**DOE/AL**

**The Nuclear Weapons Complex**

**Implementation Guidelines**

**for**

**DOE Records Schedule 3**

**Nuclear Weapons Records**

> This document prescribes the basic records management principles and
> requirements for the implementation of Department of Energy (DOE)
> Records Schedule 3, Nuclear Weapons Records and the disposition of
> nuclear weapons research, design, development, procurement,
> production, maintenance, stockpile evaluation, dismantlement, and
> disassembly/disposal information.
>
> Margarita Y. Sexson
>
> DOE/AL Records Management Officer
>
> Bruce G.Twining, Manager
>
> Albuquerque Operations Office

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> **Table of Contents**

I. INTRODUCTION

1.0 SCOPE

2.0 RESPONSIBILITIES

3.0 SUPPLEMENTAL POLICY AND INSTRUCTIONS

4.0 DEFINITIONS

II\. BASIC PRINCIPLES

1.0 FUNDAMENTALS OF RECORDS MANAGEMENT

2.0 ORGANIZATION

3.0 IMPLEMENTATION PROCESS

3.1 Disposition and Review Process Annual Review

4.0 DISPOSITION REVIEW PROCESS

4.1 Technical Review Criteria

5.0 TRAINING

6.0 DESTRUCTION OF RECORDS

III\. TECHNICAL REVIEW PROCESS

1.0 PURPOSE

2.0 REVIEW CONSIDERATIONS

3.0 TIMING THE REVIEW

3.1 Planning

3.2 Interim Reviews

3.3 Final Disposition Reviews

3.4 Documentation

4.0 PERFORMING THE REVIEW: WHO

4.1 Review Personnel

4.2 Adjunct Review Personnel

5.0 PERFORMING THE REVIEW: HOW

5.1 Review Level

5.2 Review Criteria

5.3 Meta data

5.4 Destruction Eligibility

5.5 Unscheduled Records

IV\. RECORDS DISPOSITION

1.0 AUTHORIZING DESTRUCTION

2.0 DESTRUCTION NOTIFICATION

2.1 60-Day Objection Period

2.2 Objection Site Responsibilities

2.3 NWC Primary Contacts

3.0 TRANSFERS TO OTHER SITES/AGENCIES

4.0 TRANSFERS TO NARA

V. SCHEDULE 3 TRAINING GUIDELINES

1.0 PURPOSE

2.0 TRAINING MODULE 1: INTRODUCTION TO SCHEDULE 3

2.1 Introduction

2.2 Definitions

2.3 The Review Process

2.4 Questions

3.0 TRAINING MODULE 2: THE REVIEW PROCESS

3.1 Introduction

3.2 Timing The Review (When)

3.3 Performing The Review (Who)

3.4 Performing The Review (How)

3.5 Transfers To Other Sites/Agencies

3.6 Transfers To NARA

3.7 Technical Review Criteria

3.8 Questions

VI\. TECHNICAL REVIEW CRITERIA

1.0 PURPOSE

2.0 TECHNICAL REVIEW QUESTIONS

VII. REQUIREMENTS SUMMARY

SECTION I

> 1.0 SCOPE
>
> 2.0 RESPONSIBILITIES

SECTION II

2.  ORGANIZATION

3.  IMPLEMENTATION PROCESS

    1.  Disposition and Review Process Annual Review

4.  DISPOSITION REVIEW PROCESS

    1.  Technical Review Criteria

5.  TRAINING

6.  DESTRUCTION OF RECORDS

SECTION III

2.  REVIEW CONSIDERATIONS

3.  TIMING THE REVIEW

    1.  Planning

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    3.  Final Disposition Reviews

    4.  Documentation

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3.  PERFORMING THE REVIEW: WHO

    1.  Review Personnel

    2.  Adjunct Review Personnel

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4.  PERFORMING THE REVIEW: HOW

    1.  Review Level

    2.  Review Criteria

    3.  Meta data

    4.  Destruction Eligibility

    5.  Unscheduled Records

> SECTION IV
>
> 1.0 AUTHORIZING DESTRUCTION
>
> 2.0 DESTRUCTION NOTIFICATION
>
> 2.1 60-Day Objection Period

2.  Objecting Site Responsibilities

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3.  TRANSFERS TO NARA

VIII\. DEFINITIONS

**Appendices**

> APPENDIX A: DOE AL F NWR-1 (AL 5/98) DOE Records Schedule 3, Nuclear
> Weapons Records Disposition Review
>
> APPENDIX B: DOE AL F NWR-2 (AL 5/98) Scheduled Destruction of Nuclear
> Weapons Records
>
> APPENDIX C: DOE AL F NWR-3 Request to Review and Transfer Nuclear
> Weapons Records Scheduled for Destruction
>
> APPENDIX D: SF-115 Request for Records Disposition Authority (paper
> copy only)
>
> APPENDIX E: SF-258 Agreement to Transfer Records to the National
> Archives of the United States (paper copy only)
>
> APPENDIX F: DOE Records Schedule 3 "Nuclear Weapons Records"
>
> APPENDIX G: Supplement to DOE Records Schedule 3 "Nuclear Weapons
> Records," N1-434-98-27

**I. INTRODUCTION**

1.  **SCOPE**

This document describes the minimum records management requirements for
the DOE and its contractors responsible for information pertaining to
the research, design, development, procurement, production, maintenance,
stockpile evaluation, dismantlement, and/or disassembly/disposal of
weapons and weapons-related material and software unless specifically
exempted by DOE/Albuquerque (AL). Requirements are aimed at the proper
preservation, management and disposition of historical information and
data necessary to maintain, revalidate and certify the safety and
reliability of the nuclear weapons stockpile. It requires the Nuclear
Weapons Complex (NWC) to "continue to preserve all information
applicable to and/or required by the Stockpile Stewardship and
Management Program, including initiatives to certify or revalidate the
stockpile, support the enhanced surveillance research and development
program, support the Accelerated Strategic Computing Initiative (ASCI),
and support the Stockpile Life Extension Program (SLEP) strategy" in
accordance with DOE Records Schedule 3, Nuclear Weapons Records.

> This document was created through the cooperative efforts of DOE/AL
> and the DOE Nuclear Weapons Records Working Group to address the many
> concerns of uniformly implementing Schedule 3 and the unique needs of
> each site. This document reiterates both requirements and
> implementation and training guidance that may exist in other
> documents. For ease of reference, requirement criteria are summarized
> in Section VII.
>
> This document includes implementation guidance, training guidelines
> and review criteria. The review criteria are a series of questions
> that [must]{.underline} be asked when reviewing records for potential
> destruction.

1.  **RESPONSIBILITIES**

> The DOE and each DOE M & O contractor are responsible for effective,
> economical management of their activities in a manner consistent with
> the requirements of this document. Contractor management is
> responsible for implementation of this document in a manner consistent
> with its assigned mission.
>
> Special exemptions approved by the DOE/AL Records Management Officer
> do not relieve sites of their responsibility for developing and
> implementing appropriate site-specific records schedules,
> implementation processes and training.

1.  **SUPPLEMENTAL POLICY AND INSTRUCTIONS**

> The DOE/AL Records Management Officer may issue serialized "Records
> Management Directives" to provide supplementary guidance or policy
> relative to the provisions and intent of this document.
>
> Specific instructions for DOE Records are provided in DOE O 200.1 and
> its Implementation Guide for use with 36 CFR Chapter XII, Subchapter
> B, Records Management.
>
> The disposition of records, to include disposal, (whole series or
> parts thereof) containing information necessary to support the nuclear
> weapons Stockpile Stewardship Program which will ensure the safety,
> security, and reliability of the nuclear weapons stockpile may be
> suspended by DOE Defense Programs until such time as that information
> has been captured and included in an appropriate information system as
> defined in N1-434-96-5 (Appendix F) and in N1-434-98-27 (Appendix G).

1.  **DEFINITIONS**

> Definitions of terms used in this document are provided in Section
> VIII. Additional technical definitions may be found in TP 4-1,
> Glossary of Nuclear Weapons Material and Related Terms, DOE/AL
> Development and Production Manual (D & P), Quality Assurance Procedure
> (QAP) Manual, Quality Criteria (QC-1), and Engineering Procedures.

**II. BASIC PRINCIPLES**

1.  **FUNDAMENTALS OF RECORDS MANAGEMENT**

> Records Management is the systematic and scientific control of the
> creation or receipt, processing, distribution, organization, storage,
> retrieval, and final disposition of recorded information that is
> required in the operations of an organization's business.
>
> Records Management in the NWC is enhanced by documented site-specific
> processes that are implemented uniformly throughout the site and
> complements other intrasite and intersite processes.
>
> Records Management's successful implementation is measured by the use
> of appropriate metrics to assess its effectiveness in the efficient
> accessibility, management and disposition of information.

1.  **ORGANIZATION**

> Appropriate DOE Management and contractors shall establish and
> maintain documented site-specific processes as a means of ensuring
> that its implementation of DOE Records Schedule 3 conforms to
> specified requirements.
>
> Management shall issue implementation policy and delegate
> administration and oversight of Schedule 3 implementation to a
> responsible, independent and authoritative element of the organization
> with clear access to top management. Programmatic implementation
> activities shall be coordinated with the corporate records management
> programs.

1.  **IMPLEMENTATION PROCESS**

    The Schedule 3 implementation process shall be documented and
    maintained with adequate provisions for internal checks and balances
    and management involvement. The implementation process shall promote
    an environment that provides for individual responsibility and
    accountability. The process shall be periodically evaluated for
    effectiveness and improvements implemented as needed.

2.  **Disposition and Review Process Annual Review**

> The DOE/AL Records Management Officer will perform an annual review of
> the disposition and review process and its implementation across the
> NWC. This document, as well as all related documents, will be reviewed
> and updated annually, as required.

1.  **DISPOSITION REVIEW PROCESS**

> The disposition review process is designed to evaluate the records for
> an "enduring technical need" beyond the scheduled retention period in
> Schedule 3. The review process provides guidance on when to conduct
> the review, who to involve in the process, how to perform the review,
> suggestions for developing site-specific review criteria, and how to
> transfer records between sites or to the National Archives and Records
> Administration (NARA). This process should facilitate intersite
> coordination. Each site must develop internal processes to plan,
> complete and document the reviews and resulting decisions as outlined
> in this document. The phrase, "site-specific schedule," in this
> document is defined as only those records series used at an NWC site.

2.  **Technical Review Criteria**

> A site's technical review criteria are developed from a series of
> questions and are used when reviewing records after project
> completion, project cancellation, dismantlement, and/or final
> disposition of the last related weapon system has occurred, and when
> the formal retention period has ended. It is used to identify records
> that may have enduring value. The questions apply to all records and
> should be used to evaluate all applicable records series in your
> site-specific schedule. In addition, a site may have administrative
> needs for records after their programmatic value has ended. The
> questions are categorized to help determine the activity in which they
> may have enduring value. Each site must develop site-specific criteria
> to supplement this section.

1.  **TRAINING**

> A formal records management training and education program shall be
> established for all personnel involved in assembly, production,
> manufacturing, inspection, test, repair, disassembly, and
> administrative support activities. Refresher training for these
> personnel shall not exceed one year. In addition, personnel performing
> disposition reviews shall require certification based on documented
> procedures.
>
> Appropriate records of training, qualification, certification, and
> reevaluation shall be maintained. Training guidelines are provided in
> Section V.

1.  **DESTRUCTION OF RECORDS**

> All recorded information must be dispositioned according to NARA and
> DOE approved schedules. All nuclear weapon related information
> dispositions must comply with Schedule 3 and the agency's
> site-specific schedule. In addition, records must not be destroyed if
> they are the subject of a current or upcoming audit, litigation,
> Freedom of Information Act (FOIA) request, destruction moratorium, or
> if they must be retained according to the terms of a consent decree.
> Each site must assign the appropriate persons such as technical,
> records management, audit coordination, FOIA, and legal personnel to
> make these determinations.

**III. TECHNICAL REVIEW PROCESS**

1.  **PURPOSE**

> The technical review process is designed to evaluate records for an
> "enduring technical need" beyond the scheduled retention period stated
> in Schedule 3. The review process provides guidance on when to conduct
> the review, who to involve in the process, how to perform the review,
> suggestions for developing site-specific review criteria, and how to
> transfer records between sites or to NARA. This process should
> facilitate intersite coordination and may be incorporated into other
> NWC procedural documents. Each site must develop internal processes to
> plan, complete and document the reviews and resulting decisions as
> outlined in this document.

1.  **REVIEW CONSIDERATIONS**

> The reviews shall be designed to preserve all information required by
> the Stockpile Stewardship and Stockpile Management Programs including:

-   initiatives to certify or revalidate the stockpile

-   enhanced surveillance research and development program

-   Accelerated Strategic Computing Initiative (ASCI)

-   Stockpile Life Extension Program (SLEP) strategy

-   national security concerns, e.g., emergency response and information
    for studies outside the NWC

-   enduring technical need, e.g., training applications, dismantlement
    efforts, readiness program

-   historical value, e.g., provide legacy information for research
    beyond the development of nuclear weapons and information
    documenting the history of nuclear weapons including administrative
    and nontechnical information documenting the policy and/or
    decision-making processes related to nuclear weapons development

1.  **TIMING THE REVIEW**

    The review must take place before disposition. Disposition is either
    destruction, transfer to a designated site repository, transfer to
    another site, or transfer to NARA.

    Reviews should be conducted periodically during a project or
    program. This will make each review less difficult and voluminous.
    It will ensure that knowledgeable technical personnel are available
    to conduct the review. In addition, the review can facilitate
    knowledge transfer among staff. The review can be folded into
    existing design or project review meetings.

2.  **Planning**

    Ideally, the review process should be developed at project
    conception and be included in all project schedules; that is, plan
    for the reviews and set up the project files according to a
    standardized file plan. Use of a standardized file plan will greatly
    facilitate both maintenance and use of the records as well as
    disposition.

    This review process must be followed even during interim periods
    such as when a spacesaver, safe, file cabinet, or disk gets full and
    when personnel transfer from one organization or project to another
    or retire. Generally, short-term emergencies do not create, generate
    or require use of different or new review criteria or review
    processes.

    Each site must determine what to do if the destruction of the
    records or transfer to NARA is determined to be inappropriate at the
    time of the review. As a minimum, it is recommended that each site
    review the records every five years. The introduction to the
    site-specific schedule should include the statement, "The retained
    records will be reviewed every five years thereafter for: (1)
    continuing value and retention, (2) destruction, (3) transfer to the
    designated site repository, (4) transfer to another NWC site, or (5)
    transfer to NARA."

3.  **Interim Reviews**

> It is recommended that interim reviews be conducted at the following
> project record life cycle milestones:

-   final report/document/deliverable. Note that there may be many final
    reports during a project, such as the final weapon development
    report, final component development report, Weapon Appraisal Process
    (WAP) In-depth Study report, etc.

-   dismantlement of weapon system or subsystem

-   project milestones, e.g., before migration from paper to electronic
    system

**3.3 Final Disposition Reviews**

> Reviews must be conducted at:

-   project closure (i.e., completion or cancellation)

-   final disposition of weapon system, subsystem or component

-   final disposition of a weapon, weapon type, joint test assembly
    (JTA), ancillary equipment or component

-   at the end of the records series scheduled retention period

-   site closings

**3.4 Documentation**

> The reviews must be documented. **DOE AL F NWR-2 (AL 5/98)**,
> "Schedule 3, Nuclear Weapons Records Disposition Review," will assist
> in documenting the review date, team (the names/positions of the
> reviewers), weapon system or project, the decisions, and the
> reasoning. **DOE AL F NWR-2 (AL 5/98)** is attached as Appendix B. It
> is required that this form be used at:

-   project closure

-   final disposition of weapon system, subsystem or component

-   the end of its scheduled retention period

1.  **PERFORMING THE REVIEW: WHO**

    Schedule 3 requires that the review be done by a team of
    "knowledgeable weapons technical personnel and records management
    personnel." The review team must have the appropriate clearances for
    the review

2.  **Review Personnel**

    The review personnel should be selected based upon their broad
    technical knowledge. Knowledge of all activities representing a
    weapon's life cycle including final disposition, nonproliferation
    and future development needs should be represented, as appropriate.
    In addition, a records management representative who is
    knowledgeable about Schedule 3 and National Security and Defense
    Programs should be included on the review team. The review team must
    be trained to do the review and have predefined criteria to use that
    are in the site-specific DOE-approved implementation processes. The
    reviewers' training and certification should be based upon
    site-specific documented procedures.

3.  **Adjunct Review Personnel**

> The review team may need to consult other organizations such as a
> legal, FOIA or audit office or other people such as the Department of
> Defense (DOD) and DOE museum curators, the DOD weapon training school
> system specialists, retirees, or information systems personnel for
> computer-readable records or data. Coordination between the design
> agencies (DAs), the production agencies (PAs) and the DOD will be
> required for some records series. It may be appropriate to include
> representatives from other sites on your review team.

1.  **PERFORMING THE REVIEW: HOW**

2.  **Review Level**

> The level at which the review will take place needs to be established.
> Typical review levels are (1) the systems, component or project level,
> which will generally involve multiple records series; (2) the records
> series; (3) a collection or subset of records series; and (4) the meta
> data level. The appropriate level must be identified for each review
> and must consider the records' life cycle stage, complexity, content,
> and media. In rare circumstances, the site may need to determine if
> some or all of the review should be done at the document level.

**5.2 Review Criteria**

Each site must develop site-specific criteria to use when reviewing
records for disposition. Personnel must use the site's technical review
criteria to do the reviews. In addition, these criteria should be
supplemented by each site's technical staff to meet project-specific
needs.

**5.3 Meta data**

Meta data is data about either data or records. It can include (1)
bibliographic information such as author(s), subject, title, date, file
codes, classification categories and levels, or file folder name; (2)
use information such as date, user name(s) and nature of use; (3)
summaries of calculations, tests, projects, or collections of data; or
(4) electronic records system data such as system manager, date created
and/or added to the system, data formats, and field sizes and names. If
meta data is used, it must be comprehensive, complete and acceptable as
quality evidence. Documented standards must exist for its creation and
maintenance. However, meta data is no substitute for the actual records,
and it will probably be insufficient to use solely for review
determinations until after final disposition of the weapon system has
occurred.

**5.4 Destruction Eligibility**

Reviewers must use their site-specific schedule to determine which
records series (or portion thereof) may be eligible for destruction. The
site-specific schedule may describe particular criteria for a records
series to be used in addition to the technical review criteria, e.g., if
no substantive comments are found.

**5.5 Unscheduled Records**

> Reviewers must determine that the records series, collection or system
> is appropriately scheduled. If the records do not match the identified
> records series, they must be retained until they are properly
> scheduled. Scheduling is done by reassigning the records series or by
> submitting a SF 115 that identifies new records series and their
> appropriate retention. Each site must work with its local DOE Records
> Management Program Officer to resolve any unscheduled record issues.
> In addition, the reviewers must verify that the retention event has
> passed, e.g., final disposition of the last related weapon system.

**IV. RECORDS DISPOSITION**

1.  **AUTHORIZING DESTRUCTION**

> Schedule 3 records must never be destroyed without the appropriate
> documented review and written authorization from the designated
> technical manager. The destruction may be authorized by someone other
> than those who performed the review. Site-specific schedules that
> designate records within certain records series may only be authorized
> for destruction by certain named individuals, such as "Weapons Program
> Managers." Those individuals may delegate the review responsibility to
> other knowledgeable weapons technical personnel, but only they retain
> the authority and responsibility to authorize the disposition of the
> weapons records.
>
> Each site must maintain a controlled document list of Weapons Program
> Managers who can authorize the disposition of the records for each of
> the records series in their site-specific schedule. While technical
> management may have the responsibility to create and maintain this
> controlled document, records management personnel must have access to
> the list and be able to rely on it as the authorized list.

1.  DESTRUCTION NOTIFICATION

    Nuclear weapons records reside at various sites throughout the NWC
    that may be needed by other sites to support their ongoing
    functional activities. For this reason, a technical review that is
    restricted to the owner site may not be adequate to meet the needs
    of the entire complex. To reduce the risk of losing vital and
    irreplaceable records and information, it is necessary for each site
    to notify all other sites before records are destroyed.

    Records that need to be announced to the NWC include collections of
    records on a component or weapon system that has completed final
    disposition, a major component or a collection of information that
    may have potential value to other sites. This announcement occurs
    only after the owner site has completed its final disposition review
    of the records and scheduled them for destruction.

2.  60-Day Objection Period

    When the site review has determined that a group of records has
    reached the end of its retention and that they are eligible for the
    approved disposition, the owner site must notify the NWC of the
    scheduled destruction using DOE AL F NWR-1 (AL 5/98), "Scheduled
    Destruction Of Nuclear Weapons Records," (Appendix A). All other NWC
    sites will have 60 days from the date of the notice to object to the
    destruction of the specified records.

    An objection must be formally documented to both the owner site and
    the DOE/AL Records Management Officer. A site's failure to respond
    within the 60-day time period will be deemed acquiescence to destroy
    the records. If no objection is registered, the owner site may
    destroy the records 90 days after notifying the NWC of the scheduled
    destruction. If an objection is registered, the objecting site must
    negotiate a resolution with the owner site within 60 days of the
    date of notification.

3.  Objecting Site Responsibilities

    If several facilities raise objections to the destruction of the
    records, accommodations will be made to retain these records for an
    additional five years to meet a complex-wide need. If only one
    facility objects to the destruction of the records, the objecting
    facility should make arrangements for the transfer or continued
    maintenance of these records at the original site.

4.  **NWC Primary Contacts**

> Primary contacts for notification of intended destruction should
> include each site's National Security and Defense Programs Officer,
> Records Management Officer and the Nuclear Weapons Information Group
> (NWIG) representative to ensure that technical management, records
> management and technical staff are notified quickly of records
> scheduled for destruction. Responses to the owner site should be
> coordinated through the site's records management officer to the owner
> site's records management officer. Site-specific processes should
> address this issue. The NWC Records Schedule 3 Committee recommends
> that a complex-wide notification system be jointly developed to
> facilitate this process.

1.  **TRANSFERS TO OTHER SITES/AGENCIES**

> When several facilities object to the destruction of the records, the
> accommodations made to retain them should not place undue burden on
> the custodial site. If the owner site does not have the physical space
> or the necessary budget to retain the records, alternative solutions
> may include:

-   transfer of the records to one or more of the sites requesting
    retention of the records

-   transfer of the records to a Federal Records Center (FRC)

-   intersite negotiation for proper and adequate maintenance

1.  **TRANSFERS TO NARA**

> Schedule 3 identifies certain records series for transfer to NARA. In
> addition, records for a selected project(s) representing technological
> advancements of historical significance may be offered to NARA.
> National security issues shall be addressed before the transfer of the
> selected records occurs. All information will be transferred complete
> and as a unit for each project selected by the NWC.
>
> Transfers will take place after the owner site (or any other site) no
> longer has any need for the records or annually for electronic records
> as scheduled by NARA. Record transfers to NARA are coordinated by the
> site's local DOE Records Program Officer and must be documented on SF
> 258, "Agreement to Transfer Records to the National Archives of the
> United States," (Appendix E).
>
> If Schedule 3 states that the DOE will transfer the records to NARA,
> determine if your agency is the DOE repository or has the best
> collection. If so, your site-specific schedule retention for those
> records should state "Offer to the DOE."

**V. SCHEDULE 3 TRAINING GUIDELINES**

1.  **PURPOSE**

> This guide outlines proposed content for a series of training modules
> to implement Schedule 3 that can be used throughout the DOE NWC. This
> training should promote an understanding of the DOE's records
> management principles and processes; awareness and understanding of
> the need for a formal process to review records for interim and final
> disposition; and an understanding of Schedule 3, its retentions and
> terminology.
>
> Training of senior management is imperative to the success of Schedule
> 3's implementation. Separate modules may need to be created for senior
> management, the technical staff and the administrative staff. Senior
> managers must understand and be involved in the intersite
> coordination, planning and funding of the review process. It is
> important to remember that there is a tremendous backlog of records
> for old and dismantled weapon systems from the last 50 years that must
> be reviewed. New technical business practices need to be developed to
> accomplish this efficiently, accurately and expediently.
>
> Training should be conducted by an individual knowledgeable about
> Schedule 3, National Security and Defense Programs and records
> management principles. This person should be available to provide
> guidance to the technical staff on a daily basis and during the
> reviews.

1.  **TRAINING MODULE 1: INTRODUCTION TO SCHEDULE 3**

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1.  **Introduction** (7 - 13 minutes)

> We speak a different language. Although records management and the NWC
> technical staff use the same words, they may have different meanings.
> This issue needs to be addressed up front in order to communicate.
> Effective communication between the two groups will be slow in coming,
> but will not happen if both groups are not aware of the gap and strive
> to bridge it. (2 - 3 minutes)
>
> Discuss records management in general terms, why and how Schedule 3
> was revised and the need for a common understanding of definitions.
> Describe the configuration-controlled records management concepts with
> respect to knowledge management systems; records management systems
> and the engineering design, development, production, support, and
> dismantlement activities. Discuss the nuclear weapon system processes
> and emphasize the interplay and interdependencies between the records
> management systems and other weapons-related activities. (5 -10
> minutes)

2.  **Definitions** (5 minutes)

> Nuclear Weapon Systems are composed of the nuclear weapon assembly,
> spare parts, military spares, weapon trainers, joint test assemblies,
> handling gear, test/evaluation equipment, and other nuclear weapons
> material related to the weapon. In the event of project cancellation,
> development hardware, test hardware and development components
> comprise the canceled weapon system.
>
> Related Weapon Systems share technology and hardware in the form of
> surety concepts, major components (MCs), handling gear, and test
> equipment with at least one weapon system that has NOT completed final
> disposition.
>
> Last Related Weapon System is one sharing technology and hardware with
> weapon systems that have completed final disposition ONLY. There are
> no shared design connections between the last related weapon system
> and any other weapon system still in existence.
>
> Final Disposition of a Weapon System (both deployed and canceled
> nuclear weapon systems) occurs when the last nuclear weapon assembly
> or its trainer, whichever comes last, has been reduced into its
> constituent parts and those parts have been demilitarized and
> sanitized. The materials from the constituent parts are no longer
> available for use in weapons. This includes the weapon types, JTA's,
> ancillary equipment, spare parts, trainers, handling gear, test
> equipment, development hardware and components. (NOTE: This does not
> include the pit. Pit records are scheduled separately.)
>
> Records Management terms such as disposition, retention schedule,
> active and inactive records, archive, and inactive storage may be
> addressed in the training session (see Section VIII, Definitions).

3.  The Review Process (10 - 15 minutes)

> DOE Records Schedule 3 states that the review must consider:

-   national security concerns, e.g., stockpile stewardship and
    management, emergency response and providing baseline information
    for studies outside the nuclear weapons complex

-   enduring technical need, e.g., training applications, dismantlement
    efforts and readiness program

-   historical value, e.g., providing legacy information for research
    beyond the development of nuclear weapons and information
    documenting the history of nuclear weapons, including administrative
    and non-technical information documenting the policy and/or
    decision-making processes related to nuclear weapons development.

> Requirements are aimed at the proper preservation, management and
> disposition of historical information and data necessary to maintain,
> revalidate and certify the safety and reliability of the nuclear
> weapons stockpile. Schedule 3 supports NWC requirements to preserve
> all information applicable to and/or required by such programs and
> initiatives as the Stockpile Stewardship and Management Program,
> certification and revalidation of the stockpile, enhanced surveillance
> research and development program, ASCI, and SLEP. Both Schedule 3 and
> the review criteria are designed to meet these requirements.
>
> In addition, records must not be destroyed if they are the subject of
> a current or upcoming audit, litigation, FOIA request, destruction
> moratorium, or if they must be retained according to the terms of a
> consent decree.
>
> Discuss the review process; the commitment required of senior
> management and the technical staff to review and properly evaluate
> active and inactive records; the time that must be dedicated; and the
> internal processes and training that must be developed.

4.  Questions (10 minutes)

> Times may vary according to the trainees' familiarity with the
> process.

1.  TRAINING MODULE 2: THE REVIEW PROCESS

2.  Introduction (5 minutes)

> Review "Introduction to Schedule 3," emphasizing communication and
> definitions.

2.  Timing the Review (When) (5 minutes)

> Schedule 3 requires the review to take place before disposition.
> Disposition is either destruction or transfer to NARA.
>
> Reviews should be conducted periodically during a project or program.
> These periodic reviews will make each review less difficult and
> voluminous and will ensure that knowledgeable technical personnel are
> available to conduct the review and help train technical staff new to
> the project or program. The review can be incorporated into existing
> design or project review meetings and be used as a tool for knowledge
> transfer.
>
> Reviews should be done at the following life cycle milestones:

1.  final report/document/deliverable. Note that there may be many final
    reports during a project, for example, the final weapon development
    report, final component development report, Weapon Appraisal Process
    (WAP) In-depth Study report, etc.

2.  project milestones, e.g., before migration from paper to electronic
    system

3.  project closure (i.e., completion or cancellation)

4.  dismantlement of weapon system, subsystem or component

5.  final disposition of weapon system, subsystem or component

6.  the end of its scheduled retention period

> The following guidance is suggested:
>
> Ideally, the review process should be developed at project conception
> and be included in all project schedules; that is, plan for the
> reviews and set up the project files according to a standardized file
> plan. Use of a standardized file plan will greatly facilitate
> maintenance, use of the records and disposition.
>
> Although it is highly desirable that a review be conducted at all six
> record life cycle milestones listed above, it is imperative that a
> review be conducted and documented at project closure; final
> disposition of weapon system, subsystem, or component; and at the end
> of the scheduled retention period. DOE AL F NWR-2 (AL 5/98), "DOE
> Records Schedule 3, Nuclear Weapons Records Disposition Review,"
> (Appendix B) will assist in documenting the review date, team (the
> names/positions of the reviewers), weapon system or project, the
> decisions made, and the reasoning. Form DOE AL F NWR-2 (AL 5/98)
> should be an integral part of project management documentation.
>
> This review process must be followed even during interim periods such
> as when a spacesaver, safe, file cabinet, or disk gets full; and when
> personnel transfer from one organization or project to another or
> retire. Generally, short-term emergencies do not create, generate, or
> require use of different or new review criteria or review processes.
>
> Each site must determine what to do if the destruction of the records
> or transfer to NARA is determined to be inappropriate at the time of
> the review. As a minimum, it is recommended that each site review the
> records every five years. The introduction to the site-specific
> schedule should state, "\[t\]he retained records will be reviewed
> every five years thereafter for (1) continuing value and retention,
> (2) destruction, (3) transfer to the designated site repository, (4)
> transfer to another NWC site, or (5) transfer to NARA."

3.  Performing the Review (Who) (3 - 5 minutes)

> Schedule 3 requires that the review be done by "knowledgeable weapons
> technical personnel and records management personnel." Discuss the
> decisions made by your site.
>
> A review team must be formed and trained. The review team may include
> the organization's records manager; current records custodians;
> subject matter experts including nonproliferation and dismantlement;
> the authors of the documents; members of the research project team;
> the site's records management officer or designee, historian and
> archivist; and the manager or supervisor who sent the records to
> inactive storage or the person who has current "ownership."
>
> The review team may need to consult other organizations such as a
> legal, FOIA or audit office or other people such as DOD and DOE museum
> curators, DOD weapon training school system specialists, retirees, or
> information systems personnel for computer-readable records and data.
> Coordination between the DAs, PAs and the DOD will be required for
> some records series. It may be appropriate to include representatives
> from other sites on your review team.
>
> The review personnel should be selected based upon their broad
> technical knowledge. Knowledge of all activities representing a
> weapon's life cycle including final disposition, nonproliferation and
> future development needs should be represented. In addition, a records
> management representative that is knowledgeable about Schedule 3 and
> National Security and Defense Programs should be included on the
> review team. The review team must be trained to do the review and have
> predefined criteria to use that are in the site-specific DOE-approved
> implementation processes.

4.  Performing the Review (How) (5 - 10 minutes)

> Personnel must use the technical review criteria to do the reviews.
> These criteria should be supplemented by each site's technical staff.
> Discuss the decisions made by your site.
>
> Reviewers must determine that the records series, collection or system
> is appropriately scheduled. If the records do not match the identified
> records series, they must be retained until they are properly
> scheduled. Scheduling is done by reassigning the records series or by
> submitting SF-115s identifying a new records series and the
> appropriate retention. In addition, the reviewers must verify that the
> retention event has passed, e.g., final disposition of the last
> related weapon system.
>
> The review team can either look at the records or the meta data about
> the records to perform the review. If meta data is used, it must be
> comprehensive and complete and be acceptable as quality evidence.
> Documented standards must exist for its creation and maintenance.
> However, meta data is no substitute for the actual records and will
> probably be insufficient to use solely for review determinations.

5.  Transfers to Other Sites/Agencies (3 minutes)

> The main focus of this section is to create awareness of the process
> and to identify site-specific contacts, e.g., each site's Weapons
> Program Principal, Records Management Officer and NWIG representative.
> Discuss the decisions made by your site.
>
> Nuclear weapons records reside at various sites throughout the NWC
> that may be needed by other sites to support their ongoing functional
> activities. For this reason, a technical review that is restricted to
> the owner site may not be adequate to meet the needs of the NWC. To
> reduce the risk of losing vital and irreplaceable records and
> information, it is necessary for each site to notify all other sites
> before records are destroyed by using DOE AL F NWR-2 (AL 5/98)
> (Appendix B).
>
> When the site review has determined that a group of records has
> reached the end of its retention and that they are eligible for the
> approved disposition, the owner site must notify the NWC of the
> scheduled destruction. All other NWC sites will have 60 days from the
> date of the notice to object to the destruction of the specified
> records by using DOE AL F NWR-3 "Request to Review and Transfer
> Nuclear Weapons Records Scheduled for Destruction" (APPENDIX C).
>
> An objection must be formally documented to both the owner site and
> the DOE/AL Records Management Officer. A site's failure to respond
> within the 60-day time period will be deemed acquiescence to destroy
> the records. If no objection is registered, the owner site may destroy
> the records 90 days after notifying the NWC of the scheduled
> destruction. If an objection is registered, the objecting site must
> negotiate a resolution with the owner site within 60 days of the date
> of notification through the DOE/AL Records Management Officer.
>
> When several facilities object to the destruction of the records, the
> accommodations made to retain them should not place undue burden on
> the custodial site. If the owner site does not have the physical space
> or the necessary budget to retain the records, alternative solutions
> may include:

-   transfer of the records to one or more of the sites requesting
    retention of the records

-   transfer of the records to a Federal Records Center (FRC)

-   intersite negotiation for proper and adequate maintenance

6.  Transfers to NARA (3 minutes)

> Schedule 3 lists certain records series for transfer to NARA. National
> security issues shall be addressed before the transfer of the selected
> records occurs. All information will be transferred complete and as a
> unit for each project selected by the NWC.
>
> Transfer will take place after each site no longer has any need for
> the records or annually for electronic records.
>
> If Schedule 3 states that the DOE will transfer the records to NARA,
> determine if your agency is the DOE repository or has the best
> collection. If so, your site-specific schedule retention for those
> records should state "Offer to the DOE."
>
> Discuss your site-specific schedule and the decisions made by your
> site.

7.  Technical Review Criteria (10 minutes)

> The questions represent an attempt to identify criteria to use when
> reviewing records after project completion, project cancellation,
> dismantlement and/or final disposition of the last related weapon
> system has occurred and the formal retention period has ended. These
> questions apply to all records except those designated "permanent" or
> "superseded, obsolete or no longer needed."
>
> All questions need to be applied to all records regardless of how the
> records are categorized. Many of the questions are general and can
> indicate potential value of the record regardless of the activity that
> created them.
>
> Discuss your site's defined review process, site-specific criteria and
> the decisions made by your site. It is imperative that all records are
> reviewed by knowledgeable weapons technical personnel and records
> management personnel to reaffirm the disposition and, when
> appropriate, that the records' final disposition be a consensus
> between the DAs, PAs and the DOD.
>
> Many nuclear weapon records must be retained until some years after
> the final disposition of the last related weapon system has been
> verified. This verification must include a review of materials being
> held in museums and training schools.

8.  Questions (10 minutes)

> Times may vary according to the trainees' familiarity with the
> process.

**VI. TECHNICAL REVIEW CRITERIA**

1.  **PURPOSE**

> Each site must develop its own criteria to use when assessing
> potential or enduring value of its records during the technical
> review. The technical review questions that follow are not
> requirements, but are useful in stimulating thought when developing
> site-specific criteria. The site-specific criteria must be used when
> reviewing records after project completion, project cancellation,
> dismantlement and/or final disposition of the last related weapon
> system has occurred, and the formal retention period has ended. These
> questions apply to all records and should be used to evaluate all
> applicable records series in the site-specific schedule. The questions
> are categorized to help determine the activity in which they may have
> enduring value.
>
> All questions need to be applied to all records regardless of how the
> records are categorized. Many of the questions are general and can
> indicate potential value of the records regardless of the activity
> that created them. It is imperative that all records are reviewed by
> knowledgeable weapons technical personnel and records management
> personnel to reaffirm the disposition and, when appropriate, that the
> records' final disposition be a consensus between the DAs, PAs and the
> DOD.
>
> The retention statement, \"the final disposition of the last related
> weapon system,\" recognizes that interrelationships exist among
> nuclear weapon systems. Nuclear weapon records must be evaluated to
> determine if multiple applications exist. Records disposition may
> occur only when the last using weapon system has completed its \"final
> disposition.\" Final disposition occurs when the last nuclear weapon
> assembly or its trainer, whichever comes last, has been reduced into
> its constituent parts and those parts have been demilitarized and
> sanitized. The materials from the constituent parts are no longer
> available for use in weapon systems.
>
> Many nuclear weapon records must be retained until some years after
> the final disposition of the last related weapon system as verified by
> the DOE, its DAs and PAs, and the DOD. This verification must include
> a review of material being held in museums and training schools. The
> following definitions are provided:

-   a nuclear weapon system is comprised of the nuclear weapon assembly,
    spare parts, military spares, trainers, handling gear, and test
    equipment related to the nuclear weapon. In the event of project
    cancellation, development hardware, test hardware, and development
    components comprise the canceled weapon system.

-   final disposition of a weapon system (both deployed and canceled
    nuclear weapon systems) occurs when the last nuclear weapon assembly
    or its trainer, whichever comes last, has been reduced into its
    constituent parts and those parts have been demilitarized and
    sanitized. The materials from the constituent parts are no longer
    available for use in the weapon. This includes the weapon types,
    JTAs, ancillary equipment, spares parts, trainers, handling gear,
    test equipment, development hardware, and components. (NOTE: This
    does not include the pit. Pit records are scheduled separately.)

-   a related weapon system is one sharing technology and hardware in
    the form of surety concepts, MCs, handling gear, and test equipment
    with at least one weapon system that has NOT completed final
    disposition.

-   the last related weapon system is one sharing technology and
    hardware with weapon systems that have completed final disposition
    ONLY. There are no shared design connections between the last
    related weapon system and any other weapon system still in
    existence.

> The Schedule 3 retention periods are a 95% or better solution to the
> technical problem of knowing when to destroy a record. Implied is the
> confidence that a record will be properly destroyed in accordance with
> Schedule 3. The exceptions are the special circumstances that cannot
> be predicted at this time and programmed into Schedule 3, but must be
> handled on a case-by-case basis. While these circumstances cannot be
> predicted at record creation, the incidence of one occurring can be
> anticipated.

1.  **TECHNICAL REVIEW QUESTIONS**

> The following questions provide guidance intended to assist the
> project and disposition review teams as they conduct a technical
> records disposition review. They are not requirements, but are useful
> in stimulating thought about how to identify potential or enduring
> value of the records, which is a requirement. The appropriate section
> of Schedule 3 has been identified for your convenience in the areas of
> potential or enduring value.

+---------------------------------------------------+------------------+
| Questions                                         | Areas of         |
|                                                   | Potential or     |
|                                                   | Enduring Value   |
+===================================================+==================+
| 1.  Have the retention periods for all file       | -                |
|     codes/records series attached to the record   |   Administrative |
|     passed?                                       |                  |
+---------------------------------------------------+------------------+
| 2.  Is there a current FOIA request, audit, or    | -                |
|     litigation relating to these records? Records |   Administrative |
|     may need to be retained until the FOIA        |                  |
|     request, audit or litigation is completed.    |                  |
+---------------------------------------------------+------------------+
| 3.  Is there anticipated litigation or an audit   | -                |
|     in which these records would be relevant?     |   Administrative |
+---------------------------------------------------+------------------+
| 4.  Despite reasonable efforts, are the records   | -                |
|     unreadable and beyond recovery (technology    |   Administrative |
|     unavailable, media deterioration, etc.)? If   |                  |
|     the records are not recoverable, contact your |                  |
|     site's Records Officer.                       |                  |
+---------------------------------------------------+------------------+
| 5.  If the records constitute a continuing menace | -                |
|     to human health, life or property (e.g.,      |   Administrative |
|     radioactive records, contaminated records or  |                  |
|     nitrocellulose-based film), do the risks and  |                  |
|     costs of maintaining, copying or preserving   |                  |
|     the records outweigh the benefits of          |                  |
|     preserving them? If yes, contact NARA for     |                  |
|     destruction concurrence following the normal  |                  |
|     DOE process.                                  |                  |
+---------------------------------------------------+------------------+
| 6.  Do the records summarize lessons learned? Are | -                |
|     they documented elsewhere?                    |   Administrative |
|                                                   |                  |
|                                                   | -   All sections |
|                                                   |     of Schedule  |
|                                                   |     3            |
+---------------------------------------------------+------------------+
| 7.  Are the records related to or relevant to a   | -                |
|     general history?                              |   Administrative |
+---------------------------------------------------+------------------+
| 8.  For records on weapon systems that have       | -                |
|     reached final disposition, is the information |   Administrative |
|     accessed frequently? How long has the         |                  |
|     frequency of access been monitored? Frequency | -   All sections |
|     of access alone is not an indicator of value. |     of\          |
|     Nuclear Weapons Records may have long periods |     Schedule 3   |
|     of dormancy.                                  |                  |
+---------------------------------------------------+------------------+
| 9.  Is this the weapon system that we want to     | -                |
|     offer to NARA? The DAs, PAs, and the DOD      |   Administrative |
|     should agree this is the weapon system whose  |                  |
|     information should be transferred to NARA for | -   All sections |
|     historical purposes. The DOE/AL Records       |     of\          |
|     Management Officer will coordinate the        |     Schedule 3   |
|     transfer of these records.                    |                  |
+---------------------------------------------------+------------------+
| 10. Did this weapon system or a related weapon    | 1\. Management   |
|     system enter stockpile? Have the DAs, PAs and |                  |
|     the DOD confirmed that all related weapon     |                  |
|     systems and/or components have completed      |                  |
|     final disposition?                            |                  |
+---------------------------------------------------+------------------+
| 11. Is the information being reviewed relevant to | 1\. Management   |
|     current or future designs?                    |                  |
|                                                   | 2\. Development  |
+---------------------------------------------------+------------------+
| 12. Is the information being reviewed potentially | 1\. Management   |
|     relevant to future defense or commercial      |                  |
|     applications?                                 | 2\. Development  |
+---------------------------------------------------+------------------+
| 13. Has this information been determined to have  | -   All sections |
|     no value for future modeling, design,         |     of Schedule  |
|     testing, and nonproliferation activities?     |     3            |
|     Records should be retained until it has been  |                  |
|     determined they have no value for future      | -                |
|     modeling, design, testing, and                | Nonproliferation |
|     nonproliferation activities.                  |                  |
+---------------------------------------------------+------------------+
| 14. If the information is accessed infrequently,  | -                |
|     is the weapon system a member of the inactive |   Administrative |
|     reserve stockpile, one that has been retained |                  |
|     in the field for significantly longer than    | -   All sections |
|     its original design life, or a weapon system  |     of Schedule  |
|     retained by a museum or training school? If   |     3            |
|     the weapon system has not completed final     |                  |
|     disposition, the frequency of access may not  | -                |
|     be relevant.                                  | Nonproliferation |
+---------------------------------------------------+------------------+
| 15. Can this information be used to evaluate      | -                |
|     proliferation and nonproliferation issues?    | Nonproliferation |
+---------------------------------------------------+------------------+
| 16. Does the information discuss any unique       | 2\. Development  |
|     designs, approaches, processes, etc., which   |                  |
|     are not captured in other documentation?      |                  |
+---------------------------------------------------+------------------+
| 17. Can this information be used to evaluate      | 2\. Development  |
|     enhanced surveillance materials, aging and    |                  |
|     reliability issues? If it logically feeds our |                  |
|     knowledge (lessons-learned) pool, retain.     |                  |
+---------------------------------------------------+------------------+
| 18. Was this part of the original design          | 2\. Development  |
|     requirements, e.g., MCs, STSs? Retrofits and  |                  |
|     safety modifications are covered under Weapon |                  |
|     Assessments.                                  |                  |
+---------------------------------------------------+------------------+
| 20. Is this information required for the          | 2\. Development  |
|     traceability, i.e., pedigree of materials?    |                  |
+---------------------------------------------------+------------------+
| 21. Developmental Testing: Was this test run on   | 2\. Development  |
|     stockpile-type hardware (diamond stamp not    |                  |
|     required, but must be representative of       |                  |
|     material quality and have all representative  |                  |
|     features)? Was this a valid test? Were all    |                  |
|     associated pedigrees of the quality materials |                  |
|     applicable? Was this a design validation test |                  |
|     run on pre-developmental hardware?            |                  |
+---------------------------------------------------+------------------+
| 22. Has the weapon or weapon component completed  | 4\. Engineering  |
|     dismantlement? Engineering releases may       | Authorizations   |
|     contain pertinent information for future      |                  |
|     evaluations.                                  |                  |
+---------------------------------------------------+------------------+
| 23. Is there unique irreplaceable information     | 6\. Device and   |
|     represented, e.g., High Fluence Recovery      | Effects Testing  |
|     stations, or air-blast data from atmospheric  |                  |
|     tests?                                        |                  |
+---------------------------------------------------+------------------+

+---------------------------------------------------+------------------+
| Questions                                         | Areas of         |
|                                                   | Potential or     |
|                                                   | Enduring Value   |
+===================================================+==================+
| 24. Do predictive codes need to be evaluated      | 6\. Device and   |
|     against this experimental data? Can a         | Effects Testing  |
|     computer code reproduce experiment results?   |                  |
|     Do we have complete modeling capability? Do   |                  |
|     the codes lack some physics? If there is any  |                  |
|     question that these codes cannot be recreated |                  |
|     or answered yes with 100% accuracy, DO NOT    |                  |
|     destroy the records. If the codes and         |                  |
|     calculations can be used with 100% accuracy   |                  |
|     and the records are no longer needed to       |                  |
|     validate the codes, continue with questions.  |                  |
+---------------------------------------------------+------------------+
| 25. Was the instrumentation properly designed?    | 6\. Device and   |
|     Was the test performed properly? Was the test | Effects Testing  |
|     properly documented? Does the test have       |                  |
|     academic value on how to do or not do these   |                  |
|     types of experiments?                         |                  |
+---------------------------------------------------+------------------+
| 26. Can this test be recreated? If not, retain    | 6\. Device and   |
|     the final test reports and experiment         | Effects Testing  |
|     waveform data when available.                 |                  |
+---------------------------------------------------+------------------+
| 27. Was this a valid test? Is it representative   | 6\. Device and   |
|     of the tests performed?                       | Effects Testing  |
+---------------------------------------------------+------------------+
| 28. How did we interpret the classification       | 6\. Device and   |
|     guides? Did the information determine the     | Effects Testing  |
|     basis for the "Nuclear Effects Test           |                  |
|     Classification Guide"? Classification         |                  |
|     guidance is derived from DOE and DOD          |                  |
|     classification guides. Event-specific         |                  |
|     guidance is not pertinent.                    |                  |
+---------------------------------------------------+------------------+
| 29. Does the information detail geologic          | 6\. Device and   |
|     structure about the testing location, e.g.,   | Effects Testing  |
|     fault locations in an underground tunnel?     |                  |
|     Retain the records if they can be used as     |                  |
|     reference material for future investigations  |                  |
|     of geologic structure.                        |                  |
+---------------------------------------------------+------------------+
| 30. Is the information useful because of the      | 6\. Device and   |
|     non-technical issues addressed, e.g.,         | Effects Testing  |
|     construction, security, containment, weather, |                  |
|     administrative, etc.? Retain the records if   |                  |
|     they can be used for nuclear effects test     |                  |
|     readiness should we return to testing.        |                  |
+---------------------------------------------------+------------------+
| 31. Is the information potentially useful if we   | 2\. Development  |
|     return to testing?                            |                  |
|                                                   | 6\. Device and   |
|                                                   | Effects Testing  |
+---------------------------------------------------+------------------+
| 32. Does the information have continuing value in | 2\. Development  |
|     the current climate of no testing?            |                  |
|                                                   | 6\. Device and   |
|                                                   | Effects Testing  |
+---------------------------------------------------+------------------+
| 33. Do we know how to get experiments ready for   | 2\. Development  |
|     tests?                                        |                  |
|                                                   | 6\. Device and   |
|                                                   | Effects Testing  |
+---------------------------------------------------+------------------+
| 34. How do we perform large-scale, one-shot       | 2\. Development  |
|     physics experiments?                          |                  |
|                                                   | 6\. Device and   |
|                                                   | Effects Testing  |
+---------------------------------------------------+------------------+

+---------------------------------------------------+------------------+
| Questions                                         | Areas of         |
|                                                   | Potential or     |
|                                                   | Enduring Value   |
+===================================================+==================+
| 35. Does the information describe how to assemble | 2\. Development  |
|     a team of scientists and engineers to design  |                  |
|     and perform tests?                            | 6\. Device and   |
|                                                   | Effects Testing  |
+---------------------------------------------------+------------------+
| 36. Does the information detail composition or    | 6\. Device and   |
|     location of environmental hazards? Does it    | Effects Testing  |
|     have value for environment, safety and health |                  |
|     reasons?                                      |                  |
+---------------------------------------------------+------------------+
| 37. Are there technology spin-offs that need to   | 6\. Device and   |
|     be considered, e.g., radioactive waste        | Effects Testing  |
|     repositories, radiation shielding, commercial |                  |
|     applications, etc.? Do the DAs, PAs, and the  |                  |
|     DOD agree there are no potential technology   |                  |
|     spin-offs?                                    |                  |
+---------------------------------------------------+------------------+
| 38. Was this product technology or process used   | 7\. Production,  |
|     on other weapon systems that have not         | Fabrication and  |
|     completed final disposition?                  | Test             |
+---------------------------------------------------+------------------+
| 39. Can yield analysis of production data be used | 8\. Quality      |
|     to support quality evidence for weapon        | Assurance        |
|     systems that have not completed               |                  |
|     dismantlement? Do the DAs, PAs, and the DOD   |                  |
|     agree that the information has no continuing  |                  |
|     value?                                        |                  |
+---------------------------------------------------+------------------+
| 40. Was this problem reflected throughout the     | 10\. Weapon      |
|     stockpile?                                    | Assessments      |
+---------------------------------------------------+------------------+
| 41. Was this problem isolated to a particular     | 10\. Weapon      |
|     unit or system in the stockpile? Did it       | Assessments      |
|     affect multiple units of a single system?     |                  |
+---------------------------------------------------+------------------+
| 42. Does the information discuss potential        | 11\. Retirement  |
|     hazards, including safety, related to         | and              |
|     dismantlement that might relate to a weapon   | Dismantlement    |
|     system still in stockpile (active or          |                  |
|     inactive) or that has not completed final     |                  |
|     disposition? Could the information possibly   |                  |
|     pertain to a potential hazard that may affect |                  |
|     final disposition of a weapon system?         |                  |
+---------------------------------------------------+------------------+
| 43. If a weapon system has been declared          | 11\. Retirement  |
|     completely dismantled, have the parts from    | and              |
|     dismantlement been dispositioned?             | Dismantlement    |
+---------------------------------------------------+------------------+
| 44. If a weapon system has been declared          | 11\. Retirement  |
|     completely dismantled, have the base spares,  | and              |
|     military spares, trainers, handling gear, and | Dismantlement    |
|     test equipment been dispositioned?            |                  |
+---------------------------------------------------+------------------+
| 45. Are the DAs and PAs in agreement that all     | 11\. Retirement  |
|     material has completed final disposition and  | and              |
|     the DOD has verified that no material exists  | Dismantlement    |
|     in museums or training schools?               |                  |
+---------------------------------------------------+------------------+
| 46. What parts and materials associated with      | 11\. Retirement  |
|     retired and dismantled weapons are being      | and              |
|     retained indefinitely by weapon training      | Dismantlement    |
|     schools and museums?                          |                  |
+---------------------------------------------------+------------------+

VII. **REQUIREMENTS SUMMARY**

The requirements in this document are summarized below by section and
part.

**SECTION I**

**1.0 SCOPE**

1.  The review criteria are a series of questions that
    [must]{.underline} be asked when reviewing records for potential
    destruction.

**2.0 RESPONSIBILITIES**

1.  The DOE and each DOE M & O contractor are responsible for effective,
    economical management of their activities in a manner consistent
    with the requirements of this document.

2.  Contractor management is responsible for implementing this document
    in a manner consistent with its assigned mission.

3.  Special exemptions approved by the DOE Records Management Officer do
    not relieve sites of their responsibility for developing and
    implementing appropriate site-specific records schedules,
    implementation processes and training.

**SECTION II**

**2.0 ORGANIZATION**

1.  Appropriate DOE management and contractors shall establish and
    maintain documented site-specific processes as a means of ensuring
    that its implementation of DOE Records Schedule 3 conforms to
    specified requirements.

2.  Management shall issue implementation policy and delegate
    administration and oversight of Schedule 3 implementation to a
    responsible, independent and authoritative element of the
    organization with clear access to top management.

3.  Programmatic implementation activities shall be coordinated with the
    corporate records management programs.

**3.0 IMPLEMENTATION PROCESS**

1.  The Schedule 3 Implementation process shall be documented and
    maintained with adequate provisions for internal checks and balances
    and management involvement.

2.  The implementation process shall promote an environment that
    provides for individual responsibility and accountability.

3.  The process shall be periodically evaluated for effectiveness and
    improvements implemented as needed.

**3.1 Disposition and Review Process Annual Review**

1.  The DOE/AL Records Management Officer will perform an annual review
    of the disposition and review process and its implementation across
    the NWC.

2.  This document, as well as all related documents, will be reviewed
    and updated annually, as required.

**4.0 DISPOSITION REVIEW PROCESS**

1.  Each site must develop internal processes to plan, complete and
    document the reviews and resulting decisions as outlined in this
    document.

**4.1 Technical Review Criteria**

1.  A site's technical review criteria are developed from a series of
    questions and are used when reviewing records after project
    completion, project cancellation, dismantlement, and/or final
    disposition of the last related weapon system has occurred. The
    technical review criteria are used when the formal retention period
    has ended.

2.  The questions apply to all records and should be used to evaluate
    all applicable records series in your site-specific schedule.

3.  Each site must develop site-specific criteria to supplement this
    section.

**5.0 TRAINING**

1.  A formal records management training and education program shall be
    established for all personnel involved in assembly, production,
    manufacturing, inspection, test, repair, disassembly, and
    administrative support activities.

2.  Refresher training for these personnel shall not exceed one year.

3.  Personnel performing disposition reviews shall require certification
    based on documented procedures.

**6.0 DESTRUCTION OF RECORDS**

1.  All recorded information must be disposed of according to NARA and
    DOE-approved schedules.

2.  All nuclear weapon related information dispositions must comply with
    Schedule 3 and the agency's site-specific schedule.

3.  Records must not be destroyed if they are the subject of a current
    or upcoming audit, litigation, FOIA request, destruction moratorium,
    or if they must be retained according to the terms of a consent
    decree.

4.  Each site must assign the appropriate persons to make these
    determinations.

**SECTION III**

**2.0 REVIEW CONSIDERATIONS**

1.  The reviews shall be designed to preserve all information required
    by the Stockpile Stewardship and Stockpile Management Programs.

**3.0 TIMING THE REVIEW: WHEN**

1.  The review must take place before disposition.

**3.1 Planning**

1.  This review process must be followed even during interim periods
    such as when a spacesaver, safe, file cabinet, or disk gets full and
    when personnel transfer from one organization or project to another
    or retire.

2.  Each site must determine what to do if the destruction of the
    records or transfer to NARA is determined to be inappropriate at the
    time of the review.

3.  The introduction to the site-specific schedule should state,
    "\[t\]he retained records will be reviewed every five years
    thereafter for: (1) continuing value and retention, (2)
    destruction, (3) transfer to the designated site repository, (4)
    transfer to another NWC site, or (5) transfer to NARA."

**3.3 Final Disposition Reviews**

1.  Reviews must be conducted at:

-   project closure (i.e., completion or cancellation)

-   final disposition of weapon system, subsystem or component

-   final disposition of a weapon, weapon type, JTA, ancillary equipment
    or component

-   the end of the records series scheduled retention period

-   site closings, e.g., nonnuclear reconfiguration

**3.4 Documentation**

1.  The reviews must be documented (standard review form attached).

2.  It is required that this form be used at:

-   project closure

-   final disposition of weapon system, subsystem or component

-   the end of its scheduled retention period

**4.0 PERFORMING THE REVIEW: WHO**

1.  Schedule 3 requires that the review be done by a team of
    "knowledgeable weapons technical personnel and records management
    personnel."

2.  The review team must have appropriate clearances for the review.

**4.1 Review Personnel**

1.  The review team must be trained to do the review and have predefined
    criteria to use that are in the site-specific DOE-approved
    implementation processes.

**4.2 Adjunct Review Personnel**

1.  Coordination between the DAs, PAs, and DOD will be required for some
    records series.

**5.0 PERFORMING THE REVIEW: HOW**

**5.1 Review Level**

1.  The appropriate level must be identified for each review and must
    consider the records' life cycle stage, complexity, content, and
    media.

**5.2 Review Criteria**

1.  Each site must develop site-specific criteria to use when reviewing
    records for disposition. Personnel must use the site's technical
    review criteria to do the reviews.

**5.3 Meta data**

1.  If meta data is used, it must be comprehensive, complete and
    acceptable as quality evidence. Documented standards must exist for
    its creation and maintenance.

**5.4 Destruction Eligibility**

1.  Reviewers must use their site-specific schedule to determine which
    records series (or portion thereof) may be eligible for destruction.

**5.5 Unscheduled Records**

1.  Reviewers must determine that the records series, collection, or
    system is appropriately scheduled.

2.  Each site must work with its local DOE Records Management Program
    Officer to resolve any unscheduled record issues.

3.  The reviewers must verify that the retention event has passed, e.g.,
    final disposition of the last related weapon system.

**SECTION IV**

**1.0 AUTHORIZING DESTRUCTION**

1.  Schedule 3 Records must never be destroyed without the appropriate
    documented review and written authorization from the designated
    technical manager.

2.  Each site must maintain a controlled document list of Weapons
    Program Managers who can authorize the disposition of the records
    for each of the record series in their site-specific schedule.

3.  Records management personnel must be able to have access to the list
    and be able to rely on it as the authorized list.

**2.0 DESTRUCTION NOTIFICATION**

1.  Each site must notify all other sites before records are destroyed.

**2.1 60-Day Objection Period**

1.  The owner site must notify the NWC of the scheduled destruction
    using the attached form.

2.  All other NWC sites will have 60 days from the date of the notice to
    object to the destruction of the specified records.

3.  An objection must be formally documented to both the owner site and
    the DOE/AL Records Management Officer.

4.  If an objection is registered, the objecting site must negotiate a
    resolution with the owner site within 60 days of the date of
    notification.

**2.2 Objecting Site Responsibilities**

1.  If several facilities raise objections to the destruction of the
    records, accommodations will be made to retain these records for an
    additional five years to meet a NWC-wide need.

**3.0 TRANSFERS TO NARA**

1.  National security issues shall be addressed before the transfer of
    the selected records occurs.

2.  All information will be transferred complete and as a unit for each
    project selected by the NWC.

3.  Transfers will take place after the site (or any other site) no
    longer has any need for the records or annually for electronic
    records as scheduled by NARA. Record transfers to NARA are
    coordinated by the site's local DOE Records Program Officer and must
    be documented on SF 258.

4.  Determine if your agency is the DOE repository or has the best
    collection.

**SECTION VI**

**1.0 PURPOSE**

1.  Each site must develop its own criteria to use when assessing
    potential or enduring value of its records during the technical
    review.

2.  The site-specific criteria must be used when reviewing records after
    project completion, project cancellation, dismantlement and/or final
    disposition of the last related weapon system has occurred, and when
    the formal retention period has ended.

3.  It is imperative that all records are reviewed by knowledgeable
    weapons technical personnel and records management personnel to
    reaffirm the disposition and, when appropriate, that the records'
    final disposition be a consensus between the DAs, PAs and DOD.

4.  Many nuclear weapon records must be retained until some years after
    the final disposition of the last related weapon system as verified
    by DOE, its DAs and PAs and the DOD. This verification must include
    a review of material being held in museums and training schools.

**VIII. DEFINITIONS**

**Active Records -** Records necessary to conduct the current business
of an office and therefore generally maintained in office space and
equipment.

**Administrative Records** - Records pertaining to communication,
facilities, human resources, financial, information systems, legal,
logistics, procurements, safeguards and security and similar
housekeeping, or facilitative functions common to most offices. This is
in contrast to programmatic records.

**Administrative Value** - The usefulness of records in conducting an
agency\'s current business. Includes fiscal value and legal value, which
are usually analyzed separately when records are evaluated for
disposition.

**Archives** - The noncurrent records of an organization preserved
because of their continuing or enduring value. The organization or
agency responsible for appraising, accessioning, preserving, and making
available permanent records. See **National Archives and Records
Administration (NARA)**.

**Audiovisual Records** - Audiovisual records are federal records in
pictorial or aural form that include still and motion pictures, graphic
materials, sound and video recordings, and combinations of media, such
as slide-tape productions. These materials are considered records in the
same way as any letter, memorandum, or case file related to official
business, and the basic principles and practices of managing paper
records also apply to audiovisual records.

**Authentication** - The signing, initialing, stamping, and dating of a
record by authorized personnel. (Authentication may also include a
statement that clearly identifies the responsible person or
organization.)

**Backup** - A copy of a computer file to be used if the original is
lost, damaged, or destroyed. A controlled copy. See **Vital Records**.

**Certification** - A single operation, piece of equipment, or
individual that has been reviewed and deemed satisfactory. An acceptable
level of confidence has been developed that proves an operation, piece
of equipment or individual is capable of producing product to
specification and the procedure is followed and results documented.

**Convenience Files** - These consist of extra nonrecord copies of
correspondence, forms and other papers kept solely to satisfy a
particular need. Examples of convenience files are: reading files,
suspense files (also known as \"tickler files\"), policy reference
files, alphabetical name index files, and duplicate working files.

**Copy** - In electronic records, the result or action of reading data
from a source, leaving the source data unchanged and writing the same
data elsewhere on a medium that may differ from the source. For all
records, an exact duplicate with no extraneous or additional
information.

**Cutoff** - See **Files Cutoff**.

**Data Base** - In electronic records, a set of data, consisting of at
least one file or of a group of files, usually stored in one location
and made available to several users at the same time for various
applications.

**Data File** - In electronic records, an organized collection of
related data, usually arranged into logical records that are stored
together and treated as a unit.

**Discoverable Records** - Records that may be obtained by an opposing
party as part of a pending action or litigation by the discovery
process.

**Demilitarization** - An irreversible modification or destruction of a
component/hardware or part of a component/hardware to the extent
required to prevent use in its original weapon purpose.

**Design Agency (DA)** - A DOE contractor responsible for the design of
DOE weapons and weapons-related material and the integrity of the design
through stockpile life.

**Destroy** - The physical destruction of records that have reached the
end of their retention period and are no longer useful. Destruction,
such as shredding, degaussing, and burning, must be appropriate for type
of media and sensitivity of the records.

**Disaster** - An unexpected occurrence inflicting widespread
destruction and distress and having adverse effects on an agency's
operations.

**Disposition** - The actions taken regarding records no longer needed
in current office space. These actions include transfer to agency
storage facilities or Federal Records Centers (FRC), transfer from one
federal agency to another, transfer of permanent records to the National
Archives, and disposal/destruction of temporary records.

**Disassembly/Disposal** - The period when quantity disassembly,
demilitarization and sanitization, and component disposition occur. (For
more details, see Chapter 3.2 in the D & P Manual.)

**Document** (verb) - To record or provide factual, substantive support
and evidence of actions, decisions and performance in the course of
conducting an agency's business.

**Document** (noun) - One or more pieces of information, regardless of
the media on which they reside, which may or may not be a record.

**Document Type** - Categorization of a document as a program record,
common record or nonrecord.

**Documentary Materials** - A collective term for records, nonrecord
materials and personal papers regardless of the media on which it is
recorded.

**Documents** - Documents, including design agency drawings and
specifications, manufacturing and inspection work instructions,
procedures, drawings, and specifications, may be in hard copy form or
software stored on computer tapes, disks or other suitable media. They
may be transmitted to the point of use without being transcribed on
paper, such as to a computer terminal or directly to a machine.

**DOE Acceptance** - The acceptance of material by the DOE based upon
the results of DOE quality assurance activities, production and design
quality assurance activities and substantiating quality evidence.

**Electronic Record** - Any information that is stored in a form that
only a computer can read or process and that satisfies the definition of
a federal record.

**E-mail Record** - A message sent or received via an electronic mail
system with its transmission/receipt data and attachments that meets the
criteria of a federal record.

**Epidemiological Moratorium** - A temporary hold placed by DOE\'s
Office of Epidemiology and Health Surveillance on the destruction of all
health-related scheduled records that provide information about people
who worked at a DOE or contractor site, why they worked there, what job
they performed, what epidemiology hazards they may have been exposed to,
and what kinds of epidemiology problems they may have suffered during or
after their employment. Records under this moratorium also include any
site records useful for measuring potential epidemiology effects on the
surrounding communities.

**File Plan** - A document containing the identifying number, title or
description and disposition authority of files held in an office.

**Files Cutoff** - An action that breaks a file by closing it based on a
time period that is determined in advance. Files cutoff schedules may be
identified in the site-specific retention schedule.

**Filing System** - A set of policies and procedures for organizing and
identifying files or documents to speed their retrieval, use, and
disposition.

**Final Disposition of A Weapon System** - Final Disposition of A Weapon
System (both deployed and canceled nuclear weapon systems) occurs when
the last nuclear weapon assembly or its trainer, whichever comes last,
has been reduced into its constituent parts and those parts have been
demilitarized and sanitized. The materials from the constituent parts
are no longer available for use in weapons. This includes the weapon
types, joint test assemblies, ancillary equipment, spares parts,
trainers, handling gear, test equipment, development hardware and
components. (NOTE: This does not include the pit. Pit records are
scheduled separately.)

**General Correspondence (Subject) Files** - Often known as the
\"general file\" or the \"subject correspondence file,\" this file
consists of originals or copies of letters, memorandums, telegrams, and
reports.

**Inactive Records** - Scheduled records that have not met their
required retention period but are no longer useful in the active office
area. These records may be sent to inactive records storage.

**Inactive Records Storage** - The designated, protected, low-cost,
off-site storage facility(s) suitable for the temporary housing of
agency records not needed in the active office area but which still need
to be retained pending their disposition. Often referred to as inactive
storage**.**

**Information** - Facts or data, including processed data, communicated
or received.

**Input Records** - Nonelectronic documents designed and used to create,
update or modify records in an electronic medium; or electronic records
containing data used to update a separate computer file. Also known as
source records of source documents.

**Inspection** - Physical examination, inspection, measurement, or tests
used to determine the conformance of material to drawings and
specifications. Verification inspection refers specifically to DOE
inspections.

**Last Related Weapon System -** A weapon system that shares technology
and hardware with weapon systems that have completed final disposition
ONLY. There are no shared design connections between the last related
weapon system and any other weapon system still in existence.

**Media** - The physical forms of recorded information, including paper,
film, computer disks, computer tapes, and any other materials on which
information can be recorded.

**Medium** - See **Media.**

**Meta data** - Data about either data or records. It can include (1)
bibliographic information such as author(s), subject, title, date, file
codes, classification categories and levels, or file folder name; (2)
use information such as date, user name(s) and nature of use; (3)
summaries of calculations, tests, projects, or collections of data; or
(4) electronic records system data such as system manager, date created
and/or added to the system, data formats, and field sizes and names.

**Microfiche** - A card-sized transparent sheet of film with
miniaturized images arranged in a grid pattern.

**Microfilm** - Rolls of film in reels, cartridges or cassettes
containing serialized micro-images.

**Microform Records** - Any form of greatly reduced images or
micro-images contained on microfilm or microfiche. Roll microfilm
includes images on reels, cartridges and cassettes, while flat, unitized
microfilm includes microfiche, microfilm jackets, aperture cards,
micro-cards, or micro-opaques.

**Moratorium** - An authorized period of delay, and a suspension or a
hold on the disposition of records. There is currently a destruction
moratorium on epidemiological and weapons-related records.

**NARA** - The National Archives and Records Administration is the
federal government agency responsible for (1) appraising, accessioning,
preserving and making available permanent records for the U.S.
Government; (2) approving the disposition of federal records and (3)
promulgating certain records management regulations.

**National Archives and Records Administration** - See **NARA**.

**Nonrecords** - Information that is excluded from, or does not meet,
the legal definition of records. Nonrecords include (1) extra copies of
documents kept only for convenience of reference; (2) stocks of
publications and processed documents; (3) library or museum materials
intended solely for reference or exhibition; and (4) papers of a
personal or private nature not related to official agency activities.
Nonrecords can be retained as long as needed and can be destroyed when
they are no longer useful. Nonrecords cannot be retained longer than the
retention period for the corresponding record copy of the records
series.

**Nuclear Weapon System** - A nuclear weapon system comprised of the
nuclear weapon assembly, spare parts, military spares, trainers,
handling gear, and test equipment related to the nuclear weapon. In the
event of project cancellation, development hardware, test hardware, and
development components comprise the canceled weapon system.

**Originating Organization** - The organization that generates records
or receives records from external sources in the course of business. The
originating organization is generally the office of record.

**Output Records** - In electronic records, information generated by a
computer and placed on another medium, such as paper, microform, or an
electronic storage medium.

**Permanent Records** - Records appraised by NARA as having sufficient
historical or other value to warrant continued preservation by the
federal government beyond the time they are needed for administrative,
legal or fiscal purposes.

**Personal Papers** - Personal papers are recorded information belonging
to an individual that are not used to conduct agency business. The
information relates solely to an individual\'s own affairs or used
exclusively for that individual\'s convenience.

**Production Agency (PA)** - A DOE contractor responsible for the direct
procurement or production of DOE weapons and weapons-related material
including processing of new and reused material as well as repair,
modification, surveillance, test, disassembly, and reassembly
operations.

**Project or Case Files** - Case files contain material relating to a
specific action, event, person, organization, location, product, or
thing. The papers may cover one or many subjects concerning a case or
project but will always be filed by a name or number.

**Programmatic Records** - Records documenting the unique, substantive
functions for which an agency's organizations are responsible (Defense
Programs, Energy and Environment, etc.). In contrast to administrative
records, programmatic records document the function of the organization.

**Qualification** - Acceptable performance of a complete process
consisting of one or more operations that have been individually
certified. The operation, piece of equipment, or individual must have
produced products or services that meet or exceed customer requirements.

**Quality** - Conformance to customer requirements and expectations.
This includes the concept of closeness to target or nominal values,
recognizing that any deviation from target results in a reduction in
quality.

**Quality Assurance** - All those planned and systematic actions
necessary to provide adequate confidence that a product or service will
satisfy given needs.

**Quality Costs** - The cost of nonconformance plus the cost of
conformance. It includes the cost of prevention, appraisal and failure.

**Quality Evidence** - Information that indicates the extent of
conformance to requirements and control over design and production
processes. This information is based on process control data, inspection
and acceptance activities or traceability records.

**Quality Evidence Records** - Authenticated information that indicates
the extent of conformance to requirements and control over design and
production processes, including process control data, inspection, and
acceptance activities, and traceability records (e.g., product test data
and record of assembly). Records include process control, procurement,
incoming inspection, manufacturing, inspection, and test and acceptance
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 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 information value of the
data in them." (44 USC 3301)

**Recordkeeping** - The act or process of managing records from their
creation, or receipt, through their processing, distribution,
organization, storage, and retrieval to their ultimate disposition.

**Records Center** - A facility for the low-cost storage of records
pending their disposal or transfer. See **Inactive Records Storage.**

**Records Management** - Planning, controlling, directing, organizing,
training, promoting, and other managerial activities related to the
creation, maintenance, use, and disposition of records to achieve
adequate and proper documentation, and effective, economical management
of an organization's operations.

**Reference Copy** - The nonrecord or information copy sent to
individuals or offices interested in, but not acting on, a matter.
Reference materials should be disposed of in the office and cannot be
sent to inactive records storage.

**Retention Period** - The length of time that records are to be kept
before disposal or transfer to the corporate archives.

**Records Retention and Disposition Schedule** - A document providing
instructions on what to do with records (and nonrecord materials) no
longer needed for current business in the active office area, with
provisions of authority for final disposition. Also called records
disposition schedule, records control schedule, records retention
schedule, and retention schedule.

**Records Schedule** - See **Records Retention and Disposition
Schedule.**

**Records Series** - Files or documents arranged together because they
relate to a particular subject or function, result from the same
activity, document a specific kind of transaction, take a particular
physical form, or have some other relationship arising out of their
creation, receipt or use.

**Reference Copy** - The nonrecord or information copy sent to
individuals or offices interested in, but not acting on, a matter.
Reference materials should be disposed of in the office and cannot be
sent to inactive records storage.

**Related Weapon Systems** - Weapon systems that share technology and
hardware in the form of surety concepts, major components (MCs),
handling gear, and test equipment with at least one weapon system that
has NOT completed final disposition.

**Retention Schedule** - See **Records Retention and Disposition
Schedule.**

**Schedule** - Disposition instructions for what to do with records no
longer needed for current business. These instructions are found in the
site records retention and disposition schedule that describes types of
records and approved retention periods for those records. See **Records
Retention and Disposition Schedule.**

**Scheduled Records** - Records which have a NARA/DOE approved records
retention and disposition period.

**Site-Specific Schedule -** Those records series used at a Nuclear
Weapons Complex (NWC) site. A site-specific schedule is a localized,
comprehensive interpretation of all appropriate federal records
schedules and unique records series for a specific site and is approved
by both the DOE and NARA. It defines the specific programs and operation
for the corporation.

**Supplier** - An organization that supplies materials, goods or
services directly or indirectly to a DOE contractor or to another
supplier.

**Sanitization** - The irreversible modification or destruction of a
component/hardware or part of a component/hardware to the extent
required to prevent revealing classified or otherwise controlled
information.

**Software** - Computer programs, procedures, rules, and any associated
documentation and data.

**Software Quality Assurance** - Planned and systematic actions
necessary to provide adequate confidence that a software product
conforms to established technical requirements.

**Special Processes** - Discrete processes in a manufacturing system,
such as welding, heat treating, and nondestructive examination, which
are highly dependent on the control of equipment, procedures and/or
operator skills, and in which conformance cannot readily be determined
by inspection or test.

**Technical Reference Files** - Sometimes called \"reference material\"
or \"reference publications,\" this file group consists of printed or
processed material that is of nonrecord value, but has a direct
relationship to the work of the office and is needed for future
reference.

**Unexpected Occurrence** - A condition of extreme peril caused by an
act of nature or person, such as fire, flood, storm, earthquake,
explosion, epidemic, riot, or sabotage.

**Unscheduled Records** - Records that have not received official
NARA/DOE approval for their proposed retention period. These records may
not be destroyed until approval is given by the site Records Officer.

**Vital Records** - Those documents that are needed to (1) meet agency
business needs during security emergencies or other emergency or
disaster conditions (emergency operating records); (2) protect the legal
and financial rights of the agency and those affected by the agency's
activities (legal and financial rights records) and (3) preserve costly
project and research and development records that, if lost, the time and
money necessary to replace them would alone constitute a disaster.

**Vital Records Program** - Policies, plans and procedures developed and
implemented and the resources needed to identify, use and protect the
essential records needed to meet operational responsibilities under
national security emergencies, or other emergency or disaster
conditions, or to protect the government's rights or those of its
citizens.

**Weapons Material** - DOE nuclear weapons, assemblies, components, or
parts thereof, and associated test and handling equipment.

**Weapons-Related Material** - Any material other than weapons material
being developed and produced for or by the DOE and intended for use in
conjunction with, or in any way related to, weapons.

**Weapons Moratorium** - A temporary hold placed by DOE on the
destruction of all weapons-related records.

**Working Files** - Working files (also called drafts or working papers)
should be disposed of unless they contain substantive comments or
deliberative decisions affecting the record. Working files are documents
such as notes, calculations or drafts assembled or created and used to
prepare or analyze other documents

**Working Papers** - Short-lived correspondence and working papers
accumulated in connection with specific case and project files. They
include background and working materials such as reference materials and
data obtained for the case or project, data analyses and summaries.

**Appendices**

> APPENDIX A: DOE AL F NWR-1 (AL 5/98) DOE Records Schedule 3, Nuclear
> Weapons Records Disposition Review
>
> APPENDIX B: DOE AL F NWR-2 (AL 5/98) Scheduled Destruction of Nuclear
> Weapons Records
>
> APPENDIX C: DOE AL F NWR-3 Request to Review and Transfer Nuclear
> Weapons Records Scheduled for Destruction
>
> APPENDIX D: SF-115 Request for Records Disposition Authority (paper
> copy only)
>
> APPENDIX E: SF-258 Agreement to Transfer Records to the National
> Archives of the United States (paper copy only)
>
> APPENDIX F: DOE Records Schedule 3 "Nuclear Weapons Records"
>
> APPENDIX G: Supplement to DOE Records Schedule 3 "Nuclear Weapons
> Records," N1-434-98-27