The Department of Energy (DOE) Records Management Program provides oversight, guidance, and direction to ensure proper documentation of the Department's functions, decisions, policies and proceedures, and essential transactions.
The National Archives and Records Administration (NARA) now provides access to scanned images of Federal agency records schedules. The National Archives Records Control Schedule (RCS) web site contains scanned versions of the paper SF 115s submitted from 1985 to the present. The schedules are listed by agency name and National Archives-assigned record group number. Records schedules can be searched by the National Archives job number (e.g., N1-434-98-4), by agency name (Department of Energy), by National Archives record group number (e.g.,434), or by keyword or subject (e.g., grants).
NARA issued General Records Schedule (GRS) Transmittal 23 in September 2014 and Transmittal 24 in August 2015 for a total of 10 new schedules:
- GRS 1.1: Financial Management and Reporting Records
- GRS 1.2: Grant and Cooperative Agreement Records
- GRS 2.5: Employee Separation Records
- GRS 2.8: Employee Ethics Records
- GRS 3.1: General Technology Management Records
- GRS 3.2: Information System Security Records
- GRS 4.1: Records Management Records
- GRS 4.2: Information Access and Protection Records
- GRS 4.3: Input Records, Output Records, and Electronic Copies
- GRS 6.2: Federal Advisory Committee Records
The ten new schedules noted in the Transmittal supersede select GRS schedules and introduce some new schedule items. Refer to the applicable GRS Crosswalks for details. All personnel should review program holdings to ensure appropriate citation of the GRS Transmittal 23 records, descriptions, retentions and disposition authorities when applicable to identify, transfer and dispose of the associated records. GRS Transmittal 23 & 24 schedules will be incorporated in the next DOE Administrative Records Schedules (ADM) revision that is currently under construction.
NARA issued GRS Transmittal 25 in September 2015, which identifies a new General Records Schedule (GRS) 6.1, Email Managed under a Capstone Approach. The transmittal only adds new chapter GRS 6.1; all schedules in transmittal 24 are still active. Capstone is an optional approach Federal agencies can use to manage and disposition email records to meet upcoming Managing Government Records Directive (M-12-18) requirements to manage permanent and temporary email records, and all permanent electronic records.
The DOE Records Management Community was notified via “The Records Bulletin,” (RM - COMMUNICATIONS, Records Bulletin Ed. 150821-1-N re: GRS Transmittal 24 (NOTICE), and RM – COMMUNICATIONS, Records Bulletin Ed. 150918-1-N re: GRS Transmittal 25 (NOTICE)), issued August 21, 2015 and September 18, 2015 respectively. Absent appropriate notice with supporting justification for exception to applying GRS Transmittal 24, the GRS is mandatory and applies retrospectively and day-forward for all described records. Any DOE Element proposals to use an agency-specific schedule item rather than the applicable GRS item provided should provide their proposal through their DOE Element Program Records Official and/or Records Management Field Officer to the DOE Records Management Program via DOERM@hq.do.gov. Proposals should include:
- DOE-specific authority citation, including the specific item
- GRS Transmittal 24 item proposed for exception
- Justification for the exception
- Program official/SME contact name, title and contact email and phone
RECORDS MANAGEMENT TIPS:
- Can an employee remove federal records from Government custody? Departing employees cannot remove Federal records from Government custody, nor can they destroy records without an approved records disposition schedule.
- How important is records filing? Filing records regularly makes them accessible and improves office efficiency and productivity.
- Do records have value? Permanent records have historical or other value that warrants continued preservation by the Federal Government. Temporary records have limited retention periods and may be destroyed in accordance with established procedures and appropriate approvals.
- How long should employees keep records? Employees must ensure appropriate retention by following the instructions of the DOE records schedules.
- How about email records? Electronic documents, data systems and e-mail messages are governed by the same regulations as paper records, and should be maintained in an approved electronic records management application.
- Filing guidance? File your personal records and non-record materials separately from DOE records.
- Where do I address questions? For more information, consult the records professional in your organization. Not sure who to contact? Check our list.
- Need more space? Consider transferring eligible permanent records to the National Archives. Contact the hotline at 301-903-3455 or send an email to - email@example.com.
- How do records regulations apply to contractors? With few exceptions, the records that contractors handle while at the DOE are subject to Government regulations.
- Leave Your Legacy!! If you are leaving DOE: 1) Identify all Federal records in your possession 2) Reassign records to a records management custodian or another employee 3) Identify personal papers and non-record copies for removal 4) Return repository records 5) Turn in file cabinet keys, computer system passwords, and vault/restricted area combinations.
Additional RM Resources
Records Management Working Group Charter (pdf)