packaged in records shipping boxes, Stock Number 8115-00-290-3379, and securely sealed with filament tape. Each records shipping box will accommodate 1 cubic foot of paper records. (i)

. The records may be shipped to the State by mail, United Parcel Senice (UPS), or common carrier. The headquarters or regional central mail room will arrange for the most economical means of shipping fewer than 24 boxes. The most economical means of 32 Approved: September 17,1992

l NRC Records Management Progrcm Part 2 - Records Management llandbook 3.53 Part II Records Disposition Objectives and Procedures (o)(continued)

Transfer of Official NRC Records to an Agreement State (9)

(continued) i shipping more than 24 boxes is by common carrier. Contact the j, regional or headquarters procurement office to arrange for l shipment by common carrier. (ii)

Upon shipment of the records, the office RLO who has physical custody of the records will ensure that the State agent receiving the

] records has signed the NRC Form 519 in block 15 verifying receipt of the records and will return a signed copy of the form to the NRC j Records Officer. (e) i Transfer of State Government Records to the NRC (10)

) Records documenting the licensing of persons, institutions, facilities j or companies to use and/or transport byproduct, source, or special l

d nuclear materials shall be transferred (returned) to the NRC when the NRC reasserts all or part of its regulatory authority that had been

, relinquished to the State. The NRC must receive from the State all

, records that document the licensing history of each license. These l records should include but are not limited to the following documents. (a)

! . The license application, amendment. requests, and renewal requests. (i)

. The complete license, including all amendments. (ii)

, All files documenting inspection and enforcement activities. (iii) l .

All internal and external correspondence relating to the

.. license. (iv)

. All records documenting decommissioning, decontamination, or termination of the license, including interim or partial decommis::ioning of specific facilities at any time during the history of licensed operations. (v) i .

l . All documents dealing with the disposition of waste or other l7 material or residual contamination on the site, including records of

( onsite burials. (vi) i l Approved. September 17,1992 33

NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Part II Records Disposition Objectives and Procedures (o)(continued)

Transfer of State Government Records to the NRC (10)(continued) ,

All records of spills and other unusual occurrences involving the spread of contamination in and around the facility, equipment, or site. (vii)

As-built drawings and modifications of structures and equipment in restricted areas where radioactive materials were used or stored and locations of possible inaccessible contamination. (viii)

All docum mts related to financial assurance for decommissioning, including & commissioning funding plans, certifications of financial assurance for decommissioning, related cost estimates, and records of funding methods. (ix)

The specific records to be returned to the NRC must be identified by the NRC program or regional office that will assume the regulatory function. (b)

The records may be returned to the NRC by mail, United Parcel Service (UPS), common carrier, or they may be picked up and transported by the NRC program or regional office staff. The program or regional office determines the most economical and advantageous means of returning the records to the NRC, taking under consideration the volume of records to be transferred and the circumstances that reestablish NRC's regulatory authority. (c)

Upon receipt of the records, the RLO responsible for the records will prepare NRC Forms 545 and 545A, " Transfer of State Government Records to the NRC" (Exhibits 28 and 29) by completing blocks 1 ,-

through 7 and will forward the completed form to the NRC Records Officer to document the transfer. In the event that the records will be maintained by another NRC office, for example, program records of ,

the Office of Nuclear Material Safety and Safeguards (NMSS) maintained by the Office of Information Resources Management (IRM), the IRM RLO will verify receipt of the records by signing block 8 of the NRC Form 545. (d)

Annual Report of Records Holdings (11)

All NRC offices maintaining any file material must submit an annual report of records holdings that provides the number of cubic feet of 34 Annroved: September 17,1992

__ __ ._ _. ._ . _ . _ - _ _ . .- - ~ ._ _ . _ _ _ _. _

NRC Records Managem:nt Program Part 2 - Records Management llandbook 3.53 Part II i.

N d

Records Disposition Objectives and

! Procedures (o)(continued) i

},

Annual Report on Records Holdings (11)(continued) records on hand at the close of each fiscal year, the volume of record l, and nonrecord material destroyed or transferred during the fiscal year, j- and the number of file cabinets on hand.

Form. This report is made on NRC Form 317, " Annual Report of j Records Holding and Disposition"(Exhibit 14) NRC Form 317A,

" Records Inventory Worksheet"(Exhibit 15) may be used by offices to l collect the data required on NRC Form 317. (a)

L Submission. Before the close of each fiscal year, the IRMB will request RLOs to submit their Annual Report of Records Holdings.

Each file custodian submits a feeder report on NRC Form 317 to the i

appropriate RLO as soon as possible after the fiscal year closes. RLOs j

submit consolidated reports to the NRC Records Officer. The IRMB l prepares a consolidated NRC report that is used for budgetary and j resource planning to project filing equipment needs and to predict j space requirements for storing inactive agency records. (b) i Microfilming (12)

I There are occasions when microfilming records is a sound course of i

i action in the records disposition program. However, microfilming solely to save storage costs can seldom bejustified. Care must be taken j to ensure that the microfilm copies produced are adequate substitutes for the original records and serve the purposes for which these records were created and maintained.

i Permanent Records. Approval by the Archivist of the United States is i

required before establishing a microfilm project involving permanent records when the microfilm is proposed as a replacement for the

{' original records. (a)

Temporary Records. The Archivist's approval is not required for 4

microfilm projects involving temporary records. Ifit is anticipated that the microfilm copies of the records will have a value of 10 or more years, the microfilm record should conform to the standards specified iq in Management Directive 3.56, "Micrographics Management" dI iV (formerly MC 0234). (b)

Approved: September 17,1992 35 4

. ,, - . , , - - ,- -..m - ,. ,-.r... ,_..,% ..m.,.-- . . . , , - - , . , - . , , - .+ .,,...---g-.a

NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Part III Part III Procedures for Revising NRC Comprehensive Records Disposition Schedules (CRDSs)

Introduction (A)

This part defines the responsibilities and procedures for revising the NRC Comprehensive Records Disposition Schedules (NUREG-0910).

Responsibilities (a)

Each office is responsible for ensuring compliance with the provisions h

of the records disposition schedule and ascertaining that all records of the organization are covered by appropriate disposition instructions.

Each office reviews its files at least annually at the time of the annual inventory of NRC record holdings to determine whether the applicable standards are adequate and are being followed.

Application for Schedule Revision (c)

Annual Review (1)

Recommendations to add, delete, or change records disposition .,

standards should be made when the annual review discloses-Series of records that are not covered by the schedules. (a)

Items that should be deleted from the schedules because the records are no longer being created or maintained. (b)

Retention periods that need to be changed. Changes are recommended only when the need is cleatly indicated and justified. (c) 36 Approved: September 17,1992

NRC Records Managem nt Program Part 2 - Records Management Handbook 3.53 Part III Application for Schedule Revision (C)(continued)

Development of New or Revised Records Retention Schedules (2)

Retention schedules for the majority of the NRC records are contained in NUREG-0910. However, occasionally there are newly created file series or ones that cannot be paired with an existing schedule. In these instances, a recommendation to schedule the records for retention is initiated. (a)

NRC Form 331, " Records Retention and Disposition Authority" (Exhibit 16), is used to initiate a request for a records disposition schedule for any unscheduled record. Send the original and a duplicate of the form, approved by the Records Liaison Officer, to the NRC Records Officer. When necessary to clarify the description or purpose of the record, a sample or facsimile record may be attached to the form to facilitate processing. Prepare a separate NRC Form 331 for each series of records. (b)

Review by the NRC Records Ollicer (3)

The NRC Records Officer reviews, coordinates, and evaluates the request for conformance with established policies and regulations. If a decision is made to add or change a disposition schedule, the NRC Records Officer initiates the necessary action to obtain concurrence from the General Accounting Office, as appropriate, and the approval of the Archivistof the United States. Unless the record is unique to one office, requests for changes or additions to a disposition standard are prepared to cover all NRC identical records. (a)

' Additions or changes to schedules are published as numbered changes to NUREG-0910. Records recommended for disposal are not destroyed until such specific amendments are issued. (b)

(

Approved: September 17,1992 37

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IV Part IV Procedures for Managing Papers of Federal Officials and Presidential Appointees Scope and Purpose (A)

Upon completing their terms of office, Federal officials may remove from NRC their personal papers or extra copies of publicly released.

nonrecord material that they organized and maintained for reference during their tenure. (1)

Extra copies of records that have not been released to the public must be handled under the requirements of this part; 10 CFR 2.790; Section 147 of the Atomic Energy Act of 1954, as amended; the Freedom of Information Act (5 U.S.C. 552); the Privacy Act (5 U.S.C. 552a); and Management Directive and liandbook 12.2, "NRC Information Security Program" (formerly MC 2101). (2)

Extra copies of certain nonpublic records generated or received by the Chairman of the Commission and the Commissioners, hereinafter referred to as Presidential Appointees, may be made available for historical research purposes to a university or other manuscript repository, subject to the limitations contained in Section (C) of this part. Extra copies of nonpublic records may not be removed from the ,

agency by any other NRC employees upon retireinent or separation. -

The NRC Records Officer should be contacted for assistance in determining whether particular NRC records have been made public ,

and in separating official records from nonrecord material. (3) -

Personal Papers and Nonrecord Material (n)

Personal Papers Defined (1)

Personal papers of a Federal official, as distinguished from official agency records or other agency nonrecord material, are-(a) 38 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IV Personal Papers and Nonrecord Material (a)(continued)

Personal Papers Defined (1)(continued) I e Papers of a private or nonofficial character that ordinarily pertain  !

., only to an individual's personal affairs and do not affect the conduct of agency business. (i)

. Notes pertaining to agency business but that (1) are prepared for the individual's own use to refresh the author's recollection and have not been circulated or communicated in the course of transacting NRC business, (2) are not required to be maintained by l NRC policy or procedures, (3) are retained or discarded at the l author's sole discretion when the NRC exercises no control or dominion, and (4) would not be considered as agency records if requested under the Freedom of Information Act. (ii)

Correspondence written or received by a Federal official and designated " personal," but relevant to the conduct of official business, is an official record subject to the NRC Comprehensive Records Disposition Schedule, the General Records Schedule, and the provisions of Federal law regarding the maintenance and disposition of Federal records. (b)

Maintenance of Personal Papers (2)

Personal papers that are maintained in a Federal office should be filed separately from official records to-(a)

Avoid inadvertent destruction or removal of official record

, material (i)

. Facilitate retrieval of official files and, thus, enhance operational

,. efficiency (ii)

. Eliminate the likelihood that personal papers will be confused with official records and be made available under the Freedom of Information Act (iii)

In cases in which matters requiring the transaction of official business are received or transmitted in personal correspondence, that portion (q of the correspondence that pertains to official business is to be extracted and made part of the official files. (b)

Approved: September 17,1992 39

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IV Personal Papers and Nonrecord Material (B)(continued)

Nonrecord Material (3) ,

Any Federal official may accumulate, for convenience of reference, extra copies of official records or documents. These extra copies are commonly regarded as nonrecord material and may be disposed of ,

without reference to the requirements of Chapter 33, Title 44, U.S.

Code. The legal definition of records (44 'U.S.C. 3301) specifically excludes " extra copies of documents preserved only for convenience of reference."

~

Personal Files of Presidential Appointees (C)

Courtesy Storage (1)

At the expiration of their terms of office, Presidential Appointees may leave their personal files in . courtesy storage with the Office of the Secretary for a period of 5 yeam. Personal files include personal papers and extra copies of nonrecord materials that the official may have worked on, reviewed, approved, or retained for convenience during his or her NRC service.. Courtesy storage is traditionally extended to high-level officials in Federal agencies to provide time for the official to determine the final destination of the files or to proside the official continued access, when necessary, to particularly seasitive information. If the documents have not been removed by the end of the 5-year period, the NRC Records Officer will contact the Presidential Appointee at his or her last address of record to make appropriate arrangements for the disposition of the files. Ifit is not ,

possible to contact the Presidential Appointee, the records will be .

disposed of under the NRC Schedule for the disposition of nonrecord material.

-l.

Donation of Personal Files (2)

Subject to the restrictions set forth in this part, upon leaving office, Presidential Appointees may donate their personal files to a research ,

institution, a university, or other manuscript repository to ensure that a l historical record of their term in office is available to researchers in later years. As noted in General Services Administration Bulletin O

=

40 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management i

Handbook 3.53 Part IV O .

Personal Files of Presidential Appointees (C)(continued)

Donation of Personal Files (2) (continued)

FPM R B-106, " Archives and Records," these files can add to the store

. of source material that researchers will have available in later years to

describe the historical significance of the official's tenure.

Review of Files Before Transfer (3)

Before the transfer of any personal files from the NRC to a research institution or other repository, the departing Presidential Appointee j is responsible for completing a certification (Exhibit 17) that the following categories of records have been indexed and separated from

the files and that these records will remain in the exclusive possession j of the NRC

(a)

. Of5cial record copies (i)

Classified information (ii)

\

s' .

Personnel information (iii)

. Proorietary information (iv)

. Safeguards information (v)

. Investigatory information (vi)

e Official Use Only information (vii)

{ . Protected information from other agencies, such as " Limited

Official Use" (LOU), "For Official Use Only" (FOUO), and

! ,- " Unclassified Controlled Nuclear Information" (UCNI) (viii)

. Adjudicatory action papers (ix)

. Staff papersin the SECY series dated after December 13,198A not j previously released or scheduled for release at a definite time (x)

. Vote sheets of other members of the Commission dated after December 13,1989, not released at the time of their vote (xi)

• Staff Requirements Memoranda prepared by the Office of the

Secretary dated nfter December 13,1989, not previously released

• ( or scheduled for release at a definite time (xii) x Approved: September 17,1992 41

1 NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IV Personal Files of Presidential Appointees (C)(continued)

Review of Files Before Transfer (3) (continued) .

As part of the certification process, the Division of Security, Office of Administration (ADM), must be contacted to coordinate a review of ,

all records and to determine the classification, if any, of nonrecord -

copies of documents, the applicable category of any sensitive unclassified documents, and their prescribed protective measures. (b)

To allow adequate time Dr review and coordination, the Division of Security, ADM, should be contacted at least 6 months before the expiration of a Presidential Appointee's term of office. (c)

A former Presidential Appointee may obtain access to his or her papers retained by the NRC by making appropriate arrangements with the NRC Historianin the Office of the Secretary. For continued access to classified information that he or she originated, reviewed, signed, or received while in office, a former Presidential Appaintee must first request access from the head of the agency, and access will normally be granted upon a determination by the Chairman that allowing i,

continued access to classified information is consistent with the interests of national security. Exhibit 18 is an example of a letter requesting continued access to classified information, and Exhibit 19 is an example of the Chairman's response. A request for continued access to classified information will be coordinated by the Director, Division of Security, ADM under NRC security directives and applicable statutes, Executive Orders, and implementing

regulations. The Division of Security will maintain the combinations to safes that exclusively contain classified materials from the papers of fonner Presidential Appointees. (d) 4 Transfer of Documents to a Research Institution for Historical Scholarship (4) -

Except for the limitations of Section (C)(3) of this part, a former Presidential Appointee may transfer any documents from his or her personal files to a research institution or other manuscript repository whether or not the documents previously have been released to the general public by the NRC, and may impose any terms and conditions on the gift to the institution as he or she deems necessary to control access. If nonpublic NRC documents are to be transferred to the institution, the official shall ensure by contract that the institution 42 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management

. Handbook 3.53 - Part IV d

Personal Files of Presidential

Appointees (C)(continued) i Transfer of Documents to a Research Institution for IIistorical j r Scholarship (4)(continued)

imposes adequate controls to prevent the inadvertent release to the

', , public of the following categories of documents for the time periods j specified: (a)

e Memoranda or other records originated by another member of the i Commission or his or her personal staff-while the member is still

serving on the Commission (i) i e 'Staffpapers in the "SECY" series dated on or before December 13,

1989-indefinitely (ii) t Vote sheets of other members of the Commission dated on or i before December 13,1989-indefinitely (iii) 1

. Staff Requirements Memoranda prepared by the Office of the i Secretary dated on or before December 13,1989-indefinitely (iv)

e Draft responses to members of Congress-5 years from the date of j response (v) e Legal work products and other records covered by attorney-client privilege and originated by the Office of the General Counsel or the former Office of the. Executive Legal

Director-indefinitely (vi)

. Papers that refer to proposed or pending enforcement actions-l release restricted until action has been completed (vii) e Reports p_repared by the Office of Investigations or the Office of j the Inspector General-indefinitely (viii)

Transcripts of closed Commission meetings-indefinitely (ix) i e Government papers originated by other Federal agencies-indefinitely (x).

Any other documents that have not been released by the NRC

j. and that are less than 2 years old-indefinitely (xi)

p, e Papers prepared by the Office ofInvestigations and the Office of the Inspector General-indefinitely (xii) 1 i

F . Approved: September 17,1992 43

,, . -s , ,c-n..-- ., -- -,e , n.-, . ,n, , ,--..,,--,,..r ----r-, e,,,. , , - , - --

4 i

i NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IV Personal Files of Presidential Appointees (C)(continued)

Transfer of Documents to a Research Institution for Historical .

Scholarship (4) (continued)

Release of documents in categories (C)(4)(i) and (C)(4)(iii) may not be ,

permitted without the authorization of the Commissioner who -

originated the document if he or she is still serving on the Commission. (b)

The determination regarding release of other documents in categories (C)(4)(ii) through (C)(4)(xi) will be made by the Commission on the basis of a recommendation by the Office of the General Counsel. (c)

The NRC, at the request of a former Presidential Appointee or the repository to which his or her papers are donated,.will review any document in the categories listed above, within a reasonable period of time, to determine if the document may be released immediately to the public without further restrictions. Any request for review should be made to the NRC Historian. (d)

Official NRC Research Projects (o)

In order that the NRC may have access to all relevant information in compiling the official record of the agency, a former Presidential Appointee shall ensure by contract with the research institution or other repository that nonpublic NRC documents at the institution will be made available upon request for official research projects undertaken by the NRC.

Classified and Sensitive Unclassified '

Information (E)

Any Federal official who possesses classified or sensitive unclassified -

information must coordinate the disposition of this information with the NRC Division of Security, ADM, before his or her departure from the NRC.

O f

44 Approved: September 17,1992

1 NRC Records Management Program Part 2 - Records Management b

V Handbook 3.53 Part V

>> Part V

Procedures for Managing Vital Records Introduction (A) i This part provides instructions for NRC staff in the selection, preparation, and inventory of vital records and the transmission,

maintenance, and disposition of these records at NRC relocation sites as part of the NRC's vital records program.

Vital Records (a)

Records essential to NRC's continued operations during a national

O emergency comprise "NRC vital records." These records are

- (/' categorized as either emergency operating records or rights and 4

interests records.

Emergency Operating Records (C)

Records that are vital to the essential activities of the NRC for the

' duration of an emergency if the country is attacked comprise

" emergency operating records." NRC's essential activities during national emergencies are defined in NRC MD 6.2, " Continuity of Government P ograms"(formerly MC 0601). Included are records needed for (1) the military effort; (2) the mobilization and protection .

,

• of material and personnel resources, services, and systems; (3) the

- maintenance of public health, safety, and order; and (4) the conduct of l essential civil defense activities. These records must be available at or e in the vicinity of relocation sites and should be in a usable form that does not rely on special equipment. Emergency operating records could include classified or sensitive unclassified information. (1)

Records in this category consist of those operating records needed to perform or administer the following essential NRC functions: (2)

. Oversight surveillance of the operations of licensed nuclear reactors and fuel cycle facilities to ensure minimum hazard to

(p health and safety consistent with national security needs (a)

Approved: September 17,1992 45

l

NRC Records Management Program Part 2 - Records Management 1

Handbook 3.53 Part V

. . . . = -

Emergency Operating Records (C)(continued)

. Assessment of damage to nuclear facilities (b)

J e Assessment of threats to special nuclear materials, high-level .,

radioactive wastes, and nuclear facilities (c)

. Assessment of requirements for recapture of special nuclear ,-

i material (d) e Assessment of safety criteria for licensed nuclear facilities (and special nuclear material) relevant to the national emergency (e)

Liaison with-(f)

The office designated by the President to receive reports on the NRC emergency preparedness functions, advice on the content of public instructions and information, and recommendations concerning the NRC role in achieving national objectives (i)

Other Federal agencies with related functions (ii)

State agencies concerning emergency conditions and required actions related to licensed facilities and materials (iii)

Current copies of records identified as emergency operating records are maintained continuously at NRC relocation sites. (3)

Rights and Interests Records (D)

Records that are required for the preservation of the legal rights and interests of individual citizens and of the Federal Government comprise " rights and interests records." These records require protection but need not be maintained at or in the vicinity of a -

relocation site, nor kept in paper form, since their need would not be '

immediate. Copies of rights and interests records are safeguarded in the NRC Archival Facility or the Washington National Records .,

Center. Examples of this type of record are those containing proof of ownership, financial interest (payroll, leave, social security, retirement, insurance), legal proceedings decisions, contractual obligations, and similar records. These records could contain sensitive or classified information.

Objectives of the Program (E)

The objectives of the vital records program are-46 Approved: September 17,1992

NRC Records Management Program

, Part 2 - Records Management

Handbook 3.53 Part V

V) l Objectives of the Program (E)(continued)

. To ensure that emergency operating records vital to the continuity of essential NRC activities during a national emergency will be i , available at NRC relocation sites in the event that those sites are

~

j activated during a national emergency. (1) l', . To safeguard rights and interest records essential to the -

preservation of the legal rights and interests of individual citizens and the Federal government. (2)

. To ensure that vital records are evaluated on the basis of their essentiality in carrying out emergency operations or in protecting the rights and interests of citizens and the Government and not on

, their value as permanent records. The records must be adequate i

for use by individuals other than those who would normally use

them. (3)

• To employ control techniques to ensure that needed records are i available at NRC relocation sites. (4) ig O . To ensure that records will be easily retrievable and maintained in

,! usable condition. (5)

$ . To ensure that the necessary finding aids are available at the j sites. (6)

. To ensure that a current inventory of records located at the sites is readily accessible. (7) 4 Duties (F) i The NRC Records Officer is responsible for staff leadership, coordination, and audit of the NRC Vital Records Program, as well as j the periodic evaluation of files maintenance and disposition activities

! at emergency relocation sites. The NRC Records Officer makes 4

quarterly site visits to evaluate the records stored at the NRC-headquarters' relocation site. (1)

The NRC Records Officer collects and maintains a select master set of Federal and NRC directives, handbooks, forms, and other issuances, both administrative and technical. (2) i Each major NRC program office is responsible for the

,- implementation and operation of the vital records program within its

( area of responsibility. (3) 1 i Approved: September 17,1992 47

l l

-NRC Records Managernent Program I Part 2 - Records Management Handbook 3.53 Part V Duties (F)(continued)

Records Liaison Officers (RLOs) are responsible for ensuring that copies of all records selected for retention at the relocation sites are collected and submitted on schedule to the NRC Records Officer for  ;

transfer to the appropriate relocation site. (4)

Vital Records Plans and Reviews (c)  :

Vital Records Plan. Each office and region shall propose a " Vital ,

Records Plan," NRC Form 340 (Exhibit 20), that will identify-

. The emergency operating records that the office or region needs at NRC relocation sites in order to perform their assigned responsi-bilities during a national emergency. The office or region must identify the specific relocation site where the emergency operating records will be needed.

The rights and interest records that the' office or region believes should be safeguarded at the NRC Archival Facility.

Each vital records plan must be signed by the office director, or regional administrator, as appropriate, and the office or regional RLO. The RLO will forward the signed plan to the NRC Records Officer for approval. Upon approval of the plan by the NRC Records Officer, the Office of Information Resources Management (IRM) in conjunction with the NRC office or region will prepare an NRC Form 340A, " Vital Records Plan Identification and Implementation Data" (Exhibit 21) for each record item identified on the approved plan. The NRC Form 340A will contain all of the instructions and data necessary to transmit and update the records at the appropriate storage location. A copy of each approved NRC Form 340 with it's associated NRC Form 340As, will be forwarded by IRM to all ,

Commissioners, the Secretary of the Commission, each office and regional RLO, and to the NRC relocation sites. (1)

Annual Vital Records Plan Update. The Office of Information Resources Management will request annual updated plans from each office and region to ensure that the records currently maintained for the vital records program are still adequate and needed in view of new or revised NRC program requirements. Revised plans will be processed and distributed in accordance with the instructions in Section (O) (1) above. (2)

O 48 Approved: September 17,1992

NRC Records Management Progrcm -

Part 2 - Records Management

Handbook 3.53 Part V 4

Implementation of the Plan (n)

! Records Preparation. To the extent possible, vital records selected for -

retention at relocation sites or the Archival Facility should be

!, generated routinely as prepared or used to accomplish daily activities to preclude the need to make copies later. Directions for copying automatic data processing records (ADP) needed for the vital records

, program should be included in the ADP program instructions. (1)

Transmission of Vital Records to the NRC Records Officer. All vital j records items listed on the approved vital records plans will be sent to

! the NRC Records Officer according to the NRC Form 340A, " Vital j Records Plan Identification and Implementation Data." The Records

! Liaison Officer listed on the Form 340A is responsible for the timely j

i transmittal of vital records to the NRC Records Officer. (2)

Updating Emergency Operating Records at the NRC Relocation Sites.

The Office of Information Resources Management is responsible for ensuring that the emergency operating records listed on the approved

! plans are updated at the appropriate relocation sites. Emergency

s. operating records will be updated quarterly unless indicated otherwise j on the NRC Form 340A, " Vital Records Plan Identification and j Implementation Data." (3)

Updating Rights and Interest Records at the NRC Archival Facility.

The Office of Information Resources Management will update rights l and interest records safeguarded at the Archival Facility as indicated on the NRC Form 340A. (4) 4 4 .-  ;

)

l

I i

l

] Approved: September 17,1992 49

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part VI e

Part VI

Procedures for Managing Contractor

Records Definition (A)

Contractor records consist of all documentary materials created or received by a U.S. Nuclear Regulatory Commission (NRC) contractor or a U.S. Department of Energy (DOE) contractor performing work for NRC under the DOE /NRC Memorandum of Understanding (DOE /NRC MOU)in the performance of administrative, technical, or research work. These records consist of published and unpublished reports, background material, feeder reports, raw data, test or trial results, working papers, or any other documentation received or developed in the execution of the contract. These records could be classified or sensitive unclassified documents. (1)

Contractor records developed under contract with the agency are the property of NRC (unless the contract states otherwise), whether submitted to NRC or retained by the contractor, and are to be maintained or destroyed only under the applicable records retention

schedules established by NRC. (2)

Categories of Contractor Records (e) .

l Contractor records can be classified into three categories.

e Category 1-General Administrative Material. Internal general ,

correspondence, internal notices, and material relating to day-to-day operations and administrative matters comprise a group of material in which NRC has no interest. Unless specifically identified in the contract to be retained and made available to NRC to satisfy negotiation, administration, or audit requirements (41 CFR Parts 1-20), this material may be destroyed after 2 years, or sooner if it is no longer needed by the contractor. (1) l l

l 50 Approved: September 17,1992 i

NRC Records Management Program  :

Part 2 - Records Management Handbook 3.53 Part VI Categories of Contractor Records (n)(continued) e Category 2-Contract Administration Records. Records held by the contractor that pertain to financial and cost accounting, pay administration, and acquisition and supply are to be retained under 41 CFR Parts 1-20, " Retention Requirements for Contractor and Subcontractor Records." These records are to be retained by the contractor and are subject to examination and audit by NRC during the specified retention periods. (2) e Category 3-Contract Work Records. Records generated or received by the contractor relating directly to the function or purpose for which the contract exists are, in most cases, the contractual property of the NRC. These records do not, however, become " agency records" for the purposes of the Freedom of In-formation Act (FOIA) until they come into the actual physical possession of the NRC. These records include surveys, raw data, feeder reports, published and unpublished reports, experiment and test descriptions, methodology, test results, laboratory notebooks, and other records developed or received in the execution of the contract. (3)

Special Requirements for Category 3 Records (C)

Sponsoring Office. The office that sponsors a contract is responsible for ensuring that disposition action for all Category 3 records is carrieJ out under the approved NRC records schedules. (1) e It is the responsibility of the NRC office requiring contractual services to specify on the ". Request for Procurement Action" (RFPA), NRC Form 400 (Exhibit 26), Part 2, Item 12, special

~ requirements and appropriate instructions for the disposition of contractor records. (a)

. The sponsoring office indicates on the RFPA that the contractor will, upon termination or completion of the contract, or at appropriate intervals during performance of the contract, transmit to the Commission all or certain records accumulated by the contractor in the performance of the contract. (b)

Any records retained by the contractor after contract completion that are not eligible for disposition are to be transmitted to the project officer for ultimate disposition under _ the -

"NRC Comprehensive Records Disposition Schedule,"

) NUREG-0910. (c)

Approved: September 17,1992 51

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part VI Special Requirements for Category 3 Records (C)(continued)

. When another agency has continuing need for NRC contractor records beyond NRC requirements, the RFPA must include a brief i statement to that effect. Such clarification is needed to preclude the destruction of this material before all requirements are met. (d) ,

Division of Contracts and Property Management. The Division of Contracts and Property Management, Office of Administration, shall include special requirements and appropriate instructions in the contract to meet the recordkeeping requirements of the sponsoring office. (2)

O

+

i w

O 52 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management I Handbook 3.53 Part VII

-. Part VII k s

~

Standard NRC File System for Records of Work Performed Under the DOE /NRC Memorandum of Understanding (MOU)

Purpose (A)

This part establishes an Office Project File for maintaining administrative documents and records pertinent to work performed by DOE under the DOE /NRC MOU dated February 24,1978. The contents of and the procedures for the maintenance of this file are described herein.

O scoge <e>

This part applies to all NRC offices and to the boards, panels, and committees of NRC. These provisions-(1)

Ensure that all programmatic endeavors are properly documented under approved Federal Records Schedules and that a complete record is maintained for each project performed under the DOE /NRC MOU. (a) e Prescribe the minimum information that must be retained in the Office Project File. (b)

. May be supplemented or amplified to meet individual needs and practices. (c)

. Supplement the instructions contained in Management Directives 11.7, " Procedures for Placement of Work With the Department of Energy" (formerly MC 1102), and 3.57,

" Correspondence Management"(formerly MC 0240), that require certain_ documents to be sent to the Division of Accounting and Finance, the Division of Budget and Analysis, Office of the Controller; the Division of Security, Office of Administration; and the Division of Information Support Services, Office of Information Resources Management. (d)

Approved: September 17,1992 53

\

l NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part VII Scope (s)(continued)

This part does not include provisions for technical documentation (see Management Directive 3.50, " Nuclear Documents hianagement

. System" [formerly MC 0232]). Maintenance of technical documents .,

(e.g., formal and interim technical reports)is the responsibility of the NRC Nuclear Documents Management System (see Management Directives 11.7," Placement of Work With the Department of Energy"  ;

[formerly MC 1102], and 3.8, " Unclassified Contractor and Grantee Publications in the NUREG Series" (formerly MC 3202]). (2)

Definition (C)

The Office Project File is the group of records maintained by the office that funds the work performed under the DOE /NRC MOU. The file contains the documents, memoranda, and references that are administrative material and pertinent to a project. A project provides for the specific acquisition of goods or services to satisfy one or more objectives. It is assigned a unique financial identification number Duties (D)

The project manager is responsible for ensuring that all pertinent administrative information describing the projects for which he or she is responsible, from the point of initiation through final closecut action, is provided to the Office Project File. The office director shall designate in writing the organizational location and the individual responsible for maintaining the Office Project File. These designations must be provided to the NRC Records Officer. The files will be available for review by appropriate individuals at any time.

Basic Requirements (E) -

The Office Project File includes all administrative documentation generated in the planning, execution, administration, and closeout of a project. The components and sections listed in Exhibit 22 are to be used as a guide in establishing and maintaining the files. The listed components are included in the file if they are generated in support of the project. Each project file contains NRC Form 385, " Project File Identification" form (Exhibit 23), to identify the responsible project manager and the organization of the file components. If all the documentation associated with a particular project is not maintained in one location, the " Project File Identification" form shows the 54 Approved: September 17,1992

5 NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part VII i

Basic Requirements (E)(continued) organization responsible for those components maintained elsewhere.

A separate file folder for each FIN is maintained in each of the locations where the various elements of the file are stored.

Retention of Files (F)

The Office Project File is maintained for the active period of the FIN.

Upon closecut, the file is forwarded to the NRC Records Officer for disposition under the provisions of the U.S. General Records Schedule and the "NRC Comprehensive Records Disposition Schedule,"

NUREG-0910.

f lV i

i l

i i

l l

1 i

l l .

l t

0 V

Approved: September 17,1992 55

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part VIII Part VIII Nuclear Regulatory Commission Docket 50 Filing System This part describes the Docket 50 Filing System common to the NRC Nuclear Documents Management System (NUDOCS), the Public Document Room, and Local Public Document Rooms. To ensure a convenient and standard point of ref,erence,it is recommended that all NRC offices that maintain Docket 50 Files conform to the system as the categories defined are applicable to the particular office filing needs. The category titles follow. Refer to NUREG/BR-0052, Rwision 1, "Public Document Room File Classification System," for the content of each category.

A: Application / Construction Stage Documents and Correspond-ence B: Utility Preliminary Safety Analysis Report (PSAR) and Amendments C: Utility Environmental Report (ER), Amendments, and Correspondence D: NRC Draft and Final Environmental (IMPACT) Statements (DES and FES), Supplements, and Correspondence .

E: NRC Safety Evaluation Report (SER), Supplements, and Correspondence F: Security, Medical, Emergency, and Fire Protection Plans G: Legal and Adjudicatory Correspondence II: General Correspondence I: Financial Information

.I: Insurance and Indemnity Information '

K: Utility Final Safety Analysis Report (FSAR) and Amendments 56 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part VIII v

)

L: Limited Work Authorization (LWA) and Related Correspondence M: Antitrust Review and Antitrust Correspondence

,. N: Antitrust IIearing Transcripts, Testimony, and Briefings 0: Advisory Committee on Reactor Safeguards (ACRS) Reports and Correspondence

~

P: Operating License Stage Documents and Correspondence

, Q: Inspection Reports; IE Bulletins and Information Notices; Civil Penalties and Related Correspondence R: Periodic Operating Reports and Related Correspondence S: Reportable Occurrences, Preliminary Notification of Events or Unusual Occurrences (PNOs), Preliminary Notification of Safeguard Events or Unusual Occurrences (PNSs), and Related Correspondence T: Transcripts, Testimonies, and Briefings on Nonantitrust O

Matters U: Congressional / Executive Correspondence V: Licensing Operators and Related Correspondence W: Decommissioning Stage Documents and Correspondence X: Onsite Low-Level Waste Storage Y: Dry Cask Independent Spent Fuel Storage Installations 4

l l

l 13 Approved: September 17,1992 57 I

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IX Part IX .

Procedures for Creating, Maintaining, Using, and Disposing of Electronic Records

} Introduction (A)

! This part establishes the procedures for manar ing electronic records and describes the basic requirements for creat.ng, maintaining, using, and disposing of electronic records. It will help indisiduals who generate and use electronic records, as well as those who develop and operate large electronic records systems. Electronic records include numeric, graphic, and textual information in data files and databases that is recorded on any medium that can be read by computer, including magnetic media such as tapes and disks, and optical disks.

' This directive is consistent with the National Archives and Records Administration (NARA) regulations specified in 36 CFR 1228.188,

" Machine-Readable Records," NARA regulations specified in 36 CFR Part 1234, " Electronic Records Management," and General Services Administration (GSA) regulations specified in 41 CFR 201-45.2, " Electronic Records Management."

General ; Requirements (a) -

The requirements for electronic records are applicable to all NRC staff and are based upon the regulations entitled " Electronic Records -.

j Management" issued by NARA and GSA. (1) 4 Specific NRC requirements applicable to electronic records management are listed below. (2) e Electronic records are destroyed only in accordance with approved records disposition schedules. (a)

O 58_ Approved: aeptember 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IX General Requirements (s)(continued) 1

. Disposition schedules are to be established as soon as possible for information contained in electronic records systems but no later

,. than 1 year after the system becomes operational. This measure is necessary to ensure that the records disposition procedures are incorporated into the development of the system. (b)

. Electronic records collections of textual documents are not to be accumulated in lieu of hard copy or as the Official Record Copy without first meeting the requirements of this handbook. (c)

. Electronic records received from licensees, vendors, or other external organizations must be compatible with NRCs automatic data processing (ADP) equipment and NRC's access to the information. (d) .

. Electronic records that are to be retained permanently must meet the archival quality requirements specified in this handbook . (e)

O objectives <c>

e To establish guidance and procedures for creating, maintaining, using, and disposing of electronic records. (1)

I

. To ensure that the staff is knowledgeable about electronic records and the authority to retain or destroy them. (2) l . To ensure adequate documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the NRC when employing electronic records applications. (3)

. To ensure that the disposition of the records is planned during the l early development of electronic records systems. (4)

! < . To describe special requirements for electronic records authorized for permanent retention. (5)

. To establish minimum labeling and filing requirements to ensure retrieval of electronic records. (6)

. To provide an environmental storage facility for inactive electronic j records and backup tapes._(7) l.

w, j Approved: September 17, 199'2 59 i

l

.NRC Records Management Program i

Part 2 - Records Management Handbook 3.53 Part IX Objectives (C)(continued)

. To ensure that all electronic records systems are covered by G eneral Records Schedules (G RS) or NRC Schedules (NRCS) and that procedures are established for preparing schedules for new ,

and unscheduled electronic records systems. (8)

Creation of Electronic Records (o)  :

Records Created at All Staff Levels (1)

This part applies to electronic records generated or stored by staff at

all levels, such as individual staff members, system operators, and computer programmers. Tne equipment used to generate or store these records can be personal computers, word processors, minicomputers, or mainframe computers. The staff who create electronic information must determine whether the information is official record material that must be disposed of only under an approved records disposition schedule, or nonrecord material tnat can be disposed of after it has served its purpose, and manage the information accordingly.

Records Status of Electronic Data (2)

Electronic data can be categorized as either record or nonrecord. The record status of electronic data is determined by the same criteria employed for records generated in paper format.

Examples of Record and Nonrecord Electronic Material (3)

The following examples of record and nonrecord electronic data are provided to assist in distinguishing between the two types of information. .

Record material in electronic form includes-(a)

- Informational material that falls under the definition of '

" records" that is maintained only in electronic format and never produced in hard copy (i)

- Drafts of record material, including working documents, that have not yet been produced in hard copy (ii)

- Electronic iniormation systems that support NRC programs and management functions, regardless of whether all or a portion of the information is also maintained in hard copy (iii) 60 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management l Handbook 3.53 Part IX j(

t

' Creation of Electronic Records (o)(continued)

Examples of Record and Nonrecord Electronic Material (3)

(continued)

I

- Electronic mail that concerns agency business or documents 1

' agency organization, functions, policies, decisions, procedures,

, operations, or other activities of Government (iv)

Electronic mail messages that concern statements of policy, rationale for a decision, sense of direction, or guidance above and beyond that documented in the official files (v)

Electronic information that constitutes early drafts of record material that differ substantively from the final version (si)

Extracts of electronic information systems maintained in electronic format for conducting studies and statistical analyses (vii)

Any electronic information file that contains personal i

(,/ information on individuals that is retrieved by a unique personalidentifier such as a name or an assigned number. A file

of this nature would be subject to the Privacy Act and must be

! included in the NRC Systems of Records published in the

Federal Register (viii) i Administrative databases containing information derived from

, hard copy that supports administrative activities of the office rather than the functions for which the office exists (ix) j a Nonrecord material in electronic form includes-(b)

- Informational material that is maintained electronically on i

' word processing diskettes and similar magnetic media, has been produced in hard copy form for recordkeeping purposes, and is retained in electronic form only to facilitate updating or revision of the material at a later date (i)

Electronic copies ofinformational material that are duplicates or exact copies of the record or nonrecord material retained on an electronic storage medium (ii)

Electronic mail that consists of extra copies of documents kept only for convenience of reference (iii)

Approved: September 17,1992 61

l NRC Records Management Program Part 2 . Records Management Handbook 3.53 Part IX Creation of Electronic Records (o)(continued)

Examples of Record and Nonrecord Electronic Material (3)

(continued)

Working papers and personal notes in electronic form that have no record value because they are meaningless to persons other than the author; provide no rationale, sense of direction, ,

or guidance above and beyond that documented in official files; and are generally used only by the author to facilitate the development and completion of papers for approval by appropriate officials (iv)

Miscellaneous informal electronic mail messages from an individual to otherindividualsin the agency that do not contain informatior_ on or result in agency policy (v)

Disposition of Record Material (4)

Electronic records can only be destroyed under approved records disposition schedules. Because electronic records can be created or destroyed so easily, increasing the chance of information loss, extra care must be taken with these records. The disposition of the information must be determined before the records are created to ensure that appropriate identifiers for storage and retrieval are used and to ensure their appropriate preservation and ultimate disposition.

The disposition instructions for electronic records are described in NUREG-0910 "NRC Comprehensive Records Disposition Schedule." If unscheduled, the information contained in electronic records systems, including those operated for the Government by a contractor, shall be reviewed for disposition scheduling as soon as possible, but no later than 1 year after the system becomes operational. .

Disposition of Nonrecord Material (5)

Nonrecord material can be destroyed without reference to the disposition schedules approved by the Archivist of the United States.

However, many types of electronic nonrecord material are scheduled in the NARA GRS for clarity. (See GRS 20, " Electronic Records," and GRS 23, " Records Common to All Offices," listed in NUREG-0910.)

Draft documents and transient data created, stored, or transmitted electronically are not to be used for official record purposes without O

l 62 Approved: September 17,1992 l

4 NRC Records Management Program

Part 2 - Records Management Handbook 3.53 Part IX Creation of Electronic Records (D)(continued)

Disposition of Nonrecord Material (5)(continued) a specific records disposition schedule and approval by the NRC

f Records Officer, who is the Chief, Information and Records l Management Branch (IRMB), DISS, IRM.

,- Official Record Copy of Text Documents Retained Electronically (6)

! Electronic records systems that maintain the official file copy of textual documents on electronic media must meet the following minimum

requirements and provide-(a)

. A method for all authorized users of the system to retrieve desired documents, such as an indexing or a text search system (i) e An appropriate level of security to ensure integrity of the

documents (ii) 3 e A standard interchange format, when necessary, to permit the exchange of documents on electronic media between agency.

components using different software and operating systems and

{d the conversion or migration of documents on electronic media from one system to another (iii) e For the disposition of the documents including, when necessary, j the requirements for transferring permanent records to NARA (see 36 CFR 1228.188) (iv)

) Electronic records systems that maintain the official file copy of

! documents on electronic media must identify each document

! sufficiently to enable authorized personnel to retrieve, protect, and

', . carry out the disposition of doc"r.ents in the system.-Appropriate identifying informaticr. for each document maintained _ on the i

electronic media may include office of origin,iUe code, key words for j mrieval, addressee, signer, author, date, authorized disposition, and

., security classification, if needed. Offices must ensure that records -

maintained in these systems can be correlated with recorCs on paper, microform, or other media. (b)

All electronic records systems containing the official file copy of textual documents must have the prior written approval of the NRC Records Officer, who is the Chief, Information and Records Management Branch, DISS, IRM, in order to ensure that the records are scheduled for disposition and that the information is preserved accordingly. (c)

Approved: September 17,1992 63

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IX Creation of Electronic Records (o)(continued)

Creation of Data Files (7)

For electronic records systems that produce, use, or store data files, ,

disposition instructions for the data must be incorporated into the systera's design. (a)

The originating office must ensure that the electronic recordisystem has a records disposition schedule cited in NUREG-0910 or icitiate the scheduling process according to the procedures in Part II of ibis handbook. (b)

Offices must maintain adequate and up-to-date technical documentation for each electronic records system that produces, uses, or stores data filet Offices must maintain the following minimum documentation: (c)

. A narrative description of the system. (i)

. Physical and technical characteristics of the records, including-(ii)

- A records layout that describes each field, including its name, size, and starting or relative position (a)

- A description of the form of the data such as alphabetic, zoned decimal, packed decimal, or numeric (b)

- A data dictionary or the equivalentinformation associated with a database management system, including a description of the relationship between data elements in databases (c)

Any other technical information needed to read or process the '

~

records. (iii)

Standards for Maintaining -

Electronic Records (e)

Maintenance Throughout Life Cycle (1)

An electronic record must be maintained on the appropriate medium and system to ensure protection and availability throughout its life cycle and to accomplish the following:

9 i

. 64 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IX Standards for Maintaining Electronic Records (E)(continued)

Maintenance Throughout Life Cycle (1) (continued) e Permit easy and timely retrieval (a) e Facilitate distinction between record and nonrecord material (b)

Retain the records in a usable format until their authorized disposition (c)

When appropriate, meet the requirements for retiring permanent records to NARA (d)

Selecting the Storage Medium (2)

The following factors must be considered before selecting a storage medium or converting from one medium to another:

The authorized life of the records as determined during the scheduling pro:ess (a) e The maintenance necessary to retain the records (b) e The cost of storing and retrieving the records (c)

. The records density (d)

The access time needed to retrieve stored records (e)

The portability of the medium that runs on equipment offered by multiple manufacturers (f)

. Whether the medium meets current applicable Federal Information Processing Standards (FIPSs) (g) e The Use of Floppy Disks (3)

The use of floppy disks should be avoided for the exclusive long-term storage of permanent or unscheduled electronic records.

Accessibility of Records (4)

Material stored on diskettes, removable disks, or tapes must be accessible to all authorized users by means of standard external h& labeling.

Approved: September 17,1992 65

_ _ _ _ _ _ _ _ - _ _ _ _. i

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IX Standards for Maintaining Electronic Records (E)(continued)

Protection From Loss (5) '

Electronic information must be protected from deterioration or from loss as a result of changing technology by converting it to a storage medium compatible with the agency's hardware and software. Before -

converting electronic information to a different medium, it must be determined whether the authorized disposition r>f the electronic records can be implemented after conversion.

Backup Copies of Electronic Records (6)

Electronic records must be backed up regularly to safeguard against the loss ofinformation as a result of equipment malfunctions or human error. (a)

Backup copies of permanent or unscheduled records must be maintained in a storage area separate from that for the original records.(b)

Backup tapes to large electronic records systems that are considered vital to NRC program functions, significant to program operations, or whose data would be extremely costly to replace must be periodically transferred by the originating office to the IRMB, DISS, IRM, for storage at the NRC Archival Facility. (c)

Maintaining and Testing Magnetic Computer Tapes (7)

Magnetic computer tapes used to store electronic records that are unscheduled or scheduled for permanent retention must be tested no ,

more than 6 months before their use. The test is to verify that the tape ,

is free of permanent errors. (a)

The storage and test areas for computer magnetic tapes containing -

permanent and unscheduled records must be maintained at the following temperatures and humidity: (b)

. Constant temperature - 62 to 68 degrees (i)

. Constant relative humidity - 35 to 45 percent (ii)

All tapes comaining unscheduled and permanent records must be rewound under controlled tension every 3-1/2 years (c) 66 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Part IX l

O V

I Standards for Maintaining Electronic Records (E)(continued)

Maintaining and Testing Magnetic Computer Tapes (7)(continued)

A statistical sample of all reels of magnetic computer tapes containing permanent and unscheduled records must be read annually to identify

. any loss of data and to discover and correct the causes of data loss. In tape libraries with 1,800 or fewer reels, a 20 percent sample or a l

sample size of 50 reels, whichever is larger, should be read. In tape libraries with more than 1,800 reels, a sample of 384 reels should be read. Tapes with 10 or more errors must be replaced and, when

possible, lost data must be restored. All other tapes that might have l been affected by the same cause, that is, poor quality tapes or tapes l experiencing high usage, poor emironment, or improper handling l must be read and corrected, as appropriate. (d)

Permanent or unscheduled data on magnetic tapes must be copied onto tested and verified new tapes before the tapes are 10 years old. (e)

The contents of magnetic tapes used to store permanent or unscheduled electronic records must be identified by an external tape label or an equivalent automated tape management system.The label or system must provide unique identification for each reel, including I

the name of the organizational unit responsible for the data, the system title, and the security classification, if any. (f)

The following information must be maintained for each reel used to store permanent or unscheduled electronic records: the file title; the dates of creation; the dates of eoverage; the recording density; the type ofinternal labels; the volume serial number,if applicable; the number of tracks; the character code and software dependency; the information about block size and the reel sequence number,if the file is part of a multireel set. (g)

For numeric data files, include the record format and logical record length, the data set name and sequence,if applicable, and the number of records for each data set. (h)

Smoking and eating are prohibited in magnetic computer tape storage libraries and in test or evaluation areas that contain permanent or unscheduled records. (i)

~

l l

Approved: September 17,1992 67

NRC Remrds Management Program Part 2 - Records Management IIandbook 3.53 Part IX Standards for Maintaining Electronic Records (E)(continued)

Maintenance of Diskettes, Removable Disks, and Other Direct Access Storage Media (8) '

Users must exercise reasonable care in handling the various direct access storage media consistent with the manufacturer's guidance and  ;

recommendations. This care includes proper storage equipment to  ;

avoid damage; keeping media away from magnets, water, and other l sources of damage; and exercising common sense to ensure protection, i for example, not handling the magnetic surfaces, not writing on floppy l disks, and not stacking other items on top of the electronic media. (a)

Externallabels for diskettes or removable disks used when processing or temporarily storing permanent or unscheduled records must include the following information the name of the organizational unit responsible for the records; a descriptive title of the contents; the dates of creation; the security classification, if applicable; and the identification of the software and hardware used. (b)

Retention ofInactive Electronic Records (9)

Electronic records and their related special-purpose programs and documeritation must be retained for the period prescribed in the approved Ahedules. Unscheduled records must be retained until they are scheduled and their destruction is authorized. This section describes the procedures and policies for retaining inactive electronic records until their authorized ultimate disposition.

Inactive electronic records must be retained for the period authorized by approved records disposition schedules. (a)

B

. Electronic records that are not covered by the NRC Schedule or .

the GRS must be retained, along with related pogramming and 1 documentation, until a schedule is prepared and the disposition is ,

authorized by NARA. (b) ~

e Inactive electronic records must be retained in an area that meets the requiremer's set forth in Section (D)(7) of this part. (c)

. Offices retaining electronic records in an environment other than the NRC Archival Facility are responsible for the required testing and periodic rewinding of the media. (d)

O 68 Approved: September 17,1992

I

NRC Records Men

gement Program Part 2 - Records Management IIandbook 3.53 Part IX i

l 1

] Standards for Maintaining l Electronic Records (E)(continued)

Retention ofInactive Electronic Records (9) (continued)

I' j e Offices that use contractors to retain electronic records on their

' behalf must ensure that the records are retained in accordance with this handbook. (e)

{ . Inactive records should be retired to approved storage as soon as

practical. (f) i e Offices are encouraged to use the NRC Archival Facility when i practical. The facility will be responsible for testing and rewinding electronic media left in its care. (g)

{

3

. The IRMB, DISS, IRM, will coordinate the transfer of electronic records to the Federal Records Center. (h)

IO e The storage media containing permanent electronic records must j(j

, meet the criteria of this handbook. (i) l . Electronic records of short term value may be retained and i destroyed in the originating office without being transferred to the l IRMB. (j) 4

Records Disposition Schedules for l Electronic Records (F) i Electronic records can only be disposed of by applying an approved l.

NRC records disposition schedule or a GRS listed in NUREG 0910, "NRC Comprehensive Records Disposition Schedule."(1)

Unscheduled electronic records, along with related programs,

documentation, and indexes, must be retained until their disposition is approved by NARA. (2) i The information in electronic records systems, including those systems operated for the _ Government by a contractor, must be scheduled for i

disposition as soon as possible but no later than 1 year after the system

becomes operational. (3) i l-Approved

September 17,1992 69

NRC Records Mcnagement Program Part 2 - Records Management IIandbook 3.53 Part IX Records Disposition Schedules for Electronic Records (F)(continued)

Schedules for new or unscheduled electronic records are established as described in Part II of this handbook. The scheduling procu ,is .

initiated by the individual or the organization responsible for developing the electronic records or system by employing the .

following procedures:(4) *

. Determine if a records disposition schedule already exists for the electronic records by referencing the NRC Schedule and the ORS in NUREG 0910. Assistance can be provided by each office's Records Liaison Officer (RLO), or by contacting the IRMB (a)

Electronic records that are not already scheduled for disposition must be scheduled by e employee of organization responsible for creating the records by submitting NRC Form 331, " Records Retention and Disposition Authority" (Exhibit 16), along with NARA Form 14028, "Information System Description" (Ex-hibit 24), through the office RLO to the Chief,IRMB, DISS,IRM.

IRMB will prepare the SF 115. " Request for Records Disposhion Authority"(Exhibit 27), and submit it to NARA for approval. The retention period will usually follow that period allowed for the hard copy counterpart. Administrative records are destroyed after 2 years, program records are destroyed after 10 years, and highly significant program records are retained permanently. (b)

IRMB will annually review all electronic records systems for conformance to established agency procedures, standards, and policies as part of the periodic reviews required by 44 U.S.C. 3506. The review should determine whether the records have been properly identified and described and whether the schedule descriptions and -

retention periods reflect the current informational content and use. If '

not, or if substantive changes have been made in the structure, design, codes, purposes, or uses of the system, IRMB will submit an SF 115 .

(Exhibit 27) to NARA. (5)

Disposing of Electronic Records (a)

Sensitive, Propr* tary, and National Security Information (1)

Electronic records authorized for destruction in an approved records disposition schedule must be disposed of in a manner that ensures protection of any sensitive, proprietary, or National Security l

( 70 Approved: September 17,1992

NRC Records Management l'rogram l' art 2 - Records Management llandbook 3.53 l' art IX f

l Disposing of Electronic Records (o)(continued)

)

)

d Sensitive, Proprietary, and National Security Information (1)

(continued) 0:

i Information. Magnetic recording media previously used for electronic

i. records containing sensitive, proprietary, or National Security Information are not to be reused if the previously recorded j information can be compromised in any way by reuse.

i

Unscheduled Electronic Records (2)

! Unscheduled electronic records must be retained until disposal is i authorized by the Archivist of the United States, i

l Archival Records in Electronic Format (a)

Requirements for Permanent Records I

Permanent electronic records that are transferred to the National Archives must be on either open reel magnetic tape or tape cartridges il that meet the NARA requirements found in 36 CFR 1228.188, l Chapter XII," Machine Readable Records."(1)

) e Open reel magnetic tape must be on one-half inch, seven or

nine track tape reels recorded at 800,1600, or 6250 bpi. (a)

. Tape cartridges must be 18-track,3480-class cartridges recorded at 37,871 bpi. (b)

! *. e The data must be written in ASCII or EBCDIC with all extraneous

! - control characters removed from the data (except record length indicators for variable length records or marks designating a da-i-'

tum, word, field, block, or file), blocked at not higher than 32,760 i

bytes per block. (c) i e The open reel magnetic tapes or the tape cartridges on which the data are recorded must be new or recertified tapes that have been passed over a tape cleaner before being used and must be rewound

under controlled tension (see 36 CFR Part 1234, Chapter XII). (d)

, . Approved: September 17,1992 71

l NRC Records Management Program  !

Part 2 - Records Management t IIandbook 3.53 Part IX Archival Records in Electronic Format (n)(continued)

Requirements for Permanent Records (continued) e Electronic records scheduled for permanent retention that are maintained on direct access storage devices must be converted to -

open reel magnetic tape or magnetic tape cartridges that meet the archival standards. (e) .

. The originating office generates and transfers the records to IRMB at the time specified in the applicable records disposition schedule. (f) e RLOs are to initiate the transfer by contacting the IRMB as the diskette is not an acceptable medium for storing permanent records.(g)

Acceptance of Electronic Records by the Courts (i)

Electronic records may be admitted as evidence in Federal courts for use in court proceedings if trustworthiness is established by thoroughly documenting the operation and controls of the recordkeeping system.

(See Federal Rules of Evidence 803(6).) The following procedures 4

should be implemented to enhance the legal admissibility of electronic records:

. System documentation should describe the source of the

information, how the electronic records are created and stored, and the standard retrieval and reporting procedure. (1)

System documentation should substantiate that security procedures in effect prevent unauthorized modification or deletion of a record and ensure system protection against problems .

such as power interruptions. (2) e System documentation should identify the electronic media where .

recortis are stored throughout their life cycle, the maximum time span that records remain on each medium, and the NAR A-approved disposition of all records. (3) e Procedures pertaining to electronic records systems are to be coordinated with the Office of the General Counsel (OGC), senior Office ofInformation Resources Management (IRM) staff, and the records management staff to ensure legal admissibility of the records.(4) 72 Approved: September 17,1992

i l NRC Records Manngem:nt Progrcm

Part 2 - Records Management Ilandbook 3.53 Part IX O

! Security of Electronic Records (J) l Security of electronic records must be ensured by adhering to the

] following procedures:

?

? e Only authorized personnel are to have access to the electronic records.(1) j ". . Backup copies are to be made routinely in order to protect against i

information loss. (2)

{ e Appropriate personnel should be trained to safeguard sensitive or l- classified electronic records. (3)

! \

l . System developers and users are to minimize the risk of

unauthorized alteration or erasure by protecting the work area,

! equipment, the password, files, and data from unauthorized access j and use. (4)

J e The methods to ensure electronic records security are to be 1

add: essed in the computer system security plans prepared pursuant

!; to the Computer Security Act of 1987. (See 40 U.S.C. 759 l note.) (5) c i

Electronic Mail (K)

Electronic mail carries record status if the recorded data meets the j following criteria for a Federal record: (1) i

e The recorded data is made or received by an agency of the United States Government under Federal law or in connection with the i

transaction of agency business. (a)

.I j , e The recorded data is preserved or appropriate for preservation as evidence of the agency's organization and activities or because of the value of the information they contain. (b) i~

Agencies are required to make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency that are designed to furnish the in-formation necessary to protect the legal and financial rights of the Government and ofpersons

' directly affected by the agency's activities. See the NARA regulation, 36 CFR Part 1220, Subpart B, " Agency Records Management Programs," which requires that a record 'of. electronic mail be lO generated and filed with the appropriate record collection when the Approved: September 17,1992 73

NRC Records Managernent Program Part 2 - Records Management IIandbook 3.53 Part IX Electronic Mail (K)(continued) information it contains is record material and adds significantly to the meaning or is required for a thorough understanding of the current documentation. (2) ,

Electronic mail generally consists of miscellancous informal messages from one individual to auother and are usually considered nonrecord.

Refer to the examples of record and nonrecord electronic material i contained in Section (D)(3) of this part to distinguish between record and nonrecord electronic mail communications. (3)

Electronic mail comprised of record material can be destroyed after a hard copy is produced for recordkeeping purposes as specified by GRS 23-2, " Word Processing Files"(NUREG-0910). Electronic mail that is nonrecord material can be destroyed when it is no longer needed. (4)

Glossary (L)

Authentication. The verification of information or data for completeness and accuracy by an individual authorized by the NRC Records Officer to make such a determination.

Certification. Any activity with respect to-The process of ensuring that magnetic tapes or other storage media used to record and preserve information are free of defects and errors The confirmation that magnetic tape, computer output microfilm (COM), or hard copy produced from electronic records is a true copy of the original record COM (Computer Output Microfilm). Microfilm or microfiche containing data produced by a recordur from computer-generated -

signals.

Database. A set of data, consisting of at least one data file, that is ,

sufficient for a given pumose. -

Database Management System. A software system used to access and retrieve data stored in a database.

Data File. Related numeric, textual, or graphic information that is organized in a strictly prescribed form and format.

Disposal Authority. The legal authorization granted by the Archivist of the United States, or for certain series the Comptroller General, to retain records for specific periods.

74 Approved: September 17,1992

NRC Records Management Program

! Part 2 - Records Management 1

Handbook 3.53 Part IX a

l Glossary (t)(continued) l

{ Disposition. The actions taken regarding records that include destruc-j tion of the records, transfer of the records to a records holding area

, or a records center for temporary storage, or transfer of the records j* to the National Archives for preservation.

i j , Disposition Schedule. A document governing, on a continuing basis, the mandatory disposition of recurring records series of an organization or agency. The "NRC Comprehensive Records Disposition Schedule," NUREG-0910, which incorporates the i

General Records Schedule, was approved by the Archivist of the United States as the proper disposition authority for NRC records.

! Electronic Mall. Messages sent or received in electronic form by i ' remote computer terminals.

Electronic Media. The format in which information may be-electronically maintained, such as magnetic tape, magnetic card, j optical disks, and so forth.

} .. Elecronle Record. Anyinformation that is recordedin a form that only i

a emputer can process and that satisfies the definition of a Federal i record under 44 U.S.C. 3301.

Electronic Records System. Any information system that produce),

j manipulates, or stores Federal records by use of a computer.

'! Information System. The organized collection, processing, transmis-

! sion, and dissemination ofinformation in accordance with defined j procedures, whether automated or manual.

1 j Maintenance. The daily use and protection of records.

4 Text Documents. Narrative.or tabular documents, such as letters, .

memoranda, and reports,in hard copy format.

i -

j i

a i

5 4

Approved: September 17,1992 75 i

- _ , ~. - - _ , _ _ - _

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits Exhibit 1 y,,., . . . . . . . , . . . . . _ . _ . _ . . . . . . .

FILES MAINTENANCE ANo DISPostTioN PLAN y/gg/gg

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1. Reading Files NRCS 1-1.11 Cut off at close of fiscal year. Destroy when

. 1 year old or when reference value has been exhausted, whichever is sooner.

2. Travel Files NRCS I-1.6 Cut off at close of fiscal year. Destroy when 1 year old.

3. Time and Attendance Reports Files GRS 2-3.a(2) Destroy 6 months after the end of the pay period.

4. Of fice Administrative Files NRCS I-1.5 Cut off at close of fiscal year. Destroy when 2 years old or sooner if purpose has been served.

S. Technical Reference Files consisting of copies of NRCS I-17 Review annually and documents retained for reference and informational destroy material of no further purposes and which are not part of the official reference value.

files.

i 1

l l

91  !

76 Approved: September 17.1992 L ._l

NRC Records Mcnagement Program Part 2 - Records Management Ilandbook 3.53 Exhibits Exhibit 2 FILES MAINTENANCE AND DISPOSITION PLAN ICeneinverent

'Qf DiaPosite

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Approved: September.17,1992 77 l

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19. TYPE OF CONTAJNER(S)

(NOTB Paper recende must be rested nn t<utesloot receed center borne)

RECORD CENTER BOX

• 4 OTHER (Soecs9)

20. CD4ERAL DESCRIPTON OF RECORDS (Prodde e general ocea@ won of the recor64 usang terme commonly veed by the staff femBler with the reccede,)

m-o m..n l

l 78 Approved: September 17,1992

NRC. Records Management Progrcm Part 2 - Records Management Handbook 3.53 Exhibits Exhibit 3 (continued) rage a or DETAdLED DAGNT0fW OF MComDS REN3 TRANSFERED For eesh Irdfbridual feeder, Idrieer, report tape, een., sweetes aumetent desernpuen to perme retrieval. P,trutses mA % numbers Wiet appey f to the enenartal k.a. esseet number, neenes roammer, eene nummer, eerweet number, bem nummer, eena P ow6ee me deie apen of enen norn

u. epene as os mednas- any i, este e - neested eareiner.T,e to apply the- pW biseveniene

% ine.noe se,go.g.,

earasense termr.inate.d or. - -01/31/90,

,.seced. eene .ee eBosed01/31/.90, etc.).

c re,r., m n aseer.e Trene.ar emn.nuemen -

, 28. egate 33, MECORDS DESCfuPfiON so. g , g ,,,,,

\

as mEconoS LWSON OmCER-Typed Name and Signetse

• ak OATE

27. MEveNING ANAL,YST - Senature 28. DATE D$?$l} MUD @@tWd2fbliiN5Ifh3WBdMEb6sbiiMiiiE@f!!!KMjEM#RRfEN as. DAff TRANSFOW4ED TO PWIC 30. DATE DESTMOYED St. DATE TRANSFEARED.TO NAAA l

p - ,- o u.....

v l l

l Approved: September 17,1992 79

1

.NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Exhibits Exhibit 4 Paco of uc ronu au us wuarm rrr,twom ccurson

' RECORDS TRANSFER Continuellon tETNtro mEurow 0F MECORDS tEs*3 TMHtfUvr.D

• For sech kupwedwallok$4r, tdnoer, report, tape, etc., provide sumdent descrtpuan to permit Fee' W wel. Provide e5 Oden9% numbert that apply to tie meterW je 0 docket number, bonnes number, tese number, contact number,9tum ruumber, sto.). Prowtdo the date span of eaces hem as woe to any cato needed to apperthe depushion inegructans to g., toenas terminated 01/31/so, sene esosed 01/31/90, etc.). Dcmtae space between home in the name container. Trtpee moece when beoenning a new container.

at e II* f $

x -.. 23. ECOFIDS CESC55'rCN 84, gy g O

f 1

• M JM slG-54) 80 Approved: September 17,1992

.--. . - . - - . -. _ -. . _-.-. . . . __ -~ -- - .-

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits Exhibit 5

~

l Qgy;."5W~:;-[^".. I'J __ ; i .[_' ^ -. -' 2 . : :v,Y :.l

. ; ; .n . . ., .? y - .Q: : :- - - . . .

, CRoS% p z'.q?ps 1; ; :. ,;. = : ,n. : =. . : . - -

^

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. REFERENCE (Nome, musi6er, er embleet undee iAlek fAss forms -

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DAtt 70

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CATION OF RECORD saite sumuAny C4 CONitHTS FILED (Neme, numeer, er eu6/eet weder wHe4 iAs deemment iteelfde Ned) one a e.= si osa51!.7' CROSSREFERENCE

(

- Approved: September 17,1992 81

NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Exhibits Exhibit 6 Wac ronu t U.S. huctE AR MEcutatomy couutssioN CHARGEOUT RECORD ITEM CHARGED TO DATE ITEM CHARGED TO DATE

• O p;c,,eoau n ........

O 82 Approved: September 17,1992

.i i NRC Records Management Program Part 2 - Records Management

- Ilandbook 3.53 Exhibits l

Exhibit 7 i

l

, j/

n e

I UNITED BTATEs NUCLEAR REGULATORY COMMISSION wAsHWOToN, D. C. 20899

% /

• • .,,,,* CERTIFICATION oF COPY OF OFFICIAL t.ECORD Part 1 To Be Completed by the Records Liaison Officer I hereby cartify that each document listed below is from the of ficial records of this office and that each record is maintained by this office in the regular course of business.

Document Date Docunnent Title No. of Paams e

Date Signature - Records Liaison Officer Office / Division / Branch Part 2~

To Be completed by the Secretary / Assistant-Secretary Office of the Secretary of the Commission I hereby certify that I an delegated the authority to certify true copies of official NRC documents that include the document (s) listed above, and that each document enclosed is a true and correct

• copy of the official. record that is maintained by the NRC in the regular course of its business.

Dato Signature - Secretary of-the Commission Assistant Secretary of the Commission Enclosure (s):

As stated mac roen sis

-(9-90) 0

\

Approved: September 17,1992 83 w w y - w e e w d r ,w ,-w-_ e,ve.,-,,w,,- r--* e- --=ev~, .+.g m v d>t--r+-t=p---'( w

• as = y-

1 1

1 NRC Records Management Program I Part 2 - Records Management  :

Handbook 3.53 Exhibits ,

Exhibit 8 kmc FCRM 134 U.S. NUCLt AR R EQUt ATORY COMMIS$10N DATE ne sol FILI.NG EQUlPMENT teui e Ewomeni .ene samm.REQUEST sr.4% ene esseANALY.

es e > SIS tO: NAME FHQMc hAME be F IC L/DiVl&lCW j MAlb CODE Aeoorde e*ws Resorie Meneeseneat erenta l Prioret DIS 4/lHM/AMM *

1. Regulsition Nurrt,er is being returned d sopproved because of insufficeent justification of need eM/or lack of the certification etted in Vanual Chapter 5201, Part IV.

2. Reference NRC Manuel Chapter 5201, Part IVe item B, and take the prosesibed prereoussite actions. Check Drie:

This equipment is no longer needed. (Retum requisition to wstkJer listed in **F RO M" ebovej The pmrequis;te actions have been taken end the oculpenent is still needed. (Insert the certification required by Manual Chapter

$201, Part IV, f. tem E. on the reovisition and have the head of the office sign)

3. Provios the information requested below eral retur n to the sencar listec m "S~AOM above. A separate sheet may be used to sontmue explanettons, as appropriate =

e. Why coesni tne present bronch / division / office file or reference center meet your needs?

b.Why doesn1 the Nuclear Documents Sysum (NUDOCG) meet your needs?

c. Con your requirement be met by the use of microform? U Yes U No (Emplain belowl

d. Justification: Deserthe in detail the need for the equipment,

e. Additional informatton describing the requvrement. ( All anformation mt1t be provided.)

1. Linear feet of material to tie accommaleted:

~

linur feet.

2, Size of the meteries: letter site; I legal siae other:

4. Nature of material (a.D.,]Administrative, rProgrammenc. Refe[ence, Working Files);

3. Type of material: officiel records: nonrecord

. (Document Types)

5. Type of Request: U For use at en Official File Scotion; U For use by indivieuel only

6. Purpose of the rneterlaq:

7. Requirement for the material (Indicate prescribing policy, Manual Osapter, Reguistion):

8. Source of the material: .

i

9. Locstion of the Official Record! _

10. Location of other duplicate copies: *

11. Record $chedule covering this meterial:

12. Length of your requirement:

13. When does this material become inactivoi e,

14. Present filing souioment:

TY Pe $12 8 OU ANTIT Y _

4 1

i 4. If the request is for mechanized or specialised file equipment, provide a copy of:

l _

Coseben.fii .ieremem. per M.nuai Ch.,ner s20 s. eart iv c.

Certification reouired by Manual Chapter $201. Part IV, E.

• • 4f the request is for finng caninets, provece e aapy of the f ao plan which governs the tites to be stored in the requested equipment.

.inc. conM iu is.e, 84 Approved: September 17,'1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits

\

Exhibit 9 U.S. NUCLEAR REGULATORf COMM&S&lON N.R.C. FORM ass 4

NRCMD 1.43 REPORT OF RECORDS /NONRECORDS DISPOSAL FORWARD COMPLETED REPORT To: PVtOM g REPORTING OFFact/ DIVI & ION /teANCH e

FILE CUSTODIAN OH STAFF MEMBER RECORCS UAISON OFFictR tRLO) Med Step lineert name of MLO for Reporting Office LOCATIOWBOILC'tNG AND ROOM NUM8tR from toweree side of th.e form)

REMARK 51 Doetsgschen of r.cerd and nonreterd rneterid le to be reported to the Offlee Mooerde (Jaleen Offic.t witten 10 deve of the destrushen actrwity pee NRC Management Ceresdve 3.63. The 6rdeemetion 6. weed to peop.re the Offlee's Arrusel Report of Reeerde Holden 0 and Diepe.ition. R.forenee the ee#wereien totde b. low 14 deterrrune welume in eutwo feet.

VOLUME DESTROYED 8'n euhee e t) I '

DISPOSAL AUTHORITY serif SlDESCRif'T)ON (From NVREG-0910 fee RICORD NONRECOitO R ORDS Reoord Met. rial Ordyl k

4 TOTAL VOLUME SIGNATURE - FILE CUSTOOtAN/GTAFf FAEMBER DATI CONVERSION TABLE CONTAtNER VOLUME IN CUBtC FEET CONT AINER VOLUME IN CUBIC Ff ET L.t,.-eu. n. C. t , ...t e., d,s , , S ir,em.a .to. .se m... , e.e ,e.t

t. eF.n,C.e , . ..e f.et ....e. .. .. .t .. eer t.n., , e.e f .

rg',.t.=a;-- Ss feet d, , . e. R.4 de Cem., Com.r .e i e.e ,s.t - e .,.,

_Meo Co.es and oth.t f d Siaod 2cuarment - Multgdy length a width a h.aght .nd dewede product by 1,728

,en. see io.oi.

Approved: September 17,1992 85

-NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Exhibits Exhibit 10 Instructions for Preparing Records for Retirement to the NRC Archival Facility To ensure the preservation oflong term agency records and to provide for the timely destruction of temporary records, care must be taken in selecting and preparing official records for retirement to the NRC Archival Facility (AF). -

Additionally, records that are scheduled for ultimate transfer to the National Archives and records that are selected for transfer to a Federal Records Center must be prepared in accordance with Federal statutes and regulations before they are retired to the AF.

Organizations desiring to retire records to the AFmust contact the Information and Records Management Branch (IRMB), Office of Information Resources Management (IRM), to request a site review of the material proposed for re-tirement. As necessary, the 'RMB will review the records at the office of origin to determine their true record value and retention requirements.

The container used to retire hard copy (paper) records to the AFis a cardboard carton referred to as a records center box. Each records center box measures 14-3/4 inches by 12 inches by 9-1/2 inches and will hold 1 cubic foot of records.

Records center boxes can be obtained by contacting the IRMB. For emironmentally sensitive records that cannot be stored or transported in cardboard records center boxes (e.g., computer tapes and disks, microform, etc.) the IRMB will provide media containers constructed of 22-gauge steel with lockable lids and a foam lining.

The " Authorized Disposition" instructions defined in NUREG-0910 "NRC Comprehensive Records Disposition Schedule," must be followed when retiring records to the AF. For example, the " Authorized Disposition" .

instructions defined in NUREG-0910 for General Program Correspondence -

Files maintained at the division level and below (NRC Schedule Number I, Part 2, Item 1.b) specify that the files be cut off at the close of the fiscal year, .,

held in the originating office for 2 years, and then retired to the AF. The files will then be destroyed 10 years after the fiscal year cutoff. When boxing these records for retirement, only one fiscal year's records (October 1983 through September 1984, for example) should be retired as one job. The records for FY 85 (October 1984 through September 1985) will begin a new box and will be retired as a separate job.

O I

86 Approved: September 17,1992 1

c NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Exhibits I<-)

v Exhibit 10 (continued)

Instructions for Preparing Records for Retirement to the NRC Archival Facility

? (continued)

, General Instructions for Preparing Records for Retirement:

. Use only records center boxes for retiring hard copy records to the AF.

. All requests to retire records to the AF must be approved by the IRMD before records center boxes or media containers will be supplied.

1 DO NOT seal records center boxes with tape. The bottom of the box is  !

self sealed when records are inserted.The top flaps of the box will interlock j to close the box.

i l DO NOT write anything on the containers to be retired except the box numbers. I l

. DO NOT use paste-on labels on records center boxes.

b e DO NOT pack different series of records in the same container.

Detailed Instructions for Preparing Records for Retirement to the NRC Archival Facility:

1. Estimate the number of records center boxes ormedia containers required to pack the records.To aid in estimating the number of containers required, the following guidelines should be used:

Paper Records Each records center box will hold 1 cubic foot of paper records Three thousand letter sized sheets of paper equal I cubic foot of records

. Each full letter-size file drawer is equal to 1-1/2 cubic feet of records

. Each full legal-size file drawer is equal to 2 cubic feet of records

. Fifteen inches of letter-size files equals I cubic foot

. Twelve inches oflegal-size files equals 1 cubic foot 1

,m Appro .ed: September 17,1992 87

NRC Records Management Program ,

Part 2 - Records Management  !

Handbook 3.53 Exhibits Exhik.10 (continued)

Instructions for Preparing Records for Retirement to the NRC Archival Facility (continued) '

Computer Tapes, Disks, and Microform .

IRMB can provide media containers designed to accommodate-

. Twenty IBM 3480 (or equivalent) cartridges

. Forty IBM 3480 (or equivalent) cartridges

. Nine 10M-inch computer reel tapes

. One 16-inch computer disk pack

. Two boxes of 8-inch floppy disks

. Four boxes of 5%-inch floppy disks

. Twenty boxes of 3M-inch floppy disks e rorty-eight 16mm microfilm cartridges

. Twenty-eight 35mm microfilm cartridges

. Any volume of 4%-inch by 6M-inch microfiche

2. Contact the IRMB 'o request delivery of the required number of record center boxes or media containers.

3. Upon receipt of the records center boxes or media containers, pack the records using the following guidelines:

. Pack only one se' ries of records (as defined in NUREG-0910)in a single i container. Additionally, do not pack records in the same series with .

widely varying destruction dates in the same container.

. When packing the boxes, preserve the existing arrangement of the files. .

. Do not force files into the boxes. Leave a half-inch space in each box.

. Pack file folders upright, with letter-size folders facing the front and legal-size folders facing the left side of the box.

. Remove records with an established disposal date that are in plastic notebooks from the notebooks before packing them in the box.

Substitute metal looseleaf rings or posts for the notebooks, if appropriate.

88 Approved: September 17,1992

j NRC Records Management Program l Part 2 - Records Management Ilandbook 3.s3 Exhibits

!O Exhibit 10 (continued)

Instructions for Preparing Records for Retirement to the NRC Archival Facility '

l ,, (continued) l, Computer Tapes, Disks, and Microform 4

(continued) t e Place permanent records that are in plastic notebooks in the box with i the back of the notebook laying flat against the bottom of the box. DO I NOT stand the notebook on its end when packing the box.

j e DO NOT pack file folders and plastic notebooks in the same box.

j e DO NOT pack file folders on top of one another in a box.

i

4. After the records are packed, number the containers sequentially (l of 10,2 A

of 10,3 of 10, etc.) with a permanent black marker in the upper right front

corner.

5. Prepare NRC Forms 35 and 35A, " Records Transfer."

! 6. Close the containers. Close records center boxes by consecutively closing i

the four top flaps of the box, tucking the corner of the last flap under 4 -

j corner of the first flap.

7. Submit the completed NRC Form 35 to the IRMB.

8. Upon receipt and review of the NRC Form 35, the IRMB will assign the records a job number and will arrange for pickup and delivery of the containers to the AF.

i i

Approved: September 17,1992 89

NRC Records Management Prograra Part 2 - Records Management Handbook 3.53 Exhibits Exhibit 11 Instructions for Preparing NRC Forms 35 and 35A,

" Records Transfer" and " Records Transfer Continuation" NRC Forms 35 and 35A, " Records Transfer" and " Records Transfer Continuation," are stocked only in the Information and Records hianagement Branch (IRhiB), Office of Information Resources hianagement (IRhi). All

• requests for these forms should be directed to the IRhfB.

General Instructions for Preparing Forms

. The transferring office completes blocks 11 through 21 and 23 through 26 of NRC Form 35.

• The IRhiB completes blocks 1 through 10,22, and 27 through 31 of NRC Form 35 upon receipt of the form from the transferring office.

Use a typewriter to prepare the forms. These forms will be retained by the IRhiB permanently and will be used as the documentation to transfer permanent records to the National Archives of the United States.

Each separate record series must be submitted as a separate job, on a separate form.

Records in the same record series with widely varying disposal dates must be retired as separate jobs. Generally, one or two years of records can be retired as one job.

. Before preparing NRC Forms 35 and 35Ac pack the records in records center boxes or media containers prosided by the IRh1B.

• Use only one NRC Form 35 for each job being retired, e

Use as many NRC Form 35As as necessary to completely describe the '

records being retired in each job.

. Double space between lists of items in the same container. .,

e Leave three blank lines when beginning a list for a new container.

Detailed Instructions for Preparing NRC Form 35

1. In the block titled " Originating Office" (block 11), indicate the office, disision, and branch of the organization responsible for the records.

2. In the block titled " File Custodian" (block 12), indicate the name ano phone number of the file custodian responsible for the records.

90 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Ilandbook 3.53 Exhibits Exhibit 11 (continued)

Instructions for Preparing NRC Forms 35 and 35A,

" Records Transfer" and " Records Transfer Continuation" (continued)

. Detailed Instructions for Preparing NRC Form 35 (continued)

3. In the block titled " Location of Records"(block 13), indicate the building and room number where the records are located.

4. In the block titled " Title of Record Series"(block 14), identify the series of records being retired. Refer to NUREG 0910, "NRC Comprehensive Records Disposition Schedule."

5. In the block titled " Record Schedule Number" (block 15), indicate the appropriate record schedule number from NUREG-0910.

a. Identify the name of the schedule: (NRCS) for Nuclear Regulatory Commission Schedule and (GRS) for General Records Schedule O b. Identify the schedule number, the part number, the item number, Examples of records schedules include-(1) NRCS I 2.1.a (this represents Nuclear Regulatory Commission Schedule Number I, Part 2, Item 1.a.)

(2) GRS 1-33 (this represents General Records Schedule Number 1, Item 33)

6. In the block titled " Classification of Records"(block 16), type an "X"in the appropriate box to identify whether the records are classified. If the records are classified, indicate the classification of each file in the detailed " Records

• Description" (block 23) and indicate the highest classification in the block

, titled " Highest Classification" (block 16).

7. In the block titled " Record Medium"(block 17), check the block labeled

,. " Paper" if the records being retired are paper. If the record medium is microform, audiovisual, or machine readable, check the appropriate block and indicate the specific medium in the block titled " Provide Specific Medium." For example, if the records being retired are IBM 3480 tape cartridges, the block labeled " Machine Readable" should be checked and

" IBM 3480 Tape Cartridges" should be typed in the block titled " Provide Specific Medium."

8. In the block titled " Total Number of Containers"(block 18), indicate the total number of containers being retired in this job.

Approved: September 17,1992 91

NRC Records Management Program Part 2 - Records Management liandbook 3.53 Exhibits Exhibit 11 (continued)

Instructions for Preparing NRC Forms 35 and 35A,

" Records Transfer" and " Records Transfer Continuation" '

(contintled) '

Detailed Instructions for Preparing NRC Form 35 (continued) -

9. In the block titled " Type of Container (s)" (block 19), check the block labeled " Record Center Box"if the containers are record center boxes, or check the block labeled "Other"if the containers are not record center boxes. If the block labeled "Other"is checked, indicate the specific type of container.

10. In the block titled " General Description of Records"(block 20), indicate a general description of the records being retired. Describe the records, using terms commonly used by the staff familiar with the records.

11. Beginning with container number one, type in the container number in the block titled " Container Number"(block 21).

12. Beginning with container number one, describe the records packed in the containerin the block titled " Records Description"(block 23).The records must be described in sufficient detail to facilitate future references to the records. The following are important points to remember when describing retired files:

Provide a description for each separate file folder, binder, report, tape, and so forth, that is in the container. A record center box that contains 12 file folders will require 12 separate descriptions (one for each folder) on the form.

. Generally, the title of a file folder, binder, report, and so forth, is -

sufficient description ifit clearly identifies the contents. DO NOT simply type " Subject File," or " Case File," without identifying the specific .

subject or case.

Provide a clear indication of where the description of one file stops and another begins. Generally, double spacing between the description of separate files provides a clear separation. You may type a continuous line across the page to separate files or use any other method that provides a clear separation. DO NOT type a continuous string of text with no clear indication of where the description of one file stops and another begins.

92 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits

(

Exhibit 11 (continued)

Instructions for Preparing NRC Forms 35 and 35A,

" Records Transfer" and " Records Transfer Continuation" (continued)

Detalitd Instructions for Preparing NRC Form 35 (continued)

. Include with the description of each file anyidentification numbers that pertain to the file, for example, docket number, contract number, license number, case number, form number, and so forth. DO NOT type a single heading consisting of an identification number followed by a list of files that are associated with the identification number, e DO NOT type any headings followed by a list of files that are associated with that heading. Retype the text of the heading as the beginning of the description of each file.

. Clearly define any identification numbers that pertain to the files. If a nurr.ber is a docket number, precede it with " Docket Number"; if a number is a case number, precede it with " Case Number"; and so forth.

DO NOT type a series of numbers without clearly defining their significance.

DO NOT use abbreviations or acronyms without first defining them.

13. For each entry in the " Records Description" block, indicate the date span (beginning month / year and ending month / year) of the records in the block titled "Date Span"(block 24).

14. When all the records in container number one have been described, leave three blank lines and continuing with container number two, type the container number in the block titled " Container Number"(block 21).

4

15. Describe the records in container number two in the same manner as container number one.

l '

16. Continue to type the container number, description, and date span of the records for each container to be retired in the record series. If additional space is needed for describing the records, use as many NRC Form 35As as necessary.

17. When all the records to be retired have been described, number each page in the space provided at the top right corner of the page.

18. In the block titled " Records Liaison Officer-Typed Name and Signature" s (block 25), type the name of the Records Liaison Officer (RLO)in charge of the office transferring the records. Have the RLO sign this block.

Approved: September 17,1992 93

NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Exhibits Exhibit 11 (continued)

Instructions for Preparing NRC Forms 35 and 35A,

" Records Transfer" and " Records Transfer Continuation" (continued) '.

Detailed Insicuctions for Preparing NRC Form 35 (continued) .

, l

19. In the block titled "Date"(block 26), type the date that the Records Liaison

, Officer signed the form.

20. Retain one copy of the completed form as a suspe:ise copy. Subrnit the original to the IRMB, Mail Stop 7714 MNBB.

{

9 s

O 94 Approved: September 17,1992

J f

NRC Records Management Program Port 2 - Records Management i

Ilandbook 3.53 Exhibits J

l i

Exhibit 12 1

f REQUEST FOR OFFICIAL PERSONNEL foe. el L DATE 0' "EGMT i

! (SEPARATED EMPLOYEO

, sEctsON >=.TO DE Co PLETED SV MEQUESTl G AGENCY

2. CURREMI MAh! (L.a4 /bst mudj.) 2a. NAM ( UNDLA g,Hacel IOftMLALY (WLOYLD f(DLAALLY (t/diverve, sese

Isom D I

~

I g *4 .

3. DAllof Satu j N ATO.dAL PERSO.s.8EL RECORDS CENTER J

(Civul.n P.r.onn.t R e.gs.) 4. socaL SLCufuTY huuttA i

111 WIMMES AGO STREET ST. Louis,asO estte r - -rr n- cn poLDiMncOwgFEO an.a a o ,e i

LOW, ., - *

n.u Th.W.g y e r, nN .e P ed.a

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'* s. atAson roe atautst (cA.rm cp,.pn.= a.o O = Co, ,emor vo, n. T.m ,.,, . ,, , , .i ,, w. . u, a

) 7. fitMARKs 4

SECTBON 88-FOR USE BY MECORDS CENTER

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O6r .i .e w--.i -.i.* i s .e '*

O .- . - ai.a . ~

i.n

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i a' sEcTiOw m-To se co .Larao eV neoutsismo AnancV

• e e te ., e, vt e ,288 C r i

STAMDAmo.P.om

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- . 4,.p) i

Approved: September 17.1992 95

1 l

l i

-NRC Records Management Program i Part 2 - Records Management Handbook 3.53 Exhibits '

Exhibit 13 NRC FORu 519 UA NUCLEAR REQULATORY COMMIS$40N (691)

TRANSFER OF OFHCIAL NRC RECORDS TO AN AGREEMENT STATE ',

IE@EUMMTIEE9dd:nt-60 B'Eid6UE5fD$BY[R8 COA 55hiiS'CWOfflhfRNIEEElilIE9IENUEIIIUiEE E. 'OmCE W!TM PHY$aCAL CUSTOOY OF RECOfCS

.-1. PROGR AM 08FICE RFSPONSISLE FOR RECSPOS g HEADouARTERS OmCE/tM$aON/8 RANCH HEADOUARTERS OFTICE/DMCaCN/BRANCr4

, REGION REC 80N 3

A. R&COROS A4 Al&ON OF P ICS.R A RECOROS LJ A15CN OFFICEH l

i B.TE' '*r ^<V C. MAIL STOP 8. T & LEPHON E C. mas k S T OP

w. .c 3.LOCAf.s Of RELORDS 4. F4LS CUSTOO4AN I

5. AleHLEMtNT/Aw& S:CoAEN T REQUIRING TRAh4P tn Of RECORDS S. FEDERAL REGICTER NOTICE A */OLUME EL PAGE NUMBER C. DATE 4

F.NAME AND AOORE14 OF STA TE AGENCY TO RECEIVE RECOROS S. AGENT TO WHOM RECOROS Pf(LL SE TRANSPERREO

& PROPOSED DATE OF TRAN3FER

10. ACTUAL DATE OF TRANSFER

11. NVENTORY OF RECOROS BENG TRANSFERRED (Comcaeto e esoerece form for eem #ecere eme. Use NRC Famt St9A 17 eddinonal ooece la required )

1 A RECOFC SER'ES EL RECORO SCHEDULii NUMBER l

,FROM NUREG@t0) FROM NilREG49101 D. DATE SPAN i C RECORO DESCRIPTION HDENTIS Y E ACH CASE FILE. LICENSE FILE. ETCJ FROM (MO/nq TO Sto/(H) l i 1

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1 NRC Records Management Program )

Part 2 - Records Management o ._ Handbook 3.53 Exhibits t 8 v>

Exhibit 14 s_,,, ..e.m....._A,o..-.,_ . . . ~ . _ . ~ ~ . . . - . ~ _ _ . - -

ANNUAL REPORT OF * " ' ' ' ' '

.' RECORDS HOLDING AND DISPOSmON a =.ma os asnonr m.os A.**

, REPORT FOR YE AR ENDING SEPTEMBER 30.19 -

4 S REPORT FOR;

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NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits Exhibit 15

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NRC Records Management Program l

l Part 2 - Records Management i

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Exhibit 16 t

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" Nmc FORM 331 U.3, NUCLEAR REGULATORY COMMs55 TON t

toisi 1. CONTROL NO.

i y RECORDS RETENTION AND DISPOSITION AUTHORITY i

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\ 6. Ev ALUATsON ##nensde Aeertruerson por serenesen pertos ena reesons a,seaser se arerrenrea, snavere seseasonants et treme es oraer seems in ene same er othe.' erpenstessenet units we reverse ssee !!additionalsonce Jn requored,)

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p. Approved: September 17,1992 99

NRC Records Management Program Part 2 - Records Management HandLaok 3.53 Exhibits Exi.tibit 17 Certification r.

In accordance with Part III of U.S. Nuclear Regulatory Commission (NRC)

Handbook 3.53, "NRC Records Management Program," a review was f conducted by my staff to segregate papers within the following categories of records: (1) Official Record Copies of Governrnent papers; (2) classified and Official Use Only papers; (3) personnel, proprietary, and safeguards papers; (4) investigative papers; and (5) protected information from other agencies.

Also, my staff's review was subject to an audit conducted by the NRC.

On the basis of this review and to the best of my knowledge, I bereby certify that all papers within the categories described in the foregoing paragraph have been segregated and that no such papers are included in the papers that I plan to dor. ate to [NAME OF INSTITUTION].

i O

Date: '

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l 100 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management

/

Handbook 3.53 Exhibits

'(

l Exhibit 18 i

Request to the Chairman for Access to Classified Information

,1

[NAME

's Chairma)n i U.S. Nuclear Regulatory Commission l Washington, D.C. 20555 i

Dear Chairman [NAME]

• Executive Order (EO) 12356 provides that a former Presidential Appointee may continue to have access to classified information that he or she originated, reviewed, signed, or received while in office if the agency,in order to waive the requirement that access to classified information may be granted only as is essential to the accomplishment of authorized and lawful Government purposes, makes a determination that allowing continued access to such <

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classified information is consistent with the interest of national security.

As you know, all the classified information in my files has beenhvill be retained t

by NRC. Since it is my desire to have continued access to that information, it is requested that you make the determination required by EO 12356 as set forth

} in the enclosure to this letter.

Sincerely, i

Enclosure:

As stated Approved: September 17,193'2 101 1

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NRC Records Management Program ,

Part 2 - Records Management  !

Handbook 3.53 Exhibits  !

Exhibit 19 Continued Access to NRC Classified Information by Former NRC [ Title /Name] Official '-

In order to waive the requirement of Section 4.1(a) of Executive Order (EO) .

12356, " National Security Information," that access to classified information* '

may be granted only as is essential to the accomplishment of authorized and lawful Government purposes, I have determined, as provided in Section 4.3(b) of EO 12356, that allowing former NRC [ TITLE /NAME] continued access to classified information contained in items he (or she) originated, reviewed, signed or received while serving as a Presidential Appointee is consistent with the interest of national security.

This determination is made with the understanding that all classified information to which he (or she) will be allowed access will be protected by him (or her) from unauthorized disclosure or compromise and will be safeguarded in a manner consistent with EO 12356,its implementing directives, the Atomic Energy Act of 1954, as amended, NRC security regulations, and any requirements that may be imposed by other U. S. Government agencies for the protection of theirinformation.

Additionally, former [ TITLE /NAME]'s access to this classified information is contingent upon his (or her) signing or having signed a Standard Form 189,

" Classified Information Nondisclosure Agreement."

The documents will be reviewed (1) onlyin a room with access controlled by the NRC's Division of Security and (2) as appropriate, according to other procedures specified by the NRC's Division of Security.

J Date (NAME hTC Ch] airman

• NRC classified information includes National Security Information covered by EO 12356 and Rest.icted Data /Formerly Restricted Data covered by the Atomic Energy Act of 1954. as amended.

102 Approved: September 17,1992

i

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits

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Exhibit 20 t

Pace __ of ___

NfC FORM 340 RS. HU2IAR NOULATON NNW i D a.si j1 VITA!. RECORDS PLAN mm conc.ie m un. sue,mn eted norm = e. NRc w Ome.r. swnxss/wwe, uen see, uNsa m4.

j , t. N WE OF OFFICE $USMITTING THIS WTAL ECOFES PLAN 4

2. NAME AND TITLE OF OFFICIA8 N CONTACT EGAFOeNG TreS MTAL RECORDS PLAN PHONE NUMBER

3. OENTIFICADON QF RECCHDS TD SE INCLUL ED IN THE MTAL RECORDS PHOGAAM (Number each espetete Mem) include the focowing hformation for oediitem: p) General description of sie records. (B) Mtal records category (Emergency Operating Records or Rghts and Iriterest Recordek Q Name of the Omoe/DMoon/ Branch with physical custody of the rocc Jo, (D) Justification for s

incausion of the records in the Mtal Records Pro 0rmm. NCTTE For each item temagertmed me Emergency Opereeng Rezwete, also adenery me a

NRC PioGrant tr RegionalOmco atto urs he unmg me socords and me spec #c estooedwin she whose the necorde me he r*

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4. APPRCNAL S4GNATUAES A. K. CORD $ LWSQN QFFICER . Typed name S Onetar* Dete

8. OFFICUt OLRECTCA Typed name Signatu'* Dare l

C, NRC FW. CORDS OFFICEM. Typed name $sgnetare Date

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Approved: September 17,1992 103

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.NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits Exhibit 21 Mc FOsw w LLS, MJC11.M4 fMiGIAAIOffY COMh4SSION Ns.ss VITAL RECORDS PLAN r, IDENTIFICATION AND IMPLEMENTATION DATA havuctions: Pnpre one NRC Form 36 har each eT9 towed hem en the NRC Form 340, W Reaards Plan

• _

1. CFFICE SUBMITTWO THE NRC ForW DaQ, MTAL NCOROS PLNf 1 DESCRIPTCH AND ITEM NUMBER OF THE RECORDS FHOW THE NRC FORM 340, MTAL RECORDS PLMr

3. VITAL RECORDS OTEGORY (Cmergency Operating or Rights and leitsrest Recorce) 1

4. Of FICE/DMS3Or4/84V4CH WITH PHYSICAL CUSTODY OF THE RECOROS )

5. OFHC4AL TO CONTACT FOR NFORMATON REGARDING THE RECORDS A Name and 71tje IL Phorie Number

6. RECORCS LWSON 08T1CER RESPONStBLE FOR TRANOFERRENG RECORDS TO THEE IRMS A Name and Title IL Phone Pennbar

7. ESTIMATED VOLUME OF RECOROS 8. CLASS &FICATION OF RECORDS 9. PHYSICAL FORMAT OF RECCHOS (State volume in cuble feet) (Paper, Microform. Computer Tape, oto,)

10. FREQUENCY AND METHOO OF TRANSFENUNG RECORDS TO THE IRMB f

l

11. UPCA!WO RECORDS WILL REQUIRE: 12, WLLUSE OF THESE RECOROS REQUIRE 13. AAE ADDITONAL FUNOS REQUIRCD (Check one box) ANY ELECTRONIC / MECHANICAL TO REPRODUCE COPIES FOR OFFSITE EOUtPMENT7 (Checdt one box) STORAGEt (Check one bozl A COMPLETE REPLACEMENT A NQ A.YES i

L PAGE CHANGES ONLY B. YES (Specit/ below the equipment D.NO A

{ that ws( be needed) .

C. OTHER (Specify beiow) Equirmant needed to use records- , Estimated annual cost to produce copies tor effsite storage.

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104 Approved

September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits Exhibit 22 Office Project File Sections and Contents Section 1: Project Background

• Project Descriptive Summaries

. Project briefs or other identifying documentation i e User request letters e Response letters e Endorsement letters e

NRC Form 367. " DOE [ Department of Energy] Source Selection Justification" e

Memorandum recording review group appraisal Section 2: General Correspondence

. Memoranda on meetings, telephone conversations, decisions,~ and so forth Correspondence (interagency or interoffice) e Miscellaneous pertinent documentation Section 3: Proposal Information

. Statement of Work e Requests for Proposal

. Proposals (Schedule 189s)

. Proposal evaluation memoranda

. Other appropriate proposal documentation Other appropriate documentation regarding Management Directive 10.6,

" Utilization of Consultants, Members, and Other Adviscry and Assistance Services"(formerly MC 4139)

Section 4: Program Execution

( .

Initial NRC Form 173 and attachments, including any documentation (NRC Forrn 189 or other forms) that re6nes or augments the terms and

conditions of the Statement of Work for the project

. Concurrence page of transmittal memorandum Security / Classification (NRC Form 187)

. Subcontract information Program modifications (NRC Form 173 and attachments)

Program closeout (NRC Form 173 and attachments)

. Property acquisition records Disposition of NRC-owned documentation generated at DOE work center e Disposition / protection of proprietary information Approved: September 17,199.' 105 i

i NRC Records Management Program Part 2 - Records Management IIandbook 3.53 Exhibits l

Exhibit 22 (continued) 1 Office Project File Sections and Contents (continued) ,

Section 5: Program Monitoring e Monthly / quarterly letter status reports ,

• Task and subtask reports e Resiew reports e Performing organization performance evaluation

. NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" Section 6: Funding Information

. Voucher log e SF 1081 Voccher and Schedule of Withdrawals and Credits e Project reprogramming documentation

• Ninety percent funding notification

• Final closeout voucher 4

't 9

106 Approved: September 17,1992

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Part 2 - Records Management Handbook 3.53 Exhibits) i

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. Exhibit-23 b

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i mac FORM ass U.S.hucLEAR AEGUuTORY COMauS4eOfe ammuwenn eHoe PROJECT FILE IDENTIFICATION

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NRC Records Management Program Part 2 - Records Managenent Handbo9k 3.53 Exhibits Exhibit 24 INFORMATION SYSTEM DESCRIPTION 1.svsfauTiitt a. svsta= cont ao6 Nv=ean a actNew paooa Au svesonf to a r sysTsw 4 pnoest Au Av7Nomev v .

6. SYSTEM DESCRIPTION sa,evneostravNctioN o* system ,

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4 1

1 NRC Records Management Program Part 2 - Records Management j Handbook 3.53 Exhibits I

Exhibit 24 (continued)

I Definition i

• j An /nformet/on System is the organized collectson, prccessing, transmisson, and dissamination of infor.

mation in accordance with defined procedures. NARA's concem is with the govemment information in the system, that is, with information created, collected, processed, transmitted. disser,sinated, used, storad.

3 and disposed of by the Federal Govemment. An electronse information system indudes the inputs and j ,

outputa that are generated, as well as the informaboa on electronac rnedia. The system may contain

t budgetary, fiscal, social, economic, scientrfic-technical or program-related data and information, operated .

j in support of agency programs and rnanagement responsabilsties.

J i

Explanations i

• 1. The commonly used name and acronym of the system (e.g., Budget System, Grain Monttt,nng System (GMS), etc.)

1

2. De intomal control number assigned to the system for reference, control, or cataloging purposes

{e.g.. Information System Inventory Numoer, ADP Plan control mimber, etc.)

3. What agency programs or missions does the system support?

4. What laws, directives, etc., authonze these programs?

5. Desenption has the fo!!owing sections:

![ a) Purpose /Func0on: The reasons for and the requirements met by the system.

Ik~ b) Sources of Data: The primary sources or providers of data to the system (e.g., Broadcast I.icense Holders, Corporatsons doing business in the US, etc.). Does this system receive information from i other systems, erther from within or outsico your agency?

',_ c) /n/brmation content: The principal subject matter, data coverage, time scan, geographec cover-age, upcate cycle. whether the system saves superceded information, makr characteristics of the system, and whetner the system contain microdata or summary data,

' d) Outours: The pnncipal products of the system, (e.g., reports, tantes charts. graprne displays, catalogs, corresporvience. etc., and an indication of the frequency of preparation.) is informaton

from this sys;em transferred to otner systems?

6. and 7. Sett explanatory.

8. Citations of crevious NARA disposidon jobs approving disposition of components (e.g., input forms, i pontouts COM, output reports, etc.) of the system.

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• l Approved: September 17,1992 109 i-l

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits Exhibit 25 as fqC FOMat 34

!4.4%) U.S.huCLE AA REGULATOftY COMuts&iose NRCuDiu REQUISmON FOR SUPPLIES, EQUIPMENTe OR LABOR SERVICES ,,,,

pant av e, sottow ima reucrices ce navsass os ponessaf.

8. PROCESSING OFFICES f*

streert oSaa o ONmYaYp'nSe esamtw I.REQU131 TION nut #SER A. REQUISITIONihG ORGANZATION

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_g 3, HEQUISITIONING OFF sC&R tagaeant F. Sptr To " . . eis ommaise.e= comuusse aan.ny assegnes 4 AcTiose sc4A Tunt Da rt 4 803T10 s PQ.INTRY s FILLED ews 2 rwswse 9 es one esswee etshe hvem seemt L APP

.e am'erAOVshe ALS Aepwer thans mar #Wiew Oneeense wiser G.f Orfmeasuses er OsagnseJ s @ M ETED l eurwy ' i k !' Ph$ E,icsCIRTiflCAT10f* 07 7N'-5

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mess.es se were setersianos se se as e es mov ter emenini en.s ar swsmme6 ALLOf tsf MT SYMBOL 9IN NOW9E A $ & n nub 895 A AbiOI.rNT Pusecto a PAUPt ATY CulTGosAN L g

m 0FricE/04vt340*s piparton on DissGNEs sa, r ,*/ FvNos canTarito avAstAett ey es,wn. net DA f t D. REQUESTED TTE4t3 Pease J rpe er het e=r Dovee Score 8.:--- . Noms) t == oa ir0=u==> a 2. 0 48Ad

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! 110 Approved: September 17,1992 l

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NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits ix) e i

1 Exhibit 26 i

! seC P et p.n I I pas U.S.SuuCLEAA REQULAfD.tY COMMi&SION REQUEST FOR PROCUREMENT ACTION (RFPA)

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I NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits i i

Exhibit 27

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REOUEST FOR RECORDS DISPOSmON AUTHORITY a s'uud[R (see Instructions on rewrwe) (

10 NADONAL ARCHIVES and RECORD 5 ADMINISTRATION (NLR) DATE RECEIVED ,

WASHINGTON. DC 20408

1. F NOM (Agency or essmerwnents NOTIFICATION TO AGENCY L$Y'3303Yt ed spos a r quest includmg amendments. es aporoved excey d mn

, 3. MINOR SUSO4vaSiON 8,8 jl'"*/[g,r 4 NAME OF PERSON WITH WHOM TO CONFER 5. TELEPHONE DATE ARCHnST C# THE Urdl Eo STATES l

6. AGENCY CERTIF.0ATION I hereby certify that I am authorized to act for this agency in matters pertaining to the disposition of its records and that the records proposed for disposal on the attached page(s) are not now needed for the business of this agency or wiu not be needed aft r the retention periods specified; and that written conairrence frorn the General Accounting Office, ur.aer the provisions or Title 8 of the GAO Manual for Guidance of Federal Agencies, O is not required; O is attached; or O has been requested.

DATE SIGNATURE OF AGENCY REPRESENTATIVE Ti1LE IThM 8. DESCRIPTION OF ITEM AND PROPOSED OtSPOSfT10N S P E D T KEN RA NO. JOB CirATION USE ONLY) i t

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115 109 NSN 7540-00-634 4o64 PREVIOUS EDmON HOT USADO STANDARO FORM 115 (F4EV.N3 91)

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112 Approved: September 17,1992

NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits O

V Exhibit 27 (continued) _

INSTRUCTIONS 1 GENERAL (b) Identify separate collections of nontextual Use Standard Form 115 to obtain authority for the records, such as photographs, sound recordings, maps, architectural drawings, or ma disposition of records. Submit two signed copies to disks, as separate and distinct items, ugnetic such tapes or records the National Archives and Records Administration are interspersed with textual records, as in case files, f (NIR), Washington, DC 20408, and retain one copy as your suspense copy. NARA willlater return one their presence should be noted in the description of the textual file.

copy as notification of the items approved for disposal or archival (permanent) retention. This (c) Describe completely and accurately each copy will also indicate any items withdrawn or series of records proposed for disposal or transfer to disapproved. CAO's written approval must either the National Archives. See 36 CFR 1228 for more accompany each SF 113 requiring Comptroller detailed requirements. Fazlure to comply with the General concurrence or be requested prior to the provisions of that regulation will result in the return submission of the SF 115 to NARA. The SF 115 rnq of the SF 115 for corrective action, be accompanied by Standard Form 115A, Continuation Sheet, by schedule items entered on (d) Provide clear disposition instructions for blank stationery formatted similar to the SF 115A, or by pages formatted to conform to the agency's each item and subitem. These instructions should pubushed records disposition . schedule. include file breaks; the time after which records wiii be retired to Federal records centers,if applicable; for temporary records, the time after which they may SPECIFIC be destroyed; and for archival (permanent) records, the time after which they will be transferred to the Entry I should show the name of the Executive legalcustodyof theNational Archives.

Branch department or independer t agency, (e) Ifimmediate disposal or transfer to the Legislative Branch agency, or the Administrative National Archives is proposed for non-recurring Office of the U.

theS.request.

Courts for the Judidal Branch that n(/ is submitting Entries 2 and 3 should show the major and minor records, indicate the volume and ti .clusive dates of the records and the Federal records center accession and box numbers,if applicable.

organizational subdivisions that create or maintain the records described on the form. If more than one (f) Ilfuture or continuing disposition authority is requested, state the retention period la terms of subdivision maintains records described in the submission, the various office names should be events.months, years, etc. or in terms of future actions or Ensure that any future action or event that specified in entry 8.

. must precede final disposition is objective and Entries 4 and 5 should provide the name and definite.

telephone nun ber of the person to be contacted for (g) If records are converted to electronic form, informa tion.

schedule both the original records and the electronic media, unless covered by the General Records Entry 6 must be signed and dated by the agency Schedules.

official authorized to certify that the retention periode for records proposed for disposal are (h) If permanent or unscheduled rec 6rds are adequate to meet the agency's needs, and that GAO converted to microform, the disposidon for both the requirements have been met (check .sppropriate box). original and microform copies must be approved on Unsigned SFs 115 will be returned to be agency. an SF 115. The SF 115 covering the micrc, form must g4 contain the certifications required by 36 CFR 1230.

Entry 7 should contain the item numbers of the Approvalis not required for the disposition of A records identified on the form in sequence, beginning with *1." Lower case letters and numbers may be macroform copies of records authorized for disposal,

[ as specified in the regulation cited above.

used to designate subdivisions of an item (la,Ib, Ib(1),Ib(2), etc.). Agency file numbers should not be E

entered in this column, but may be included in entry 8. Entry 9 must include the previous NARA disposition Entry 8 should describe the records to be scheduled. job and item numbers: Cenoral Records Schedule Follow these steps in describing the records: and item numbers, if applicable; and agency directive or numual and item numbers, if appficable, (a) Include centered headings for groups of as required by 36 CFR 1228. If such information le items to indicate the office of origin if all records missing from column 9, the SF 115 will be returned described on the form are not those of the same without action. Leave column 9 blank onl records are being schedul-d for the first time.y if the office, or if they are records created by another office or agency such as, for example, records inherited Entrv 10 is for NARA use only and should be left from a defunct agency. blank.

q STANDARD r'ORM 115 BACK (AEV. 3-91) v)

Approved: September 17,1992 113 m, .

-NRC Records Management Program Part 2 - Records Management Handbook 3.53 Exhibits Exhibit 28 w Cronu us Us.sa u.s.Nuc m R m oULAra n c ~ m TRANSFER OF STATE GOVERNMENT L RECORDS TO THE NRC '

t MAME AND ADOFESS OF STATE AGENCY TRANSFERRp4G REcorCS TO THE NRC E. MC OFFICE WITH PHYSaCAL CUSTODY OF RECORDS HEADQUARTERS OFTCE/DMSON/SRANCH -

REGON A MCORDS LWSON OFFCER

& TELEPHONE C MAA STOP D. FLE CU5ivs.AAN

& NRC OFY1CE RESPONSIBLE FOR FECORDS A DATE RECORDS WERE RECENED BY NRC Of some na nem 2. do not comohete)

A OFFCE/QMSON/ BRANCH IL RECORDS WAISON OFFCER

5. N OF RECORDS TRANSFERRED TO NRC (State volume in oubio eset)

C TELEPHCHE NC h44L STOP

& INENTORY OF TRANSFEFUED RECORDS (Complete a esperate torm tot mech record caenee. Une NFC Fomt 54$A N add!tional acade is required.)

A RECORD SERES Fecen NLFtEGCetG

& RECEED SCHEDULE NUW8ER (From NUREGC914 C RECORD DESCRPfCN $demify each case 51e, Boonse Gle, etc.) D. DATE SPAN FW W/YM TO W M b

/

3 3

7. SONATuREwCORDS tWSON OFrCER RESPONSistE rCn RECORDS care

8. StGNATUREWCORDS LWSON OFFCER Wtnt PHrSCAL CUSTOOY OF RECCROS CATE pr same as tem 7, no signanere required) f4- Approved: September 17,1992 3 _ _ _ __ _

d NRC Records Management Program

" Part 2 - Records Management Handbook 3.53 ' Exhibits O

l Exhibit 29 i

P=os _._ =' __ .

j- ORh8e4s4 tit mJct.EAa NEautAicnfr m m = N

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3 TRANSFER OF STATE GOVERNMENT A RECORDS TO THE NRC (conunusuon) f 4, NVDffCRY CF TAANSFEFWED REcorc6 (Comcaste a esoarese form ter sech record sortee, Use NRC Furm MSA If addhenal noece le WJ A RECO90 SERES Frern NLJEG00g & RE M N M ER @ 6 4 i

n DATE SPAN C. RECOfC DESCRPTION $dency each ease me, Beense fae, m) m 1

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U Approved: September 17,1992 115