APPENDIX A

APPENDIX A: LIST OF REQUIREMENTS REGARDING DATA GENERATED, PRESERVED, AND ACCESSED

Many of the types of data needed for stewardship are required to be generated, preserved, and accessed under current laws, regulations, orders, or guidelines. Laws and regulations that apply to radioactive and hazardous waste and materials require that certain data be maintained to demonstrate compliance with the statutory provisions. These include the Resource Conservation and Recovery Act (RCRA), the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), and the Atomic Energy Act (AEA). Other laws and regulations address the protection of historic properties and cultural resources. In addition, numerous DOE Orders and guidelines also contain requirements for generating, preserving, and providing access to information.

Table A-1 provides a summary of the requirements regarding the generation, preservation, and/ or accessibility of stewardship data at DOE sites, based on many of the laws, regulations, orders, and guidelines that are applicable to some or all of the DOE sites. Table A-1 presents the requirements by the stewardship data type. Similarly, all requirements regarding data for operations and activities are presented together. Table A-1 also indicates whether each requirement addresses the generation, preservation, and/ or accessibility of stewardship data. It is important to note that Table A-1 does not contain a comprehensive list of all requirements. Table A-1 includes key national laws and regulations and some DOE Orders and guidelines; however, it does not include state and local requirements and all DOE Orders and guidelines. Refer to Appendix B of the Roadmap to the Year 2000 for additional information regarding DOE recordkeeping requirements. ¹

Data Type	Requirement	Source	Category
Hazards and Controls
A. Existing Hazards	Information on hazardous constituents is generated through RCRA permits and operating records. Information on radioactive waste at NRC licensed facilities is generated through waste disposal and materials handling licenses.	RCRA	Generation
	RCRA records must be kept for 30 years after the unit/site closure, a copy of the RCRA closure document must be placed on the deed indefinitely.	RCRA	Preservation
	Radioactive waste records must be maintained in compliance with requirements in this DOE Order.	RCRA	Preservation
	Information regarding the total amount of each substance and mixture manufactured or processed; a description of the byproducts resulting from the manufacture, processing, use, or disposal of each such substance or mixture; all existing data concerning the environmental and health effects of such substance or mixture; and the manner or method of its disposal must be reported and maintained, as required by the Administrator.	TSCA	Generation Preservation
	Emergency and hazardous chemical inventory form, which includes chemical name, location, and maximum levels, and material safety data sheets is required and made publicly available.	EPCRA	Generation Preservation
	Requires records of the location, title, condition of a facility, and the identity, characteristics, quantity, origin, or condition (including containerization and previous treatment) of any hazardous substances contained or deposited in a facility to be retained for fifty years after the date of establishment.	CERCLA	Generation Preservation

¹ Roadmap to the Year 2000, August 1995 (Revision 1), DOE Records Management Quality Improvement Team.

LIST OF REQUIREMENTS

Data Type	Requirement	Source	Category
A. Existing Hazards (continued)	Records of the disposal of licensed materials will include a description of the waste, including physical and chemical properties, pertinent information on the nature of the environment, the nature and location of potentially affected facilities, and procedures to ensure that doses are maintained. Records retained until NRC license is terminated.	10 CFR 20.2108	Generation Preservation
	Records are required for any defects or instances of noncompliance with the regulations set forth in 10 CFR Parts 31, 34, 35, 39, 40, 60, 61, 70, or 72. These regulations cover the use, storage, transfer, and disposal of byproduct material, source material, special nuclear material, spent fuel, and high-level waste, among other things.	10 CFR 21.51	Generation Preservation
	Rules of General Applicability to Domestic Licensing of Byproduct Material requires recording test results for leakage of radioactive material from measuring, gauging, or controlling devices. Retention period is 3 years after performing next required leak test, or until transferring or disposing of sealed source.	10 CFR 31.5	Generation Preservation
	Source Material Licensing requires NRC Form 314, "Certificate of Disposition of Materials," on or before expiration of license; a report of results of radiation surveys, and a certification of disposition of accumulated wastes from decommissioning — including a list containing the location and description of all equipment to remain onsite after termination of license due to contamination. Report to be generated with the final step of NRC licensing approval of decommissioning plan.	10 CFR 40.42	Generation Preservation
	Licenses for land disposal of radioactive waste require records for many aspects of land disposal including: the location and quantity of radioactive waste contained in the disposal site, unit performance objectives, design and technical requirements, assurances for institutional controls, and public participation. Retention period is until license is terminated, after which time the record will be transferred to chief executive of nearest municipality, chief executive of county in which facility is located, county zoning board, state governor and other state, local and federal agencies, as designated.	10 CFR 61	Generation Preservation
	Post-closure notices for hazardous waste units at interim status facilities must be submitted to the local zoning authority or the authority with jurisdiction over local land use. A record of the type, location, and quantity of hazardous wastes disposed of within each cell or other disposal unit of the facility must go to the Regional Administrator; and, in accordance with State law, a notation on the deed to the facility property must be recorded. Report must be generated no later than 60 days after certification of closure, and must be placed onto deed indefinitely.	40 CFR 265.110-120	Generation Preservation
	The RCRA Part A and Part B permits must include information concerning, among other things, facility drawings and photographs, description, waste characterization, groundwater monitoring, procedures to prevent hazards, closure and post-closure plans, corrective actions, and a discussion on other federal laws.	40 CFR 270.13-26	Generation Preservation
	Information on the type and quantity of each hazardous substance, hazardous waste, and petroleum product known to have been managed on the real property; underground storage tanks; radioactive substances and contamination; polychlorinated biphenyls (PCBs) and any equipment with PCBs; and asbestos to be included in NEPA document and/ or environmental baseline survey for future stewards. Appropriate information should also be included in the conveyance of the property transfer and provided to the federal agency overseeing the property transfer, if not DOE. If leaving property, information should be provided to appropriate State officials.	Cross-Cut Guidance	Generation Preservation
	Requirements for groundwater monitoring wells include concentrations for each well; results of groundwater surface elevations; quality assessment programs; and rate of migration of hazardous waste or hazardous waste constituents in the ground water during the reporting period. The results of the evaluations of groundwater quality surface elevations should be reported no later than March 1 following each calendar year.	40 CFR 265	Generation
	The license requirements for general long-term care of residual radioactive material disposal sites include information on the monitoring, maintenance, and emergency measures needed to protect receptors from UMTRCA title I and II disposal sites. This information includes a legal description of the disposal site; site ownership, land holding interests, and waivers; final disposal site conditions; and a description of the long-term surveillance program including frequency and reporting.	10 CFR 40.27-28	Generation Preservation

APPENDIX A

Data Type	Requirement	Source	Category
A. Existing Hazards (continued)	Facilities licensed to manage nuclear material are required to submit a NRC Form 314, "Certificate of Disposition of Materials" that details the final disposition/ disposal of special nuclear materials. The report will include information on levels of radiation, planned decommissioning, physical security plan, the location and description of all equipment to remain onsite after termination of license, and institutional controls required. The form is to be completed on or before expiration of license.	10 CFR 70.38	Generation Preservation
	The Independent Storage of Spent Nuclear Fuel and High Level Waste License termination application requires a terminal radiation survey and associated documentation that the site are suitable for release for unrestricted use, including a list containing the location and description of all equipment to remain onsite after license termination. A report must be generated following the final step of NRC-approved decommissioning plan.	10 CFR 72.54	Generation Preservation
	The Operating Record requires a description and quantity of each hazardous waste received; the method( s) and date( s) of its treatment, storage, or disposal at the facility; the location of each hazardous waste within the facility and the quantity at each location; records and results of waste analyses and waste determinations; summary reports and details of all incidents that require implementing the contingency plan; records and results of inspections; monitoring, testing or analytical data, and corrective action; all closure cost estimates and post-closure cost estimates. Records of the quantities (and date of placement) for each shipment of hazardous waste placed in land disposal units under an extension to the effective date of any land disposal restriction, to be furnished upon request. A copy of records of waste disposal locations and quantities must be submitted to the Regional Administrator and local land authority upon closure of the facility.	40 CFR 264.73	Generation Preservation Access
	The operating records for landfills require maintaining the following items: the exact location and dimensions of each cell with respect to permanently surveyed bench-marks; the contents of each cell and the approximate location of each hazardous waste type; an implementation schedule; a detailed description of sampling and monitoring procedures; the quantity of each hazardous waste received, and the method( s) and date( s) of its treatment, storage, or disposal at the facility; the location of each hazardous waste within the facility and the quantity at each location--for disposal facilities, the location and quantity of each hazardous waste must be recorded on a map or diagram of each cell or disposal area; records and results of waste analyses and waste determinations; summary reports and details of all incidents that require implementing the contingency plan; records and results of inspections, monitoring, testing or analytical data, and corrective action; all closure cost estimates and post-closure cost estimates; records of the quantities (and date of placement) for each shipment of hazardous waste placed in land disposal units under an extension to the effective date of any land disposal restriction. Report must be up to date and available at all times (upon request) and be maintained in operating record.	40 CFR 265.73	Generation Preservation
	Records covered by this schedule include the following classes: (a) safety management; (b) medical and health research; (c) operational records for health units, fire units, and biological laboratories; (d) individual case files of employees exposed to hazardous or toxic substances, or radioactivity; and (e) records of DOE-controlled activities reflecting the protection provided to employees, the public, property, and the environment during the conduct of the activity. Some of these records must be preserved 5 to 80 years, depending upon the type of record. Others must be preserved permanently (e.g., files on occurrences that were of widespread public and Congressional interest).	DOE Records Retention Schedules	Preservation
	This schedule includes approved disposition standards for hazardous material (radioactive and fissile material); shipping packaging records, including Certificates of Compliance; Safety Analysis Reports for Packaging (SARPs); evaluation of SARPs; amendments to licenses; and quality assurance records documenting packaging design, fabrication, maintenance, and use. Records are destroyed five years after Certification of Compliance is terminated, unless renewed use of records is definitely anticipated.	DOE Records Retention Schedules	Preservation
	Records of generation, storage, and disposal of radioactive wastes at a geologic repository shall be preserved by DOE that ensures their usability for future generations in accordance with 8560.51(a)(2).	AEA	Preservation Access

LIST OF REQUIREMENTS

Data Type	Requirement	Source	Category
A. Existing Hazards (continued)	Annual assessments of nuclear materials inventories must be developed, including current inventories and plans for reducing inventory levels. Assessments address active materials, which are materials that are actively used in DOE programs, and inactive materials. The circumstances related to all inactive usable materials should be clearly identified, as well as the rationale for continued storage, and the final disposition plan, if known. Information may also include data from Nuclear Materials Management and Safeguards System reports, which include project inventories, inventory composition, and assays.	DOE 5660.1	Generation Preservation
B. Past and Present Releases and Accidents	The RCRA and CERCLA processes for hazardous waste include the generation and preservation of some of these data.	RCRA CERCLA	Generation Preservation
	Some information required in the final survey documentation from DOE Implementation Guide For Radioactive Survey Proceduresand in the reporting requirements.	DOE Order 5400.5	Generation
	Each licensee shall maintain records showing all radiation exposures. Records shall be kept until the Commissioner authorizes disposition.	AEA	Generation
	If a release affects the health of an employee, the record must be kept for 30 years. If a release does not affect the health of an employee, the record must be kept for 5 years.	AEA	Generation
	This requires that a record of an individual's occupational dose received during the current year be recorded in a written statement disclosing the nature and amount of any occupational dose that an individual may have received. Retention period is 3 years.	10 CFR 20.2104	Generation Preservation
	Records of planned special radiation exposures must be maintained, including details of the exceptional circumstances, the actions taken and the individual and collective doses expected. Records must be retained until the NRC license is terminated.	10 CFR 20.2105	Generation Preservation
	Records of individual monitoring results for occupational doses received during planned special exposures, accidents, and emergency conditions must be retained until the NRC license is terminated.	10 CFR 20.2106	Generation Preservation
	Records sufficient to demonstrate compliance with dose limits for individual members of the public. Records retained until NRC license is terminated.	10 CFR 20.2107	Generation Preservation
	Rules of General Applicability to Domestic Licensing of Byproduct Material requires recording test results for leakage of radioactive material from measuring, gauging, or controlling devices. Retention period is 3 years after performing next required leak test, or until transferring or disposing of sealed source.	10 CFR 31.5	Generation Preservation
	Source Material Licensing requires NRC Form 314, "Certificate of Disposition of Materials," on or before expiration of license, a report of results of radiation surveys, and a certification of disposition of accumulated wastes from decommissioning— including a list containing the location and description of all equipment to remain onsite after termination of license due to contamination. Report to be generated with the final step of NRC licensing approval of decommissioning plan.	10 CFR 40.42	Generation Preservation
	Standards for Protection against Radiation require records of radiation surveys and instrument calibrations made pursuant to 20.1501 and 20.1906(b). Retention period is 3 years.	10 CFR 20.2103	Generation Preservation
	The occurrence and duration of each startup, shutdown, or malfunction of operation of air pollution control equipment; all maintenance performed; actions taken during periods of startup, shutdown, and malfunction; all information necessary to demonstrate conformance with the affected source's startup, shutdown, and malfunction plan. Report must be available at all times, and must be retained for at least 5 years following the date of each occurrence, measurement, maintenance, corrective action, report, or record on site; and 3 years of data may be retained off site.	40 CFR 61	Generation Preservation Access
	The Operating Record requires a description and quantity of each hazardous waste received; the method( s) and date( s) of its treatment, storage, or disposal at the facility; the location of each hazardous waste within the facility and the quantity at each location; records and results of waste analyses and waste determinations; summary reports and details of all incidents that require implementing the contingency plan; records and results of inspections; monitoring, testing or analytical data, and corrective action; all closure cost estimates and post-closure cost estimates. Records of the quantities (and date of placement) for each shipment of hazardous waste placed in land disposal units under an extension to the effective date of any land disposal	40 CFR 264.73	Generation Preservation

APPENDIX A

Data Type	Requirement	Source	Category
B. Past and Present Releases and Accidents (continued)	restriction, to be furnished upon request. A copy of records of waste disposal locations and quantities must be submitted to the Regional Administrator and local land authority upon closure of the facility.	40 CFR 264.73	Generation Preservation
	Information on the type and quantity of each hazardous substance known to have been released on the real property is to be included in NEPA document and/ or environment baseline survey for future stewards.	Cross-Cut Guidance	Preservation Access
	The operating records for landfills require maintaining the following items: the exact location and dimensions of each cell with respect to permanently surveyed bench-marks; the contents of each cell and the approximate location of each hazardous waste type; an implementation schedule; a detailed description of sampling and monitoring procedures; the quantity of each hazardous waste received, and the method( s) and date( s) of its treatment, storage, or disposal at the facility; the location of each hazardous waste within the facility and the quantity at each location--for disposal facilities, the location and quantity of each hazardous waste must be recorded on a map or diagram of each cell or disposal area; records and results of waste analyses and waste determinations; summary reports and details of all incidents that require implementing the contingency plan; records and results of inspections, monitoring, testing or analytical data, and corrective action; all closure cost estimates and post-closure cost estimates; records of the quantities (and date of placement) for each shipment of hazardous waste placed in land disposal units under an extension to the effective date of any land disposal restriction. Report must be up to date and available at all times (upon request) and be maintained in operating record.	40 CFR 265.73	Generation Preservation
	Emergency Operating Records: These records are essential to the continued functioning or reconstitution of an organization during and after an emergency. They include: emergency plans and directives, staffing assignments, program records needed for the most critical Departmental operations, policy and procedural records that assist staff in conducting operations under emergency conditions. These records must be available as needed at or in the vicinity of Emergency Operations Centers (EOCs). Additional records included are general management records, lists of key personnel, emergency mission records, and industrial records.	DOE G 1324.5B	Generation Preservation
	Records covered by the schedules include the following classes of records: (a) safety management; (b) medical and health research; (c) operational records for health units, fire units, and biological laboratories; (d) individual case files of employees exposed to hazardous or toxic substances, or radioactivity; and (e) records of DOE-controlled activities reflecting the protection provided to employees, the public, property, and the environment during the conduct of the activity. Some of these records must be preserved 10 to 80 years, depending upon the type of record. Others must be preserved permanently (files on occurrences that were of widespread public and Congressional interest).	DOE Records Retention Schedules	Preservation
	For each such substance and mixture manufactured or processed, information regarding the number of individuals exposed, and reasonable estimates of the number who will be exposed in their places of employment and the duration of such exposure must be reported and maintained, as required by the Administrator.	TSCA	Generation Preservation
C. Disposition of Historical Hazards	Information is required to be generated in RCRA Treatment, Storage, and Disposal Facility (TSDF) Closure Plans and CERCLA Record of Decision (RODs). Notification of RCRA Closure Plan must be placed in the deed for the property indefinitely.	RCRA CERCLA	Generation Preservation Access
	Records of generation, storage, and disposal of radioactive wastes at a geologic repository shall be preserved by DOE so as to ensure their usability for future generations in accordance with 8560.51(a)(2).	AEA	Preservation Access
	Requires records of the location, title, condition of a facility, and the identity, characteristics, quantity, origin, or condition (including containerization and previous treatment) of any hazardous substances contained or deposited in a facility to be retained for fifty years after the date of establishment.	CERCLA	Generation Preservation
	Records are required for any defects or instances of noncompliance with the regulations set forth in 10 CFR Parts 31, 34, 35, 39, 40, 60, 61, 70, or 72. These regulations cover the use, storage, transfer, and disposal of byproduct material, source material, special nuclear material, spent fuel, and high-level waste, among other things.	10 CFR 21.51	Generation Preservation

LIST OF REQUIREMENTS

Data Type	Requirement	Source	Category
C. Disposition of Historical Hazards (continued)	Rules of General Applicability to Domestic Licensing of Byproduct Material requires recording test results for leakage of radioactive material from measuring, gauging, or controlling devices. Retention period is 3 years after performing next required leak test, or until transferring or disposing of sealed source.	10 CFR 31.5	Generation Preservation
	Source Material Licensing requires NRC Form 314, "Certificate of Disposition of Materials," on or before expiration of license, a report of results of radiation surveys, and a certification of disposition of accumulated wastes from decommissioning— including a list containing the location and description of all equipment to remain onsite after termination of license due to contamination. Report to be generated with the final step of NRC licensing approval of decommissioning plan.	10 CFR 40.42	Generation Preservation
	Licenses for land disposal of radioactive waste require records for many aspects of land disposal including: the location and quantity of radioactive waste contained in the disposal site, unit performance objectives, design and technical requirements, assurances for institutional controls, and public participation. Retention period is until license is terminated, after which time the record will be transferred to chief executive of nearest municipality, chief executive of county in which facility is located, county zoning board, state governor and other state, local and federal agencies, as designated.	10 CFR 61	Generation Preservation
	Post-closure notices for hazardous waste units at interim status facilities must be submitted to the local zoning authority or the authority with jurisdiction over local land use.A record of the type, location, and quantity of hazardous wastes disposed of within each cell or other disposal unit of the facility must go to the Regional Administrator; and, in accordance with State law, a notation on the deed to the facility property must be recorded. Report must be generated no later than 60 days after certification of closure, and must be placed onto deed indefinitely.	40 CFR 265.110-120	Generation Preservation Access
	The Operating Record requires a description and quantity of each hazardous waste received; the method(s) and date( s) of its treatment, storage, or disposal at the facility; the location of each hazardous waste within the facility and the quantity at each location; records and results of waste analyses and waste determinations; summary reports and details of all incidents that require implementing the contingency plan; records and results of inspections; monitoring, testing or analytical data, and corrective action; all closure cost estimates and postclosure cost estimates. Records of the quantities (and date of placement) for each shipment of hazardous waste placed in land disposal units under an extension to the effective date of any land disposal restriction, to be furnished upon request. A copy of records of waste disposal locations and quantities must be submitted to the Regional Administrator and local land authority upon closure of the facility.	40 CFR 264.730	Generation Preservation
	The operating records for landfills require maintaining the following items: the exact location and dimensions of each cell with respect to permanently surveyed bench-marks; the contents of each cell and the approximate location of each hazardous waste type; an implementation schedule; a detailed description of sampling and monitoring procedures; and the quantity of each hazardous waste received, and the method( s) and date( s) of its treatment, storage, or disposal at the facility; the location of each hazardous waste within the facility and the quantity at each location--for disposal facilities, the location and quantity of each hazardous waste must be recorded on a map or diagram of each cell or disposal area; records and results of waste analyses and waste determinations; summary reports and details of all incidents that require implementing the contingency plan; records and results of inspections, monitoring, testing or analytical data, and corrective action; all closure cost estimates and postclosure cost estimates; records of the quantities (and date of placement) for each shipment of hazardous waste placed in land disposal units under an extension to the effective date of any land disposal restriction. Report must be up to date and available at all times (upon request) and be maintained in operating record.	40 CFR 265.73	Generation Preservation
	Information on the type and quantity of each hazardous substance, hazardous waste, and petroleum product known to have been managed on the real property; underground storage tanks; radioactive substances and contamination; polychlorinated biphenyls (PCBs) and any equipment with PCBs; and asbestos is to be included in NEPA document and/ or environmental baseline survey for future stewards. Appropriate information should also be included in the conveyance of the property transfer and provided to the federal agency overseeing the property transfer, if not DOE. If leaving property, information should be provided to appropriate State officials.	Cross-cut Guidance	Preservation Access

APPENDIX A

Data Type	Requirement	Source	Category
C. Disposition of Historical Hazards (continued)	Records covered by this schedule include the following classes of records: (a) safety management; (b) medical and health research; (c) operational records for health units, fire units, and biological laboratories; (d) individual case files of employees exposed to hazardous or toxic substances, or radioactivity; and (e) records of DOE-controlled activities reflecting the protection provided to employees, the public, property, and the environment during the conduct of the activity. Some of these records must be preserved 5 to 80 years, depending upon the type of record. Others must be preserved permanently (e.g., files on occurrences that were of widespread public and Congressional interest).	DOE Records Retention Schedules	Preservation
	The schedules include approved disposition standards for hazardous material (radioactive and fissile material) shipping packaging records, including Certificates of Compliance; Safety Analysis Reports for Packaging (SARPs); evaluation of SARPs; amendments to licenses; and quality assurance records documenting packaging design, fabrication, maintenance, and use. Records are destroyed five years after Certification of Compliance is terminated, unless renewed use of records is definitely anticipated.	DOE Records Retention Schedules	Preservation
	Annual assessments of nuclear materials inventories must be developed, including current inventories and plans for reducing inventory levels. Assessments address active materials, which are materials that are actively used in DOE programs, and inactive materials. The circumstances related to all inactive usable materials should be clearly identified, as well as the rationale for continued storage, and the final disposition plan, if known. Information may also include data from Nuclear Materials Management and Safeguards System reports, which include project inventories, inventory composition, and assays.	DOE 5660.1	Generation Preservation
D. Existing Barriers and Mechanisms for Preventing Exposures	Information required to be generated in RCRA TSDF Closure Plans and CERCLA RODs.	RCRA CERCLA	Generation
	Notification of the Closure Plan must be placed on the deed for the property indefinitely.	RCRA	Preservation
	Radioactive Waste records must be maintained in compliance with requirements of this Order.	DOE Order 200.1	Preservation
	The RCRA Part A and Part B permits must include information concerning, among other things, facility drawings and photographs, description, waste characterization, groundwater monitoring, procedures to prevent hazards, closure and post-closure plans, corrective actions, and a discussion on other federal laws.	40 CFR 270.12-26	Generation Preservation
	Extent to which land is decontaminated or measures are being taken to protect public from the contamination; any terms and conditions DOE may deem necessary to incorporate in any further disposition of the land to protect the public interest; and all exceptions, reservations, conditions, and restrictions relating to the title acquired is to be included in information provided to federal agency overseeing property transfer, if not DOE, and included in conveyance of property as appropriate.	Cross-Cut Guidance	Generation Preservation Access
	The license requirements for general long-term care of residual radioactive material disposal sites include information on the monitoring, maintenance, and emergency measures needed to protect receptors from UMTRCA title I and II disposal sites. This information includes a legal description of the disposal site; site ownership, land holding interests, and waivers; final disposal site conditions; and a description of the long-term surveillance program including frequency and reporting.	10 CFR 40.27-28	Preservation
	Records covered by these schedules include the following: (a) safety management; (b) medical and health research; (c) operational records for health units, fire units, and biological laboratories; (d) individual case files of employees exposed to hazardous or toxic substances, or radioactivity; and (e) records of DOE-controlled activities reflecting the protection provided to employees, the public, property, and the environment during the conduct of the activity. Some of these records must be preserved 10 to 80 years, depending upon the type of record. Others must be preserved permanently (files on occurrences that were of widespread public and Congressional interest).	DOE Records Retention Schedules	Preservation

LIST OF REQUIREMENTS

Data Type	Requirement	Source	Category
Operations and Activities
E. Process History	DOE practice is for the DOE or site historian to generate and maintain this information. Some of this information is available in the site mission statement and revisions for each site.		Generation
	Some information on process history generated through NEPA, RCRA, and CERCLA site documentation and permits.	NEPA RCRA CERCLA	Generation
	Information generated through the Historical Context Document required for federal facilities.	National Historic Preservation Act	Generation
	The RCRA Part A and Part B permits must include information concerning, among other things, facility drawings and photographs, description, waste characterization, groundwater monitoring, procedures to prevent hazards, closure and post-closure plans, corrective actions, and a discussion on other federal laws.	RCRA	Generation Preservation
	The federal government must preserve information that an agency or its legitimate successor deems as important evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the government including "all books, papers, maps, photographs, machine readable materials, or other documentary materials".	36 CFR 1220.14	Generation Preservation
	Records covered by these schedules include the following: (a) safety management; (b) medical and health research; (c) operational records for health units, fire units, and biological laboratories; (d) individual case files of employees exposed to hazardous or toxic substances, or radioactivity; and (e) records of DOE-controlled activities reflecting the protection provided to employees, the public, property, and the environment during the conduct of the activity. Some of these records must be preserved 10 to 80 years, depending upon the type of record. Others must be preserved permanently (files on occurrences that were of widespread public and Congressional interest).	DOE Records Retention Schedules	Preservation
	The schedules provide guidelines for the disposition of design and construction drawings and related records that have been created or received by DOE or DOE management and operating contractors in connection with official activities. Drawings refer to the graphic or engineering records that depict conceptual as well as precise measured information essential for the planning, design, and construction of facilities such as buildings, structures, plants, utilities, and other public work projects, as well as miscellaneous engineering and fabrication projects such as machinery and equipment. Related records include engineering studies, design calculations, project performance documentation, indexes and finding aids, specifications, and three dimensional models. Preservation of records may range from until project completion (e.g., initial design planning records), five to 20 years after completion (e.g., other planning and design records), or may be permanently preserved (e.g., records selected for architectural, historical, and technological significance).	DOE Records Retention Schedules	Preservation
F. Historical Infrastructure	Good business practices routinely generate this information through engineering and as-built drawings.		Generation
	The schedules provide guidelines for the disposition of design and construction drawings and related records that have been created or received by DOE or DOE management and operating contractors in connection with official activities. Drawings refer to the graphic or engineering records that depict conceptual as well as precise measured information essential for the planning, design, and construction of facilities such as buildings, structures, plants, utilities, and other public work projects, as well as miscellaneous engineering and fabrication projects such as machinery and equipment. Related records include engineering studies, design calculations, project performance documentation, indexes and finding aids, specifications, and threedimensional models. Preservation of records may range from project completion (e.g., initial design planning records), five to 20 years after completion (e.g., other planning and design records), or may be permanently preserved (e.g., records selected for architectural, historical, and technological significance).	DOE Records Retention Schedules	Preservation

APPENDIX A

Data Type	Requirement	Source	Category
G. Post-Closure Operations and Infrastructure	Type of information generated will be determined by the steward. Information generated will be governed by the appropriate federal, state, local regulations, and the steward's policies and procedures.		Generation
	A transfer of license requires any records necessary for care to be transferred to the disposal site owner	AEA	Preservation Access
	Records of the disposal of licensed materials generated will include a description of the waste, including physical and chemical properties, pertinent information on the nature of the environment, the nature and location of potentially affected facilities, and procedures to ensure that doses are maintained. Records are retained until NRC license is terminated.	10 CFR 20.2108	Generation Preservation
	The closure plan for all hazardous waste TSDF units must include information on steps required for closure, independent certification that closure plan was met, survey plat, post-closure care requirements-which must be conducted for at least 30 years -and a written post-closure plan. Report must be generated no later than 60 days after certification of closure, and the retention period will be placed onto deed indefinitely.	40 CFR 264.110-120	Generation Preservation Access
	Post-closure notices for hazardous waste units at interim status facilities must be submitted to the local zoning authority, or the authority with jurisdiction over local land use. A record of the type, location, and quantity of hazardous wastes disposed of within each cell or other disposal unit of the facility must go to the Regional Administrator; and, in accordance with State law, a notation on the deed to the facility property must be recorded. Report must be generated no later than 60 days after certification of closure, and must be placed onto deed indefinitely.	40 CFR 265.110-120	Generation Preservation Access
	The RCRA Part A and Part B permits must include information concerning, among other things, facility drawings and photographs, description, waste characterization, groundwater monitoring, procedures to prevent hazards, closure and post-closure plans, corrective actions, and a discussion of other federal laws.	40 CFR 270.13-26	Generation Preservation
	The license requirements for general long-term care of residual radioactive material disposal sites include information on the monitoring, maintenance, and emergency measures needed to protect receptors from UMTRCA title I and II disposal sites. This information includes a legal description of the disposal site; site ownership, land holding interests, and waivers; final disposal site conditions; and a description of the long-term surveillance program including frequency and reporting.	40 CFR 40.27-28	Preservation
	Facilities licensed to manage nuclear material are required to submit a NRC Form 314, "Certificate of Disposition of Materials" that details the final disposition/ disposal of special nuclear material. The report will include information on levels of radiation, planned decommissioning, physical security plan, the location and description of all equipment to remain onsite after termination of license, and institutional controls required. The form is to be completed on or before expiration of license.	10 CFR 70.38	Generation Preservation
Regulatory/Legal Framework
H. Regulatory Framework (Historical and Present)	Facilities licensed to manage nuclear material are required to submit a NRC Form 314, "Certificate of Disposition of Materials" that details the final disposition/ disposal of special nuclear material. The report will include information on levels of radiation, planned decommissioning, physical security plan, the location and description of all equipment to remain onsite after termination of license, and institutional controls required. The form is to be completed on or before expiration of license.	10 CFR 70.38	Generation Preservation
	If permit transferred to new owner or operator, notification and written agreement (containing a specific date for transfer of the permit responsibility, coverage, and liability)should be made between DOE and new permittee. Permits may include CAA, NPDES, UIC, and RCRA permits.	Cross-Cut Guidance	Preservation Access
	Records covered by these schedules include the following: (a) safety management; (b) medical and health research; (c) operational records for health units, fire units, and biological laboratories; (d) individual case files of employees exposed to hazardous or toxic substances, or radioactivity; and (e) records of DOE-controlled activities reflecting the protection provided to employees, the public, property, and the environment during the conduct of the activity. Some of these records must be preserved 10 to 80 years, depending upon the type of record. Others must be preserved permanently (files on occurrences that were of widespread public and Congressional interest).	DOE Records Retention Schedules	Preservation

LIST OF REQUIREMENTS

Data Type	Requirement	Source	Category
H. Regulatory Framework (Historical & Present)(continued)	A transfer of license requires any records necessary for care to be transferred to the disposal site owner.	AEA	Preservation Access
	These schedules include approved disposition standards for hazardous material (radioactive and fissile material); shipping packaging records, including Certificates of Compliance; Safety Analysis Reports for Packaging (SARPs); evaluation of SARPs; amendments to licenses; and quality assurance records documenting packaging design, fabrication, maintenance, and use. Records are destroyed five years after Certification of Compliance is terminated; unless renewed use of records is definitely anticipated.	DOE Records Retention Schedules	Preservation
I. Requirements Specific to Transfer & Closure	A transfer of license requires any records necessary for care to be transferred to the disposal site owner.	AEA	Preservation Access
	If permit transferred to new owner or operator, notification and written agreement (containing a specific date for transfer of the permit responsibility, coverage, and liability) should be made between DOE and new permittee. Permits may include CAA, NPDES, UIC, and RCRA permits.	Cross-Cut Guidance	Preservation Access
J. Real-Estate Records	Information required to be included in property transfer process includes citation of order withdrawing or reserving the land for DOE use; legal description and acreage of land; description of improvement( s); description of easements or other rights and privileges (leases, encumbrances) burdened on the land; and any terms and conditions DOE may deem necessary to incorporate in any further disposition of the land to protect the public interest.	Cross-Cut Guidance	Preservation Access
	Real estate records must be created and preserved, including those regarding fee acquisition; withdrawal from public domain; permanent easements; permanent full/ partial disposals; jurisdictions; outgrants; ingrants; and other items. Real estate records should be labeled and sequentially organized by facility and type of action. Real estate records are required to be preserved throughout the ownership of the property, and retained and disposed of according to DOE 1324.2A. If property is disposed of through GSA or transferred to another federal agency, original documents shall be forwarded to the agency. If property is disposed to a non-federal entity, no title documents need to be furnished.	DOE Order 4300.1C	Generation Preservation Access
Site Characteristics/Setting
K. Cultural and Natural Resources	Information must be maintained on the location, condition, and vulnerability of threatened and endangered species.	Endangered Species Act	Generation Preservation
	All federal facilities must develop a site or program specific Cultural Resources Management Plan. Information about the property is required if it is to be placed on the National Registry of Historic Places.	National Historic Preservation Act	Generation Preservation
	Information on historic properties, burial grounds, sacred sites, and access routes to sacred sites is to be included in NEPA document and/ or environmental baseline survey for future stewards. Appropriate restrictions on historic properties, burial grounds, sacred sites, and access routes to sacred sites are to be included in conveyance of property transfer.	Cross-Cut Guidance	Preservation Access
	Information on paleontological specimens is required.	Archeological Resources Protection Act	Generation Preservation
	Information on the extent to which land and resources have been disturbed and measures to recondition property is to be given to the federal agency overseeing the property transfer, if not DOE. Information regarding federally-listed or proposed species, state-listed species, and the habitats of threatened and endangered species, and other environmentally sensitive natural resources; flood hazards, floodplains, or wetlands and restricted uses is to be included in NEPA document and/ or environment baseline survey for future stewards. If property is transferred via an outgrant, the conveyance must include information on restrictions of floodplains and wetlands and responsibilities for obtaining necessary permits. Future owner must also be informed if there is a potential need for biological assessment and formal consultation with the U. S. Fish and Wildlife Service regarding threatened or endangered species and critical habitats.	Cross-Cut Guidance	Preservation Access

APPENDIX A

Data Type	Requirement	Source	Category
K. Cultural and Natural Resources (continued)	Requirements include protection of all cultural resources under the Department's jurisdiction, including resources of local historic and prehistoric significance and resources significant to Native American Culture.	36 CFR 800	Generation Preservation
L. Geophysical/ political	This information is required for the final survey document.	DOE Order 5400.5	Generation
	Site practice is to routinely generate this information to facilitate performance of site objectives.		Generation
	Requirements for groundwater monitoring wells include concentrations for each well; results of ground-water surface elevations; quality assessment programs; and rate of migration of hazardous waste or hazardous waste constituents in the ground water during the reporting period. The results of the evaluations of groundwater quality surface elevations should be reported no later than March 1 following each calendar year.	40 CFR 265	Generation Preservation
	Information addressed in property transfer process includes: citation of order withdrawing or reserving the land for DOE use; legal description and acreage of land; description of improvement( s); description of easements or other rights and privileges (leases, encumbrances) burdened on the land; a certification DOE has exhausted GSA procedures for disposal of any abandoned improvements and that the improvements are without value; and status of civil and criminal jurisdiction over the land.	Cross-Cut Guidance	Preservation Access
	Records covered by these schedules include the following: (a) safety management; (b) medical and health research; (c) operational records for health units, fire units, and biological laboratories; (d) individual case files of employees exposed to hazardous or toxic substances, or radioactivity; and (e) records of DOE-controlled activities reflecting the protection provided to employees, the public, property, and the environment during the conduct of the activity. Some of these records must be preserved 10 to 80 years, depending upon the type of record. Others must be preserved permanently (files on occurrences that were of widespread public and Congressional interest).	DOE Records Retention Sechedules	Preservation
All Data Types
All Data Types	Enacted in 1966, the FOIA provides any person a statutory right, enforceable in court, of access to federal agency records. There are nine exemptions allowed to protect some records from disclosure and three special law enforcement record exclusions. Unless exempted from disclosure or excluded from the Act's coverage, virtually every record possessed by a federal agency must be made available to the public in one form or another.	FOIA	Access
	The Electronic Freedom of Information Act requires that records created as of November 1, 1996 must be made available online or in another electronic format. Federal agencies must create an index of material previously released under FOIA and must make that index available online by the end of 1999.	FOIA	Access
	Privacy Act imposes requirements on the Department regarding the collection and dissemination of information about individuals when the information is retrievable by name or other personal identifier, such as a social security, license, badge, or other number or identifier assigned to particular individuals.	DOE G 1324.5B	Preservation
	Information required for a system of records: system name; security classification; system location; categories of individuals covered by the system; categories of records in the system; authority for maintenance of the system; routine uses of records maintained in the system, including categories of users and the purposes of such uses, policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system; storage; retrievability; safeguards; retention and disposal; system manager(s) and address; notification procedure; record access procedures; contesting procedures; record source categories; systems exempted from certain provisions of the act.	DOE G 1324.5B	Access
	Official Personnel Folders and related payroll records shall be retired to the National Personnel Records Center (NPRC) at St. Louis, Missouri, as prescribed in the records disposition schedules. Official personnel folders of contractor employees are not sent to NPRC: they are subject to the records schedule requirements as provided in Attachment XI-1, DOE Records Retention Schedules.	DOE G 1324.5B	Preservation

LIST OF REQUIREMENTS

Data Type	Requirement	Source	Category
All Data Types (continued)	Specifies regulations and filing techniques for audiovisual records. The preservation of vital records, as well as legal and financial rights records, is also discussed.	DOE G 1324.5B	Preservation
	Establishes the basic requirements related to the creation, maintenance, use, and disposition of electronic records. Unless otherwise noted in the regulation, the requirements apply to all electronic records systems, whether on microcomputers, minicomputers, or main-frame computers; regardless of storage media, in network or in stand-alone configurations.	36, CFR Part 1234	Preservation
	Specifies standards for the Department's electronic records management program which cover electronic records creation, preservation, maintenance, use and disposition. This implementation guide also describes procedures for micrographic records and microfilm systems and optical disc records.	DOE G 1324.5B	Generation Preservation Access
	The chief historian is required to determine which records of historic value have been scheduled for permanent retention by reviewing for Headquarters only all Records Transfer Forms (HQ F 1324.8) and other forms used for the transfer of records from office space to low-cost storage. The chief historian also accepts custody of records of historical value no longer requiring retention by the originating office and services all requests for access to these records until they are offered to the National Archives.	DOE Order 200.1	Generation Preservation Access

APPENDIX A

10 CFR -Nuclear Regulatory Commission

36 CFR -Parks, Forests, and Public Property

40 CFR -Protection of Environment

Archeological Resources Protection Act (16 U. S. C. § 470aa et seq. as amended)

Atomic Energy Act (AEA) (42 U. S. C. § 2011 et seq. as amended)

Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) (42 U.S.C. § 96011 et seq. as amended)

Cross-Cut Guidance on Environmental Requirements for DOE Real Property Transfers, Office of Environmental Safety and Health (EH-413), U. S. DOE, October 1997

Department of Energy Records Retention Schedules

DOE Order 4300.1C, Real Property Management ¹

DOE Order 200.1, Information Management Program

DOE Order 5400.5, Radiation Protection of the Public and Environment

DOE G 1324.5B: Chapter V of DOE Implementation Guide for Use with 36 CFR Chapter XII - Sub-chapter B: Records Management, (January, 1995)²

Emergency Planning and Community Right-to-Know Act (EPCRA) (42 U.S.C. § 11001 et seq. as amended)

Freedom of Information Act (FOIA) (5 U.S.C. § 552 as amended)

National Environmental Policy Act (NEPA) (42 U.S.C. § 4321 et seq. as amended)

National Historic Preservation Act (16 U.S.C. § 470 et seq. as amended)

Resource Conservation and Recovery Act (RCRA) (42 U.S.C. § 6901 et seq. as amended)

Toxic Substances Control Act (TSCA) (15 U.S.C. § 26011 et seq. as amended)

¹ This Order has been canceled in DOE Order 430.1, Life Cycle Asset Management, approved 8/24/95. However, canceled Orders that are incorporated by reference in a contract shall remain in effect until the contract is modified to delete the reference to the requirement in the canceled Orders.

² This Order has been canceled in DOE Order 200.1, approved 9/ 30/ 96. However, canceled Orders that are incorporated by reference in a contract shall remain in effect until the contract is modified to delete the reference to the requirement in the canceled Orders.