Records Management Office (RMO) FAQs

A record includes all recorded information, regardless of form or characteristics, made or received by a Federal agency 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 United States Government or because of the informational value of data in them (44 U.S.C. 3301 and 36 CFR 1220.18)

The DOE/LBNL Contract between the University of California and DOE specifies that all records, except the University’s fiscal and administrative records, are federal records. Individuals do not own Laboratory records and do not have the authority to dispose of them or transfer records to another institution. If individuals maintain personal files at the Laboratory, they must not mix Laboratory records with their personal records. Individuals may make convenience copies of appropriate Laboratory records for their personal files in reasonable quantities.

At LBNL, “business” records refer to records which document the activities of the various Operations divisions (Facilities, Information Technology, EH&S, OCFO, Human Resources and Public Affairs) which provide operational services and support to the scientific mission of the Laboratory.

R&D records are research and development records. At LBNL these records are created as the result of scientific and technical activities and collaborations that result in new or modified concepts, techniques, equipment, and materials. R&D records fall under the DOE Research and Development Records Schedule (NI-434-08-2).

Scientific and technical activities may include:

1. administering technical projects.
2. establishing research priorities.
3. developing theories and models.
4. planning and designing experiments.
5. conducting experiments.
6. administering compiling, reviewing, and disseminating technical reports, presentations, and published articles.

Non-records are copies of documents maintained in more than one location or materials available from public sources, which can be disposed of at the discretion of the user. These are to be distinguished and kept separate from official laboratory records, which can only be destroyed at the point authorized by a records retention schedule. The following are examples of non-record material:

• Extra copies of documents preserved only for convenience, or reference, of which no action is recorded or taken
• Publications or other processed documents that require no action and are not part of a case on which action is being taken
• Library materials acquired for reference purposes
• Personal papers or papers of a private or nonofficial character that pertain to an individuals private affairs

Epidemiological records are documents, in whatever media, that provide information about individuals working at a Department of Energy (DOE) or contractor site–their work history (when they worked there and what they did), what health hazards they were exposed to (such as external and/or internal radiation, chemicals, hazardous materials), and their medical history during or after their employment. Also included are those records which document the administrative organization and management of the site, the monitoring of environmental and area hazards, process and material controls (especially for radioactive sources and chemicals), health and safety procedures, work assignments, and location. Currently there is a freeze on the destruction of epidemiological records

Under certain circumstances, the Department of Energy (DOE) may place a moratorium on information that relates to a specific subject or field. Once such a moratorium order has been issued, it means that there is a “freeze” on the destruction of all DOE, DOE-contractor, and University records containing information specified in that order.

Epidemiological Records Moratorium

In a memorandum dated April 6, 1990, the Department of Energy San Francisco Operations Office (DOE/SAN) notified the Laboratory to extend the freeze on the destruction of all epidemiological records which had first been ordered by the Secretary of Energy on March 15, 1989. Epidemiological records are documents, in whatever media, that provide information about individuals working at a Department of Energy (DOE) or contractor site–their work history (when they worked there and what they did), what health hazards they were exposed to (such as external and/or internal radiation, chemicals, hazardous materials), and their medical history during or after their employment. Also included are those records which document the administrative organization and management of the site, the monitoring of environmental and area hazards, process and material controls (especially for radioactive sources and chemicals), health and safety procedures, work assignments, and location.

The National Archives defines essential records as records an agency needs to meet operational responsibilities under national security emergencies or other emergency conditions (emergency operating records), or to protect the legal and financial rights of the Government and those affected by Government activities (legal and financial rights records).

LBL Essential Records Inventory

Record series are units of files or documents arranged according to a filing system or kept together because they:

• Relate to a particular subject or function
• Result from the same activity
• Document a specific kind of transaction
• Examples include personnel files, procurement files, or logbooks from a research project. Records should be organized and maintained by series while they are in the active office areas and when they are transferred to storage at the Federal Records Center in San Bruno.

Contact the Records Management Office records@lbl.gov

Records can be requested by completing a request via a help ticket.

Researchers should contact R&D Records Specialist Beret Ranelletti (BARanelletti@lbl.gov, 486-4685) to discuss their scientific records. Upon termination, researchers cannot take original records with them as they are required to be archived.

Berkeley Lab Records Liaison Officers (RLO’s) represent their division/department in records policy matters and work with the Records Management Office (RMO) to coordinate and implement the policies and procedures of the Laboratory’s records management program in their division/department.

Records Liaison Program

The RPM requires that divisions appoint a Records Liaison Officer with the following responsibilities:

• Coordinate records management activities with both the Laboratory-wide program and within their division or department,
• Help ensure that their division or departments records program adheres to applicable laws and regulations as well as standards, procedures and guidelines from RMO.
• Adhere to RMO’s requirements for RLOs.

View the current list of Records Liaison Officers.

To learn more about the Laboratory regulations, please refer to the Records Management Policy.

RMO is currently developing a Records Management training module.

Please contact records@lbl.gov for further information.

Please see Electronic Records Management Guidelines.

Requirements for digitizing temporary paper records are described in 36 CFR 1236 subpart D.

Under records schedule GRS 5.2 the original paper records can be destroyed once verified.