APPENDIX B

This appendix summarizes the DOE records retention schedules and highlights those most relevant to the stewardship data types. DOE developed the schedules to identify what information is retained and for how long it is retained. For each type of information covered by the schedules, there is a specific length of time for which DOE must retain the information, prior to destroying the information or sending it to the National Archives and Records Administration. Table B-1 lists each of the schedules and the types of records to which it pertains. This table also includes a listing of the stewardship data types that are addressed by each schedule (the stewardship data types are defined in Chapter 2). Most of the schedules do not address records that are likely to contain stewardship value. For those schedules that address records likely to contain stewardship value, a more detailed description regarding the preservation requirements is provided in Table B-2.

DOE Records Retention Schedule	Description	Relationship to Stewardship Data Types
1. Medical, Health, and Safety Records	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.	A, B, C, D, E
2. Industrial Facility Records	This schedule covers records pertaining to the management and operation of DOE industrial facilities. Such facilities include, but are not restricted to, Naval, test, and production reactors; production facilities; laboratories; and separation plants. The records consist of a wide variety of facility management records such as progress, production, and status reports; quality control data files; equipment history and control records; special material accountability files; and product output summaries.	no apparent relationship
3. Nuclear Weapon Records	Nuclear weapons management records document the basis for DOE's nuclear weapons program management decisions, direction, policies, and responsibilities. The records include, but are not limited to, documents relating to interactions with the Department of Defense (DOD), and mission assignments and authorizations to the Design Agencies, Production Agencies, and Dismantlement Agencies.	no apparent relationship
4. Facility Records	This schedule applies to those records accumulated by contractor offices in the management, maintenance, and general upkeep of facilities such as buildings, structures, plants, laboratories, utilities, and houses, exclusive of design and construction drawings and related records covered by Schedule 14 and those Industrial Facility Records covered by Schedule 2. This schedule includes records documenting maintenance and repair of fixture-type equipment such as boilers, heating and ventilating systems, and equipment requiring the use of design and construction drawings to make repairs. (For other equipment see Schedule 6).	no apparent relationship
5. Special Materials Accountability Records	DOE special materials accountability records pertain to documentation involved in the allocation and transfer of nuclear material. Transfer of special nuclear material, DOE-owned source material and certain other DOE-owned material transferred within the United States or between the United States and foreign entities is controlled. Records included in this schedule cover material transfer, reporting, inspections, requests for material, allotments, and allocations.	no apparent relationship
The definition of the stewardship data types is provided in Chapter 2 of the main report.

¹The information in this Appendix is excerpted from DOE records retention schedules information available on the Internet at: http://www.fetc.doe.gov/rm/doers/doers.html.

SELECTED DOE RECORDS RETENTION SCHEDULES

DOE Records Retention Schedule	Description	Relationship to Stewardship Data Types*
6. Equipment Control, Maintenance, and Operation Records	Records described in this schedule are those generally maintained by property and plant management personnel fulfilling their responsibility for the management, control, accountability, maintenance, and operation of mobile or stationary equipment and personal property. Fixture-type equipment requiring use of design and construction drawings for repair and maintenance is covered by Facility Records (Schedule 4). This schedule covers personal property, equipment, machinery, machine tools, vehicles, office equipment, accessory and auxiliary items, and spare parts, exclusive of motor vehicles (General Records Schedules 10) and Industrial Facility records (Schedule 2).	no apparent relationship
7. Legal Records	Legal records include the files created in the provision of legal services to the Department. Legal services protect the legal and financial rights of the government, DOE, and persons directly affected by DOE's activities. The records retention standards in this schedule include patent records, litigation files, and true copy certifications. This schedule does not apply to cases in which an action is in negotiation or is under prosecution.	no apparent relationship
8. Procurement, Supply, and Grant Records	This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for procurement files documenting the initiation and development of transactions that deviate from established precedents with respect to general agency procurement programs; records on the use of DO, DX, and Authorized Controlled Material (ACM) rating authority; and requirements studies in connection with Headquarters offices mobilization planning and the Controlled Materials Plan.	no apparent relationship
9. Property Disposal Records	This is addendum to the General Records Schedule of the same subject, and includes approved disposition standards for case files on sales of surplus personal property documenting the initiation and development of transactions that deviate from established precedents with respect to general agency disposal or to major disposal programs; case files on disposal of surplus real and related personal property; excess real property reports; revenue-producing contracts with foreign and domestic customers for the sale of nuclear products (including source, by-product, special nuclear materials, and heavy water), toll enrichment services, and chemical processing of irradiated fuel; records documenting the "without charge" transfer of nuclear material in quantities suitable for research only; and agreements documenting the leasing of nuclear materials and heavy water to foreign and domestic customers.	no apparent relationship
10. Budget Preparation, Presentation, and Apportionment Records	This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for budget policy files, copies of budget estimates and justifications, working papers and background materials, budget correspondence files, and budget background records.	no apparent relationship
11. Accountable Officers Accounts Records	This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for audit files generated in the performance of DOE and cost type contractor operations; pension plan case files; and casualty insurance plan case files.	no apparent relationship
12. Travel and Transportation Records	This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for hazardous material (radioactive and fissile material) shipping packaging records, including Certificates of Compliance; Safety Analysis Reports for Packaging (SARPs); evaluations of SARPs; amendments to licenses; and quality assurance records documenting packaging design, fabrication, maintenance, and use.	A, C, H
13. Communications Records	This is an addendum to the General Records Schedule of the same subject, and includes approved disposition standards for records relating to the accountability, transfer, inventory, receipt, and destruction of COMSEC materials.	no apparent relationship
14. Design and Construction Drawings and Related Records	This schedule provides 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 works projects. Drawings also include 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.	E, F
*The definition of the stewardship data types is provided in Chapter 2 of the main report.

APPENDIX B

Table B-2. Detailed Summary of Records Retention Schedules for Those Most Relevant to Stewardship Data

Records Retention Schedule and Description	Preservation Requirement
DOE Records Retention Schedule 1: Medical, Health and Safety Records
1. Safety Management Records Report Files on Occurrences maintained by the Office of the Deputy Assistant Secretary for Safety and Quality Assurance Files on occurrences which were of widespread public and Congressional interest All other files Files on Occurrences maintained by field organizations, including a copy of the report, related correspondence, technical data, statements of witnesses and employees, and other relevant information and data	Permanent, offer to NARA 25 years after case is closed Destroy when 80 years old Destroy when 15 years old
2. Fire Unit Records Alarm, investigation, and incident reports relating to various types of fire alarms and investigations of fires	Destroy when 10 years old
3. Medical or Health Research Project Case Files Medical or health research project case files reflecting the history of the project from initiation to completion, including research, development, design, and test results	Permanent, offer to NARA 25 years after project is completed
4. Records concerning personnel exposure to hazardous concentrations of toxic chemicals and other materials, excluding radionuclides and individual employee files Standards, operating guides, and procedures which establish or relate to establishing operating practices Records and investigations establishing the extent of employee exposure to toxic chemicals and materials Surveys indicating no industrial hazards Surveys indicating a potential industrial hazard	Permanent, offer to NARA in 25 years Destroy when 75 years old Destroy when 75 years old Until related facility is dismantled
5. Radiation-Contamination Control Program Records concerning or documenting accurate, quantitative description of the exposure of personnel to external radiation and internally deposited radionuclides, including development of appropriate regulations and procedures used as a basis for the radiation-contamination control program; excludes individual employee files Personnel exposure dose record concerning or documenting radiation exposure dose as determined by personnel radiation monitors or by estimates based on other radiation dose instruments Records of equipment calibration Related automatic data processing system programs, codes, instruction tapes, and disks Technical standards; operating guides; laboratory, operating, and radiation-contamina-tion control procedures describing the technical and administrative basis for the radiation- contamination protection program Logbooks (chronological history) which provide a concise summary of shift and daily activities, including unusual incidents, radiation and contamination problems, release of radionuclides to work areas or public zones, interpretation of unusual chart recordings, and similar items Routine radiation and contamination surveys and air sample logs, including resulting laboratory analyses and equipment calibrations, indicating no unusual health or safety problems Recorder chart records of radiation and contamination detected by air activity monitors (gaseous and particulate) and ionization chambers	Destroy after 75 years Destroy when 75 years old Permanent, offer to NARA when 25 years old Destroy when 75 years old Destroy when 75 years old Destroy when purpose is served or when 33 months old, whichever is earlier
6. Individual employee health hazard case file Individual employee radiation exposure history file (both internal and external). Records include those of visitors. Each file provides a record of an individual's exposure.	Destroy when 75 years old

SELECTED DOE RECORDS RETENTION SCHEDULES

Records Retention Schedule and Description	Preservation Requirement
7. Plant records Radiation detection instrument calibration records relating to the calibration and inspec-tion of instruments used in the detection and recording of radiation, against sources of known radioactive emission or dose rate History of procedures indicating criteria for selection and methods used, and schedules giving frequency of calibration and maintenance of radiation detection instruments and equipment Report instrument and equipment distribution, decontamination, performance, inventories, statistical data, physical status, operating condition, and any related data	Destroy when 75 years old Destroy when purpose is served or when one year old, whichever is earlier
8. Environmental contamination measurement records indicating the presence and amount of contaminating materials (including radioactive materials) in samples of air, water, earth, biological (animal and vegetation) and special materials from onsite and offsite locations Procedures which detail the methods used and frequency of analysis of environmental samples. Includes records or correspondence which give the philosophy and scope of sampling, provide interpretations of results, and detail the plans for sampling and analysis of environmental samples. General procedures Specific procedures Analytical summaries of results of analyses, including results on standards or other cali-brations used to establish the validity of analytical results Worksheets, recorder charts, laboratory analysis requests, radio-autograph film, dosimeter data, and other interim records or devices used in determining the basic data from which results in the previous item are obtained Notebooks of laboratory technicians and field inspectors concerned with earth sciences Data gathered to measure residual contamination of soil and ground water with long-lived radioactive or toxic substances at or near DOE sites Environmental monitoring reports and topical reports defining the extent and levels of radioactive contamination in soil or real estate	Permanent, offer to NARA in 25 years Destroy when analytical results are verified, accepted, and summarized, or when five years old, whichever is earlier Destroy when analytical results are verified, accepted, and summarized, or when five years old, whichever is earlier Destroy when analytical results are verified, accepted, and summarized, or when five years old, whichever is earlier Destroy when analytical results are verified, accepted, and summarized, or when five years old, whichever is earlier Permanent, offer to NARA when no longer needed by DOE Permanent, offer to NARA when no longer needed by DOE
9. Radioactive waste disposal or unplanned deposition records Regulations governing radioactive waste shipments and burials, including DOE Orders, Federal regulations and guidelines, and other pertinent standards, guides, and procedures Records which indicate type of waste (solid, liquid, or gaseous); degree of radioactivity; and for solid waste: data of burial, volume buried, activity level, and storage location Unplanned deposition records (spills or leaks) or radioactivity Records of radioactive gaseous wastes discharged to atmosphere and radioactive liquid wastes discharged to surface or ground water Miscellaneous waste disposal records including transfers from operating building or between tanks, boiloff rates, and intank solidification information, provided pertinent data have been transcribed to records which are retained	Permanent, offer to National Archives when no longer needed Permanent, offer to National Archives when no longer needed Permanent, offer to National Archives when no longer needed Permanent, offer to National Archives when no longer needed Destroy when one year old
10. Biological laboratory records documenting programs under which data concerning the effect of radiation on animal and aquatic life are accumulated, evaluated, and reported Researcher's Biology Notebooks containing all notes pertinent to laboratory experiments, including observations, calculations, and all other data pertinent to the experiment, including discussions by the researcher and conclusions Research notebooks deemed by the DOE, contractor, and the National Archives to have exceptional value because of the highly significant nature of the research involved or uniqueness of the research All other notebooks	Permanent, offer to NARA within 25 years Destroy when 15 years old

APPENDIX B

Records Retention Schedule and Description	Preservation Requirement
10. (continued) Machine-readable data taken from worksheets pertaining to radiological analysis or beta analysis of animal or aquatic life Necropsy protocols recording data collected during autopsies performed on animals, including pathological diagnosis of various organs and glands Animal case histories recording facts such as data from lambing records, treatment records, genealogical records, gestation periods, lambing dates, numbers, sex, and weight Thyroid count records Radio analysis sample data describing collected samples, counted samples, and listing the beta count, decay factor, analysis factor, and remarks Aquatic biology data analysis showing type of sample, location or source, counting infor-mation, laboratory correction factors, and related data Radiation counter control data used to maintain correct operating conditions for radiation detection instruments	Retain until entered in Biology Notebook Destroy when 15 years old Destroy when 20 years old Destroy when 15 years old Destroy when two years old Destroy when two years old Destroy when one year old
11. Personal Injury Files Forms, reports, correspondence, and related medical and investigator records relating to on-the-job injuries, whether or not a claim for compensation was made; excluding copies filed in the Official Personnel Folder and copies submitted to the Department of Labor	Reserved (no schedule)
12. Synoptic Meteorology Records accumulated to evaluate, interpret, and determine meteoro-logical and climatological conditions bearing on engineering and contamination problems Records relating to wind speed and direction, soil and air temperature, dew point, relative humidity, barometric pressure, cloud cover, precipitation, frost, fog, and snow/ice cover	Destroy when 10 years old
DOE Records Retention Schedule 12: Travel and Transportation Records
1. Hazardous Material Hazardous material (radioactive and fissile material) shipping packaging records, including Certificates of Compliance, Safety Analysis Reports for Packaging (SARP), evaluations of SARPs, licenses and amendments, and quality assurance records documenting packaging design, fabrication, maintenance, and use in compliance with established safety and engineering standards	Destroy 5 years after Certificate of Compliance has terminated, unless information is received indicating that renewed use is definitely anticipated
DOE Records Schedule 14: Design and Construction Drawings and Related Records
These records include 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 works projects, as well as miscellaneous engineering and fabrication projects such as machinery and equipment Initial Design Planning Records (including conceptual drawings and sketches; architectural renderings that show basic design features, including building perspectives, elevations, floor plans, and other general features; order-of-magnitude cost estimates and performance schedules; and three-dimensional models prepared for illustration or presentation purposes) Records selected for architectural, historical, and technological significance (selection criteria are included), including project description, location, engineering/design costs, and performance schedule; architectural renderings and final architectural and engineer-ing drawings (selected to adequately depict the principal architectural and engineering features); special engineering/ design reports, studies, and data; Construction Completion Reports; and models	Until project completion or upon project termination, whichever is earlier Permanent, offer to NARA when file is inactive

SELECTED DOE RECORDS RETENTION SCHEDULES