TN: DT-07-04

To: NRC Management Directives Custodians

Subject: Transmittal of Management Directive 3.53, “NRC Records

and Document Management Program”

Purpose: Management Directive 3.53 is being revised to reflect

organizational changes and changes in responsibilities for

managing the agency<s records in the Agencywide

Documents Access and Management System (ADAMS).

MD 3.53 includes two handbooks: Handbook 1, "NRC

Records Management Program," and Handbook 2,

"ADAMS Document Processing."

No change bars have been used because of the extent of

the revision.

Office of Origin: Office of Information Services

Contact: Margaret A. Janney, 301-415-7245

Date Approved: June 15, 1995 (Revised: March 15, 2007)

Volume: 3 Information Management

Part: 2 Records Management

Directive: 3.53 NRC Records and Document Management Program

Availability: Rulemaking, Directives and Editing Branch

Office of Administration

Michael T. Lesar, 301-415-7163

Christy Moore, 301-415-7086

U.S. NUCLEAR REGULATORY COMMISSION

DIRECTIVE TRANSMITTAL

OFFICE OF ADMINISTRATION
NRC Records

and Document

Management Program

Directive

3.53
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

Approved: June 15, 1995 iii

(Revised: March 15, 2007)

Contents

Policy ....................................................... 1

Objectives ................................................... 1

Organizational Responsibilities and

Delegations of Authority ................................. 3

Chief Information Officer ......................................... 3

Director, Office of Information Services (OIS) ......................... 4

Director, Office of Nuclear Security and Incident Response (NSIR) ........ 5

Office Directors and Regional Administrators ......................... 5

Director, Information and Records Services Division (IRSD), OIS ......... 7

Director, Division of Contracts (DC), Office of Administration (ADM) ....... 7

Chief, Information Services Branch (ISB), IRSD, OIS . . . . . . . . . . . . . . . . . . . 8

Chief, Records and FOIA/Privacy Services Branch (RFPSB), IRSD, OIS .... 8

Applicability ................................................. 9

Document Liaison Officers (DLOs) and Records Liaison Officers (RLOs) . . . 9

Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Handbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Approved: June 15, 1995 1

(Revised: March 15, 2007)

U. S. Nuclear Regulatory Commission

Volume: 3 Information Management

Part: 2 Records Management OIS

NRC Records and Document

Management Program

Directive 3.53

Policy

(3.53-01)

It is the policy of the U.S. Nuclear Regulatory Commission that all

official records made or received by NRC in the course of its

official business comply with the regulations governing Federal

records management issued by the National Archives and

Records Administration (NARA) and the General Services

Administration (GSA). All internally and externally generated

records and documents are processed, maintained, distributed,

made available to the public, and preserved or destroyed, as

appropriate. The Agencywide Documents Access and

Management System (ADAMS) maintains appropriate NRC

unclassified, non-Safeguards, official program-related records in

a centralized electronic records repository. NRC's publicly

available documents are made available to the public via NRC's

external Web site and the ADAMS public libraries. In addition to

ADAMS, NRC maintains hard copy and electronic record and

document-handling systems necessary to meet the needs of the

agency. All NRC systems, including ADAMS, are designed to meet

NARA regulations.

Objectives

(3.53-02)

• To provide the NRC staff and its contractors with information

about centralized records management and document
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

2 Approved: June 15, 1995

(Revised: March 15, 2007)

Objectives

(3.53-02) (continued)

processing services that support the automated repository for

licensing, technical, and adjudicatory documents generated

and received by NRC, and the related records management

and document processing activities for the agency. (021)

• To provide guidelines for submitting documents for processing

into ADAMS sufficient to ensure that they are indexed and

formatted in a consistent manner, in accordance with NRC and

ADAMS requirements. (022)

• To provide ADAMS document processing procedures to

agency staff and contractors to ensure timely public and staff

access to documents. (023)

• To foster effective and efficient filing and records management

practices. (024)

• To ensure the integrity and completeness of the agency's

official records regardless of their medium. (025)

• To ensure the preservation of— (026)

– NRC records that have continuing value for protection of

the rights and interests of the Federal Government and

individuals. (a)

– Records vital to the continuity of NRC activities during

periods of national emergency. (b)

• To provide for the systematic cutoff and periodic retirement and

destruction of official records under the "NRC Comprehensive

Records Disposition Schedule" (CRDS), NUREG-0910. (027)
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

Approved: June 15, 1995 3

(Revised: March 15, 2007)

Organizational Responsibilities and

Delegations of Authority

(3.53-03)

Chief Information Officer

(031)

• Develops and maintains the agencywide information

technology (IT) architecture, promoting the efficient design and

operation of the agency’s major information resources

management processes. (a)

• Coordinates with NRC’s Records Officer to ensure that the

design and implementation of NRC’s information systems

incorporate Federal and NRC’s records management

requirements. (b)

• Supports the programs that mandate the Paperwork Reduction

Act, the Government Paperwork Elimination Act, the Federal

Records Act, the E-Government Act of 2002, the Privacy Act,

the Government Performance and Results Act, and other

Federal laws and regulations relating to information resources

management. (c)

• Identifies and manages the impact of records and information

management on systems design and the integrity, authenticity,

and preservation of electronic records, information assurance,

and Freedom of Information Act (FOIA) compliance. (d)

• Identifies the record management strategies that contribute to

cost-effective, productive information services and ensures that

the full life cycle of information from creation or acquisition

through its destruction is managed, which includes organizing,

categorizing, classifying, disseminating, and migrating. (e)
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

4 Approved: June 15, 1995

(Revised: March 15, 2007)

Organizational Responsibilities and

Delegations of Authority

(3.53-03)

Director, Office of Information Services (OIS)

(032)

• Establishes policies, procedures, and guidelines for managing

documents and records in ADAMS and other record

repositories. (a)

• Establishes appropriate funding levels to ensure that ADAMS

document processing and document distribution services are

sufficient to meet agency needs. (b)

• Establishes document processing and distribution policies and

procedures to ensure cost-effective ADAMS document

processing. (c)

• Administers the NRC central document processing facility. (d)

• Assigns responsibility for developing and implementing the

NRC records and document management program. (e)

• Ensures NRC's information management and IT practices

support efficient management of its records. (f)

• Periodically surveys the maintenance, use, and disposition of

NRC official records to ensure that the procedures for them are

adequate and are being satisfactorily implemented. (g)

• Designates an official to serve as the NRC Records Officer.

(Part I of Handbook 1 of Management Directive (MD) 3.53

outlines the duties and responsibilities of the NRC Records

Officer.) (h)

• Administers the information security program pertaining to

Sensitive Unclassified Non-Safeguards Information (SUNSI). (i)
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

Approved: June 15, 1995 5

(Revised: March 15, 2007)

Organizational Responsibilities and

Delegations of Authority

(3.53-03) (continued)

Director, Office of Nuclear Security 

and Incident Response (NSIR)

(033)

• Ensures that the Director of OIS is kept up to date on changes

in document-handling and protection levels that may affect

agency records or document management processes. (a)

• Administers the portion of the information security program that

includes the management of the security classification program

and other programs to protect classified and safeguards

information. (b)

Office Directors and

Regional Administrators

(034)

• Implement the records management procedures and programs

of this MD within their areas of responsibility. (a)

• Ensure that NRC staff, contractors, and consultants under their

cognizance comply with the policies and procedural

requirements set forth in this directive and handbooks, and

other applicable guidelines and regulations cited as references

for this directive. (b)

• Ensure that licensees and applicants under their cognizance

are informed of their responsibilities regarding submitting

documents to the agency. (c)
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

6 Approved: June 15, 1995

(Revised: March 15, 2007)

Organizational Responsibilities and

Delegations of Authority

(3.53-03) (continued)

Office Directors and

Regional Administrators

(034) (continued)

• Ensure that documents defined in this directive as requiring

document processing are submitted for such processing in

accordance with the procedures established in Handbook 2 of

MD 3.53. (d)

• Designate to the Director of the Information and Records

Services Division (IRSD), OIS, a staff member to serve as a

Document Liaison Officer (DLO), who will be responsible for

resolving matters relevant to document management, including

the following tasks: (e)

– Periodically review documents to ensure that official

records and publicly available documents are appropriately

catalogued in ADAMS. (i)

– Define and coordinate with OIS new document distribution

needs in support of agency programs. (ii)

– Resolve issues associated with incomplete document

submissions. (iii)

– Periodically review this directive and handbooks and submit

updates, additions, and deletions. (iv)

– Review, in coordination with OIS, and approve any

additional procedures developed by their office for

submitting documents to ADAMS. (v)
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

Approved: June 15, 1995 7

(Revised: March 15, 2007)

Organizational Responsibilities and

Delegations of Authority

(3.53-03) (continued)

Office Directors and

Regional Administrators

(034) (continued)

• Designate a staff member to serve as Records Liaison Officer

(RLO) to coordinate records management matters with the

NRC Records Officer. (Part I of Handbook 1 of MD 3.53

outlines the duties and responsibilities of the RLO.) (f)

• Notify the Director of IRSD when there is a change in a

designated DLO or RLO. (g)

Director, Information and Records

Services Division (IRSD), OIS

(035)

• Implements the requirements of MD 3.53 and delivers services

defined herein. (a)

• Provides guidance and assistance to staff in accomplishing the

objectives of this MD. (b)

Director, Division of Contracts

(DC), Office of Administration (ADM)

(036)

Ensures that contracts contain instructions for maintaining and

disposing of contractor records (see Part VI of Handbook 1 of MD

3.53 for details).
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

8 Approved: June 15, 1995

(Revised: March 15, 2007)

Organizational Responsibilities and

Delegations of Authority

(3.53-03) (continued)

Chief, Information Services Branch

(ISB), IRSD, OIS

(037)

• Establishes and maintains ADAMS document-handling

procedures in coordination with program offices to ensure that

document processing and distribution services specified in this

MD are achieved. (a)

• Maintains knowledge of other agency directives that may affect

ADAMS distribution services and public access to documents

made available in ADAMS and applies this knowledge to

maintaining Electronic Regulatory Information Distribution

System (e-RIDS) distribution lists and the e-RIDS distribution

database in response to agency office document processing

and distribution requirements. (b)

• Provides budget projections and advanced procurement

planning information to ensure uninterrupted delivery of the

services defined in this MD. (c)

• Administers the information security program to protect SUNSI.

(d)

Chief, Records and FOIA/Privacy

Services Branch (RFPSB), IRSD, OIS

(038)

• Serves as the designated Agency Records Officer. (a)

• Manages NRC’s overall records management program. (b)

• Ensures that documents made public, when disclosed in

response to FOIA requests, are submitted to the Document

Processing Center for ADAMS processing and designation as

publicly available. (c)
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

Approved: June 15, 1995 9

(Revised: March 15, 2007)

Organizational Responsibilities and

Delegations of Authority

(3.53-03) (continued)

Chief, Records and FOIA/Privacy

Services Branch (RFPSB), IRSD, OIS

(038) (continued)

• Manages the program to manage agency SUNSI. (d)

• Establishes and maintains records management procedures in

coordination with program offices to ensure that files

maintenance and records disposition services specified in this

directive are achieved. (e)

• Provides budget projections and advanced procurement

planning information to ensure uninterrupted delivery of the

services defined in this directive. (f)

• Ensures appropriate coordination and provides approval for

access to NRC records by agency staff, their contractor, and

the public. (g)

Applicability

(3.53-04)

The policy and guidance in this MD apply to all NRC employees,

consultants, members of boards, and contractor personnel.

Document Liaison Officers (DLOs) and

Records Liaison Officers (RLOs)

(041)

This MD applies to and must be followed by all NRC Headquarters

and regional DLOs and RLOs in their areas of responsibility.
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

10 Approved: June 15, 1995

(Revised: March 15, 2007)

Applicability

(3.53-04) (continued)

Employees

(042)

This MD applies to and must be followed by all NRC Headquarters

and regional employees in their areas of responsibility, including

management of contract and consultant agreements.

Handbooks

(3.53-05)

• Handbook 1 of MD 3.53, "NRC Records Management

Program," contains procedures, standards, and guidelines for

managing NRC's official records in accordance with NARA and

GSA regulations. Detailed procedures and guidance for

maintaining and disposing of Commission files and records

also are contained in Handbook 1. (051)

• Handbook 2 of MD 3.53, "ADAMS Document Processing,"

contains procedures, standards, and guidelines for managing

NRC’s centralized records and document processing functions,

including guidelines for submitting documents for processing

and placing documents in ADAMS. (052)

References

(3.53-06)

Code of Federal Regulations

10 CFR Part 9, "Public Records" (1991).

36 CFR Subchapter B, "Records Management" (Parts 1220-

1238).
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

Approved: June 15, 1995 11

(Revised: March 15, 2007)

References

(3.53-06) (continued)

Executive Orders (E.O.s)

E.O. 12958, "Classified National Security Information,"

amended by E.O. 12972 (September 18, 1995); E.O. 13142

(November 19, 1999); and E.O. 13292 (March 25, 2003).

General Services Administration (GSA)

GSA Records Management Handbook, "Subject Filing," 1981.

National Archives and Records Administration (NARA)

National Archives and Records Administration, Bulletin 2002-

02, "Introduction of two additional electronic records transfer

methods," November 7, 2001.

NARA forms mentioned in MD 3.53 can be found at the

General Services Administration Forms Library (www.gsa.gov).

NRC Documents

ADAMS Document Submission Guidelines for HQ Offices,

Step-by-Step Instructions, updated August 10, 2004

(ML010390031).

DOE/NRC Memorandum of Understanding, February 24, 1978.

NRC Electronic Maintenance and Submission of Information

(e-Rule) (RIN 3150-AH33) January 1, 2004, and Guidance for

Electronic Submissions to the Commission.

Staff Requirements Memorandum, S. J. Chilk, Secretary to the

Commissioners, December 13, 1989 (COMJC-89-12), "Public

Release of Staff Requirements Memoranda, Commissioners'

Votes, and SECY Papers."
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

12 Approved: June 15, 1995

(Revised: March 15, 2007)

References

(3.53-06) (continued)

NRC Forms

NRC forms mentioned in MD 3.53 can be accessed from

agency desktops via the online forms icon.

NRC Management Directives

2.8, "Project Management Methodology (PMM)."

3.1, "Freedom of Information Act."

3.2, "Privacy Act."

3.4, "Release of Information to the Public."

3.7, "NUREG-Series Publications."

3.57, "Correspondence Management."

6.2, "Continuity of Government and Continuity of

Operations Programs."

7.5, "Ethics Counseling and Training."

10.6, "Use of Consultants and Experts."

10.12, "Use of Advisory Committee Members."

11.7, "NRC Procedures for Placement and Monitoring of

Work With the U.S. Department of Energy (DOE)."

12.2, "NRC Classified Information Security Program."

12.3, "NRC Personnel Security Program."

12.5, "NRC Automated Information Security Program."
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

Approved: June 15, 1995 13

(Revised: March 15, 2007)

References

(3.53-06) (continued)

12.6, "NRC Sensitive Unclassified Information Security

Program."

13.1, "Property Management."

NUREGs

0910, "NRC Comprehensive Records Disposition

Schedule."

BR-0273, “ADAMS Desk Reference Guide.”

United States Code

Acceptance of Records for Historical Preservation (44 U.S.C.

2107).

Computer Security Act of 1987 (40 U.S.C. 759).

Coordination of Federal Information Policy–Federal Agency

Responsibilities (44 U.S.C. 3506).

Electronic Freedom of Information Act of 1996 (5 U.S.C. 552).

Energy Reorganization Act of 1974, as amended (42 U.S.C.

5801 et seq.).

Federal Acquisition Regulation (FAR) Subpart 4.7, "Contractor

Records Retention."

Federal Advisory Committee Act (5 U.S.C. App. I).

Federal Information Processing Standard 1-2, November 14,

1984.
Volume 3, Part 2 - Records Management

NRC Records and Document Management Program

Directive 3.53

14 Approved: June 15, 1995

(Revised: March 15, 2007)

References

(3.53-06) (continued)

Federal Records Act (44 U.S.C. Chapters 29, 31, 33, and 35).

Federal Rules of Evidence, Article VIII, Rule 803(6).

Freedom of Information Act (5 U.S.C. 552).

Information Technology Management Reform Act of 1996 (40

U.S.C. 1401 note.).

Privacy Act (5 U.S.C. 552a).

"Records and Reports" (18 U.S.C. 2071).
NRC Records

Management Program 

Handbook 1

of MD 3.53
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Parts I - VIII

Approved: June 15, 1995 iii

(Revised: March 15, 2007)

Contents

Part I

NRC Records Management Program ............................ 1

General Requirements for an Agency's Records Management Program (A) . 1

Creation of Records (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Maintenance of Records (2) .................................... 1

Disposition of Records (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Liaison With NARA (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Recordkeeping Requirements (B) .................................. 3

Duties and Responsibilities for Implementing the Records Management

Program (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

NRC Records Officer (1) ...................................... 5

Records Liaison Officers (2) .................................... 6

File Custodians (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

NRC Employees and Contractors (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Identifying and Distinguishing Between Record and Nonrecord

Materials (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Defining Federal Records (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Identifying Federal Records (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Ensuring Adequate and Proper Documentation (E) . . . . . . . . . . . . . . . . . . . . 15

Internal Memoranda (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

External Correspondence (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Drafts, Working Files, and Similar Materials (3) . . . . . . . . . . . . . . . . . . . . . 19

E-Mail Communications (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Records Management Training (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Records Management Web Site (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Professional Development Center and Online Records Management

Training (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Part II

Files Maintenance and Records Disposition Procedures . . . . . . . . . 22

Planning and Arranging Files (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Official Agency Records Kept in ADAMS (1) . . . . . . . . . . . . . . . . . . . . . . . 22

Official Agency Records Not in ADAMS (2) . . . . . . . . . . . . . . . . . . . . . . . . 23

Record Series (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Parts I - VIII

iv Approved: June 15, 1995

(Revised: March 15, 2007)

Contents (continued)

Part II (continued)

Benefits of Separating Files Into Basic Series (4) . . . . . . . . . . . . . . . . . . . 27

Basic Filing Arrangements for Paper Records (5) . . . . . . . . . . . . . . . . . . . 28

Developing a Subject File System for Paper Records (6) . . . . . . . . . . . . . 29

Files Maintenance and Disposition Plan (7) . . . . . . . . . . . . . . . . . . . . . . . . 32

Files Maintenance Procedures for Paper Records (B) . . . . . . . . . . . . . . . . . . 33

Avoidance of Unnecessary Filing (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Categorizing Documents for Filing (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Cross-References (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Filing Classified and Sensitive Unclassified Records (4) . . . . . . . . . . . . . . 36

Procedures for Certifying Copies of Official Records (5) . . . . . . . . . . . . . . 37

Filing Equipment and Supplies (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

Requirements for Requisitioning Filing Equipment (7) . . . . . . . . . . . . . . . . 39

Records Disposition Objectives and Procedures (C) . . . . . . . . . . . . . . . . . . . . 42

Records Disposition Objectives (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Records Disposition Definitions (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Authority (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Applicability of the Records Disposition Schedule (4) . . . . . . . . . . . . . . . . 46

Files Cutoff Procedures (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

Use of the Washington National Records Center (6) . . . . . . . . . . . . . . . . . 47

Transfer of Records to the National Personnel Records Center (7) . . . . . . 51

Transfer of Official NRC Records to an Agreement State (8) . . . . . . . . . . 52

Transfer of Permanent Records to the National Archives of the

United States (9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

Transfer of State Government Records to NRC (10) . . . . . . . . . . . . . . . . . 54

Loan or Donation of NRC Records to Non-Federal Recipients (11) . . . . . . 56

Annual Report of Records Holdings (12) . . . . . . . . . . . . . . . . . . . . . . . . . . 59

Microfilming (13) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

Disposition of Personally Held Nonrecord Materials (14) . . . . . . . . . . . . . . 61

Preservation of Official Record Facsimile Transmissions (15) . . . . . . . . . . 63
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Parts I - VIII

Approved: June 15, 1995 v

(Revised: March 15, 2007)

Contents (continued)

Part III

Procedures for Revising the "NRC Comprehensive Records

Disposition Schedule” (NUREG-0910) . . . . . . . . . . . . . . . . . . . . . . . . 64

Annual Review (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

Development of New or Revised Records Retention Schedules (B) . . . . . . . . 64

Review (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

Part IV

Procedures for Managing Commissioners' Records and Papers . . 66

General Requirements (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

Personal Papers, Agency Records, and Nonrecord Material (B) . . . . . . . . . . . 67

Personal Papers (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

Agency Records (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68

Office Files (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68

Nonrecord Material (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

Maintenance and Disposition of Personal Papers and Access to Agency

Records and Nonpublic Materials (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

Maintenance of Personal Papers (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

Disposition of and Access to Personal Papers and Office Files (2) . . . . . . 71

NRC Storage (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71

Transfer of Personal Papers and Nonrecord Materials (D) . . . . . . . . . . . . . . . 72

Materials That Can Be Transferred (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . 72

Categories of Nonpublic Files That Cannot Be Removed From NRC (2) . . 73

Release of Documents Transferred to a Research Institution (3) . . . . . . . 76

Access to and Use of Nonpublic Materials by a Former Commissioner (E) . . 77

Access to Unclassified Information After Signing a Confidentiality

Agreement (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77

Classified Information (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77

Public Information (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

Nonpublic Documents (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

Conflict-of-Interest Review (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Parts I - VIII

vi Approved: June 15, 1995

(Revised: March 15, 2007)

Contents (continued)

Part V

Procedures for Managing Vital Records . . . . . . . . . . . . . . . . . . . . . . . . . 81

Categories of Vital Records (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

Objectives of the NRC Vital Records Program (B) . . . . . . . . . . . . . . . . . . . . . 81

Duties (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

Vital Records Plans and Reviews (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

Vital Records Plan (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

Annual Vital Records Plan Update (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

Implementation of the Plan (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

Records Preparation (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

Transmission of Vital Records to the NRC Records Officer (2) . . . . . . . . . 84

Updating Rights and Interest Records at the Washington National

Records Center (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

Part VI

Procedures for Managing Contractor Records . . . . . . . . . . . . . . . . . . . 85

Categories of Contractor Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

Three Categories of Contractor Records (A) . . . . . . . . . . . . . . . . . . . . . . . 85

Category 1—General Administrative Material (1) . . . . . . . . . . . . . . . . . 85

Category 2—Contract Administration Records (2) . . . . . . . . . . . . . . . . 85

Category 3—Contract Work Records (3) . . . . . . . . . . . . . . . . . . . . . . . 86

Special Requirements for Category 3 Records (B) . . . . . . . . . . . . . . . . . . 86

Sponsoring Office (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

Division of Contracts (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

Part VII

Procedures for Creating, Maintaining, Using, and Disposing of 

Electronic Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

General (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

Definitions (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

General Requirements (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

Objectives (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

Creation of Electronic Records (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Parts I - VIII

Approved: June 15, 1995 vii

(Revised: March 15, 2007)

Contents (continued)

Part VII (continued)

Records Created at All Staff Levels (1) . . . . . . . . . . . . . . . . . . . . . . . . . . 92

Electronic System Creation (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92

Records Status of Electronic Data (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

Examples of Record and Nonrecord Electronic Material (4) . . . . . . . . . . 93

ADAMS: NRC<s Repository for Many Official Agency Records (5) . . . . . 95

Disposition of Electronic Record Material (6) . . . . . . . . . . . . . . . . . . . . . . 95

Disposition of Electronic Nonrecord Material (7) . . . . . . . . . . . . . . . . . . . 96

Official Record Copy of Text Documents Retained Electronically (8) . . . 96

Creation of Data Files (9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

ADAMS Records Management (10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98

Standards for Maintaining Electronic Records (C) . . . . . . . . . . . . . . . . . . . . . 99

Maintenance Throughout the Life Cycle (1) . . . . . . . . . . . . . . . . . . . . . . . 99

Selecting the Storage Medium (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99

Use of Floppy Disks (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

Accessibility of Records (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

Protection From Loss (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

Backup Copies of Electronic Records (6) . . . . . . . . . . . . . . . . . . . . . . . . . 100

Maintaining and Testing Magnetic Computer Tapes (7) . . . . . . . . . . . . . 101

Maintenance of Diskettes, Removable Disks, and Other Direct Access

Storage Media (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

Retention of Inactive Electronic Records (9) . . . . . . . . . . . . . . . . . . . . . . 104

Records Disposition for Electronic Records (D) . . . . . . . . . . . . . . . . . . . . . . 105

Schedules (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105

Disposing of Electronic Records (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107

Archival Records in Electronic Format (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . 107

Media Requirements for Permanent Records (1) . . . . . . . . . . . . . . . . . . . 107

Format Requirements for Permanent Records (2) . . . . . . . . . . . . . . . . . . 112

Documentation Requirements for Permanent Records (3) . . . . . . . . . . . 113

Acceptance of Electronic Records by the Courts (F) . . . . . . . . . . . . . . . . . . . 113

Security of Electronic Records (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114

Electronic Mail (E-Mail) (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

E-Mail Record Standards (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

Identifying E-Mail Records (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

Preserving E-Mail Records (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Parts I - VIII

viii Approved: June 15, 1995

(Revised: March 15, 2007)

Contents (continued)

Part VII (continued)

Destroying/Deleting Messages From the E-Mail System (4) . . . . . . . . . . 120

Part VIII

Micrographics Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

Definitions (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

Micrographic System Studies (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122

Standards for Archival Microfilm Production (C) . . . . . . . . . . . . . . . . . . . . . . 123

Standards for Storage of Archival Microfilm (D) . . . . . . . . . . . . . . . . . . . . . . 123

Standards for Handling and Inspecting Archival Microfilm (E) . . . . . . . . . . . . 125

Storing, Handling, and Inspecting Temporary Microfilm (F) . . . . . . . . . . . . . 127

Use of Master Microform (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

Micrographics Services (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

Microfilming Requests (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

Microfilm Equipment Requests (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

Other Microfilm-Related Requests (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

Classified Microfiche (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129

Exhibits

1 NRC Forms 306 and 306A, "Files Maintenance and Disposition Plan" . . . . . 133

2 NRC Form 513, "Certification of Copy of Official Record" . . . . . . . . . . . . . . . 135

3 Instructions for Preparing Records for Retirement to the Washington

National Records Center (WNRC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136

4 Instructions for Using the Archival Facility Accountability Systems (AFAS) . 141

5 Confidentiality Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145

6 Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146

7 Time Limitations on the Release of Nonpublic Documents . . . . . . . . . . . . . . 147

8 Request to the Chairman for Access to Classified Information and

the Chairman's Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 1

(Revised: March 15, 2007)

Part I

NRC Records Management Program

All Federal agencies are required to establish a records

management program to ensure compliance with the regulations

governing records management issued by the National Archives

and Records Administration (NARA) and the General Services

Administration (GSA). The general requirements, duties, and

responsibilities for implementing the NRC records management

program in accordance with NARA and GSA regulations and

guidance to assist NRC employees in identifying official records

and distinguishing between record and nonrecord materials are

given below.

General Requirements for an Agency's

Records Management Program (A)

Creation of Records (1)

NARA regulations require NRC to create and preserve records

containing adequate and proper documentation of the

organization, functions, policies, decisions, procedures, and

essential transactions of the agency. To accomplish this goal, all

staff are required to identify Federal records, including those

communicated by electronic mail (e-mail), and to ensure that

appropriate records are created and maintained.

Maintenance of Records (2)

NARA regulations require NRC to ensure that complete records

are filed or otherwise identified and preserved, records can be

found when needed, and permanent records are identified and

physically segregated from temporary records, or for electronic

records, permanent records are physically segregable from

temporary records. (a)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

2 Approved: June 15, 1995

(Revised: March 15, 2007)

General Requirements for an Agency's

Records Management Program (A) (continued)

Maintenance of Records (2) (continued)

Federal records, regardless of media, are to be located at formally

specified official file stations. The maintenance of records at

unauthorized locations is prohibited. (b)

The Agencywide Documents Access and Management System

(ADAMS) is an electronic information system that maintains NRC

unclassified official programmatic and administrative records in a

centralized electronic document repository. ADAMS meets the

requirements of NARA’s regulations and was approved by NARA

as an official electronic recordkeeping system. After April 1, 2000,

NRC Headquarters and regional offices discontinued maintaining

certain record collections in paper because the official record is

maintained electronically in ADAMS. (c)

Federal records and nonrecord materials are to be maintained

separately in clearly distinguishable series and separately from

any personal papers. (d)

Disposition of Records (3)

NARA regulations require NRC to maintain and preserve

permanent records and to ensure that temporary records are

promptly disposed of or retired when no longer needed. Effective

techniques to accomplish these ends include the development of

records disposition schedules, the transfer of records to the

Washington National Records Center (WNRC), the conversion of

the information to other media, and the prompt disposal of

valueless records that have served their purpose. The “NRC

Comprehensive Records Disposition Schedule” (CRDS)

(NUREG-0910) provides the authorized disposition for all NRC

records. Each record schedule has been approved by the

appropriate NRC officials and the Archivist of the United States.

Disposition of any NRC records requires the approval of the

Archivist of the United States.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 3

(Revised: March 15, 2007)

General Requirements for an Agency's

Records Management Program (A) (continued)

Liaison With NARA (4)

NARA requires Federal agencies to assign responsibility for

developing the records management program to one or more

offices. NARA also requires the responsible office(s) to submit the

name, title, and telephone number of the official(s) authorized by

the head of the agency to approve records disposition schedules

and to transfer records to the custody of the National Archives of

the United States. (a)

For NRC, the Office of Information Services (OIS), Information and

Records Services Division (IRSD), Records and FOIA/Privacy

Services Branch (RFPSB), is responsible for developing and

implementing the NRC records management program. The Chief

of RFPSB is the official authorized to approve records disposition

schedules and to transfer records to the National Archives. (b)

Recordkeeping Requirements (B)

To provide for the adequate documentation of the organization,

functions, policies, decisions, procedures, and essential

transactions of NRC, records shall be created and maintained that

are sufficient to— (1)

• Document the persons, places, things, or matters dealt with by

NRC (a)

• Facilitate action by NRC officials and their successors in office

(b) 

• Make possible a proper scrutiny by the Congress or other duly

authorized agencies of the Government (c)

• Protect the financial, legal, and other rights of the Government

and of persons directly affected by the Government's actions

(d)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

4 Approved: June 15, 1995

(Revised: March 15, 2007)

Recordkeeping Requirements (B) (continued)

• Document the formulation and execution of basic policies and

decisions and the necessary actions taken, including all

significant decisions and commitments reached orally (person

to person, by telecommunications, or in conference) (e)

• Document important board, committee, or staff meetings (f)

Each office shall identify, develop, issue, and periodically review

the recordkeeping requirements for all operations conducted by its

office and for the operations for which its office has coordination

responsibility. Offices are to identify the documents, forms, reports,

and other types of records, including e-mail, that are required to

document an action or activity and issue these requirements in

their management directives, office policies, and other written

procedures. Office guidance shall specify when receipts or

acknowledgments for e-mail messages are needed for

recordkeeping purposes. Recordkeeping requirements for each

operation and activity shall— (2)

• Identify and prescribe specific categories of documentary

materials to be systematically created or received and

maintained by agency personnel in the course of their official

duties (a)

• Prescribe the use of materials and recording techniques that

ensure the preservation of records as long as they are needed

by the Government (b)

• Prescribe the manner in which these materials shall be

maintained wherever held (c)

• Distinguish record from nonrecord materials and, with the

approval of the Archivist of the United States, prescribe action

for the final disposition of agency records when they are no

longer needed for current business (d)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 5

(Revised: March 15, 2007)

Duties and Responsibilities for

Implementing the Records

Management Program (C)

NRC Records Officer (1)

By delegation from OIS and, as mandated by 36 CFR Part 1220,

the Records Officer (Chief of RFPSB)—

• Plans and formulates files maintenance and records disposition

policies, standards, systems, and procedures to meet the

operating needs of NRC. (a) 

• Coordinates the overall NRC files maintenance and records

disposition program and evaluates program effectiveness. (b)

• Provides records management guidance and assistance to all

organizational levels. (c)

• Develops and implements an agencywide program to identify,

develop, issue, and periodically review recordkeeping

requirements for records of all agency activities, at all levels

and locations, and in all media, including electronic records

that are created or received using e-mail. (d)

• Audits the records management program in all offices to

ensure compliance with established policies and procedures,

including guidance for maintaining Official Agency Records

(OARs) in electronic form in systems such as ADAMS. (e)

• Periodically monitors staff determinations of the record status

of documentary materials, including e-mail, as part of NRC's

internal evaluations. (f)

• Reviews and evaluates the use of filing equipment and makes

decisions on filing equipment allocations. (g)

• Serves as liaison with NARA, GSA, the Government

Accountability Office (GAO), the Office of Management and
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

6 Approved: June 15, 1995

(Revised: March 15, 2007)

Duties and Responsibilities for

Implementing the Records

Management Program (C) (continued)

NRC Records Officer (1) (continued)

Budget (OMB), and other agencies on matters relating to

records management. (h)

• Maintains and issues a CRDS (NUREG-0910) to appropriate

staff, as prescribed by NARA, to ensure the proper disposition

of all NRC records. (i) 

• Coordinates the NRC vital records program as described in

Part V, “Procedures for Managing Vital Records,” of this

handbook. (j)

• Grants or denies exceptions to or deviations from the records

management procedures prescribed in this handbook.

Requests for exceptions or deviations must be documented in

writing to specify the need for the exception and the benefits to

be derived from the change. The problem will be referred to

NARA when substantive issues cannot be resolved internally.

(k)

Records Liaison Officers (2)

General Records Management Responsibilities (a)

By delegation from office directors and regional administrators,

Records Liaison Officers (RLOs)— 

• Administer records management policies, procedures, and

programs through designated file custodians to ensure that

NUREG-0910 is being followed and that the agency’s files

maintenance system is being implemented within the

respective offices. (i)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 7

(Revised: March 15, 2007)

Duties and Responsibilities for

Implementing the Records

Management Program (C) (continued)

Records Liaison Officers (2) (continued)

• Ensure that staff are creating and maintaining records with

adequate and proper documentation of the organization,

functions, policies, decisions, procedures, and essential

transactions of the office. (ii)

• Review and approve “Files Maintenance and Disposition Plans”

(NRC Forms 306 and 306A; Exhibit 1) generated for the

office’s official record collections to ensure accuracy,

adequacy, completeness, and compliance with NUREG-0910

and agency records management policies. (iii)

• Maintain files maintenance and disposition plans for all official

record collections, including ADAMS, within their respective

offices and review plans annually to ensure the accountability

of all records and the correct disposition authorities. (iv)

• Inform the NRC Records Officer of records to be transferred to

other offices as a result of realignment of functions or

reorganizations within 30 days after becoming aware of the

proposed reorganization. (v)

• Process requests for certifying copies of official records in

accordance with Part II, Section (B)(5), “Procedures for

Certifying Copies of Official Records.” (vi)

• Process requisitions for filing equipment (NRC Form 30,

“Request for Administrative Services”; accessible through the

online forms icon) in accordance with Part II, Section (B)(7),

“Requirements for Requisitioning Filing Equipment.” (vii)

• Identify records to be transferred to Agreement States, prepare

appropriate forms (NRC Form 519, “Transfer of Official NRC

Records to an Agreement State”; accessible through the online
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

8 Approved: June 15, 1995

(Revised: March 15, 2007)

Duties and Responsibilities for

Implementing the Records

Management Program (C) (continued)

Records Liaison Officers (2) (continued)

forms icon), coordinate the preparation and shipment of the

records to the State agent, and ensure that the signed transfer

form verifying receipt by the State is returned to the NRC

Records Officer. (viii)

Responsibilities for Hard Copy (Paper) Record Collections (b)

By delegation from office directors and regional administrators,

RLOs—

• Request the withdrawal and return of office records from and

to the Washington National Records Center (WNRC) and

maintain adequate documentation of all such activity. (i)

• Review and approve records transfer forms (NRC Forms 35

and 35A, “Records Transfer” and continuation sheet) for

completeness and accuracy. (ii)

• Maintain records transfer forms for those hard copy records

retired from their respective offices. (iii)

• Coordinate office’s annual report of records holdings as

described in Part II, Section (C)(12), “Annual Report of

Records Holdings.” (iv)

Responsibilities for Electronic Records in ADAMS (c)

By delegation from office directors and regional administrators,

RLOs—

• Implement processes and procedures established by OIS for

auditing completeness of record collections. (i)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 9

(Revised: March 15, 2007)

Duties and Responsibilities for

Implementing the Records

Management Program (C) (continued)

Records Liaison Officers (2) (continued)

• Serve as file custodian for office’s official record collections

maintained in ADAMS. (ii)

• Serve as the point of contact for resolving document

processing issues identified during the document capture

process. (iii)

• Periodically monitor completeness of office document

collections maintained in ADAMS and take appropriate actions

to capture and complete ADAMS processing for any

documents missing from the collections. (iv)

• For those offices that have chosen not to rely on the Document

Processing Center (DPC) to complete all processing required

to add incoming documents into ADAMS, coordinate the

identification and designation of individuals to be members of

various ADAMS Records Management Groups. The members

of these groups will be allowed to perform specific ADAMS

document processing and update functions; members of the

Records Managers Group will be given owners rights to all

OARs and the Records Declarers Group will be given the

ability to declare records. (v)

• Periodically review the office’s portion of the ADAMS File Plan

used by OIS to “file” office documents and place them under

records management control to ensure appropriate filing

categories exist for OIS to file the office’s records in ADAMS.

Notify OIS when new file codes should be added to the file

plan. (vi)

• Notify OIS when data needed to calculate disposition dates

require revision. This includes such data as contract or license

termination dates, and so on. (vii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

10 Approved: June 15, 1995

(Revised: March 15, 2007)

Duties and Responsibilities for

Implementing the Records

Management Program (C) (continued)

Records Liaison Officers (2) (continued)

• Periodically spot check the file codes contained in the property

field of document collections maintained in ADAMS to identify

documents that are being incorrectly filed; for example,

documents that should be filed in multiple collections that have

only been filed in a single file, or documents that have been

filed under incorrect file codes in the records management

system. (viii)

• Coordinate the review and concurrence of records disposition

activities for documents eligible for disposition. This includes

the review of disposition reports and the approval of the

disposition of records before OIS takes action on records

eligible for disposal. (ix) 

File Custodians (3)

File custodians are identified by management (e.g., office, division,

or branch) as the individuals responsible for maintaining the files

of an official file station. File custodians—

• Ensure that official files under their purview are managed in

accordance with the policies and procedures contained in this

directive and handbook and NUREG-0910. (a) 

• Obtain an audit of the files under their purview from the

respective RLO upon termination or transfer of responsibilities.

(b) 

• Provide reports and assistance to the respective RLO and/or

NRC Records Officer, as necessary. (c)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 11

(Revised: March 15, 2007)

Duties and Responsibilities for

Implementing the Records

Management Program (C) (continued)

NRC Employees and Contractors (4)

NRC employees and contractors—

• Must determine the record status of documentary materials,

including e-mail, and preserve official records that they create,

receive, or access as prescribed by the policies and

procedures set forth in this directive and handbook and by

applicable statutes and regulations (a)

• Are legally responsible for informing the NRC Records Officer

of any actual or threatened unlawful destruction or removal of

official files or records (b)

• Are responsible for safeguarding classified or sensitive

unclassified information contained in official NRC records in

accordance with the provisions of Management Directive (MD)

12.2, "NRC Classified Information Security Program," MD 12.3,

“NRC Personnel Security Program,” MD 12.5, “NRC

Automated Information Security Program,” and MD 12.6, "NRC

Sensitive Unclassified Information Security Program.” (c)

Identifying and Distinguishing

Between Record and Nonrecord

Materials (D)

Defining Federal Records (1)

Federal records are statutorily defined in the Federal Records Act

(44 U.S.C. 3301) as— (a)

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
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

12 Approved: June 15, 1995

(Revised: March 15, 2007)

Identifying and Distinguishing

Between Record and Nonrecord

Materials (D) (continued)

Defining Federal Records (1) (continued)

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 informational value of the data in them.

Several key terms, phrases, and concepts in the statutory

definition of records are defined in 36 CFR 1222.12, as follows: (b)

• Documentary materials is a collective term for records,

nonrecord materials, and personal papers that refers to all

media containing recorded information, regardless of the

nature of the media or the method(s) or circumstance(s) of

recording. (i)

• Regardless of physical form or characteristics means that

the medium may be paper, film, disk, or other physical type or

form; and that the method of recording may be manual,

mechanical, photographic, electronic, or any other combination

of these or other technologies. (ii)

• Made means the act of creating and recording information by

agency personnel in the course of their official duties,

regardless of the method(s) or the medium involved. The act

of recording is generally identifiable by the circulation of the

information to others or by placing it in files accessible to

others. (iii)

• Received means the acceptance or collection of documentary

materials by agency personnel in the course of their official

duties regardless of the origin of these materials (for example,
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 13

(Revised: March 15, 2007)

Identifying and Distinguishing

Between Record and Nonrecord

Materials (D) (continued)

Defining Federal Records (1) (continued)

other units of the agency, private citizens, public officials, other

agencies, contractors, and Government grantees) and

regardless of how these materials are transmitted (in person or

by messenger, mail, electronic means, or by any other

method). In this context, the term does not refer to misdirected

materials. The term may or may not refer to loaned or seized

materials, depending on the conditions under which such

materials come into agency custody or are used by the agency.

Advice of legal counsel should be sought regarding the

"record" status of loaned or seized materials. (iv)

• Preserved means the filing, storing, or any other method of

systematically maintaining documentary materials by the

agency. This term covers materials not only actually filed or

otherwise systematically maintained, but also those materials

temporarily removed from existing filing systems. (v)

• Appropriate for preservation means made or received

documentary materials that in the judgment of the agency

should be filed, stored, or otherwise systematically maintained

by an agency because they are evidence of agency activities

or contain unique information, even though the materials may

not be covered by the agency's current filing or maintenance

procedures. (vi)

Identifying Federal Records (2)

To ensure that complete and accurate records are made and

retained in NRC, it is essential that NRC employees distinguish

between record and nonrecord materials by the appropriate

application of the statutory definition of records to

NRC documentary materials. The following guidelines issued by
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

14 Approved: June 15, 1995

(Revised: March 15, 2007)

Identifying and Distinguishing

Between Record and Nonrecord

Materials (D) (continued)

Identifying Federal Records (2) (continued)

NARA in 36 CFR 1222.34 should be applied to all documentary

materials to determine their record or nonrecord status.

Record Status (a)

Documentary materials are records when they meet the following

two conditions:

• They are made or received by an agency of the United States

Government under Federal law or in connection with the

transaction of agency business. (i)

• They are preserved or are appropriate for preservation as

evidence of agency organization and activities or because of

the value of the information they contain. (ii)

Record Status of Copies (b)

Multiple copies of the same document and documents containing

duplicative information, including messages created and received

using e-mail systems, may each have record status depending on

how they are used to transact agency business. Extra copies of

documents are nonrecord only when they are preserved solely for

convenience of reference.

Record Status of Electronic Mail Messages (c)

Messages created or received on e-mail systems may meet the

definition of a record. See Part VII, “Procedures for Creating,

Maintaining, Using, and Disposing of Electronic Records,” for

examples and additional guidance.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 15

(Revised: March 15, 2007)

Identifying and Distinguishing

Between Record and Nonrecord

Materials (D) (continued)

Identifying Federal Records (2) (continued)

Nonrecord Materials (d)

The following nonrecord materials are Government-owned

documentary materials that do not meet the conditions of records

status (see 36 CFR 1222.34(b)) or that are specifically excluded

from records status by the Federal Records Act.

• Library and museum material (only if such material is made or

acquired and preserved solely for reference or exhibition

purposes) (i)

• Extra copies of documents (only if such copies are preserved

solely for convenience of reference) (ii)

• Stocks of publications and processed documents (Each

agency shall create and maintain serial or record sets of its

publications and processed documents as evidence of agency

activities and for the information they contain, including annual

reports, brochures, pamphlets, books, handbooks, posters, and

maps.) (iii)

Ensuring Adequate and Proper 

Documentation (E)

The creation and maintenance of complete and accurate records

contribute to efficient and economical agency operations by

guaranteeing that information is documented in official files where

it will be accessible to all authorized staff who may need it.

Conducting NRC business without adequate documentation

increases the probability that, in time, relevant facts may be

unavailable or interpretations may be distorted. Official records

must be complete and accurate, and include all pertinent records
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

16 Approved: June 15, 1995

(Revised: March 15, 2007)

Ensuring Adequate and Proper 

Documentation (E) (continued)

of documents, e-mails, unique drafts, and references. NRC

program managers have primary responsibility for ensuring that

complete and accurate records are created and maintained in the

appropriate agency file locations. To ensure that the agency's

official records adequately document the organization, functions,

policies, decisions, procedures, and essential transactions of the

agency, the policies discussed below are followed.

Internal Memoranda (1)

Originator of Internal Memoranda. The organization originating

internal memoranda maintains an official record in the appropriate

formally designated paper, electronic, or other recordkeeping

system in accordance with the applicable records disposition

schedule. Official records kept in paper form are maintained in a

network of Official File Stations by the office, or by OIS, for certain

paper records maintained in the NRC File Center. Although the

original outgoing document may be prepared and distributed in

paper, the originator’s record copy of the outgoing correspondence

may be designated for maintenance in paper, ADAMS, or in

another recordkeeping system.

The originator’s record copy of outgoing memoranda maintained

in paper format consists of a copy of the final signed document,

complete with all enclosures and/or attachments and the original

concurrences of the involved NRC officials (the concurrence copy).

The concurrence copy in paper format is annotated with the

document date and marked “/RA/” by the author’s name to indicate

that the document was signed and designated as “records

approved” consistent with MD 3.57, “Correspondence

Management.”

The record copy of outgoing memoranda maintained in electronic

form in ADAMS or other electronic records management systems

(ERMSs) consists of the concurrence copy of the final signed

document created from its native application (such as WordPerfect)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 17

(Revised: March 15, 2007)

Ensuring Adequate and Proper 

Documentation (E) (continued)

Internal Memoranda (1) (continued)

or from scanning the document, complete with all enclosures

and/or attachments, and the typed or annotated concurrences of

the involved NRC officials. The concurrence copy in ADAMS or

other ERMS is also to be dated and marked “/RA/” by the author’s

name for “record approved,” if created in its native application, or

marked “/S/” if scanned from a paper version. See the ADAMS

Desk Reference Guide for additional guidance about processing

documents into ADAMS.

Recipient of Internal Memoranda. Internally generated

memoranda generally result in two official record copies of the

document, each of which is filed in the official files of the originator

and the recipient. Internal memoranda can be received in paper or

in electronic format. The organization receiving the internally

generated memoranda, regardless of form, determines if the

memoranda meet the conditions of record status and are

appropriate for preservation as evidence of the organization's

activities or because of the value of the information they contain.

The receiving organization maintains an official record in the

appropriate formally designated recordkeeping system in

accordance with the applicable records disposition schedule.

Official records kept in paper form are maintained in a network of

Official File Stations. The official record of incoming paper

memoranda is the signed original, including all enclosures and/or

attachments. Official records received in paper designated to be

kept in ADAMS require submitting the record copy to the DPC for

scanning and ADAMS processing in accordance with instructions

contained in the ADAMS Desk Reference Guide. Internal

memoranda received through electronic notification with a link to

the declared OAR in ADAMS require no further processing.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

18 Approved: June 15, 1995

(Revised: March 15, 2007)

Ensuring Adequate and Proper

Documentation (E) (continued)

External Correspondence (2)

Outgoing Correspondence. The originating organization of NRCgenerated outgoing correspondence maintains an official record

in the appropriate formally designated paper, electronic, or other

recordkeeping system in accordance with the applicable records

disposition schedule. Official records kept in paper form are

maintained in a network of Official File Stations by the office, or by

OIS, for certain records maintained in the NRC File Center.

Although the original outgoing document may be prepared and

distributed in paper, the originator’s record copy may be

designated for maintenance in paper, ADAMS, or in another

recordkeeping system.

The originator’s record copy of outgoing memoranda maintained

in paper format consists of a copy of the final signed document,

complete with all enclosures and/or attachments and the original

concurrences of the involved NRC officials (the concurrence copy).

The concurrence copy in paper format is annotated with the

document date and marked “/RA/” by the author’s name to indicate

that the document was signed and designated as “records

approved” consistent with MD 3.57, “Correspondence

Management.”

The record copy of outgoing correspondence maintained in

electronic form in ADAMS or other ERMSs consists of the

concurrence copy of the final signed document created from its

native application (such as WordPerfect) or from scanning the

document, complete with all enclosures and/or attachments, and

the typed or annotated concurrences of the involved NRC officials.

The concurrence copy in ADAMS or other ERMS created from its

native application is dated and marked “/RA/” by the author’s name

for “record approved.” See the ADAMS Desk Reference Guide for

additional guidance about processing documents into ADAMS.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 19

(Revised: March 15, 2007)

Ensuring Adequate and Proper 

Documentation (E) (continued)

External Correspondence (2) (continued)

Incoming Correspondence. Externally generated incoming

correspondence can be received in paper or in electronic format.

The organization receiving the incoming correspondence,

regardless of form, determines whether the correspondence meets

the conditions of record status and is appropriate for preservation

as evidence of the organization's activities or because of the value

of the information it contains. The receiving organization maintains

the official record in the appropriate formally designated

recordkeeping system in accordance with the applicable records

disposition schedule.

Official records kept in paper form are maintained in a network of

Official File Stations. The official record for incoming paper

correspondence is the signed original and all enclosures and/or

attachments.

Official records received in paper designated to be kept in ADAMS

require submitting the incoming to the DPC in accordance with the

ADAMS Desk Reference Guide. Externally generated incoming

correspondence received through electronic notification with a link

to the already declared OAR in ADAMS requires no further

processing.

Part II, “Files Maintenance and Records Disposition Procedures,”

of Handbook 1 of MD 3.53 contains additional information on NRC

Official File Stations and arrangements and NRC's records

disposition schedules.

Drafts, Working Files, and Similar Materials (3)

Working files, such as preliminary drafts and rough notes and

other similar materials, will be maintained and filed with the official

record for purposes of adequate and proper documentation if they

meet the following two conditions: (a)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

20 Approved: June 15, 1995

(Revised: March 15, 2007)

Ensuring Adequate and Proper 

Documentation (E) (continued)

Drafts, Working Files, and Similar Materials (3) (continued)

• They were circulated or made available to employees,

other than the creator, for official purposes such as approval,

comment, action, recommendation, followup, and to

communicate with agency staff about agency business. (i)

• They contain unique information, such as substantive

annotations or comments, that adds to a proper understanding

of the agency's formulation and execution of basic policies,

decisions, actions, or responsibilities. (ii)

Examples include— (b)

• Drafts of records (e.g., SECY papers) circulated for approval,

comment, or action that are significantly changed in the final

version based on comments submitted and those comments,

provided insight into the basis for an agency position or

decision and the comments are not documented in the official

record. (i)

• Information (including video tapes and photographs) generated

or acquired by NRC while inspecting a licensee's facility that

contain unique information, the rationale for an NRC decision,

or guidance that is not documented in the official record. (ii)

E-Mail Communications (4)

E-mail messages go through the same test as other Federal

records to determine their record value. E-mails determined to be

Federal records must be filed in the appropriate recordkeeping

system (paper, electronic, or other) to ensure adequate and proper

documentation. See Part I, Section (D)(2), “Identifying Federal

Records,” and Part VII, “Procedures for Creating, Maintaining,

Using, and Disposing of Electronic Records,” for additional

information.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part I

Approved: June 15, 1995 21

(Revised: March 15, 2007)

Records Management Training (F)

Records Management Web Site (1)

RFPSB/OIS has created a Records Management Web Site for

all NRC staff on the NRC Web site at http://www.internal.nrc.gov/

ois/divisions/irsd/records-mgt/index.html. The site provides staff

guidance on managing e-mail records, working files, and other

types of records, and how to identify, manage, and protect NRC

official documents. The site also contains an interactive tool to

assist staff in determining if a document is an official record, and

other useful records management guidance, including the records

disposition schedules, NARA’s records management guidance,

key NRC management directives dealing with records, and

pertinent records management guidelines. (a)

Newly appointed RLOs receive an overview of their responsibilities

and the records management program from a senior records

management analyst in RFPSB. RLOs and their supervisors can

also review RLO responsibilities in this directive. (b)

Professional Development Center and Online Records

Management Training (2) 

RFPSB has developed a Professional Development Center (PDC)

course and an online records management training course for all

staff, including RLOs, file custodians, and individuals with ADAMS

records processing responsibilities. The PDC sessions are

provided periodically based on demand. (See the PDC Training

site for availability of the course.) The Web-based version

of the course is at http://148.184.142.90/readygo/hr/Records

Management11-01-04/index.htm. All RLOs are required to take the

PDC version of the course.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

22 Approved: June 15, 1995

(Revised: March 15, 2007)

Part II

Files Maintenance and Records

Disposition Procedures

Standardized procedures are established for the organization,

maintenance, and disposition of NRC records. Records of all

organizational components of NRC are subject to these

procedures to promote efficiency and economy in administering

official NRC files.

Planning and Arranging Files (A)

To provide for the adequate documentation of the organization,

functions, policies, decisions, procedures, and essential

transactions of NRC, each office must maintain formally specified

official file stations and select the most effective and efficient

method for arranging the files within each file location.

Official Agency Records Kept in ADAMS (1)

The term “Official Agency Record” (OAR) has the same meaning

as that of “Federal Record” as defined in 44 U.S.C. 3301. ADAMS

(the Agencywide Documents Access and Management System)

is the official recordkeeping system for many NRC official

unclassified programmatic and administrative records created after

April 1, 2000. ADAMS also contains certain reference documents

that are maintained in ADAMS for quick-reference purposes.

Consult the “ADAMS Desk Reference Guide” for additional

information concerning material appropriate for placing in ADAMS.

See NUREG-0910 to identify the designated recordkeeping

system for each records series. Direct any questions to your office

Records Liaison Officer (RLO) or the OIS Records and Archives

Services Section.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 23

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Official Agency Records Not in ADAMS (2)

Classified records and sensitive unclassified safeguards

information (SGI), records of the Office of the Commission, and

records determined to be inappropriate for electronic maintenance

are not kept in ADAMS. Records not kept in ADAMS and records

that predate ADAMS implementation are to be kept in paper or

other recordkeeping systems, as appropriate. NUREG-0910

identifies the records series that are not kept in ADAMS. Also,

consult the “ADAMS Desk Reference Guide” for additional

information about material that is inappropriate for placing in

ADAMS.

Record Series (3)

A records series is a broad category of records. Records are

grouped together in a series because— (a)

• they relate to a particular subject or function that results from

the same activity, (i)

• they document a specific kind of transaction, or (ii)

• they have another relationship arising out of their creation,

receipt, or use. (iii)

The following are types of record series: (b)

• General (Subject) Correspondence Files. These files, often

referred to as the "general file" or the "subject correspondence

file," consist of originals or copies of letters, memoranda,

telegrams, reports, and other material. Each official file station

usually has a separate correspondence file. Because this file

invariably involves a variety of subjects, the contents of the file

might best be identified and used when arranged by subject or

they could also be arranged alphabetically. (i)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

24 Approved: June 15, 1995

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Record Series (3) (continued)

• Transitory Correspondence Files. These files consist of

correspondence, e-mail, and other material of short-term

interest that should not be filed in subject correspondence files.

The materials involved relate to routine transactions or do not

contain information of continuing reference value. The material

consists of transmittal letters or forms, requests for information

or publications, communications correcting reports or records,

or other documents or e-mail that do not require action by the

receiving office. The recognition and separate maintenance of

transitory material is important. Transitory material that has

served its purpose is destroyed. Transitory correspondence that

is temporarily needed for reference is usually filed by date so

that the material may be easily destroyed after a short retention

period, usually no more than 180 days. The National Archives

and Records Administration (NARA) revised its regulations in

March 2006 to authorize agencies to dispose of very short-term

temporary electronic mail (e-mail) records (i.e., those with a

retention of 180 days or less) without creating a separate paper

or electronic recordkeeping copy. Consequently, transitory

e-mail on NRC’s GroupWise system can be destroyed through

the routine purge cycle without being copied and placed in

ADAMS or other recordkeeping system. (ii)

• Case, Project, and Task Files. These files contain material

relating to a specific action, project, person, company or

organization, or issue. The material in these files may cover

one or many subjects by name or number, a practice that helps

to distinguish this material from general correspondence that

is filed by subject, as described in this part, Section (A)(3)(b)(i),

“General (Subject) Correspondence Files,” above. These files

document a transaction from beginning to end. The files

content is standardized by each office or division accumulating

them. Some of the major NRC case, project, and task files

include— (iii)

– Docket files (a)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

1

Documents related to contracts or purchase orders are arranged in accordance with Part VI of

this handbook.

2

Documents related to work performed under the Department of Energy/Nuclear Regulatory

Commission (DOE/NRC) Memorandum of Understanding are arranged in accordance with Part VI of this

handbook.

Approved: June 15, 1995 25

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Record Series (3) (continued)

– Inspection case files (b)

– Contracts or purchase orders1 (c)

– Official personnel folders (d)

– Research project files2 (e)

– General technical issues files (f)

– Standards development task files (g)

– Systematic evaluation program task files (h)

– Freedom of Information Act and Privacy Act files (i)

– Rulemaking action files (j)

– Fiscal accounting files (k)

• Case Working Documents. Short-lived correspondence and

working papers accumulated in connection with specific case

files include background and working materials, such as

reference materials and data obtained for the case or project,

data analyses and summaries, and drafts and other preliminary

papers leading to final results or findings. The most common

types of working documents are routine requests for case

reports or data, routine correspondence concerning the

administration of a case or project, extra copies of documents

or reference materials, and so forth. These working papers
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

26 Approved: June 15, 1995

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Record Series (3) (continued)

should be segregated from the important case documents for

ease of disposal and to prevent clutter among more important

papers. They may be filed in the same folder but kept separate

by fastening them on the side opposite the essential papers or

by filing them in separate folders placed one behind the other

in the file drawer. (iv)

• Technical Reference Files. These files, sometimes called

reference material or reference publications, consist of printed

or processed material that is nonrecord but that has a direct

relationship to the work of the office and is needed for future

reference. It includes materials such as technical reports,

periodicals, catalogs, handbooks, pamphlets, internal

instructional and informational manuals, and so forth. Unless

the volume is very small, technical reference materials should

always be maintained separately from correspondence files.

Mixing correspondence files and technical reference papers

hampers disposition of both types of material and overloads

the correspondence files. (v)

• Convenience Files. These files contain extra copies of

records or publications maintained for ease of access and

reference, for example— (vi)

– Reading File. This file contains extra copies of documents

arranged in chronological order and is sometimes known as

a chronological file or a day file. (a)

– Alphabetical Subject Index File. This file consists of extra

copies of correspondence or cross-reference sheets

arranged alphabetically by subject or by the organizations

to whom the correspondence is addressed or to whom it

concerns. It provides an additional source of reference to

the subject file and is useful when papers are requested
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 27

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Record Series (3) (continued)

by subject or organization. This type of file is not practical

unless the volume of material is large. (b)

– Suspense File. This file consists of copies of

correspondence or other documents that require action or

attention on subsequent dates and also is known as a

tickler file, a pending file, or a followup file. (c)

– Working File. This file contains documents such as rough

notes, calculations, or drafts assembled or created and

used in the preparation or analysis of other documents. (d)

• Nonstandard Files. These records are kept in a separate

group because of size or physical characteristics and include

films, tapes, computer printouts, photographs, and so forth. (vii)

Benefits of Separating Files Into Basic Series (4)

The benefits derived from separating files into the basic series are

numerous and discount most arguments against separate

maintenance. Breaking a record collection down into separate

groups facilitates—

• Finding records by reducing the area of search. The

recordkeeper need not look through a mass of unrelated

material to find the desired document. He or she will not be

confused by the variety of different filing arrangements often

encountered when the basic types are combined in one file. (a)

• Disposing of records by keeping folders with different

retention periods separated. Essential documents of a more

extended or permanent value are segregated from those of

only temporary value. Separation of files into the basic groups
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

28 Approved: June 15, 1995

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Benefits of Separating Files Into Basic Series (4) (continued)

permits the retirement or destruction of records in blocks

because all papers within any one group have the same

retention period. (b)

Basic Filing Arrangements for Paper Records (5)

Once the basic file series has been identified and separated within

a file collection, the recordkeeper determines the best method of

arranging the files. The arrangement should permit ease of filing

and retrieval and eliminate the need for special indexing

systems. (a)

Frequently, filing procedures for a series of records, for example,

official personnel files, are provided in the prescribing directive.

This handbook prescribes the arrangement of official general

correspondence files and also suggests the name or number

arrangement of selected agency case file series. When records

are accumulated for which specific filing instructions are not

prescribed, one of the arrangement patterns described in this

paragraph should be selected. Within the basic arrangement

selected for the series, one or more additional arrangements can

be used to further break down or subdivide the records. For

example, records geographically arranged may be further

arranged by organization; records filed by subject can be further

arranged chronologically. Five basic filing arrangements are

described below. (b)

• Numerical Arrangement. This system is used to arrange

records identified and referred to by number, using the number

as the filing code, such as docket files, contracts, purchase

orders, and so forth. Numbers are not to be assigned to

documents for the sole purpose of filing because this practice

requires the establishment of indexes to locate the documents.

(i)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 29

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Basic Filing Arrangements for Paper Records (5) (continued)

• Chronological Arrangement. Documents can be filed

according to date when the date is the primary reference. This

method is the most useful for keeping documents in small,

manageable groups, usually by year, month, and day. A

chronological arrangement is frequently used in conjunction

with other arrangements. For example, transitory, reading, and

suspense files are usually arranged chronologically. (ii)

• Geographical Arrangement. Documents can be filed by

geographical location, for example, a foreign country, when the

geographical location is the primary reference. These files are

arranged alphabetically, first by the name of the main

geographical division, for example, a country, then by the next

most important subdivision required for reference, for example,

a State. (iii)

• Organizational Arrangement. Documents can be filed

alphabetically according to organization when the name of a

pertinent organization is the primary reference. (iv)

• Subject Arrangement. Documents can be filed alphabetically

by subject when the subject is the primary reference. (v)

When developing a file arrangement, if information about an

individual is retrieved by the person's name or other personal

identifier, a Privacy Act System of Records may have been

created that requires formal registration, control, and information

protection measures. Refer to Management Directive (MD) 3.2,

"Privacy Act," for information about Privacy Act Systems of

Records. (c)

Developing a Subject File System for Paper Records (6)

An office must select the most effective and efficient method for

filing its records to ensure their appropriate retention and
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

30 Approved: June 15, 1995

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Developing a Subject File System for Paper Records (6)

(continued)

retrievability. To facilitate this process, each office is responsible

for developing a subject file system that conforms to the guidance

in this handbook. Two separate subject file plans are usually

required in order to separate the different series of records: an

administrative subject file system and a programmatic subject file

system. Arranging subject correspondence chronologically is

inappropriate when it causes inadequate documentation by

separating the incoming document from the response, or by

separating documents that have a bearing on the current activity

described in the correspondence.

Subject File Format (a)

The structure for both administrative and programmatic subject file

systems is hierarchical so that correspondence with related

subjects is filed together. The subject file is developed by selecting

the primary categories for each system and supporting these with

secondary and tertiary categories when the volume of material

warrants. Primary categories for administrative material can be

selected from the major administrative activities required to

support the office. For example—(i)

• General Administrative (ADM) (a)

• Budget (BUD) (b)

• Freedom of Information Act and Privacy Act (FOIA/PA) (c)

• Personnel (PER) (d)

• Procurement and Contracting (PRC) (e)

• Records Management (REC) (f)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 31

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Developing a Subject File System for Paper Records (6)

(continued)

• Security (SEC) (g)

• Space and Equipment (S&E) (h)

• Training (TRN) (i)

• Travel (TRV) (j)

Secondary and tertiary administrative subject categories are

added to these categories as appropriate. Primary categories for

programmatic material are selected from the office's organization,

functions, responsibilities, and major programs. Secondary and

tertiary subject categories are added to these primary categories

as appropriate. (ii)

Alphanumeric Arrangement of Subjects (b)

The basic arrangement for a subject file is the alphabetical

arrangement of primary categories. The secondary and tertiary

categories are then arranged alphabetically within the broader

categories. This format is easily revised to reflect additions and

deletions of subject categories as office requirements change. An

alphanumeric numbering system is used to code documents and

label folders. Administrative subjects are all numbered with an

ADM prefix, followed by a three-letter abbreviation for the primary

category. Each secondary category within the primary categories

is numbered 1 through however many secondary subjects there

are. Tertiary categories within the secondary categories are

numbered 1 through however many tertiary subjects there are.

Programmatic subjects are numbered similarly. The organizational

unit abbreviation, however, is used as the prefix, followed by the

three-letter abbreviation for each primary category.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

32 Approved: June 15, 1995

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Developing a Subject File System for Paper Records (6)

(continued)

Subject File Labels (c)

Labels should show the file code, subject, and date of the material

in the file. Labeling in this manner ensures that folders are

identified easily and can be returned to their proper file location

quickly. Examples of labels with file codes for administrative and

programmatic categories follow:

• Administrative Subject Format (i)

ADM BUD 2 BUDGET ESTIMATES AND SUBMITTALS

FY 1994

• Programmatic Subject Format (ii)

RES/PRAB 2 ACCIDENT EVALUATION

FY 1994

Files Maintenance and Disposition Plan (7)

Each file custodian prepares an NRC Form 306 and, if necessary,

NRC Form 306A, for all records under his or her purview, including

records series that the organizational unit keeps in ADAMS. This

plan identifies all records for which an office has responsibility.

Exhibit 1 illustrates a typical Files Maintenance and Disposition

Plan for use as a guide.

Preparation (a)

The file custodian prepares NRC Form 306 in triplicate and, if

necessary, uses NRC Form 306A as a continuation sheet.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 33

(Revised: March 15, 2007)

Planning and Arranging Files (A) (continued)

Files Maintenance and Disposition Plan (7) (continued)

Distribution (b)

The file custodian forwards the original and two copies of the files

plan to the appropriate RLO for review and approval.

Review and Approval (c)

The RLO reviews the Files Maintenance and Disposition Plan for

accuracy, adequacy, completeness, evidence of any unnecessary

or duplicate files, and so forth, and approves the plan. After

signing the plan, the RLO keeps one copy, sends one copy to the

NRC Records Officer, and returns the original to the file custodian.

Updating the Files Plan (d)

The file custodian annually reviews the Files Maintenance and

Disposition Plan and amends it, as appropriate, to ensure that all

files are accounted for and that cited disposition authorities are

accurate. A new plan is prepared when the old one is substantially

changed or further corrections or additions can be made. Revised

plans are prepared in the same manner as the original plan.

Files Maintenance Procedures for

Paper Records (B)

Avoidance of Unnecessary Filing (1)

To avoid a waste of staff resources and storage equipment by

filing unnecessary papers—

• Limit the creation of formal communications for routine matters.

A note, a telephone call, or a routing slip may be substituted,

or a reply may be made directly on the incoming

communication. (a)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

34 Approved: June 15, 1995

(Revised: March 15, 2007)

Files Maintenance Procedures for

Paper Records (B) (continued)

Avoidance of Unnecessary Filing (1) (continued)

• Limit the number of copies prepared to those specifically

required or requested. (b)

• Eliminate copies of routine communications that require no

record. (c)

• Limit the number of technical reference documents requested

and file only those that will be of significant reference value. (d)

Categorizing Documents for Filing (2)

Subject File Documents (a)

Categorizing subject correspondence material is more complex

and distinctly different from categorizing other types of documents.

The General Services Administration (GSA) Records Management

Handbook, "Subject Filing," explains the classification of

documents for administrative subject files and may be used as a

reference guide for categorizing administrative subject

correspondence. Contact the Records and FOIA/Privacy Services

Branch (RFPSB), OIS, to obtain a copy of the handbook. (i)

Documents must be read and analyzed, and then arranged on the

basis of their informational content. How quickly a particular

document can be located after it has been filed depends largely on

how carefully it has been categorized before filing. The basic steps

in categorizing subject material are as follows: (ii)

• Read and analyze the document to determine its major subject.

The subject line above the body of the correspondence is often

helpful in categorizing but should not be relied upon too

heavily. It may be vague, misleading, or even remote from the

true subject of the correspondence. (a)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 35

(Revised: March 15, 2007)

Files Maintenance Procedures for

Paper Records (B) (continued)

Categorizing Documents for Filing (2) (continued)

• Select the proper file designation from the office subject file

outline, the appropriate primary subject category, and the

appropriate subdivision of the primary subject. If no subdivision

is provided, use the primary subject itself as the file

designation. When a sufficient number of documents

accumulate under a subdivision that was not originally selected

as a subject topic, add the new topic to the file outline and

create a folder to accommodate these papers. (b)

• Write the subject-numeric file code in the upper right corner of

the file copy. (c)

• Lightly underscore the references when they refer to papers

already on file to emphasize this fact. Consolidate earlier

material with later correspondence on the same subject. (d)

Case File Documents (b)

Case filing is the easiest and fastest method of filing when the

case identification is prominently placed on the face of the material

to be filed.

• Preparing case file correspondence. Employees who prepare

correspondence should place the case identification in the

subject line of the letter. (i)

• Filing case file documents, using the identifying name or

number for categorizing and coding case file documents. In

most instances, the case identification appears somewhere on

the paper and need only be underlined or circled. If the case

identification is not shown on the paper, determine the proper

category and write the appropriate file code in the upper right

corner. (ii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

36 Approved: June 15, 1995

(Revised: March 15, 2007)

Files Maintenance Procedures for

Paper Records (B) (continued)

Cross-References (3)

A cross-reference is an additional file identification. If a document

being categorized involves more than one subject or case

transaction and there is a possibility it might be asked for by either,

a cross-reference should be prepared as a finding aid.

Avoid Unnecessary Cross-References (a)

Avoid making and filing unnecessary cross-reference forms as

they take up valuable space and time.

Cross-Referencing Relocated Material (b)

A cross-reference also is used to indicate that a record has been

moved from one place in the file to another. For example, a piece

of correspondence may be taken from a cutoff or closed file for

enclosure with a letter in the current file.

Filing Classified and Sensitive Unclassified Records (4)

NRC offices and NRC contractors shall comply with the applicable

security requirements for using, transmitting, storing, or disposing

of classified and sensitive unclassified materials (e.g., paper, fiche,

tapes, disks) (see MDs 12.2, "NRC Classified Information Security

Program," 12.3, "NRC Personnel Security Program," 12.5, "NRC

Automated Information Security Program," and 12.6, "NRC

Sensitive Unclassified Information Security Program," for specific

standards, procedures, and requirements for the protection of

classified and sensitive unclassified materials). The same general

filing procedures used for nonsensitive records are used for filing

classified and sensitive unclassified materials. However, the

following safeguards apply:
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 37

(Revised: March 15, 2007)

Files Maintenance Procedures for

Paper Records (B) (continued)

Filing Classified and Sensitive Unclassified Records (4)

(continued)

• If classified and sensitive unclassified materials are filed

separately from nonsensitive materials, place a nonsensitive

cross-reference form in the nonsensitive subject or case file

folder to indicate that the classified or sensitive unclassified

materials are filed in security containers. Do not reveal the

content of the classified or sensitive unclassified materials on

the cross-reference form. (a)

• If an entire folder is kept in security containers, use a

charge-out card. (b)

Procedures for Certifying Copies of Official Records (5)

Definition and Purpose (a)

Certification is the process of confirming that a document is a true

and correct copy of an original record maintained by NRC. NRC

certifies copies of records when requested to do so by a

representative from another Federal agency or by a member of the

public.

Certification Procedures (b)

Certification procedures are as follows:

• The office RLO with custody of the official record will obtain the

record to be certified from the appropriate file custodian. (i)

• The RLO will complete Part 1 of NRC Form 513, "Certification

of Copy of Official Record" (Exhibit 2), and sign the form to

certify that each document listed is from the official records of

the office and is maintained in the regular course of business.

(ii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

38 Approved: June 15, 1995

(Revised: March 15, 2007)

Files Maintenance Procedures for

Paper Records (B) (continued)

Procedures for Certifying Copies of Official Records (5)

(continued)

• The RLO will forward the certification package containing the

NRC Form 513, the document(s) to be certified, and the official

record(s) to the Secretary of the Commission. (iii)

• Upon verifying that the document is a true and correct copy of

the official record, the Secretary of the Commission will sign

and date Part 2 of NRC Form 513 and affix the official seal of

the Commission to it, thereby certifying the document. (iv)

• Upon certification, the Office of the Secretary of the

Commission (SECY) will reproduce the NRC Form 513 and the

index of documents certified and file the copies in the

permanent program correspondence subject files maintained

by SECY. The certification package will then be returned to the

RLO. (v)

• Upon receipt of the completed certification package, the RLO

will return the official record to the file custodian and forward a

copy of the NRC Form 513 to the NRC Records Officer. The

RLO will forward the completed certified copy(ies) to the

requester after ensuring that the record has been reviewed to

determine if it contains any information that should be withheld

pursuant to the Freedom of Information Act or the Privacy Act.

(vi)

Filing Equipment and Supplies (6) 

It is NRC's policy to use standard filing equipment and supplies to

the maximum extent possible. Standardization promotes efficient

and simplified file operations and enhanced file interchangeability,

reduced cost through quantity purchasing, simplified stocking, and

uniform appearance. All file cabinets, microfiche cabinets,

bookcases, safes, and any other equipment used for storing
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 39

(Revised: March 15, 2007)

Files Maintenance Procedures for

Paper Records (B) (continued)

Filing Equipment and Supplies (6) (continued)

records must be approved by the NRC Records Officer before it is

purchased or exchanged. (See MD 13.1, "Property Management,"

Part V.)

Requirements for Requisitioning Filing Equipment (7)

Offices request filing equipment by submitting a requisition (NRC

Form 30) to the Administrative Services Center (ASC), Division of

Administrative Services (DAS), Office of Administration (ADM). In

an effort to employ sound records management practices and to

ensure the efficient use of space and equipment, NRC policy

requires that requisitions for filing equipment be adequately

justified and submitted only after specific prerequisites have been

met. RFPSB/OIS reviews and approves requests on the basis of

these policies. (a)

RLOs are required to review requisitions for filing equipment that

originate in their respective offices and to concur in the requisitions

to indicate approval of the need for the equipment before

submitting the requisitions to the ASC. Before approving a request

for filing equipment, the reference checklist contained in this

section must be used to determine if the request meets the

requirements of this MD. (b)

RLOs are to coordinate with the requester and RFPSB, as

appropriate, alternative ways of meeting the requester's needs,

such as retiring the material to RFPSB or destroying excess

nonrecord material. (c)

Requisitions that do not meet the requirements described in this

section or that do not support sound records management

practices will be disapproved and returned to the requester. (d)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

40 Approved: June 15, 1995

(Revised: March 15, 2007)

Files Maintenance Procedures for

Paper Records (B) (continued)

Requirements for Requisitioning Filing Equipment (7)

(continued)

The following requirements pertain to each request for filing

equipment: (e)

• Prerequisites for Requisitioning Filing Equipment (i)

Requisitions for filing equipment are to be submitted only if the

measures prescribed herein have been followed but failed to

produce the needed file space.

– Dispose of all records that have been authorized for

disposal. (a)

– Transfer to the Federal Records Center through RFPSB

those inactive records that are not needed in support of

daily business but are not yet eligible for disposal. (b)

– Periodically screen nonrecord and reference material, such

as reference copies of docket submissions, publications,

and working files, and dispose of material that is no longer

needed. (c)

– Store office supplies in supply cabinets. (d)

– Use letter-size filing cabinets instead of legal-size cabinets

when possible. (e)

– Use five-drawer filing cabinets when they are available in

lieu of four-drawer cabinets. (f)

– Depersonalize equipment. Filing equipment should be

physically arranged so that all office staff members may

have access to it. (g)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 41

(Revised: March 15, 2007)

Files Maintenance Procedures for

Paper Records (B) (continued)

Requirements for Requisitioning Filing Equipment (7)

(continued)

• Justification (ii)

Requisitions for equipment must include a justification that

describes the need for the equipment and the nature, volume,

and requirements of the material to be stored.

• Cost/Benefit Statement for Specialized Filing Equipment

(iii)

Requisitions for specialized equipment must include a

statement to justify why only the equipment requested will meet

the user's needs and must give the estimated annual savings

anticipated, amortizing the cost of the equipment over 3 years.

Factors to be considered include reduced staffing costs and

the effect of the equipment on production and space.

• Certification (iv)

In addition to these requirements, all requisitions submitted for

filing equipment must contain the following certification, signed

by a section chief or above:

The measures prescribed in NRC Handbook 1 of MD

3.53, Part II, Section (B)(7)(e)(i), "Prerequisites for

Requisitioning Filing Equipment," have been taken but

have failed to produce the needed file space.

______________________________________

(Signed) Section Chief or Above
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

42 Approved: June 15, 1995

(Revised: March 15, 2007)

Files Maintenance Procedures for

Paper Records (B) (continued)

Requirements for Requisitioning Filing Equipment (7)

(continued)

Approval or disapproval of an equipment request will be based on

the extent to which the above four requirements are satisfied.

RLOs are to sign in block 14a (Requirement/Approved - Signature)

of the requisition (NRC Form 30) when all requirements have been

met and it is agreed that the equipment is needed. RFPSB will

review and also sign in block 14a if the request is approved.

Requests will be disapproved if submitted with inadequate

justification or lack of certification and will be returned to the office

RLO with an NRC Form 134, "Filing Equipment Request Analysis."

(f)

Requests will generally be disapproved when excessive inactive

reference materials are being accumulated, when other sources

of the information are readily available through ADAMS or the

NRC File Center, or when offices retain material beyond the

authorized retention period. (g)

Records Disposition Objectives and

Procedures (C)

Records Disposition Objectives (1)

Three important objectives of a records disposition program are

to—

• Preserve records of continuing value (a)

• Destroy records of temporary value as soon as they have

served their purpose (b)

• Remove noncurrent records from office space and

filing equipment to less expensive storage facilities, thereby
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 43

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Records Disposition Objectives (1) (continued)

improving the use of filing equipment and reducing maintenance

costs (c)

Records Disposition Definitions (2)

Disposition includes the retirement, transfer, or destruction of

records.

Retirement (a)

Records are considered "retired" when they are sent to NARA,

Washington National Records Center (WNRC), for storage. 

Transfer (b)

Transfer of records refers to a change of custody of records from

one organization or agency to another. Records may be

transferred to another office as a result of the realignment of

functions or the reorganization of NRC. The RLO is to inform the

NRC Records Officer within 30 days of any transfer of records that

results from realignment of functions or reorganizations. No

records are transferred to a records center without prior approval

of the NRC Records Officer. Transfers of records to the National

Archives or to another office or agency must be approved by the

NRC Records Officer.

Destruction (c)

The destruction of records includes the physical destruction of the

record material itself or the removal of the informational content.

Records authorized for destruction by NUREG-0910 will be—
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

44 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Records Disposition Definitions (2) (continued)

• Disposed of through the NRC paper recycling program

whenever possible. Contact ADM for information on materials

appropriate for recycling (i)

• Placed in wastebaskets when the quantity is small and the

records are unclassified, nonsensitive, and inappropriate for

recycling (ii)

• Destroyed by pulping or burning if, in the opinion of the NRC

Records Officer, this action is necessary to avoid disclosure of

information that might be prejudicial to the Government, the

public, or to private interests (iii)

• Erased, if appropriate, when the record consists of magnetic

tape or a comparable medium that can be reused (iv)

• Disposed of in accordance with MD 12.2, "NRC Classified

Information Security Program," and MD 12.6, "NRC Sensitive

Unclassified Information Security Program," when the records

are classified or sensitive unclassified (v)

Documentation of Destruction (d)

Within 10 calendar days of document disposal, the staff member

or file custodian submits one copy of NRC Form 355, "Report of

Records/Nonrecords Disposal," to the respective office RLO. This

information is used by the RLO to compile the office's Annual

Report of Records Holdings.

Authority (3)

Federal law requires proper authorization by the Archivist of the

United States to destroy Government records. Authorization for the

destruction of records is contained in NUREG-0910, "NRC
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 45

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Authority (3) (continued)

Comprehensive Records Disposition Schedule." This schedule

provides for the selective retention of records of continuing value

and the destruction of records of temporary value after the

expiration of a specific event or period of time. The schedule also

includes retirement procedures for moving inactive and semiactive

records from office space to low-cost storage facilities. (a)

Official records are not to be destroyed except in accordance with

the disposition instructions contained in NUREG-0910. (b)

Nonrecord material may be destroyed when its purpose is

served. (c)

Official records are the sole property of the United States

Government and are subject to the provisions of the "Records and

Reports" section of Title 18 of the United States Code, which

stipulates— (d)

• Whoever willfully and unlawfully conceals, removes, mutilates,

obliterates, or destroys, or attempts to do so, or with intent to

do so takes and carries away any official record, proceeding,

map, book, paper, document, or other thing, filed or deposited

with any clerk or officer of any court of the United States, or in

any public office, or with any judicial or public officer of the

United States, shall be fined not more than $2000 or

imprisoned not more than 3 years, or both. (i)

• Whoever, having the custody of any such official

record, proceeding, map, book, document, paper, or other

thing, willfully and unlawfully conceals, removes, mutilates,

obliterates, falsifies, or destroys the same, shall be fined not

more than $2000 or imprisoned not more than 3 years, or both,

and shall forfeit his office and be disqualified from holding any

office under the United States. (ii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

46 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Applicability of the Records Disposition Schedule (4)

The disposition of all NRC records is controlled by the authorized

instructions contained in NUREG-0910, NRC Schedules 1 and 2,

which apply to the NRC program or substantive records, and

General Records Schedules 1 through 26, which apply to

housekeeping or facility records. (a)

The authorized disposition for each series of records has been

approved by NRC officials and, if appropriate, by the Government

Accountability Office and was authorized by the Archivist of the

United States. The disposition schedules, as authorized, are

legally mandatory (36 CFR Part 1228). When justified by NRC

program officials, continued retention of any series of records

beyond the period authorized in these schedules must be

approved by the NRC Records Officer and by NARA. (b)

Files Cutoff Procedures (5)

Definition and Objectives (a)

"Files cutoff" is established periodic termination of active files,

separating active from inactive files, which is essential to

effectively control record accumulations and their growth and to

facilitate economical disposition of records in convenient blocks.

Recordkeepers should separate inactive files from active files

annually and retire or destroy materials as appropriate. (i)

Files cutoff is important because it controls the size of collective

files in different file categories. If not cut off periodically, the

content of folders grows until individual papers become hard to

find. If files are cut off periodically, as their reference usefulness

declines, older files can be progressively moved from active files

space to lower cost storage space, such as the WNRC. (ii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 47

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Files Cutoff Procedures (5) (continued)

Cutoff Standards (b) 

Chronological sequence files, such as accounting records, are filed

by period of account (fiscal year) and lend themselves to cutoff

procedures. Chronologically arranged records can be readily cut

off and retired in convenient blocks. (i)

Subject files are cut off at planned intervals. There is no natural

cutoff point, as is true for case files or chronologically arranged

records. Subject files are usually cut off by fiscal year. (ii)

Case or project files are often cut off upon termination of a

transaction or expiration of an event, such as separation of

personnel, a final contract payment, or completion of a project.

When closed, the case file should be marked with the date of

closure and placed in an inactive file apart from the active files.

The inactive files can then be retired or destroyed in convenient

fiscal year blocks. Case files that continue over many years can be

cut off by setting up a new folder each year and retiring the prior

year's folders that are seldom referred to. (iii)

Technical reference materials have no established cutoff point and

are destroyed when they are superseded, become obsolete, or are

no longer needed. These files should be reviewed at least annually

to determine whether they are current and still useful. (iv)

Use of the Washington National Records Center (6)

Description and Purpose (a)

The WNRC is an offsite records storage facility for preserving

permanent NRC environmentally sensitive archival records, as well

as for economical storing, rapidly retrieving, and eventually
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

48 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Use of the Washington National Records Center (6) (continued)

disposing of NRC temporary records that have met their retention.

The WNRC provides secure storage for all physical forms of

classified and unclassified NRC records, such as hard copy

(paper), magnetic media (tape and disk), and microform. (i)

The WNRC functions as an extension of office file areas by

providing for the storage, subsequent referencing, and

maintenance of official agency records until their legal retention

period has been met, or until they are eligible for transfer to the

National Archives. Offices should keep only the minimum volume

of current records necessary for operation. (ii)

Procedures for Retiring Record Material (b)

Selection of Records for Retirement. Inactive records that are

not eligible for disposal are retired to the WNRC for storage until

disposition. (i)

Notification. Headquarters organizations wishing to retire records

must contact RFPSB to request a site review of the material

proposed for retirement to the WNRC. Regional organizations

wishing to retire records must contact their RLO, who will

coordinate the relocation of records with RFPSB. (ii)

Site review. As necessary, RFPSB reviews records at the office

of origin to determine their true record value and retention

requirements. (iii)

Containers. Upon approval of the retirement of records to the

WNRC, records center boxes (1-cubic-foot capacity) are furnished

to retire paper records. Each records center box accommodates

15 linear inches of letter-size files or 12 linear inches of legalsize files. RFPSB also has containers available for retiring
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 49

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Use of the Washington National Records Center (6) (continued)

environmentally sensitive records that must not be stored or

transported in cardboard records center boxes. (iv)

Packing Containers. Records with varying disposition dates are

not to be packed in the same container because the entire

container must be held until the expiration of the last disposition

date. When packing records for retirement, use the same filing

arrangement that was used by the transferring organization. Retire

different series of records as separate jobs. Exhibit 3 gives

detailed instructions for preparing records for retirement to the

WNRC. (v)

Numbering the Containers. Number each container of a job in

the upper right corner, beginning with Number 1. (vi)

Transfer Request Form (NRC Form 35). The RFPSB provides

staff in the originating office with access to the Archival Facility

Accountability System (AFAS). RFPSB will also help personnel to

use the AFAS upon request. Exhibit 4 gives detailed instructions

for accessing the AFAS. (vii)

Physical Transfer. RFPSB arranges for the physical transfer of

Headquarters' records to the WNRC. Regional offices must

arrange for the transfer of their records to the WNRC and must

coordinate the transfer with RFPSB. (viii)

Access to Records (c)

Access to records or information contained in records stored at the

WNRC is restricted to the RLO, the alternate RLO, and individuals

authorized to recall records.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

50 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Use of the Washington National Records Center (6) (continued)

Procedures for Recalling Retired Records (d)

RLOs, alternate RLOs, and designated file custodians (FCs) may

recall records stored at the WNRC by using the AFAS. Requesting

RLOs and designated FCs must enter the job number or the

accession number for the desired material. Recall requirements

specify that the entire container be returned. All requests for

recalls are handled as expeditiously as possible. RFPSB maintains

accountability for all material stored at the WNRC, including

withdrawals and returns.

Destruction of Retired Records (e)

RFPSB will issue a memorandum, "Notice of Records Eligible for

Destruction," to the appropriate RLO when records stored at the

WNRC have met their legal retention period and are eligible for

destruction in accordance with NUREG-0910. Upon notification of

impending destruction, the RLO must ensure that there are no

legal actions or pending requests under the Freedom of

Information Act (FOIA) that would preclude the scheduled

destruction of the records. The RLO must check the appropriate

box on the memorandum to indicate that the records may be

destroyed or that they must be retained. The memorandum then

must be signed by both the RLO and a branch chief, division

director, or office director in the organization with functional

responsibility for the records and returned to RFPSB by the due

date specified on the memorandum. (i)

If further retention of records is required, written justification,

including a proposed new destruction date, must be provided to

RFPSB with the signed memorandum. When concurrence in the

destruction of the records is received by RFPSB, the records will
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 51

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Use of the Washington National Records Center (6) (continued)

be destroyed in accordance with the methods prescribed by NARA

in 36 CFR 1228.58. Unclassified paper records are disposed of at

an authorized paper recycler; classified or sensitive unclassified

records are disposed of in accordance with MDs 12.2 and 12.6. (ii)

Transfer of Records to the National Personnel Records Center

(7)

Records of Current Employees (a)

Official personnel folders and related payroll records are

transferred to the National Personnel Records Center (NPRC)

(civilian), St. Louis, Missouri, as prescribed in NUREG-0910, and

as further explained in this section. This center does not

acknowledge receipt of records.

Records of Separated Employees (b)

Official personnel folders of employees who are separated from

NRC are placed in an inactive file upon their separation.

Thereafter, these inactive folders are transferred to the NPRC.

Loose papers that are to be included in official personnel folders

previously sent to the NPRC are forwarded to the center with

Standard Form (SF) 127, "Request for Official Personnel Folder

(Separated Employee)," provided the papers are permanent and

essential for inclusion in an individual's folder. A separate SF 127

is used to transmit the papers for each individual.

Payroll Records (c)

Because of their value as auxiliary personnel records, certain

payroll records (such as individual earnings and time cards, final
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

52 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Transfer of Records to the National Personnel Records Center

(7) (continued)

leave records, and, in some situations, memorandum copies of

payrolls) are transferred to the NPRC as prescribed by

NUREG-0910, General Records Schedule 2, Item 1, "Individual

Employee Pay Record," and Item 9, "Leave Record." 

Transfer of Official NRC Records to an Agreement State (8)

Official NRC records are transferred to a State government when

the Commission enters into an agreement with the State under

Section 274b of the Atomic Energy Act of 1954, as amended. The

specific records to be transferred are identified by the program or

regional office, depending on the regulatory function that is being

relinquished to the State. (a)

After identifying the specific records proposed for transfer and

before the removal of the records from NRC, the appropriate RLO

will prepare NRC Form 519, "Transfer of Official NRC Records to

an Agreement State," by completing blocks 1 through 10 and 12,

signing the form in block 14, and forwarding the completed form to

the NRC Records Officer for review and approval. In the event that

the records proposed for transfer are in the physical custody of

another NRC office (e.g., program records of the Office of Nuclear

Material Safety and Safeguards [NMSS] maintained by the OIS

File Center), the NMSS RLO shall forward the NRC Form 519 to

the RLO who has responsibility for physical custody of the records.

The RLO will complete blocks 4 (file custodian) and 12.D (date of

each file) of the form, sign the form in block 15, and forward the

form to the NRC Records Officer for review and approval. (b)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 53

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Transfer of Official NRC Records to an Agreement State (8)

(continued)

Upon receipt of the NRC Form 519, the NRC Records Officer will

ensure that the records identified on the form are eligible to be

removed from NRC custody and transferred to a State government

under NUREG-0910. (c)

Upon verifying that the records are eligible for transfer, the NRC

Records Officer will sign the NRC Form 519 approving transfer of

the records and forward the form to the RLO who has physical

custody of the records. (d)

Upon receipt of the approved NRC Form 519, the office RLO who

has physical custody of the records will complete block 11 (actual

date of transfer) and coordinate the preparation and shipment of

the records and the NRC Form 519 to the State agent with the

appropriate file custodians and administrative staff. (e)

• The records should be packaged in records shipping boxes,

Stock Number 8115-00-117-8249, and securely sealed with

filament tape. Each records shipping box will accommodate 1

cubic foot of paper records. (i)

• The records may be shipped to the State by mail, United

Parcel Service (UPS), or common carrier. The Headquarters

or regional central mail room will arrange for the most

economical means of shipping fewer than 24 boxes. The most

economical means of shipping more than 24 boxes is by

common carrier. Contact the regional or Headquarters

procurement office to arrange for shipment by common carrier.

(ii)

Upon shipment of the records, the office RLO who has physical

custody of the records will ensure that the State agent receiving

the records has signed the NRC Form 519 in block 17 verifying

receipt of the records and will return a signed copy of the form to

the NRC Records Officer. (f)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

54 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Transfer of Permanent Records to the National Archives of

the United States (9)

Permanent NRC records having sufficient historical or other value

to warrant their continued preservation by the Government are

offered to the National Archives of the United States when they are

eligible for transfer in accordance with NUREG-0910. RFPSB will

issue an NRC memorandum, "Notice of Transfer of Permanent

Records to the National Archives of the United States," and

Standard Form 258, "Agreement to Transfer Records to the

National Archives," to the appropriate RLO, when records are

eligible for transfer to the National Archives. The RLO will

coordinate the NRC memorandum with appropriate office

management to ensure that the records are no longer needed for

daily business and that there are no legal actions or pending FOIA

requests that would preclude the scheduled transfer of the

records. The remainder of the process for transfer is similar to that

for destruction of retired records (see this part, Section (C)(6)(e),

“Destruction of Retired Records”). When RFPSB receives

concurrence, the records will be transferred in accordance with

NARA methods prescribed in 36 CFR 1228.260. RLOs should note

that upon transfer of NRC records to the National Archives, legal

custody of the records passes to the National Archives of the

United States and NRC will have no control over the storage, use,

or examination of the records.

Transfer of State Government Records to NRC (10)

Records documenting the licensing of persons, institutions,

facilities or companies to use and/or transport byproduct, source,

or special nuclear materials shall be transferred (returned) to NRC

when NRC reasserts all or part of its regulatory authority that had

been relinquished to the State. NRC must receive from the State
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 55

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Transfer of State Government Records to NRC (10) (continued)

all records that document the licensing history of each license.

These records should include but are not limited to the following

documents: (a)

• The license application, amendment requests, and renewal

requests (i)

• The complete license, including all amendments (ii)

• All files documenting inspection and enforcement activities (iii)

• All internal and external correspondence relating to the license

(iv)

• All records documenting decommissioning, decontamination,

or termination of the license, including interim or partial

decommissioning of specific facilities at any time during the

history of licensed operations (v)

• All documents dealing with the disposition of waste or other

material or residual contamination at the site, including records

of onsite burials (vi)

• All records of spills and other unusual occurrences involving

the spread of contamination in and around the facility,

equipment, or site (vii)

• As-built drawings and modifications of structures and

equipment in restricted areas in which radioactive materials

were used or stored and locations of possible inaccessible

contamination (viii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

56 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Transfer of State Government Records to NRC (10) (continued)

• All documents related to financial assurance for

decommissioning, including decommissioning funding plans,

certifications of financial assurance for decommissioning,

related cost estimates, and records of funding methods (ix)

The specific records to be returned to NRC must be identified by

the NRC program or regional office that will assume the regulatory

function. (b)

The records may be returned to NRC by mail, UPS, common

carrier, or they may be picked up and transported by the NRC

program or regional office staff. The program or regional office

determines the most economical and advantageous means of

returning the records to NRC, taking into consideration the volume

of records to be transferred and the circumstances that reestablish

NRC's regulatory authority. (c)

Upon receipt of the records, the RLO responsible for the records

will prepare NRC Forms 545 and 545A, "Transfer of State

Government Records to the NRC," by completing blocks 1 through

7 and will forward the completed form to the NRC Records Officer

to document the transfer. In the event that the records will be

maintained by another NRC office, for example, program records

of NMSS maintained by OIS, the OIS RLO will verify receipt of the

records by signing block 8 of the NRC Form 545. (d)

Loan or Donation of NRC Records to Non-Federal Recipients

(11)

Loan or donation of NRC records can be a violation of law and

records management regulations if procedures contained in 44

U.S.C. 2107 and 36 CFR 1228.60 and 1228.72 are not followed.

These laws and regulations contain provisions that allow the loan
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 57

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Loan or Donation of NRC Records to Non-Federal Recipients

(11) (continued)

or donation of NRC records to an appropriate person or institution.

However, by statute, only the Archivist of the United States may

decide if the loan or donation is in the public interest.

Donation of Temporary Records (a)

Permanent or unscheduled records of NRC may not be donated

to non-Federal recipients. Temporary NRC records that are eligible

for disposal in accordance with NUREG-0910 may be donated to

an appropriate person or non-Federal organization with prior

written approval from NARA. To obtain written approval from

NARA, the RLO must submit a written request to the NRC

Records Officer that contains the following information: (i)

• Name of the NRC office, division, or branch having custody of

the records (a)

• Name and address of the proposed recipient(s) (b)

• Identification of the records series or system, including the

inclusive date of the records, and the NUREG-0910 item

number authorizing the disposal of the records (c)

• A statement providing evidence that the proposed transfer is in

the best interest of NRC, the records will not be sold by the

recipient, and the transfer will be made at no cost to NRC (d)

• Certification that the records contain no sensitive information

(e)

Upon receipt and approval of a request to donate temporary

records, the NRC Records Officer will submit a written request to

NARA requesting approval of the donation. Upon approval, NARA
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

58 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Loan or Donation of NRC Records to Non-Federal Recipients

(11) (continued)

will notify NRC in writing that approval has been granted, and the

office having custody of the records can then proceed with the

donation. If NARA determines that the proposed donation is

contrary to public interest, the request will be denied and NRC will

be notified that the records must be destroyed in accordance with

NUREG-0910. (ii)

Loan of Permanent and Unscheduled NRC Records (b)

Permanent or unscheduled NRC records are not to be loaned to

non-Federal recipients without prior written approval from NARA.

This approval is not required for the temporary loan of permanent

or unscheduled records between Federal agencies. NRC must

execute a written loan agreement when proposing to loan

permanent and unscheduled records to non-Federal recipients.

The Archivist of the United States shall be a signatory on all loan

agreements for permanent and unscheduled records. A loan

agreement may not be implemented until the Archivist has

approved and signed it. When records in an office are proposed

for loan, staff should work with their office RLO and generate a

written loan agreement that includes the following information: (i)

• Name of the agency and organization that has custody of the

records (a)

• Name and telephone number of an NRC contact (b)

• Name and address of the proposed recipient (c)

• A description and inclusive date of the series or systems of

records to be loaned (d)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 59

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Loan or Donation of NRC Records to Non-Federal Recipients

(11) (continued)

• NARA disposition job and item numbers covering the records

(SF 115) (e)

• A statement containing the purpose and duration of the loan (f)

• A statement that specifies restrictions on the use of the records

and how these restrictions will be administered by the recipient

(g)

• Certification that the records will be stored according to the

environmental specifications for archival records (h)

The RLO will provide the written loan agreement to the NRC

Records Officer so that the appropriate approvals can be obtained.

The NRC Records Officer is the NRC official responsible for

coordinating and requesting approval for loan of permanent and

unscheduled records with the Archivist of the United States. The

NRC Records Officer will request approval for the loan by sending

a letter to NARA transmitting the proposed loan agreement and

specifying the name, title, and telephone number of the person

NARA should contact about the proposed loan. (ii)

Annual Report of Records Holdings (12)

All NRC offices maintaining any file material must submit an

annual report of records holdings that provides the number of

cubic feet of records and nonrecord material on hand at the close

of each fiscal year, the volume of record and nonrecord material

destroyed or transferred during the fiscal year, and the number of

file cabinets on hand.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

60 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Annual Report of Records Holdings (12) (continued)

Form (a)

This report is made on NRC Form 317, "Annual Report of Records

Holding and Disposition." NRC Form 317A, "Records Inventory

Worksheet," may be used by offices to collect the data required on

NRC Form 317.

Submission (b)

Each fiscal year, RFPSB will request RLOs to submit their annual

report of records holdings. Each file custodian submits a feeder

report on NRC Form 317 to the appropriate RLO as soon as

possible after the fiscal year closes. RLOs submit consolidated

reports to the NRC Records Officer. The RFPSB prepares a

consolidated NRC report that is used for budgetary and resource

planning to project filing equipment needs and to predict space

requirements for storing inactive agency records.

Microfilming (13)

Occasionally, the microfilming of records is a sound course of

action in the records disposition program. However, microfilming

solely to save storage costs can seldom be justified. Care must be

taken to ensure that the microfilm copies produced are adequate

substitutes for the original records, whether they are to be

maintained as the official record or not, and serve the purposes for

which these records were created and maintained. 

Permanent Records (a)

Approval by the Archivist of the United States is required before

establishing a microfilm project involving permanent records when

the microfilm is proposed as a replacement for the original records.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 61

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Microfilming (13) (continued)

Temporary Records (b)

Approval by the Archivist is not required for microfilm projects

involving temporary records. If it is anticipated that the microfilm

copies of the records will have a value of 10 or more years, the

microfilm record should conform to the standards specified in this

MD.

Disposition of Personally Held Nonrecord Materials (14)

Federal officials may remove from NRC their personal papers and

extra copies of publicly released, nonrecord material that they

organize and maintain for reference during their employment. (a)

Extra copies of records that have not been released to the public

must be handled under the requirements of this part, relevant

Federal statutes, and NRC regulations and directives (e.g.,

Section 147 of the Atomic Energy Act of 1954, as amended; the

FOIA; the Privacy Act; 10 CFR 2.390; and MDs 12.2 and 12.6). (b)

Extra copies of nonpublic records may not be removed from the

agency by any NRC employee (including records generated or

signed by the employee) upon retirement or separation, except for

personnel-related documents such as the employee's own

performance appraisals and personnel actions. In addition, special

access provisions apply to the Commissioners (see Part IV,

“Procedures for Managing Commissioners’ Records and Papers,”

of this handbook for guidance on the disposition of a

Commissioner's personal papers, nonrecord copies of agency

records, and his or her office files). (c)

Personal papers, referred to as "personal records" under the FOIA

and pertinent case law, are— (d)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

62 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Disposition of Personally Held Nonrecord Materials (14)

(continued)

• Documents of a private or nonofficial character that ordinarily

pertain only to an individual's personal affairs and do not affect

the conduct of agency business, such as family papers and

personal correspondence relating to private business,

professional, or community service activities (i)

• Notes prepared by the NRC employee pertaining to agency

business but that— (ii)

– Are prepared for the individual's own use and have not

been circulated to others in the course of transacting NRC

business (a)

– Are not required to be maintained by NRC policy or

procedures (b)

– Are retained or discarded at the author's sole discretion (c)

– Would not be considered agency records if requested

under the FOIA (For detailed information on FOIA

procedures and definitions, see MD 3.1, "Freedom of

Information Act.") (d)

NRC does not have authority over the disposition of or access to

personal papers as defined in this section. To facilitate disposition

and access, NRC employees should keep their files of personal

papers separate from agency records and nonrecord materials.

NRC records, including nonpublic documents contained in office

files, cannot be destroyed or removed from NRC except in

accordance with the provisions of this handbook. (e)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part II

Approved: June 15, 1995 63

(Revised: March 15, 2007)

Records Disposition Objectives and

Procedures (C) (continued)

Disposition of Personally Held Nonrecord Materials (14)

(continued)

Extra copies of agency records are commonly regarded as

nonrecord material and may be disposed of without reference to

the Federal Records Act, which defines these records and

prohibits their destruction or removal from Government custody

without the approval of the Archivist of the United States. (f)

Preservation of Official Record Facsimile Transmissions (15)

Fax transmissions have the same potential to be official records as

any other documentary materials made or received by NRC. They

are official NRC records if they are made or received in connection

with agency business and are appropriate for preservation as

evidence of the agency's organization and activities, or because

of the value of the information they contain. (a)

Additionally, some NRC personnel may send and receive fax

transmissions via personal computer fax/modems and software.

When a computer is used to send or receive facsimile documents,

those that are official records must be printed on paper and placed

in the appropriate file. (b)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part III

64 Approved: June 15, 1995

(Revised: March 15, 2007)

Part III

Procedures for Revising the “NRC Comprehensive

Records Disposition Schedule” (NUREG-0910)

Each office is responsible for ensuring compliance with the

provisions of the records disposition schedule and ascertaining

that all records of the organization are covered by appropriate

disposition instructions. Each office reviews its files at least

annually at the time of the annual inventory of NRC record

holdings to determine whether the applicable standards are

adequate and are being followed.

Annual Review (A)

Recommendations to add, delete, or change records disposition

standards should be made when the annual review discloses—

• Series of records that are not covered by the schedules. (1)

• Items that should be deleted from the schedules because the

records are no longer being created or maintained. (2)

• Retention periods that need to be changed. Changes are

recommended only when the need is clearly indicated and

justified. (3)

• The office director has changed the designated recordkeeping

system for a series of records. (4)

Development of New or Revised Records 

Retention Schedules (B)

Retention schedules for the majority of the NRC records are

contained in NUREG-0910. However, occasionally there are newly

created file series or other records that cannot be paired with an
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part III

Approved: June 15, 1995 65

(Revised: March 15, 2007)

Development of New or Revised Records 

Retention Schedules (B) (continued)

existing schedule. In these instances, a recommendation to

schedule the records for retention is initiated. (1)

NRC Form 331, “Records Retention and Disposition Authority,” is

used to initiate a request for a records disposition schedule for any

unscheduled collection (or series) of records. Send the original

and a duplicate of the form, approved by the appropriate Records

Liaison Officer, to the NRC Records Officer. When necessary to

clarify the description or purpose of the record, a sample or

facsimile record may be attached to the form to facilitate

processing. Prepare a separate NRC Form 331 for each series of

records. (2)

Review (C)

The NRC Records Officer reviews, coordinates, and evaluates the

request for conformance with established policies and regulations.

If a decision is made to add or change a disposition schedule, the

NRC Records Officer initiates the necessary action to obtain

concurrence from the Government Accountability Office, as

appropriate, and the approval of the Archivist of the United States.

Unless the record is unique to one office, requests for changes or

additions to a disposition standard are prepared to cover all NRC

identical records. (1)

Additions or changes to schedules are published as numbered

changes to NUREG-0910. Records recommended for disposal are

not destroyed until such specific amendments are issued. (2)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

66 Approved: June 15, 1995

(Revised: March 15, 2007)

Part IV

Procedures for Managing Commissioners'

Records and Papers

Procedures for the management and disposition of records

accumulated by Commissioners during their terms of office have

been established to preserve a full record of each Commissioner's

activities and decisions during his or her term of office, to

safeguard against unauthorized or inadvertent release of classified

or sensitive information, and to provide guidance on removal of

nonrecord copies of documents.

General Requirements (A)

Upon leaving NRC, Commissioners may remove their personal

papers and, after signing a confidentiality agreement (Exhibit 5),

extra copies of certain categories of agency documents specified

in this part, Section (D)(3), “Release of Documents Transferred to

a Research Institution.” They may do as they wish with personal

papers or extra copies of publicly released agency documents,

including donating them to a research institution or other

manuscript repository. (1)

Former Commissioners may remove extra copies of nonpublic

records from the agency and also may donate these extra copies

to a research institution upon execution of a confidentiality

agreement with NRC and subject to the limitations specified in this

part, Section (D), “Transfer of Personal Papers and Nonrecord

Materials.” Nonpublic documents must be handled under the

requirements of this part and the following relevant Federal

statutes and NRC regulations and directives: (2)

• Section 147 of the Atomic Energy Act of 1954, as amended (a)

• Freedom of Information Act (FOIA) (b)

• Privacy Act (c)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

Approved: June 15, 1995 67

(Revised: March 15, 2007)

General Requirements (A) (continued)

• 10 CFR 2.390 (d)

• Management Directive (MD) 12.2, “NRC Classified Information

Security Program” (e)

• MD 12.6, “NRC Sensitive Unclassified Information Security

Program” (f)

Personal Papers, Agency Records, 

and Nonrecord Material (B)

Personal Papers (1)

The personal papers of a Commissioner, referred to as “personal

records” under the FOIA and pertinent case law, are—

• Documents of a private or nonofficial character that ordinarily

pertain only to an individual's personal affairs and do not affect

the conduct of agency business, such as family papers and

personal correspondence relating to private business,

professional, or community service activities (a)

• Notes prepared by the NRC employee pertaining to agency

business but that— (b)

– Are prepared for the individual's own use and have not

been circulated to others in the course of transacting NRC

business (i)

– Are not required to be maintained by NRC policy or

procedures (ii)

– Are retained or discarded at the author's sole discretion (iii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

68 Approved: June 15, 1995

(Revised: March 15, 2007)

Personal Papers, Agency Records, 

and Nonrecord Material (B) (continued)

Personal Papers (1) (continued)

– Would not be considered agency records if

requested under the FOIA (For detailed information on

FOIA procedures and definitions, see MD 3.1, “Freedom of

Information Act.”) (iv)

Agency Records (2)

An agency record is material that documents the activities of the

agency as defined in the Glossary of this handbook. One copy of

each agency record is designated as the official record copy and

is kept as a part of the agency's records system. Except for the

office files of individual Commissioners defined in this part, Section

(B)(3), “Office Files,” the Office of the Secretary of the Commission

(SECY) maintains the record copy of agency records for the

Commission. (a)

Correspondence received by a Commissioner from another NRC

official or a member of the public and designated “personal,” but

relevant to the conduct of official business, is an agency record.

(b)

Agency records are subject to the “NRC Comprehensive Records

Disposition Schedule” (NUREG-0910), the General Records

Schedule, and the provisions of Federal law regarding the

maintenance and disposition of Federal records. (c)

Office Files (3)

The office files of an individual Commissioner are those materials

that relate to agency business and, as a collection, are unique to

that Commissioner's office. Except for personal papers, the office

files are agency records and include the following material: (a)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

Approved: June 15, 1995 69

(Revised: March 15, 2007)

Personal Papers, Agency Records, 

and Nonrecord Material (B) (continued)

Office Files (3) (continued)

• Notes, memoranda, correspondence, and other papers written

by or exchanged between a Commissioner and members of

his or her personal staff, or written by or exchanged between

members of the Commissioner's staff without any circulation

outside the Commissioner's office (i)

• Notes, memoranda, correspondence, or other papers received

by the Commissioner or his or her staff from another

Commissioner or a member of the other Commissioner's staff

that were not circulated to other Commissioners' offices (ii)

• Notes, memoranda, correspondence, or other papers from

Commission-level offices or Executive Director for Operations

(EDO) staff offices, from Congress, from other Government

agencies, or from members of the public that were not

circulated to other Commissioners' offices (iii)

• Transcripts of telephone conversations relating to agency

business and, if circulated to members of the Commissioner's

staff, copies of agency records on which the Commissioner

makes his or her own notations (iv)

Office files do not include SECY papers or formally tracked

memoranda (COMSECY papers). (b)

The files of an individual Commissioner's office must be

maintained as a separate category of agency records under the

title “Office Files of Commissioner ____________________.” (c)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

70 Approved: June 15, 1995

(Revised: March 15, 2007)

Personal Papers, Agency Records, 

and Nonrecord Material (B) (continued)

Nonrecord Material (4)

Extra copies of agency records are commonly regarded as

nonrecord material and may be disposed of without reference to

the requirements of the Federal Records Act, which define Federal

records and prohibit their destruction or removal from Government

custody without the approval of the Archivist of the United States.

Maintenance and Disposition of 

Personal Papers and Access to 

Agency Records and Nonpublic 

Materials (C)

Maintenance of Personal Papers (1)

Personal papers that are maintained in a Federal office should be

filed separately from agency records to— (a)

• Avoid inadvertent destruction or removal of official record

material (i)

• Facilitate retrieval of agency records and thus enhance

operational efficiency (ii)

• Eliminate the likelihood that personal papers will be confused

with agency records and be made available under the FOIA (iii)

When matters requiring the transaction of official business are

received or transmitted in personal correspondence, that portion

of the correspondence that pertains to official business must be

extracted and made part of the agency records. (b)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

Approved: June 15, 1995 71

(Revised: March 15, 2007)

Maintenance and Disposition of 

Personal Papers and Access to 

Agency Records and Nonpublic 

Materials (C) (continued)

Disposition of and Access to Personal Papers and Office Files

(2)

NRC does not have authority over the disposition of or access to

personal papers as defined in this part, Section (B)(1), “Personal

Papers.” To ease disposition and access, Commissioners should

keep their files of personal papers separate from agency records

and nonrecord materials. Agency records, including nonpublic

documents contained in office files, cannot be destroyed or

removed from NRC except in accordance with the provisions of

this directive. (a)

Record copies of office files of an individual Commissioner will

remain in the exclusive possession of NRC. However, a former

Commissioner may have access to the record copies after signing

a confidentiality agreement (Exhibit 5). In accordance with this

agreement, a former Commissioner may remove reproduced

copies of his or her office files that he or she created, reviewed, or

maintained while serving as a Commissioner. The conditions and

procedures for this removal are specified in this part, Section (E),

“Access to and Use of Nonpublic Materials by a Former

Commissioner.” (b)

NRC Storage (3)

When a Commissioner leaves NRC, he or she may store personal

papers and nonrecord materials, including reproduced copies of

office files, with SECY for 2 years. If the documents have not been

removed by the end of the 2-year period, the NRC Records Officer

will contact the former Commissioner at his or her last address of

record to make appropriate arrangements for the disposition of

the files. If the NRC Records Officer cannot contact the former

Commissioner, the materials will be subject to destruction under

the NRC schedule for the disposition of nonrecord material.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

72 Approved: June 15, 1995

(Revised: March 15, 2007)

Maintenance and Disposition of 

Personal Papers and Access to 

Agency Records and Nonpublic 

Materials (C) (continued)

NRC Storage (3) (continued)

Personal papers that have not been removed from NRC by the

end of 2 years also are subject to destruction. (a)

NRC cannot provide the services of an archival institution. If a

former Commissioner wishes frequent access to his or her

personal papers or nonrecord materials, he or she should make

appropriate arrangements to remove these materials from the

agency, for example, by donating them to a research institution.

(b)

A Commissioner should make a determination within 45 days after

the termination of employment with NRC about whether to transfer

the files that are allowed to leave the agency under this part,

Section (D), “Transfer of Personal Papers and Nonrecord

Materials.” In that way, the Commissioner and members of his or

her personal staff will have time to organize, separate, and

prepare the papers for disposition before moving to new offices or

positions. The former Commissioner must inform the Division of

Facilities and Security (DFS), Office of Administration (ADM); the

Information and Records Services Division (IRSD), Office of

Information Services (OIS); SECY; and the Office of the General

Counsel (OGC), in writing, regarding the transfer and destination

of the files. (c)

Transfer of Personal Papers and 

Nonrecord Materials (D)

Materials That Can Be Transferred (1)

Subject to the restrictions set forth in this part, upon leaving office

Commissioners may remove materials, including personal papers
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

Approved: June 15, 1995 73

(Revised: March 15, 2007)

Transfer of Personal Papers and 

Nonrecord Materials (D) (continued)

Materials That Can Be Transferred (1) (continued)

and some nonrecord materials, and also may donate these

materials to a research institution or other manuscript repository

to ensure that a historical record of their term in office is available

to researchers in later years. (a)

A Commissioner may release copies of his or her office files or his

or her own vote sheets at any time before the expiration of his or

her term in accordance with general Commission practice

concerning the handling of predecisional and sensitive information.

Copies of these released documents may be handled in the same

way as any other publicly released document. A Commissioner

may, for a period of 6 months after the end of his or her term,

recommend the release of reproduced copies of his or her office

files or vote sheets to the Secretary of the Commission. The

Secretary will make the final determination regarding release. The

original copies of these documents are agency records that cannot

be removed from NRC. (b) 

In addition to personal papers and extra copies of publicly released

material, Commissioners may remove and/or donate to a research

institution copies of certain nonrecord materials that have not been

made public in accordance with the procedures specified in this

part, Section (D)(3), “Release of Documents Transferred to a

Research Institution.” (c)

A Commissioner who wishes to donate documents to a research

institution should donate the actual documents. NRC will not

duplicate documents other than agency records contained in office

files. (d)

Categories of Nonpublic Files That Cannot Be Removed From

NRC (2)

Before removing any files from NRC, the departing Commissioner

must complete a certification (Exhibit 6) that the following
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

74 Approved: June 15, 1995

(Revised: March 15, 2007)

Transfer of Personal Papers and

Nonrecord Materials (D) (continued)

Categories of Nonpublic Files That Cannot Be Removed From

NRC (2) (continued)

categories of sensitive agency records have been separated from

the files. These categories of nonpublic records will remain in the

exclusive possession of NRC and will not be released subject to

any confidentiality agreement: (a)

• Official record copies (i)

• Sensitive Unclassified Non-Safeguards Information (SUNSI) (ii)

• Classified information (iii)

• Personnel information, including Office of the Inspector

General (OIG) reports relating to personnel matters (iv)

• Safeguards Information (v)

• Adjudicatory action papers (vi)

• Vote sheets of other members of the Commission not released

to the public at the time of their vote (vii)

• Closed Commission meeting transcripts (viii)

• Nonpublic documents received from other Government

agencies (ix)

• Nonpublic reports prepared by OIG (x)

• Other categories that the Commission might add as

circumstances warrant (xi)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

Approved: June 15, 1995 75

(Revised: March 15, 2007)

Transfer of Personal Papers and

Nonrecord Materials (D) (continued)

Categories of Nonpublic Files That Cannot Be Removed From

NRC (2) (continued)

As part of the certification process, a team consisting of

representatives from the following offices must coordinate a review

of all records and determine the classification, if any, of nonrecord

copies of documents, the applicable category of any sensitive

unclassified documents, and their prescribed protective measures:

(b)

• Office of Investigations (OI) (i)

• Information Security Branch (ISB), Division of Security

Operations (DSO), Office of Nuclear Security and Incident

Response (NSIR) (ii)

• NRC Freedom of Information Act and Privacy Act Officer, OIS (iii)

• OGC (iv)

• NRC Records Officer, OIS (v)

• NRC Historian, SECY (vi)

• When appropriate, Office of Enforcement (OE) (vii)

• OIG for the purpose of reviewing documents generated by the

Inspector General. (viii)

The departing Commissioner's staff should initiate the first review

of all records to be transferred before contacting the team to

conduct its audit. (c)

To allow adequate time for review and coordination, a representative

from the Commissioner's office should contact the NRC Freedom of

Information Act and Privacy Act Officer and the NRC Records

Officer, OIS, and the NRC Historian at least 6 months before the

expiration of the Commissioner's term of office. (d)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

76 Approved: June 15, 1995

(Revised: March 15, 2007)

Transfer of Personal Papers and 

Nonrecord Materials (D) (continued)

Release of Documents Transferred to a Research Institution

(3)

Except for the limitations specified in Section (D)(2), “Categories

of Nonpublic Files That Cannot Be Removed From NRC,” of this

part, a former Commissioner may transfer nonrecord materials to

a research institution or other manuscript repository. The

Commissioner may make this transfer whether or not the

documents were previously released to the general public by NRC,

provided that a deed of gift, reviewed and approved by OGC,

between the departing Commissioner, the Commission, and the

research institution incorporates the conditions specified in this MD

on public release of nonpublic documents. If nonpublic NRC

documents are to be transferred to the institution, the deed of gift

must ensure that the institution imposes adequate controls to

prevent the inadvertent release to the public of these categories of

records for the periods specified in Exhibit 7. The institution may

make public these categories of records after expiration of the

period specified. (a)

At the request of a former Commissioner or a representative of

the repository of the Commissioner's papers, NRC may review,

within a reasonable period, any document scheduled for release

after 12 years to determine if it may be released immediately to the

public without further restrictions. Any request for review should be

made to the Secretary of the Commission. (b)

In order that NRC may have access to all relevant information, a

former Commissioner shall ensure by contract with the research

institution or other repository that nonpublic NRC documents at the

institution will be made available upon request for official NRC

research projects. (c)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

Approved: June 15, 1995 77

(Revised: March 15, 2007)

Access to and Use of Nonpublic 

Materials by a Former 

Commissioner (E)

Access to Unclassified Information After Signing a

Confidentiality Agreement (1)

Upon signing a confidentiality agreement (Exhibit 5), a former

Commissioner may— (a)

• Remove documents accumulated during his or her term of

office at NRC, including the categories of nonpublic materials

listed in this part, Section (D)(3), “Release of Documents

Transferred to a Research Institution” (i)

• Review documents in the categories specified in this part,

Section (D)(2), “Categories of Nonpublic Files That Cannot Be

Removed From NRC,” that are in agency storage (ii)

If a former Commissioner wishes access to documents from his or

her term of office that cannot leave the agency, he or she should

make a request, in writing, to the Secretary of the Commission.

The Secretary, after consultation with the Commission and the

General Counsel, has the authority to permit access to these

materials. (b)

If a former Commissioner wishes to have documents released that

are not public, or wishes to cite them or quote them for publication,

he or she should make a request in writing to the Secretary stating

the reason he or she wants the document(s) to be released to the

public. The Secretary, after consultation with the Commission and

the General Counsel, will determine whether to make the

requested documents publicly available. (c)

Classified Information (2)

Access to classified information that a former Commissioner

originated, reviewed, signed, or received while in office can only
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

78 Approved: June 15, 1995

(Revised: March 15, 2007)

Access to and Use of Nonpublic 

Materials by a Former 

Commissioner (E) (continued)

Classified Information (2) (continued)

be granted by the Chairman upon a written determination that

allowing continued access to classified information is consistent

with the provisions of applicable Executive Orders or other

Government directives. Exhibit 8 is an example of a letter

requesting continued access to classified information and an

example of the Chairman's response. (a)

A request for continued access to classified information will be

coordinated by the Director of DFS, ADM, under NRC security

directives and applicable statutes, Executive Orders, and

implementing regulations. DFS will maintain the combinations to

security containers outside NRC that exclusively contain NRC

classified materials from former Commissioners. The combinations

to the security containers inside NRC will be maintained by SECY.

(b)

Public Information (3)

If a former Commissioner has not signed a confidentiality

agreement under this part, Section (E)(1), “Access to Unclassified

Information After Signing a Confidentiality Agreement,” granting

access to public and nonpublic documents from his or her term of

office, he or she should obtain documents containing public

information from the NRC Public Document Room.

Nonpublic Documents (4)

Unless written authorization is obtained as specified in this section

of this part, requests for access to nonpublic documents will be

handled under the procedures for FOIA requests.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

Approved: June 15, 1995 79

(Revised: March 15, 2007)

Conflict-of-Interest Review (F)

A conflict-of-interest review will be conducted, upon request, if a

former Commissioner wishes agency legal advice on whether he

or she is precluded from participating in a matter on behalf of

someone other than the United States under the following laws,

regulations, or rules: (1)

• Federal conflict-of-interest laws or regulations (a)

• Rules of the relevant bar association, in the case of former

Commissioners who are attorneys (b)

• Rules of other professional organizations (c)

In these instances, the former Commissioner should contact the

General Counsel, or an attorney in OGC who has been designated

a deputy counselor by the General Counsel, for review of

nonpublic documents to assist the former Commissioner in making

a conflict-of-interest determination. MD 7.5, “Ethics Counseling

and Training,” authorizes the General Counsel to serve as the

agency's Designated Agency Ethics Official with overall

administrative responsibility for the NRC's ethics program. MD 7.5

also authorizes the General Counsel to designate OGC attorneys

as deputy counselors. (2)

In conducting the review, the General Counsel or designee may

permit limited access to and discuss nonpublic documents with the

former Commissioner, as OGC deems appropriate, before

providing the former Commissioner with legal advice on

conflict-of-interest matters. In deciding whether to grant limited

access to nonpublic documents to the former Commissioner, the

General Counsel or designee will take into consideration, among

other things, any obligation the former Commissioner may have

under the rules of the relevant bar association or other

professional organization to make a conflict-of-interest

determination. If the General Counsel or designee does not grant
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part IV

80 Approved: June 15, 1995

(Revised: March 15, 2007)

Conflict-of-Interest Review (F)

(continued)

limited access to nonpublic documents to the former

Commissioner, the General Counsel or designee will, upon the

request of the former Commissioner, provide him or her with a

written statement that explains why access has been denied. (3)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part V

Approved: June 15, 1995 81

(Revised: March 15, 2007)

Part V

Procedures for Managing Vital Records

NRC vital records are records essential to NRC's continued

operations during a national emergency.

Categories of Vital Records (A)

There are two categories of vital records: "emergency operating

records" and "legal and financial rights records." The Office of

Nuclear Security and Incident Response is responsible for

administering the emergency operating records that are needed in

the first 24-48 hours of an emergency. OIS is responsible for

administering the legal and financial rights function. Part V

focuses solely on the OIS program to identify and protect legal and

financial rights records. 

Legal and Financial Rights Records

"Legal and financial rights records" are those records that are

required for the preservation of the legal rights and interests of

individual citizens and of the Federal Government. These records

require protection to ensure that they are not subject to damage or

destruction from an emergency or disaster affecting NRC’s normal

place of business. Copies of rights and interests records are

safeguarded in the Washington National Records Center (WNRC).

Examples of these records are records containing proof of

ownership, financial interest (payroll, leave, social security,

retirement, insurance), legal proceedings decisions, contractual

obligations, and similar records. These records could contain

sensitive or classified information.

Objectives of the NRC Vital Records 

Program (B)

The objectives of the NRC vital records program are to—
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part V

82 Approved: June 15, 1995

(Revised: March 15, 2007)

Objectives of the NRC Vital Records 

Program (B) (continued)

• Ensure that legal and financial rights records required to

protect the Government and persons affected by its actions will

be protected and accessible when NRC resumes business (1)

• Safeguard legal and financial rights records identified by offices

as essential to the preservation of the legal rights and interests

of individual citizens and the Federal Government in a Federal

Records Center or other suitable location (2)

• Ensure that vital records are evaluated on the basis of their

essentiality in protecting the rights and interests of citizens and

the Government (The records must be adequate for use by

individuals other than those who would generally use them.) (3)

• Employ control techniques to ensure that needed records are

current and available when required (4) 

• Ensure that records will be easily retrievable and maintained in

usable condition (5)

• Ensure that the necessary finding aids are also available as

required (6) 

• Ensure that a current inventory of protected records is

maintained and is available to the appropriate office Records

Liaison Officers (RLOs) for reference (7) 

Duties (C)

Each NRC program office is responsible for the implementation

and operation of the vital records program within its area of

responsibility. (1)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part V

Approved: June 15, 1995 83

(Revised: March 15, 2007)

Duties (C) (continued)

RLOs are responsible for ensuring that copies of all records

selected for retention and protection are collected and submitted

on schedule to the NRC Records Officer for transfer to the

appropriate storage site. (2)

Vital Records Plans and Reviews (D)

Vital Records Plan (1)

Each office and region shall submit a vital records plan (NRC Form

340). The plan will identify the legal and financial rights records

that the office or region believes should be safeguarded at the

WNRC. (a)

Each vital records plan must be signed by the office director, or

regional administrator, as appropriate, and the office or regional

RLO. The RLO will forward the signed plan to the NRC Records

Officer for approval. When the NRC Records Officer approves the

plan, OIS, in conjunction with the NRC office or region, will prepare

an NRC Form 340A, "Vital Records Plan Identification and

Implementation Data," for each record item identified on the

approved plan. This form will contain all of the instructions and

data necessary to transmit and update the records at the

appropriate storage location. OIS will forward a copy of each

approved NRC Form 340, with its associated NRC Form 340A for

each approved item, to each office and regional RLO. (b)

Annual Vital Records Plan Update (2)

OIS will request annual updated plans from each office and region

to ensure that the records currently maintained for the vital records

program are still adequate and needed in view of new or revised

NRC program requirements. Revised plans will be processed and

distributed in accordance with the instructions specified in this part,

Section (D)(1), “Vital Records Plan.”
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part V

84 Approved: June 15, 1995

(Revised: March 15, 2007)

Implementation of the Plan (E)

Records Preparation (1)

To the extent possible, vital records selected for retention at the

WNRC should be generated routinely as prepared or used to

accomplish daily activities to preclude the need to make copies

later. Directions for copying automated data processing (ADP)

records needed for the vital records program should be included

in the ADP program instructions. 

Transmission of Vital Records to the NRC Records Officer (2)

All vital records items listed on the approved vital records plans will

be sent to the NRC Records Officer according to the NRC Form

340A. The RLO listed on the NRC Form 340A is responsible for

the timely transmittal of vital records to the NRC Records Officer.

Updating Rights and Interest Records at the Washington

National Records Center (3) 

OIS will update rights and interest records safeguarded at the

WNRC as indicated on the NRC Form 340A. 
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VI

Approved: June 15, 1995 85

(Revised: March 15, 2007)

Part VI

Procedures for Managing Contractor Records

Contractor records consist of all documentary materials created or

received by an NRC contractor or a U.S. Department of Energy

(DOE) contractor performing work for NRC under the DOE/NRC

Memorandum of Understanding in the performance of

administrative, technical, or research work. These records consist

of published and unpublished reports, background material, feeder

reports, raw data, test or trial results, working papers, or any other

documentation received or developed in the execution of the

contract. These records could be classified or sensitive

unclassified documents.

Categories of Contractor Records

Three Categories of Contractor Records (A)

• Category 1—General Administrative Material (1)

Internal general correspondence, internal notices, and material

relating to day-to-day operations and administrative matters

comprise a group of material that does not constitute agency

records and, thus, NRC has no interest. Unless specifically

identified in the contract to be retained and made available to

NRC to satisfy negotiation, administration, or audit

requirements (FAR Subpart 4.7), this material may be

destroyed after 2 years, or sooner if it is no longer needed by

the contractor. 

• Category 2—Contract Administration Records (2)

Records held by the contractor that pertain to financial and cost

accounting, pay administration, and acquisition and supply are

to be retained by the contractor (FAR Subpart 4.7) and are
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VI

86 Approved: June 15, 1995

(Revised: March 15, 2007)

Categories of Contractor Records (continued)

Three Categories of Contractor Records (A) (continued)

subject to examination and audit by NRC during the specified

retention periods. 

• Category 3—Contract Work Records (3)

Records generated or received by the contractor relating

directly to the function or purpose for which the contract exists

are likely to be Federal records that are necessary for retention

by NRC to provide adequate and proper documentation of its

activities. These records developed under contract with the

agency, created for the NRC’s use and delivered to or falling

under the legal control of NRC are, in most cases, the

contractual property of NRC. These records do not, however,

become agency records for the purposes of the Freedom of

Information Act until they come into the actual physical

possession of NRC. These records include surveys, raw data,

feeder reports, published and unpublished reports, experiment

and test descriptions, methodology, test results, laboratory

notebooks, and other records developed or received in the

execution of the contract. 

Special Requirements for Category 3 Records (B)

Contractor records developed under contract with the agency and

described as Category 3 are the property of NRC (unless the

contract states otherwise), whether submitted to NRC or retained

by the contractor. These records are to be maintained or

destroyed only under the applicable records retention schedules

established by NRC.

Sponsoring Office (1)

The office that sponsors a contract is responsible for ensuring that

disposition action for all Category 3 records is carried out under
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VI

Approved: June 15, 1995 87

(Revised: March 15, 2007)

Categories of Contractor Records (continued)

Special Requirements for Category 3 Records (B) (continued)

the approved NRC records schedules. Accordingly, the sponsoring

office must—

• Specify in its Statement of Work (SOW) or in a separate

attachment to the NRC Form 400 special requirements and

appropriate instructions for the disposition of contractor

records. (a)

• Indicate in its SOW or the request for procurement action

(RFPA) attachment that the contractor will, upon termination or

completion of the contract, or at appropriate intervals during

performance of the contract, transmit to the Commission all or

certain records accumulated by the contractor in the

performance of the contract. (b)

• Indicate in its SOW or RFPA attachment that any records

retained by the contractor after contract completion that are not

eligible for disposition are to be transmitted to the project

officer for ultimate disposition under the approved NRC records

schedule in the “NRC Comprehensive Records Disposition

Schedule,” NUREG-0910. (c) 

• Include a brief statement to identify other agency requirements

for the records when another agency has continuing need for

NRC contractor records beyond NRC requirements. This

clarification is needed to preclude the destruction of this

material before all requirements are met. (d)

Division of Contracts (2)

The Division of Contracts, Office of Administration, shall include

special requirements and appropriate instructions in the contract

to meet the recordkeeping requirements of the sponsoring office.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

88 Approved: June 15, 1995

(Revised: March 15, 2007)

Part VII

Procedures for Creating, Maintaining, Using, and

Disposing of Electronic Records

These procedures will help individuals who generate and use

electronic records, as well as those who develop and operate large

electronic information systems and electronic recordkeeping

systems. Electronic records include numeric, graphic, and textual

information in data files and databases that is recorded on any

medium that can be read by computer, including magnetic media

such as tapes and disks, and optical disks. These procedures are

consistent with the National Archives and Records Administration

(NARA) regulations specified in 36 CFR 1228.270, "Electronic

Records," and NARA regulations specified in 36 CFR Part 1234,

"Electronic Records Management."

General (A)

Definitions (1)

Authentication. The verification of information or data for

completeness and accuracy by an individual authorized by the

NRC Records Officer to make such a determination.

Certification. Any activity with respect to—

• The process of ensuring that magnetic tapes or other storage

media used to record and preserve information are free of

defects and errors (a)

• The confirmation that magnetic tape, computer output microfilm

(COM), or hard copy produced from electronic records is a true

copy of the original record (b)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 89

(Revised: March 15, 2007)

General (A) (continued)

Definitions (1) (continued)

COM (Computer Output Microfilm). Microfilm or microfiche

containing data produced by a recorder from computer-generated

signals.

Database. A set of data, consisting of at least one data file, that is

sufficient for a given purpose.

Database management system. A software system used to

access and retrieve data stored in a database.

Data file. Related numeric, textual, or graphic information that is

organized in a strictly prescribed form and format.

Electronic information system. A system that contains and

provides access to computerized Federal records and other

information.

Electronic mail (e-mail). Messages sent or received in electronic

form by remote computer terminals.

Electronic mail message. A document created or received on an

electronic mail system, including brief notes, more formal or

substantive narrative documents, and any attachments, such as

word processing and other electronic documents that may be

transmitted with the message.

Electronic mail system. A computer application used to create,

receive, and transmit messages and other documents. Excluded

from this definition are file transfer utilities (software that transmits

files between users but does not retain any transmission data),

data systems used to collect and process data that have been

organized into data files or databases on either personal

computers or mainframe computers, and word processing

documents not transmitted on an e-mail system.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

90 Approved: June 15, 1995

(Revised: March 15, 2007)

General (A) (continued)

Definitions (1) (continued)

Electronic media. The format in which information may be

electronically maintained, such as magnetic tape, magnetic card,

optical disks, and so forth.

Electronic record. Any information that is recorded in a form that

only a computer can process and that satisfies the definition of a

Federal record under 44 U.S.C. 3301.

Electronic recordkeeping system. An electronic system in which

records are collected, organized, and categorized to facilitate their

preservation, retrieval, use, and disposition.

Text documents. Narrative or tabular documents, such as letters,

memoranda, and reports, in loosely prescribed form and format.

Transmission and receipt data

• Transmission data. Information in e-mail systems regarding the

identities of sender and addressee(s), and the date and time

messages were sent. (a)

• Receipt data. Information in e-mail systems regarding date and

time of receipt of a message, and/or acknowledgment of

receipt or access by addressee(s). (b)

General Requirements (2)

The requirements for electronic records are applicable to all NRC

staff and are based on NARA regulations, "Electronic Records

Management" (36 CFR Part 1234) and the “ADAMS [Agencywide

Documents Access and Management System] Desk Reference

Guide,” OIS. They apply to all electronic information systems and

electronic recordkeeping systems, including ADAMS, the

electronic recordkeeping system that maintains many of the NRC's

unclassified official programmatic and administrative records.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 91

(Revised: March 15, 2007)

General (A) (continued)

Objectives (3)

The following objectives apply to electronic records:

• To establish guidance and procedures for creating,

maintaining, using, and disposing of electronic records (a)

• To ensure that the staff is knowledgeable about electronic

records and the authority to retain or destroy them (b)

• To ensure adequate documentation of the organization,

functions, policies, decisions, procedures, and essential

transactions of NRC when employing electronic records

applications (c)

• To ensure that the disposition of the records is planned during

the early development of electronic information systems (d)

• To describe special requirements for electronic records

authorized for permanent retention (e)

• To establish minimum labeling and filing requirements to

ensure retrieval of electronic records (f)

• To provide an environmental storage facility for inactive

electronic records and backup tapes (g)

• To ensure that all electronic information systems are covered

by NRC Schedules (NRCS) or General Records Schedules

(GRS) and that procedures are established for preparing

schedules for new and unscheduled electronic information

systems (h)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

92 Approved: June 15, 1995

(Revised: March 15, 2007)

Creation of Electronic Records (B)

Records Created at All Staff Levels (1) 

Electronic records may be generated or stored by staff of all levels,

such as individual staff members, system operators, and computer

programmers. The equipment used to generate or store these

records can be personal computers, word processors,

minicomputers, or mainframe computers. The staff who create

electronic information must determine whether the information is

official record material that must be disposed of only under an

approved records disposition schedule, or nonrecord material that

can be disposed of after it has served its purpose, and manage the

information accordingly. To ensure that Federal records are

properly identified and created, staff must be aware that electronic

records can include e-mail messages, transmittal and receipt data,

directories, and distribution lists, and that these types of

information are potentially record material. 

Electronic System Creation (2)

There are two types of electronic systems: “electronic information

systems” and “electronic recordkeeping systems.” Electronic

information systems produce, use, or store data files and

disposition instructions for the data that shall be incorporated into

the system’s design. Electronic recordkeeping systems maintain

the official file copy of text documents on electronic media and

must meet specific requirements outlined in 36 CFR 1234.22. All

electronic systems must be scheduled and the scheduling process

begins with a records management assessment. The assessment

begins by completion of NRC Form 616, “Notification of Electronic

System Design or Modification,” and NRC Form 637, “NRC

Electronic Information System Records Scheduling Survey,” which

are forwarded to the Records and FOIA/Privacy Services Branch

(RFPSB) during the development phase of the information system.

Submission of these forms initiates records management review

to identify recordkeeping requirements and records scheduling.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 93

(Revised: March 15, 2007)

Creation of Electronic Records (B) (continued)

Records Status of Electronic Data (3)

Electronic data can be categorized as either record or nonrecord.

The record status of electronic data is determined by the same

criteria employed for records generated in paper format (see

Part I, Section (D), “Identifying and Distinguishing Between Record

and Nonrecord Materials”).

Examples of Record and Nonrecord Electronic Material (4)

Examples of record and nonrecord electronic data are provided

below to assist in distinguishing between the two types of

information.

Record Material in Electronic Form (a)

• Informational material that falls under the definition of "records"

that is maintained only in electronic format and never produced

in hard copy (i)

• Drafts of record material, including working documents, that

have not yet been produced in hard copy (ii)

• Electronic information systems that support NRC programs and

management functions, regardless of whether all or a portion

of the information also is maintained in hard copy (iii)

• E-mail that concerns agency business or documents agency

organization, functions, policies, decisions, procedures,

operations, or other activities of the Government (iv)

• E-mail messages that concern statements of policy, rationale

for a decision, sense of direction, or guidance above and

beyond that documented in the official files (v)

• Electronic information that constitutes early versions of record

material that differ substantively from the final version (vi)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

94 Approved: June 15, 1995

(Revised: March 15, 2007)

Creation of Electronic Records (B) (continued)

Examples of Record and Nonrecord Electronic Material (4)

(continued)

• Extracted data from electronic information systems maintained

in electronic format for conducting studies and statistical

analyses (vii)

• Any electronic information file that contains personal

information on individuals that is retrieved by a unique personal

identifier such as a name or an assigned number (A file of this

nature would be subject to the Privacy Act and must be

included in the NRC Systems of Records published in the

Federal Register.) (viii)

• Administrative databases maintained by staff that contain

information derived from hard copy that supports administrative

activities of the office (ix)

Nonrecord Material in Electronic Form (b)

• Informational material that is maintained electronically on word

processing diskettes and similar magnetic media, has been

produced in hard copy form for recordkeeping purposes, and

is retained in electronic form only to facilitate updating or

revision of the material at a later date (i)

• Electronic copies of informational material that are duplicates

or exact copies of the record or nonrecord material retained on

an electronic storage medium (ii)

• E-mail messages and attached files that consist of extra copies

of documents kept only for convenience of reference (iii)

• Working papers and personal notes in electronic form that

have no record value because they are meaningless to

persons other than the author; provide no rationale, sense of

direction, or guidance above and beyond that documented in
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 95

(Revised: March 15, 2007)

Creation of Electronic Records (B) (continued)

Examples of Record and Nonrecord Electronic Material (4)

(continued)

official files; and are generally used only by the author to

facilitate the development and completion of papers for

approval by appropriate officials (iv)

• Miscellaneous informal e-mail messages from an individual to

other individuals in the agency that do not relate to agency

business (v)

ADAMS: NRC’s Repository for Many Official Agency Records

(5)

On April 1, 2000, offices began keeping in ADAMS the documents

designated in the office’s ADAMS records disposition schedules

and the NRC Administrative Forms and Correspondence Matrix.

Each records series in NUREG-0910, “NRC Comprehensive

Records Disposition Schedule,” identifies the designated

recordkeeping system for those records. Once official agency

records (OARs) are placed in ADAMS, they are filed by OIS in

records management software to place them under records

management control.

Disposition of Electronic Record Material (6)

Electronic records can only be destroyed under approved records

disposition schedules. Because electronic records can be created

or destroyed so easily, increasing the chance of lost information,

extra care must be taken with these records. The disposition of the

information must be determined before the records are created to

ensure that appropriate identifiers for storage and retrieval are

used and to ensure their appropriate preservation and ultimate

disposition. The disposition instructions for electronic records are

described in NUREG-0910. If unscheduled, the information

contained in electronic information systems, including those

operated for the Government by a contractor, must be reviewed
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

96 Approved: June 15, 1995

(Revised: March 15, 2007)

Creation of Electronic Records (B) (continued)

Disposition of Electronic Record Material (6) (continued)

for disposition scheduling as soon as possible, but no later than 1

year after the system becomes operational.

Disposition of Electronic Nonrecord Material (7)

Nonrecord material can be destroyed without reference to the

disposition schedules approved by the Archivist of the United

States. However, many types of electronic nonrecord material are

scheduled in the NARA GRS for clarity (see GRS 20, "Electronic

Records," and GRS 23, "Records Common to Most Offices Within

Agencies," listed in NUREG-0910.) Draft documents and transient

data created, stored, or transmitted electronically are not to be

used for official record purposes without a specific records

disposition schedule and approval by the NRC Records Officer,

who is the Chief of RFPSB, OIS.

Official Record Copy of Text Documents Retained

Electronically (8)

Electronic recordkeeping systems that maintain the official file

copy of text documents on electronic media must meet the

following minimum requirements and provide— (a)

• A method for all authorized users of the system to retrieve

desired documents, such as an indexing or a text search

system (i)

• An appropriate level of security to ensure integrity of the

documents (ii)

• A standard interchange format, when necessary, to permit the

exchange of documents on electronic media between agency

components using different software and operating systems

and the conversion or migration of documents on electronic

media from one system to another (iii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 97

(Revised: March 15, 2007)

Creation of Electronic Records (B) (continued)

Official Record Copy of Text Documents Retained

Electronically (8) (continued)

• For the disposition of the documents including, when

necessary, the requirements for transferring permanent

records to NARA (see 36 CFR 1228.270) (iv)

Electronic recordkeeping systems that maintain the official file

copy of text documents on electronic media must identify each

document sufficiently to enable authorized personnel to retrieve,

protect, and carry out the disposition of documents in the system.

Appropriate identifying information for each document maintained

on the electronic media may include office of origin, file code, key

words for retrieval, addressee, signer, author, date, authorized

disposition, and security classification, if needed. Offices must

ensure that records maintained in these systems can be correlated

with records on paper, microform, or other media. (b)

All electronic recordkeeping systems containing the official file

copy of text documents must have the prior written approval of the

NRC Records Officer, who is the Chief of RFPSB, in order to

ensure that the records are scheduled for disposition and that the

information is preserved accordingly. (c)

Creation of Data Files (9)

For electronic information systems that produce, manipulate, or

store data files, disposition instructions for the data must be

incorporated into the system's design. (a)

Office staff with lead responsibility for the development of an

electronic information system must ensure that the system has a

records disposition schedule as required in this part, Section

(A)(2), “General Requirements,” or initiate the scheduling process

according to the procedures specified in Part II of this handbook.

(b)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

98 Approved: June 15, 1995

(Revised: March 15, 2007)

Creation of Electronic Records (B) (continued)

Creation of Data Files (9) (continued)

Office staff with lead responsibility for the system must maintain

adequate and up-to-date technical documentation for each

electronic information system that produces, manipulates, or

stores data files. The staff member for each office must maintain

the following minimum documentation: (c)

• A narrative description of the system (i)

• Physical and technical characteristics of the records,

including— (ii)

– A records layout that describes each field, including its

name, size, and starting or relative position (a)

– A description of the form of the data such as alphabetic,

zoned decimal, packed decimal, or numeric (b)

– A data dictionary or the equivalent information associated

with a database management system, including a

description of the relationship between data elements in

databases (c)

• Any other technical information needed to read or process the

records (iii)

ADAMS Records Management (10)

OIS operates records management software to manage the

retention and disposition requirements of OARs maintained in

ADAMS.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 99

(Revised: March 15, 2007)

Standards for Maintaining

Electronic Records (C)

Maintenance Throughout the Life Cycle (1)

An electronic record must be maintained on the appropriate

medium and system to ensure protection and availability

throughout its life cycle and to—

• Permit easy and timely retrieval (a)

• Facilitate distinction between record and nonrecord material (b)

• Retain the records in a usable format until their authorized

disposition (c)

• When appropriate, meet the requirements for retiring

permanent records to NARA (d)

Selecting the Storage Medium (2)

The following factors must be considered before selecting a

storage medium or converting from one medium to another:

• Authorized life of the records as determined during the

scheduling process (a)

• Maintenance necessary to retain the records (b)

• Cost of storing and retrieving the records (c)

• Records density (d)

• Access time needed to retrieve stored records (e)

• Portability of the medium that runs on equipment offered by

multiple manufacturers (f)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

100 Approved: June 15, 1995

(Revised: March 15, 2007)

Standards for Maintaining

Electronic Records (C) (continued)

Selecting the Storage Medium (2) (continued)

• Whether the medium meets current applicable Federal

Information Processing Standards (FIPS) (g)

Use of Floppy Disks (3)

The use of floppy disks should be avoided for the exclusive

long-term storage of permanent or unscheduled electronic records.

This type of media does not meet the current applicable FIPS.

Accessibility of Records (4)

Material stored on diskettes, removable disks, or tapes must be

accessible to all authorized users by means of standard external

labeling.

Protection From Loss (5)

Electronic information must be protected from deterioration or from

loss as a result of changing technology by converting it to a

storage medium compatible with the agency's hardware and

software. Before converting electronic information to a different

medium, it must be determined whether the authorized disposition

of the electronic records can be implemented after conversion.

Backup Copies of Electronic Records (6)

Electronic records must be backed up regularly to safeguard

against the loss of information as a result of equipment

malfunctions or human error. (a)

Backup copies of permanent or unscheduled records must be

maintained in a storage area separate from that of the original

records. (b)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 101

(Revised: March 15, 2007)

Standards for Maintaining

Electronic Records (C) (continued)

Backup Copies of Electronic Records (6) (continued)

Backup tapes to large electronic information systems that are

considered vital to NRC program functions, significant to program

operations, or whose data would be extremely costly to replace

must be periodically transferred by the originating office to RFPSB

for storage at the Washington National Records Center (WNRC).

(c)

Maintaining and Testing Magnetic Computer Tapes (7)

Magnetic computer tapes used to store electronic records that are

unscheduled or scheduled for permanent retention must be tested

no more than 6 months before their use. The test is to verify that

the tape is free of permanent errors. (a)

The storage and test areas for computer magnetic tapes

containing permanent and unscheduled records must be

maintained at the following temperatures and humidity: (b)

• Constant temperature - 62 to 68 degrees (i)

• Constant relative humidity - 35 to 45 percent (ii)

All tapes containing unscheduled and permanent records must be

rewound under controlled tension every 3-1/2 years. (c)

A statistical sample of all reels of magnetic computer tapes

containing permanent and unscheduled records must be read

annually to identify any loss of data and to discover and correct the

causes of data loss. In tape libraries with 1800 or fewer reels, a

20-percent sample or a sample size of 50 reels, whichever is

larger, should be read. In tape libraries with more than 1800 reels,

a sample of 384 reels should be read. Tapes with 10 or more

errors must be replaced and, when possible, lost data must be

restored. All other tapes that might have been affected by the
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

102 Approved: June 15, 1995

(Revised: March 15, 2007)

Standards for Maintaining

Electronic Records (C) (continued)

Maintaining and Testing Magnetic Computer Tapes (7)

(continued)

 same cause, that is, tapes of poor quality or tapes experiencing

high usage, poor environment, or improper handling, must be read

and corrected, as appropriate. (d)

Permanent or unscheduled data on magnetic tapes must be

copied onto tested and verified new tapes before the tapes are 10

years old. (e)

The contents of magnetic tapes used to store permanent or

unscheduled electronic records must be identified by an external

tape label or an equivalent automated tape management system.

The label or system must provide unique identification for each

reel, including the name of the organizational unit responsible for

the data, the system title, and the security classification, if any. (f)

The following information must be maintained for each reel used

to store permanent or unscheduled electronic records: (g)

• File title (i)

• Dates of creation (ii)

• Dates of coverage (iii)

• Recording density (iv)

• Type of internal labels (v)

• Volume serial number, if applicable (vi)

• Number of tracks (vii)

• Character code and software dependency (viii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 103

(Revised: March 15, 2007)

Standards for Maintaining

Electronic Records (C) (continued)

Maintaining and Testing Magnetic Computer Tapes (7)

(continued)

• Information about block size and the reel sequence number if

the file is part of a multireel set (ix)

For numeric data files, include the record format and logical record

length, the data set name and sequence, if applicable, and the

number of records for each data set. (h)

Smoking and eating are prohibited in magnetic computer tape

storage libraries and in test or evaluation areas that contain

permanent or unscheduled records. (i)

Maintenance of Diskettes, Removable Disks, and Other Direct

Access Storage Media (8)

Users must exercise reasonable care in handling the various direct

access storage media consistent with the manufacturer's guidance

and recommendations. This care includes— (a)

• Proper storage equipment to avoid damage (i)

• Keeping media away from magnets, water, and other sources

of damage (ii)

• Exercising common sense to ensure protection, for example,

not handling the magnetic surfaces, not writing on floppy disks,

and not stacking other items on top of the electronic media (iii)

External labels for diskettes or removable disks used when

processing or temporarily storing permanent or unscheduled

records must include the following information: (b)

• Name of the organizational unit responsible for the records (i)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

104 Approved: June 15, 1995

(Revised: March 15, 2007)

Standards for Maintaining

Electronic Records (C) (continued)

Maintenance of Diskettes, Removable Disks, and Other Direct

Access Storage Media (8) (continued)

• A descriptive title of the contents (ii)

• Dates of creation (iii)

• Security classification, if applicable (iv)

• Identification of the software and hardware used (v)

Retention of Inactive Electronic Records (9)

Electronic records and their related special purpose programs and

documentation must be retained for the period prescribed in the

approved schedules. Unscheduled records must be retained until

they are scheduled and their destruction is authorized. This

section describes the procedures and policies for retaining inactive

electronic records until their authorized ultimate disposition.

• Inactive electronic records must be retained for the period

authorized by approved records disposition schedules. (a)

• Electronic records that are not covered by the NRC Schedule

or the GRS must be retained, along with related programming

and documentation, until a schedule is prepared and the

disposition is authorized by NARA. (b)

• Inactive electronic records must be retained in an area that

meets the requirements set forth in this part, Section (B)(7),

“Disposition of Electronic Record Material.” (c)

• Offices retaining electronic records in an environment other

than the WNRC are responsible for the required testing and

periodic rewinding of the media. (d)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 105

(Revised: March 15, 2007)

Standards for Maintaining

Electronic Records (C) (continued)

Retention of Inactive Electronic Records (9) (continued)

• Offices that use contractors to retain electronic records on their

behalf must ensure that the records are retained in accordance

with this handbook. (e)

• Inactive records should be retired to approved storage as soon

as practical. (f)

• RFPSB will coordinate the transfer of electronic records to the

Federal Records Center. (g)

• The storage media containing permanent electronic records

must meet the criteria of this handbook. (h)

• Electronic records of short-term value may be retained and

destroyed in the originating office without being transferred to

RFPSB. (i)

Records Disposition for

Electronic Records (D)

Schedules (1)

Electronic records can only be disposed of by applying an

approved NRC records disposition schedule or a GRS listed in

NUREG-0910. (a)

Unscheduled electronic records, along with related programs,

documentation, and indexes, must be retained until their

disposition is approved by NARA. (b)

The information in electronic information systems, including those

systems operated for the Government by a contractor, must be
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

106 Approved: June 15, 1995

(Revised: March 15, 2007)

Records Disposition for

Electronic Records (D) (continued)

Schedules (1) (continued)

scheduled for disposition as soon as possible but no later than 1

year after the system becomes operational. (c)

Schedules for new or unscheduled electronic records are

established as described in Part II. The scheduling process is

initiated by the individual or the organization responsible for

developing the electronic records or system by employing the

following procedures: (d)

• Determine if a records disposition schedule already exists for

the electronic records by referencing the NRC Schedule and

the GRS in NUREG-0910. Assistance can be provided by each

office's Records Liaison Officer (RLO), or by contacting

RFPSB. (i) 

• Electronic records that are not already scheduled for

disposition must be scheduled by the employee or organization

responsible for creating the records by submitting NRC Form

331, "Records Retention and Disposition Authority," along with

NARA Form 14028, "Information System Description," through

the office RLO to the Chief of RFPSB. RFPSB will prepare

the SF 115, "Request for Records Disposition Authority,"

and submit it to NARA for approval. The retention period will

usually follow that period allowed for the hard copy counterpart.

Administrative records are destroyed after 2 years, program

records are destroyed after 10 years, and highly significant

program records are retained permanently. (ii)

RFPSB will review annually all electronic information systems for

conformance to established agency procedures, standards, and

policies as part of the periodic reviews required by 44 U.S.C. 3506.

The review should determine whether the records have been

properly identified and described and whether the schedule
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 107

(Revised: March 15, 2007)

Records Disposition for

Electronic Records (D) (continued)

Schedules (1) (continued)

descriptions and retention periods reflect the current informational

content and use. If not, or if substantive changes have been made

in the structure, design, codes, purposes, or uses of the system,

RFPSB will submit an SF 115 to NARA. (e)

Disposing of Electronic Records (2)

Sensitive, Proprietary, and National Security Information

Electronic records authorized for destruction in an approved

records disposition schedule must be disposed of in a manner that

ensures protection of any sensitive, proprietary, or national

security information. Magnetic recording media previously used for

electronic records containing sensitive, proprietary, or national

security information are not to be reused if the previously recorded

information can be compromised in any way by reuse.

Archival Records in Electronic Format (E)

Media Requirements for Permanent Records (1)

Permanent electronic records that are transferred to the National

Archives must be on NARA-approved media and media-less

transfer forms that meet the requirements of 36 CFR 1228.270.

These forms are open reel magnetic tape, magnetic tape cartridge;

Compact-Disk, Read Only Memory (CD-ROM); and File Transfer

Protocol (FTP). Detailed requirements follow.

• NRC may transfer electronic records to the National Archives

on magnetic tape as follows: (a)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

108 Approved: June 15, 1995

(Revised: March 15, 2007)

Archival Records in Electronic Format (E)

(continued)

Media Requirements for Permanent Records (1) (continued)

– Open reel magnetic tape must be on 1⁄2 inch 9-track tape

reels recorded at 1600 or 6250 bpi that meet ANSI X3.39-

1986, American National Standard: Recorded Magnetic

Tape for Information Interchange (1600 CPI, PE) or ANSI

X3.54-1986, American National Standard: Recorded

Magnetic Tape for Information Interchange (6250 CPI,

Group Coded Recording), respectively. (i)

– Tape cartridges may be 18-track 3480-class cartridges. The

3480-class cartridge must be recorded at 37,871 bpi that

meet ANSI X3.180-1990, American National Standard:

Magnetic Tape and Cartridge for Information Interchange --

18-Track, Parallel, 1⁄2 inch (12.65 mm), 37871 cpi (1491

cpmm), Group-Coded -- Requirements for Recording. The

data must be blocked at no more than 32,760 bytes per

block. (ii)

– Tape cartridges may be digital linear tape (DLT) tape IV

cartridges that must be recorded in an uncompressed

format. Transferring scheduled electronic records using a

Tape Archive (TAR) utility requires OIS to contact NARA's

Electronic and Special Media Records Services Division

(NWME), 8601 Adelphi Rd., College Park, MD 20740-6001,

or by e-mail to cer@nara.gov to initiate transfer

discussions. The data must be blocked at no more than

32,760 bytes per block and must conform to the standards

cited in the table as follows: (iii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 109

(Revised: March 15, 2007)

Archival Records in Electronic Format (E)

(continued)

Media Requirements for Permanent Records (1) (continued)

If you are copying the

records on the following—

then the standard below

applies:

DLT tape IV with a DLT

4000 drive

ISO/IEC 15307:1997, First

edition, December 1,

1997, Information

technology—Data

interchange on 12,7 mm

128-track magnetic tape

cartridges—DLT 4 format

(20 GB native, 40 GB

compressed, 1.5 MB/sec).

DLT tape IV with a DLT

7000 drive

ISO/IEC 15896:1999, First

edition, December 15,

1999, Information

technology—Data

interchange on 12,7 mm

208-track magnetic tape

cartridges—DLT 5 format

(35 GB native, 70 GB

compressed, 5.0 MB/sec).

DLT tape IV with a DLT

8000 drive

ISO/IEC 16382:2000, First

edition, May 15, 2000,

Information

technology—Data

interchange on 12,7 mm

208-track magnetic tape

cartridges—DLT 6 format

(40 GB native, 80 GB

compressed, 6.0 MB/sec).
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

110 Approved: June 15, 1995

(Revised: March 15, 2007)

Archival Records in Electronic Format (E)

(continued)

Media Requirements for Permanent Records (1) (continued)

• Compact-Disk, Read Only Memory (CD-ROM). NRC may use

CD-ROMs to transfer electronic records scheduled to be

preserved in the National Archives. The files on such a CDROM must comply with the format and documentation

requirements specified below. (b)

– CD-ROMs used for this purpose must conform to

ANSI/NISO/ISO 9660-1990, American National Standard

for Volume and File Structure of CD-ROM for Information

Exchange. (i)

– Permanent electronic records must be stored in discrete

files. The CD-ROMs transferred may contain other files,

such as software or temporary records, but all permanent

records must be in files that contain only permanent

records. NRC staff must indicate at the time of transfer if a

CD-ROM contains temporary records and, if so, where

those records are located on the CD-ROM. NRC must also

specify whether NARA should return the CD-ROM to NRC

or dispose of it after copying the permanent records to an

archival medium. (ii)

– If permanent electronic records that NRC disseminates on

CD-ROM exist on other media, such as magnetic tape,

NRC and NARA will mutually agree on the most appropriate

medium for transfer of the records to the National Archives

of the United States. (iii)

• NRC may use FTP to transfer electronic records scheduled for

preservation at the National Archives of the United States. The

files transferred by FTP must comply with the format and

documentation requirements specified below. (c)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 111

(Revised: March 15, 2007)

Archival Records in Electronic Format (E)

(continued)

Media Requirements for Permanent Records (1) (continued)

– FTP file structure may use the 64-character Joliet extension

naming convention only when letters, numbers, dashes

(—), and underscores (_) are used in the file and/or

directory names, with a slash (\) used to indicate directory

structures. Otherwise, FTP file structure must conform to an

8.3 file naming convention and file directory structure as

cited in ANSI/NISO/ISO 9660-1990, American National

Standard for Volume and File Structure of CD-ROM for

Information Exchange. (i)

– Permanent electronic records must be stored in discrete

files, separate from temporary files. All permanent records

must be transferred in files that contain only permanent

records. (ii)

– When permanent electronic records may be disseminated

through other types of mechanisms (e.g., magnetic tape,

CD-ROM), NRC and NARA will mutually agree on the most

appropriate medium for transfer of the records to the

National Archives and will select the appropriate files for

FTP transfer. Several important factors may limit the use of

FTP as a transfer method, including the number of records,

record file size, and available bandwidth. NARA will retain

approval for appropriateness of FTP as the selected

mechanism for each scheduled records transfer based on

certain criteria (file size, FTP transfer rate, record

classification, etc.). Sending electronic records scheduled

for transfer to NARA through FTP requires OIS to contact

NARA's Electronic and Special Media Records Services

Division (NWME), 8601 Adelphi Road, College Park, MD

20740-6001, or by e-mail to cer@nara.gov to initiate the

transfer discussions. (iii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

112 Approved: June 15, 1995

(Revised: March 15, 2007)

Archival Records in Electronic Format (E)

(continued)

Media Requirements for Permanent Records (1) (continued)

– Each permanent electronic records transfer must be

preceded with a signed Agreement to Transfer Records to

the National Archives of the United States (Standard Form

258) sent to the Office of Records Services -- Washington,

DC (NWME), 8601 Adelphi Road, College Park, MD 20740-

6001. (iv)

Format Requirements for Permanent Records (2)

NRC may not transfer to the National Archives electronic records

that are in a format dependent on specific hardware and/or

software. The records shall be written in ASCII or EBCDIC with all

control characters and other non-data characters removed (except

as specified below). The records must not be compressed unless

NARA has approved the transfer in the compressed form in

advance. In such cases, NARA may require NRC to provide the

software to decompress the records.

• Data files and databases shall be transferred to the National

Archives as flat files or as rectangular tables, that is, as twodimensional arrays, lists, or tables. All "records" (within the

context of the computer program, as opposed to a Federal

record) or "tuples," that is, ordered collections of data items,

within a file or table should have the same logical format. Each

data element within a record should contain only one data

value. A record should not contain nested repeating groups of

data items. The file should not contain extraneous control

characters, except record length indicators for variable length

records, or marks delimiting a data element, field, record, or

file. If records or data elements in different files need to be

linked or combined, then each record must contain one or

more data elements that constitute primary and/or foreign keys

enabling valid linkages between the related records in separate

files. (a)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 113

(Revised: March 15, 2007)

Archival Records in Electronic Format (E)

(continued)

Format Requirements for Permanent Records (2) (continued)

• Electronic textual documents shall be transferred as plain

ASCII files; however, such files may contain Standard

Generalized Markup Language (SGML) tags. (b)

Documentation Requirements for Permanent Records (3)

Documentation adequate to identify, service, and interpret

electronic records that have been designated for preservation by

NARA shall be transferred with the records. This documentation

shall include completed NARA Form 14097, “Technical Description

for Transfer of Electronic Records,” and a completed NARA Form

14028, “Information System Description Form,” or their

equivalents. Where possible, NRC will submit required

documentation in an electronic form that conforms to the

provisions of this section. Documentation for data files and

databases must include record layouts, data element definitions,

and code translation tables (codebooks) for coded data. Data

element definitions, codes used to represent data values, and

interpretations of these codes must match the actual format and

codes as transferred.

Acceptance of Electronic Records

by the Courts (F)

Electronic records may be admitted as evidence in Federal courts

for use in court proceedings if trustworthiness is established by

thoroughly documenting the operation and controls of the

recordkeeping system. (See Federal Rules of Evidence 803(6).)

In addition, effective December 1, 2006, updated versions of

certain rules in the Federal Rules of Civil Procedure will force

attorneys to consider electronic records issues regarding

discovery, production, preservation, format, privilege protection

(including “claw-back” procedures) and waiver, reasonable

accessibility, destruction, spoliation, and so on. The following
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

114 Approved: June 15, 1995

(Revised: March 15, 2007)

Acceptance of Electronic Records

by the Courts (F) (continued)

procedures should be implemented to enhance the legal

admissibility of electronic records:

• System documentation should describe the source of the

information, how the electronic records are created and stored,

and the standard retrieval and reporting procedure. (1)

• System documentation should substantiate that security

procedures in effect prevent unauthorized modification or

deletion of a record and ensure system protection against

problems such as power interruptions. (2)

• System documentation should identify the electronic media

where records are stored throughout their life cycle, the

maximum time span that records remain on each medium, and

the NARA-approved disposition of all records. (3)

• Procedures pertaining to electronic records systems are to be

coordinated with the Office of the General Counsel (OGC), OIS

senior staff, and the records management staff to ensure legal

admissibility of the records. (4)

Security of Electronic Records (G)

Security of electronic records must be ensured by adhering to the

following procedures:

• Only authorized personnel are to have access to the electronic

records. (1)

• Backup copies are to be made routinely to protect against

information loss. (2)

• Appropriate personnel should be trained to safeguard sensitive

or classified electronic records. (3)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 115

(Revised: March 15, 2007)

Security of Electronic Records (G) (continued)

• System developers and users are to minimize the risk of

unauthorized alteration or erasure by protecting the work area,

equipment, the password, files, and data from unauthorized

access and use. (4)

• NRC offices and contractors shall comply with the applicable

security requirements for using, transmitting, storing, or

disposing of classified and sensitive unclassified materials

(e.g., paper, fiche, tapes, disks) (see Management Directives

(MDs) 12.2, "NRC Classified Information Security Program,"

12.3, "NRC Personnel Security Program," 12.5, "NRC

Automated Information Security Program," and 12.6, "NRC

Sensitive Unclassified Information Security Program," for

specific standards, procedures, and requirements for the

protection of classified and sensitive unclassified materials).

The same general filing procedures used for nonsensitive

records are used for filing classified and sensitive unclassified

materials. (5)

• The methods to ensure electronic records security are to be

addressed in the computer system security plans prepared

pursuant to the Computer Security Act of 1987 (see 40 U.S.C.

759 note and NRC MD 12.5). (6)

Electronic Mail (E-Mail) (H)

E-Mail Record Standards (1)

As a result of the increased use of e-mail to conduct Federal

agency business, on August 28, 1995, NARA issued its Final Rule,

"Electronic Mail Systems," and GRS 20, "Disposition of Electronic

Records," which contain new standards and guidance for

managing Federal records created or received on e-mail systems.

The new standards and guidance affect all Federal agencies. (a)

Agencies are required to make and preserve records containing

adequate and proper documentation of the organization, functions,
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

116 Approved: June 15, 1995

(Revised: March 15, 2007)

Electronic Mail (E-Mail) (H) (continued)

E-Mail Record Standards (1) (continued)

policies, decisions, procedures, and essential transactions that are

designed to furnish the information necessary to protect the legal

and financial rights of the Government and of persons directly

affected by the agency's activities. Accordingly, certain e-mail

communications are Federal records and must be filed in the

appropriate recordkeeping system. The NRC's e-mail system

currently does not meet the requirements of an electronic

recordkeeping system. This circumstance requires that staff

preserve e-mail communications determined to be Federal records

either in ADAMS or on paper in the file collection that contains

related documentation. (b)

NARA regulations require that— (c)

• NRC staff review each incoming and outgoing e-mail message

to determine if it is a Federal record by using the same criteria

used for information created or received on any other media.

(i)

• E-mail messages and attachments that are records must be

maintained in a recordkeeping system that groups related

records together and ensures that the records are preserved

for their full authorized retention period. (ii)

Recordkeeping systems that include e-mail messages must meet

the following requirements or Federal records may not be stored

in them: (d)

• Capability to group related records into classifications

according to the nature of the business purposes the records

serve (i)

• Capability to permit easy and timely retrieval of both individual

records and files (ii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 117

(Revised: March 15, 2007)

Electronic Mail (E-Mail) (H) (continued)

E-Mail Record Standards (1) (continued)

• Capability to retain the records in a usable format for their

required retention period (iii)

• Accessibility by individuals who have a business need for

information contained in the system (iv)

Messages on e-mail systems that are not recordkeeping systems

may be destroyed only after the record and appropriate

transmission data have been preserved by copying it to a

recordkeeping system as required by GRS 20-14, NUREG-0910.

(e)

Offices describe the required documents, including e-mail records,

for business operations and activities under their purview

throughout their policy directive system, their office procedure

manuals, and other internal office policies and procedures. (f)

Identifying E-Mail Records (2)

Staff shall evaluate each incoming and outgoing e-mail message

(and attachments) when it is created or received, and determine

whether it is a Federal record by using the same criteria used to

determine record material of any other media. If one conducts

business using e-mail, he or she generally creates e-mail records.

(a)

E-mail communications are Federal records when they meet both

of the following conditions: (b)

• They are created or received by an NRC employee to transact

official agency business and (i)

• They are preserved, or are appropriate for preservation, as

evidence of the agency's organization and activities, or

because of the value of the information they contain. (ii)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

118 Approved: June 15, 1995

(Revised: March 15, 2007)

Electronic Mail (E-Mail) (H) (continued)

Identifying E-Mail Records (2) (continued)

The communication types listed below are Federal records and

require preservation: (c)

• Communications related to programs, policies, organizations,

decisions, decisionmaking, minutes, or agendas. (i)

• Messages that contain unique information that explains why

the agency made a decision or took an action. (ii)

• Messages that direct one to take an action or that one uses to

direct another to act. (iii)

• Drafts of records (e.g., SECY papers) circulated via e-mail for

approval, comment, or action that are significantly changed in

the final version based on comments written on the draft and

those comments provide insight as to the basis for an agency

position or decision and are not documented in the official

record. (iv)

• Information generated or acquired by NRC through e-mail

pertaining to an inspection of a licensee's facility that contains

unique information, the rationale for an NRC decision, or

guidance that is not documented in the official record. (v)

The communication types listed below are not Federal records and

do not require preservation: (d)

• Communications that provide little or no evidence of agency

activities, (i)

• Communications that have no documentary value, and (ii)

• Insignificant communications that are facilitative in nature, for

example, casual inquiries about the status of an activity,

requests for routine information, transmittals that forward
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

Approved: June 15, 1995 119

(Revised: March 15, 2007)

Electronic Mail (E-Mail) (H) (continued)

Identifying E-Mail Records (2) (continued)

documented information but do not require action, replies to an

e-mail inquiry about information that is documented in the official

files. (iii)

E-mail messages that are not official records but may be subject

to pending requests under the Freedom of Information Act and

litigation and court orders must be preserved until no longer

needed for such purposes. (e)

Preserving E-Mail Records (3)

When e-mail messages fit the criteria for a Federal record, the

applicable office staff must take the following actions to preserve

them. E-mails can be preserved in ADAMS electronically utilizing

WordPerfect, but staff must ensure that the conversion to

WordPerfect produces an exact replica of the original document

content. WordPerfect preservation steps are outlined in the

ADAMS Desk Reference Guide dated March 1, 2005, page 5-34,

“Adding E-Mail Messages to ADAMS.” Office staff can also add

them by utilizing the following procedures to preserve them:

• Print e-mail records (e-mail messages and attachments,

including the transmission and receipt data) on paper and file

in the appropriate official file station or in ADAMS for

recordkeeping requirements. The minimum transmission and

receipt data that must be retained with each e-mail record

are— (a)

– Name of message sender (i)

– Message addressee(s) (ii)

– Date of the message (iii)

– Complete organizational affiliation of the sender and

addressee(s) (iv)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VII

120 Approved: June 15, 1995

(Revised: March 15, 2007)

Electronic Mail (E-Mail) (H) (continued)

Preserving E-Mail Records (3) (continued)

• Staff must print the mail envelope information page to preserve

the transmission and receipt data because the name(s) of the

addressee(s) is (are) shown only as a User ID on the e-mail

message screen. (b)

• Note: The NRC's mail envelope information page can show

when a message reaches the mailbox of each addressee and

when each addressee opens the message. It is not necessary

to preserve this additional data for most e-mail records.

However, if this additional transmission and receipt data are

required by your management, by MDs, or other office

guidance (e.g., for time-sensitive communications and

communications that require verification of message receipt),

staff must print the information page after obtaining the

additional data. This procedure also must be followed when the

information is required for proper message context. (c)

• After printing a hard copy of the e-mail message, its

transmission and receipt data, and ensuring that all other

information has been included, attach the outgoing e-mail

communications to the related incoming e-mail

communications (latest communication in front), forward to the

Document Processing Center (DPC) for processing into

ADAMS, or file in the appropriate office file station. (d)

Destroying/Deleting Messages From the E-Mail System (4)

E-mail messages composed of record material should be deleted

from the e-mail system after capture in ADAMS or after a hard

copy is produced for recordkeeping purposes as specified by GRS

20-14 (NUREG-0910). (a)

Nonrecord e-mail messages should be deleted from the e-mail

system as soon as they are no longer needed. (b)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VIII

Approved: June 15, 1995 121

(Revised: March 15, 2007)

Part VIII

Micrographics Management

These procedures set the standards necessary to ensure the

effective management of micrographic assets within NRC. The

intent is to assist operating officials at NRC in meeting Federal

Guidelines for micrographic management. For further information

and a listing of technical standards for the creation, storage,

handling, and inspection of micrographic records, see 36 CFR

Part 1230, “Micrographic Records Management.”

Definitions (A)

Archival microfilm. A photographic film that meets the National

Archives and Records Administration (NARA) standards for the

preservation of records with permanent value when stored in

accordance with NARA regulations at §1230.20(a). Such film must

conform to film designated as LE 500 in ANSI/NAPM IT9.1-1996.

Archival records. Federal records determined to have sufficient

value to warrant their preservation in the National Archives as

permanent records.

Background density. The opacity of the area of the microform not

containing information.

Computer-assisted retrieval (CAR) system. A records storage

and retrieval system, normally microfilm-based, that uses a

computer for indexing, automatic markings such as blips or bar

codes for identification, and automatic devices for reading those

markings and, in some applications, for transporting the film for

viewing. 

Computer output microfilm (COM). Microfilm containing data

converted and recorded from a computer.

Facility. An area used exclusively to make or copy microforms.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VIII

122 Approved: June 15, 1995

(Revised: March 15, 2007)

Definitions (A) (continued)

Microfilm. (1) Raw (unexposed and unprocessed) fine-grain, highresolution photographic film with characteristics that make it

suitable for use in micrographics; (2) the process of recording

microimages on film; or (3) a fine-grain, high-resolution

photographic film containing microimages. 

Microform. Any form containing microimages.

Microimage. A document such as a page of text or a drawing that

is too small to be read without magnification.

Permanent records. Federal records that have been determined

by NARA to have sufficient value to warrant continued

preservation in the National Archives of the United States.

Records storage facility. A Federal Records Center or other

offsite facility used by an agency to store insufficient value to

warrant permanent preservation by the National Archives.

Temporary records. Records that have been determined by the

Archivist of the United States to have insufficient value to warrant

permanent preservation by the National Archives.

Unscheduled records. Records for which the final disposition has

not been approved by the Archivist of the United States.

Use or work copies. Duplicates of original film made to be used

for reference or for duplication on a recurring or large-scale basis.

These are not preservation master copies, which must be stored

unused as specified in 36 CFR 1230.20.

Micrographic System Studies (B)

Every project to create a new system of microfilm or microfiche

requires as a prerequisite a micrographic systems study. Offices

considering a new micrographic project must fill out NRC Form

358, “Request for Micrographics/CD-ROM Services,” and submit
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VIII

Approved: June 15, 1995 123

(Revised: March 15, 2007)

Micrographic System Studies (B) (continued)

it to the Records and Archives Services Section to initiate the

micrographics systems study.

Standards for Archival

Microfilm Production (C)

The creation of archival microfilm is a technically sophisticated

process that includes extensive preparation of the records for

filming, microfilming the records, processing (developing) the

microfilm, and duplicating the microfilm. At every stage in this

process there are numerous standards that archival microfilm must

meet set by Federal regulations. The production of archival

microfilm must meet the requirements specified in NARA

regulations at 36 CFR Part 1230, including conducting a review of

the permanent file and documenting the results in a log.

Standards for Storage of

Archival Microfilm (D)

Archival microfilm must be stored under conditions specified in

36 CFR Part 1230, as follows:

• Microforms stored in roll form must be wound on cores or reels

made of noncorroding materials such as nonferrous metal or

inert plastics. Their metals may be used provided they are

coated with a corrosion-resistant finish. Plastics and coated

metals that may exude fumes during storage may not be used.

Rubber bands should not be used for confining film on reels or

cores. If paper bands are used, the paper shall meet

preservation standards cited in 36 CFR Part 1230. (1)

• Storage containers for microforms shall be made of inert

materials such as metal or plastic. Containers made of paper

products should be avoided unless they meet preservation

standards cited in 36 CFR Part 1230. The containers shall be
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VIII

124 Approved: June 15, 1995

(Revised: March 15, 2007)

Standards for Storage of

Archival Microfilm (D) (continued)

closed to protect the microforms from environmental impurities

and improper humidities. (2)

• Microforms should be stored in closed housings such as

drawers, or on shelves or racks enclosed by doors.

Alternatively, open shelves and racks may be used if the

microforms are in closed containers. Material used for storage

housings should be noncombustible and noncorrosive, such as

anodized aluminum, stainless steel, or steel with baked-on

nonplasticized synthetic resin lacquer. Films of different types

should not be stored in the same storage housing. (3)

• Storage rooms or vaults for archival microforms shall be fireresistant and must not be used for other purposes such as

storage of other materials, office space, or working areas.

Nonsilver copies of microforms must not be stored in the same

storage area as silver gelatin archival microfilm originals or

duplicate copies. Protection from damage by water shall be

accomplished by storing permanent record microforms above

reasonably anticipated flood stages. (4)

• The value of photographic film kept for archival or permanent

purposes makes it advisable to provide a storage room or vault

separate from offices, work areas, or temporary storage

facilities. It may be necessary to install automatic temperature

and humidity control systems in storage rooms to ensure

consistency of the environmental conditions that follow. (5)

– The relative humidity of the storage room or vault shall

remain a constant 35 percent RH, plus or minus 5 percent.

(a)

– Temperature shall not exceed 70 degrees Fahrenheit.

Rapid and wide-range temperature changes shall be

avoided and shall not exceed a 5-percent change in a

24-hour period. (b)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VIII

Approved: June 15, 1995 125

(Revised: March 15, 2007)

Standards for Storage of

Archival Microfilm (D) (continued)

– Solid particles, which may abrade film or react with the

image, shall be removed by mechanical filters from air

supplied to housings or rooms used for archival storage. (c)

– Gaseous impurities such as peroxides, oxidizing agents,

sulphur dioxide, hydrogen sulfide, and others that cause

deterioration of microforms shall be removed from the air by

suitable washers or absorbers. Archival microforms shall

not be stored in the same room with nonsilver gelatin films.

They also shall not be stored in another room using the

same ventilation system because gases given off by the

other films may damage or destroy the images on the silver

archival films. (d)

Standards for Handling and

Inspecting Archival Microfilm (E)

Proper handling of film is important. Good housekeeping and

cleanliness are essential. Permanent films should be handled by

their edges, and the wearing of thin cotton or nylon gloves by the

handlers is a good practice. (1)

The following are the procedures to be followed for film: (2) 

– Archival film must be inspected initially in accordance with

standards cited in 36 CFR 1230.22.B. All film must be

inspected when 2 years old. After the initial 2-year inspection,

microfilm produced after 1990 must be inspected every 5 years

and microfilm produced before 1990 must be inspected every

2 years. (a)

– To facilitate inspection, maintain an inventory of microfilm

listing each microform series/publication by production date,

producer, processor, format, and results of previous

inspections must be maintained. (b)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VIII

126 Approved: June 15, 1995

(Revised: March 15, 2007)

Standards for Handling and

Inspecting Archival Microfilm (E) (continued)

– The elements of the inspection shall consist of— (c)

• An inspection for aging blemishes; (i)

• A rereading of resolution targets; (ii)

• A remeasurement of density; and (iii)

• A certification of the environmental conditions under which

the microforms are stored, as specified in 36 CFR

1230.22.d. (iv)

– The agency must prepare an inspection report and send a

copy to NARA in accordance with 36 CFR 1230.28(b). The

inspection report must contain a summary of the inspection

findings, including— (d)

• A list of batches by year that includes the identification

numbers of microfilm rolls and microfiche in each batch; (i)

• The quantity of microforms inspected; (ii)

• An assessment of the overall condition of the microforms;

(iii)

• A summary of any defects discovered, for example, redox

blemishes or base deformation; and (iv)

• A summary of corrective action taken. (v)

– A detailed inspection log created during the inspection that

contains the following information: (e)

• A complete description of all records inspected (title; roll

or fiche number or other unique identifier for each unit of

film inspected; security classification, if any; and inclusive
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VIII

Approved: June 15, 1995 127

(Revised: March 15, 2007)

Standards for Handling and

Inspecting Archival Microfilm (E) (continued)

dates, names, or other data identifying the records on the

unit of film); (i)

• The date of inspection; (ii)

• The elements of inspection (see this section); (iii)

• Any defects uncovered; and (iv)

• The corrective action taken. (v)

– If an inspection shows that a master microform is deteriorating,

the agency must make a silver duplicate. (f)

Storing, Handling, and Inspecting

Temporary Microfilm (F)

Temporary microform records should be stored under conditions

that will ensure their preservation for their full retention period.

Although there is no formal requirement for inspecting microfilm of

temporary records, it is prudent to do so. 

Use of Master Microform (G)

The “camera” original, film produced by filming the records, is the

master microform. No master microform shall be used for any

purposes other than the limited production of duplicates or the

addition or deletion of images, if the microform is of the undatable

format. Duplicate copies of the master are the only acceptable

reference, research, and working copies for any user. (1)

An archival set consisting of the master microform and one

duplicate copy is submitted to the National Archives for permanent

records. (2)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Part VIII

128 Approved: June 15, 1995

(Revised: March 15, 2007)

Micrographics Services (H)

Microfilming Requests (1)

Forward all requests for the microfilming of documents to the

Records and Archives Services Section (RASS) using NRC Form

358. RASS will review the request and advise the requester on the

feasibility of the request. Major microfilming projects may require

a system study and a cost-benefit analysis. RASS will request

additional information when required. The RASS review will

include identifying the records disposition schedules that apply to

the material and resolve any records management issues before

approving the request. Placing record collections on microfiche

that have already passed their authorized retention period will

generally not be approved.

Microfilm Equipment Requests (2)

All requests for procurement of micrographics equipment and

related supplies shall be prepared on NRC Form 30 and forwarded

to the Property and Supply Branch. No equipment shall be

procured without the concurrence of RASS.

Other Microfilm-Related Requests (3)

Requests for existing documentation on microfiche, duplication of

microfiche, or reprints from microfiche or aperture cards are to be

forwarded, using NRC Form 358, to RASS. Requests for repair of

micrographics equipment are to be initiated by contacting RASS

on 301-415-7227.

Classified Microfiche (I)

Classified microfilm and microfiche should be handled in

accordance with Management Directive 12.2, “NRC Classified

Information Security Program.”
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Glossary

Approved: June 15, 1995 129

(Revised: March 15, 2007)

Glossary

Agencywide Documents Access and Management System

(ADAMS). ADAMS is an electronic information system that

maintains the Nuclear Regulatory Commission's (NRC's)

unclassified official programmatic and administrative records

in a centralized electronic document repository. ADAMS is

designed to meet National Archives and Records

Administration (NARA) regulations. Beginning April 1, 2000,

NRC Headquarters and regional offices no longer created or

maintained paper-based record collections because the

electronic documents in ADAMS became the "official records"

of the agency. The "official record" of documents maintained in

ADAMS is a Portable Document Format (PDF) file or a Tagged

Image File Format (TIFF) file with an associated document

profile containing "fielded" data to describe the document and

its attributes. In addition, any electronic data related to a digital

signature and/or electronic data that evidence final NRC

management and staff concurrence in a document is linked to

and considered part of the official record.

Disposal authority. The legal authorization granted by the

Archivist of the United States, or for certain series the

Comptroller General, to retain records for specific periods.

Disposition. The actions taken regarding records that include

destruction of records, transfer of the records to a records

holding area or a records center for temporary storage, or

transfer of the records to the National Archives for

preservation.

Disposition schedule. A document governing, on a continuing

basis, the mandatory disposition of recurring records series of

an organization or agency. The "NRC Comprehensive Records

Disposition Schedule," NUREG-0910, which incorporates the

General Records Schedule, was approved by the Archivist of

the United States as the proper disposition authority for NRC

records.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Glossary

130 Approved: June 15, 1995

(Revised: March 15, 2007)

Glossary (continued)

Federal official. Any individual employed by the Federal

Government.

Files cutoff. The segregation of active from inactive files.

Freedom of Information Act (FOIA) agency records. In 10 CFR

9.13, "record" is defined for FOIA purposes as any book,

paper, map, photograph, brochure, punch card, magnetic tape,

paper tape, sound recording, pamphlet, slide, motion picture,

or other documentary material, regardless of form or

characteristics. Record does not include an object or article

such as a structure, furniture, a tangible exhibit or model, a

vehicle, or piece of equipment. For more information regarding

agency records under the FOIA, refer to Management Directive

3.1, "Freedom of Information Act."

Maintenance. The daily use and protection of records.

Nonrecord material. Material not usually included in the definition

of records, such as unofficial copies of documents that are kept

only for convenience or reference, stocks of publications and

processed documents, and library or museum material

intended solely for reference or exhibition.

Official files or official records. All books, papers, maps,

photographs, machine-readable material, or other documentary

materials, regardless of physical form or characteristics, made

or received by any agency of the United States Government

under Federal law or in connection with the transaction of

public business and that are 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 informational value of data contained in

these materials. Library and museum material made or

acquired and preserved solely for reference or exhibition

purposes, extra copies of documents preserved only
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Glossary

Approved: June 15, 1995 131

(Revised: March 15, 2007)

Glossary (continued)

for convenience of reference, and stocks of publications and

processed documents are not included in the definition of the

term "official records" (36 CFR Part 1220).

Official file stations. Formally designated organizational locations

where official record copies of correspondence and other

documents are maintained.

Official record copy. The final signed outgoing and internal

correspondence document complete with all attachments and

the original concurrences of the involved NRC officials, the

original of incoming correspondence, and the original or action

copies of reports, completed forms, maps, photographs, and

other documents.

Personal papers. Documentary materials belonging to an

individual that are not used to conduct agency business. They

relate solely to an individual’s personal and private affairs or

are used exclusively for that individual’s convenience. They

may refer to or comment on the subject matter of agency

business, provided they are not used to conduct that business.

Personal papers must be clearly designated as such and

maintained separately from records.

Privacy Act agency records. In 10 CFR 9.51(c), "record" is

defined for Privacy Act purposes as any item, collection, or

grouping of information about an individual that is maintained

by NRC, including but not limited to the individual's education,

financial transactions, medical history, employment history, or

criminal history, and that is retrieved by the individual's name,

or the identifying number, symbol, or other identifying particular

assigned to the individual, such as a fingerprint, a voiceprint,

or a photograph. For more information regarding agency

records under the Privacy Act, refer to Management Directive

3.2, "Privacy Act."
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Glossary

132 Approved: June 15, 1995

(Revised: March 15, 2007)

Glossary (continued)

Recordkeeping requirements. All statements in statutes,

regulations, and agency directives or authoritative issuances

providing general and specific guidance for Federal agency

personnel on particular records to be created and maintained

by the agency.

Recordkeeping system. A manual or automated system in which

records are collected, organized, and categorized to facilitate

their preservation, retrieval, use, and disposition.

Vital records. Those records essential for maintaining the

continuity of Government activities during a national

emergency and for protecting the rights and interests of

individual citizens and their Government (36 CFR Part 1236).
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

Approved: June 15, 1995 133

(Revised: March 15, 2007)

Exhibit 1

NRC Forms 306 and 306A

NRC Form 306, "Files Maintenance and

Disposition Plan"
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

134 Approved: June 15, 1995

(Revised: March 15, 2007)

Exhibit 1 (continued)

Form 306A, "Files Maintenance and

Disposition Plan" (Continuation)
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

Approved: June 15, 1995 135

(Revised: March 15, 2007)

Exhibit 2

NRC Form 513, "Certification of Copy of Official Record"
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

136 Approved: June 15, 1995

(Revised: March 15, 2007)

Exhibit 3

Instructions for Preparing Records for Retirement 

to the Washington National Records Center (WNRC) 

To ensure the preservation of long-term agency records and to provide for the timely

destruction of temporary records, care must be taken in selecting and preparing

official records for retirement to the WNRC. Additionally, records that are scheduled

for ultimate transfer to the National Archives and records that are selected for

transfer to a Federal Records Center must be prepared in accordance with Federal

statutes and regulations.

The container used to retire hard copy (paper) records to the WNRC is a cardboard

carton, referred to as a records center box. Each records center box measures

14-3/4 inches by 12 inches by 9-1/2 inches and will hold 1 cubic foot of records.

Records center boxes can be obtained by contacting the Records and FOIA/Privacy

Services Branch (RFPSB), OIS. For environmentally sensitive records that cannot

be stored or transported in cardboard records center boxes (e.g., computer tapes

and disks, microform, etc.), RFPSB will assist staff with obtaining media containers

for various types and sizes of media as required.

The "Authorized Disposition" instructions defined in NUREG-0910, "NRC

Comprehensive Records Disposition Schedule," must be followed when retiring

records to the WNRC. For example, the "Authorized Disposition" instructions defined

in NUREG-0910 for Allegation and Inquiry Files maintained at the division level for

the Office of Investigations (NRC Schedule Number II, Part 16, Item 1) specify that

the files be cut off when closed, held in the originating office for 2 years, and then

retired to the WNRC. The files will then be destroyed 10 years after cutoff. When

boxing these records for retirement, only files closed during one fiscal year (October

2002 through September 2003, for example) should be retired as one job. Files

retired during FY 04 (October 2003 through September 2004) will begin a new box

and will be retired as a separate job.

• Use only records center boxes for retiring hard copy records to the WNRC.

• All requests to retire records to the WNRC must be approved by RFPSB before

records center boxes or media containers will be supplied.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

Approved: June 15, 1995 137

(Revised: March 15, 2007)

Exhibit 3 (continued)

• DO NOT seal records center boxes with tape. The bottom of the box is

self-sealed when records are inserted. The top flaps of the box will interlock to

close the box.

• DO NOT write anything on the containers to be retired except the box numbers

and job number.

• DO NOT use paste-on labels on records center boxes.

• DO NOT pack different series of records in the same container.

• DO NOT overstuff boxes.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

138 Approved: June 15, 1995

(Revised: March 15, 2007)

Exhibit 3 (continued)

Detailed Instructions for Preparing Records for

Retirement to the WNRC

1. Estimate the number of records center boxes or media containers required to

pack the records. To aid in estimating the number of containers required, the

following guidelines should be used:

Paper Records

• Each records center box will hold 1 cubic foot of paper records

• Three thousand letter-sized sheets of paper equals 1 cubic foot of records

• Each full letter-size file drawer is equal to 1-1/2 cubic feet of records

• Each full legal-size file drawer is equal to 2 cubic feet of records

• Fifteen inches of letter-size files equals 1 cubic foot

• Twelve inches of legal-size files equals 1 cubic foot

Computer Tapes, Disks, and Microform

RFPSB will assist staff with obtaining media containers designed to

accommodate—

• IBM 3480 (or equivalent) cartridges

• 2-inch computer reel tapes

• 16-inch computer disk pack

• 8-inch floppy disks

• 4-inch floppy disks

• 2-inch floppy disks
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

Approved: June 15, 1995 139

(Revised: March 15, 2007)

Exhibit 3 (continued)

• 16mm microfilm cartridges

• 35mm microfilm cartridges

• 4-inch by 6-inch microfiche

2. Contact RFPSB to request delivery of the required number of records center

boxes.

3. Upon receipt of the records center boxes, pack the records using the following

guidelines:

• Pack only one series of records (as defined in NUREG-0910) in a single

container. Additionally, do not pack records in the same series with widely

varying destruction dates in the same container.

• When packing the boxes, preserve the existing arrangement of the files.

• Do not force files into the boxes. Leave a half-inch space in each box. Pack

file folders upright, with letter-size folders facing the front and legal-size

folders facing the left side of the box.

• Remove records with an established disposal date that are in plastic

notebooks from the notebooks before packing them in the box. Substitute

metal looseleaf rings or posts for the notebooks, if appropriate.

• Place permanent records that are in plastic notebooks with the back of the

notebook laying flat against the bottom of the box. DO NOT stand the

notebook on its end when packing the box.

• DO NOT pack file folders and plastic notebooks in the same box.

• DO NOT pack file folders on top of one another in a box.

4. After the records are packed, number the containers sequentially (1 of 10, 2 of

10, 3 of 10, etc.) with a permanent black marker in the upper right corner.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

140 Approved: June 15, 1995

(Revised: March 15, 2007)

Exhibit 3 (continued)

5. Access the Archival Facility Accountability System from the desktop (see Exhibit

4 of this handbook).

6. Close the containers. Close records center boxes by consecutively closing the

four top flaps of the box, tucking the corner of the last flap under the corner of the

first flap.

7. Upon approval of a job, RFPSB will arrange for pickup and delivery of the

containers to the WNRC.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

Approved: June 15, 1995 141

(Revised: March 15, 2007)

Exhibit 4

Instructions for Using the Archival Facility

Accountability Systems (AFAS)

The AFAS is accessed through a desktop application. All requests for this system

should be directed to the Records and FOIA/Privacy Services Branch (RFPSB), Office

of Information Services (OIS).

General Instructions for Using AFAS

• Enter the system by double-clicking the “AFAS” icon from the desktop and wait for

the program to open.

• Under action, choose “Add a Pending Job.”

• The transferring office completes all fields under the “Job Info” and “Job Info 2" tabs

before the Add Job button is clicked.

• Each separate records series must be submitted as a separate job.

• Records in the same records series with widely varying disposal dates must be

retired as separate jobs. Generally 1 or 2 years of records can be retired as one job.

• Before using AFAS, pack the records in records center boxes or media containers

provided by RFPSB.

• Do not type information in capital letters. Only use capital letters when necessary

for acronyms or first letters of words in titles.

Detailed Instructions for Using AFAS

1. Identify the division, branch, location of records, requester, and the title of record

series. The user’s name, phone number, and office are the defaults when

accessing AFAS under Job Info 1.

2. Click the appropriate radio button to view lists of NRC records schedules or the

General Records Schedules (GRS) and choose the schedule that identifies the

records being transferred to storage. Upon choosing the records schedules, the

records schedule number automatically is displayed.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

142 Approved: June 15, 1995

(Revised: March 15, 2007)

Exhibit 4 (continued)

3. Complete the General Description of Records box under Job Info 2. The

classification of records, recording medium and type of containers are the defaults.

However, you may click the appropriate button to change the default.

4. Add Job. A message will be displayed indicating that units can now be added.

5. Click the OK button to proceed to the next screens.

6. Enter total number of containers for the job. This number can be increased or

decreased at anytime.

7. Each container should consist of folders, documents, books, and so on. Each item

placed in the container is considered a unit and should be counted separately. The

total number of units in the container is placed in the box under Units on this

screen.

8. Beginning with container one, double-click inside the box under Ctn# or the box

under Units to activate the container for typing the contents. Once you see the

container in the Active Carton# box (a blue box), click the Add Unit button at the

bottom of the screen.

9. On the next screen (Add a Unit), the information about the records must be typed.

The following are important points to remember when describing retired files:

a. The “Add a Unit” screen should be accessed each time for description of a

folder, binder, report, and so on (i.e., units), in a container. Provide a

description for each separate file folder, binder, report, tape, and so forth, that

is in the container. A record center box that contains 12 file folders will require

12 separate descriptions (one for each folder).

b. Generally, the title of a file folder, binder, report, and so forth, is sufficient

description if it clearly identifies the contents. DO NOT simply type “Subject

File,” or “Case File,” without identifying the specific subject or case.

c. Provide a clear indication of where the description of one file ends and another

begins. Generally, double-spacing between the description of separate files

provides a clear separation. You may type a continuous line across the page
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

Approved: June 15, 1995 143

(Revised: March 15, 2007)

Exhibit 4 (continued)

to separate files or use any other method that provides a clear separation. DO

NOT type a continuous string of text without a clear indication of where the

description of one file ends and another begins.

d. Include with the description of each file any identification numbers that pertain

to the file, for example, docket number, contract number, license number, case

number, form number, and so forth. DO NOT type a single heading consisting

of an identification number followed by a list of files that are associated with the

identification number.

e. DO NOT type any headings followed by a list of files that are associated with

that heading. Retype the text of the heading as the beginning of the description

of each file.

f. Clearly define any identification numbers that pertain to the files. If a number

is a docket number, type it in space for “Docket Number”; “License Number”

only when applicable.

g. Place the Licensee Name, Plant, City, State, and so on, in the appropriate

fields on the screen only when it applicable to the records.

h. The File/Record Description field should be used to identify the appropriate

description of the records in the container. If a number is a case number,

precede it with “Case Number,” and so forth. DO NOT type a series of

numbers without clearly defining their significance.

i. DO NOT use abbreviations or acronyms without first defining them.

10. For each entry screen, include a date or a date span for the records on that

screen. (NOTE: The unit cannot be added unless the date field is completed).

11. When all the records in container number one have been described, scroll down

to container two and continue identifying contents of containers as stated

previously.

12. Describe the records in container number two in the same manner as container

number one.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

144 Approved: June 15, 1995

(Revised: March 15, 2007)

Exhibit 4 (continued)

13. Repeat this process until all containers have been identified. Double-click the

container number you want to be active and type the description and the date

span of the records for each container to be retired in the records series. (NOTE:

Container contents should be entered systematically.) Do not begin with container

one and skip to the last container or list them in reverse order.

14. When all the records have been described, the job must be submitted to the

Records Liaison Officer who reviews and submits it to reviewing Records Analyst

for approval.

15. When the job is approved by the Records Analyst, additional steps will be taken

to arrange for pickup of the records.
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

Approved: June 15, 1995 145

(Revised: March 15, 2007)

Exhibit 5

Confidentiality Agreement

I, [name of executing official], hereby acknowledge that in accordance with Part

IV of NRC Handbook 3.53, “NRC Records Management Program,” I have been given

access to the files and documents on the attached list, some of which contain nonpublic

information. These documents were part of my files during my tenure as a member of

the NRC and fall within Part IV(D)(1) and (2) of Handbook 3.53.

In consideration of this grant of access, I agree not to disclose any of the nonpublic

information that is knowable only through access to these documents to anyone unless

I have been given express written permission by the Secretary of the Commission or

have been so ordered by a court of competent authority. Nothing in this agreement is

intended to prohibit me from expressing publicly my views on public issues, regardless

of whether those views are contained in any of these documents. To help me determine

whether information in any of these documents continues to be nonpublic, NRC will

provide me annually, upon request, a list of documents that appear on the attached list

but that have been made public since the date of this agreement.

I further agree that if asked or subpoenaed to testify about the Commission on any

issue that was the subject of Commission attention during my service, or to produce any

documents I have from the Commission, I will notify the NRC’s General Counsel as

soon as possible and, in all cases, before responding to the request or subpoena.

________________________________ ________________________

(Signature) (Date)

Attachment: List of Files
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

146 Approved: June 15, 1995

(Revised: March 15, 2007)

Exhibit 6

Certification

In accordance with Part IV of NRC Handbook 3.53, "NRC Records Management

Program," a review was conducted by my staff to segregate papers within the following

categories of records: (1) Official record copies of Government papers; (2) classified

and official use only papers; (3) personnel, proprietary, and safeguards papers; (4)

investigative papers; and (5) protected information from other agencies. Also, my staff's

review was subject to an audit conducted by NRC.

On the basis of this review and to the best of my knowledge, I hereby certify that all

papers within the categories described in the foregoing paragraph have been

segregated and that no such papers are included in the papers that I plan to donate to

[Name of Institution].

_________________________________

Date: ____________________________
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

Approved: June 15, 1995 147

(Revised: March 15, 2007)

Exhibit 7

Time Limitations on the Release of

Nonpublic Documents

Type of Record Release Date

Memoranda or other records originated

by another Commissioner or his or her

personal staff

12 years from the date of the

document, or earlier with the

permission of the Commission.

Staff papers in the SECY series that do

not fall within the categories listed in Part

IV(D)(2) of Handbook 3.53

12 years from the date of the

document

Staff requirements memoranda that do not

fall within the categories listed in

Part IV(D)(2) of Handbook 3.53

12 years from the date of the

document 

Draft responses to members of Congress 5 years from the date of the

response

Enforcement actions 5 years from the date of the

document

Legal memoranda, other than memoranda

in categories listed in Part IV(D)(2) of

Handbook 3.53, prepared by the Office

of the General Counsel

12 years from the date of the

document

Reports prepared by the Office of

Investigations

12 years from the date of the

document

Any other documents that have not been

publicly released by NRC and that are

less than 2 years old when received by

the research institution

12 years from the date of the

document

Copies of office files 12 years from the date of the

document
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

148 Approved: June 15, 1995

(Revised: March 15, 2007)

Exhibit 8

Request to the Chairman for Access to Classified

Information and the Chairman's Response

[Name]

Chairman

U.S. Nuclear Regulatory Commission

Washington, D.C. 20555-0001

Dear Chairman [Name]

Executive Order 12958 provides that a former Presidential appointee may continue to

have access to classified information that he or she originated, reviewed, signed, or

received while in office if the agency makes a determination that allowing continued

access to such classified information is consistent with the interest of national security.

As you know, NRC has or will retain all the classified information in my files. Since I

wish to have continued access to that information, I request that you make the

determination required by the Executive Order as set forth in the enclosure to this letter.

Sincerely,

Enclosure:

As stated
Volume 3, Part 2 - Records Management

NRC Records Management Program

Handbook 1 of MD 3.53 Exhibits

*NRC classified information includes National Security Information covered by Executive Order

12958 and Restricted and Formerly Restricted Data covered by the Atomic Energy Act of 1954, as

amended.

Approved: June 15, 1995 149

(Revised: March 15, 2007)

Exhibit 8 (continued)

Continued Access to NRC Classified Information

by Former NRC Official [Title/Name] 

Section 4.1(c) of Executive Order 12958, "National Security Information," states that

access to classified information* may be granted only to perform or assist in a lawful and

authorized governmental function. However, Section 4.3(b) of the Executive Order

permits me to allow [Title/Name] continued access to classified information contained

in items (he or she) originated, reviewed, signed, or received while serving as a

Presidential appointee, if I determine that it would be consistent with the interest of

national security.

I have made this determination with the understanding that all classified information to

which (he or she) will be allowed access will be protected by (him or her) from

unauthorized disclosure or compromise. (Name) will safeguard the information in a

manner consistent with the Executive Order 12958 and its implementing directives; the

Atomic Energy Act of 1954, as amended; NRC security regulations; and any

requirements that may be imposed by other U.S. Government agencies for the

protection of their information. 

Additionally, [Name]'s access to this classified information is contingent upon (his or

her) signing or having signed a Standard Form 189, "Classified Information

Nondisclosure Agreement."

The documents will be reviewed only in a room with access controlled by the NRC's

Division of Facilities and Security and according to other procedures specified by it, as

appropriate.

______________________ _____________________________

Date [Name]

NRC Chairman
ADAMS Document

Processing

Handbook 2

of MD 3.53
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Parts I - IX

Approved: June 15, 1995 iii

(Revised: March 15, 2007)

Contents

Part I

Introduction ................................................... 1

Overview/Description of ADAMS (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Content of ADAMS (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

ADAMS Libraries (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Part II

Document Processing Center . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Introduction (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Document Receipt (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Document Preparation (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Normal Processing (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Special Processing (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Document Scanning and Imaging (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Document Scanning Services (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Text Processing and Text Conversion (2) . . . . . . . . . . . . . . . . . . . . . . . . . 14

Image Inspection (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Quality Control (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Document Indexing (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Paper Documents (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Electronic Documents (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Document Profile and Security Access Rights (F) . . . . . . . . . . . . . . . . . . . . . . 17

Declaration of Official Agency Records (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Electronic Regulatory Information Distribution System (e-RIDS) Document

Distribution (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Releasing Documents to the Public (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Replicating Publicly Available Documents (1) . . . . . . . . . . . . . . . . . . . . . . 18

Identification of Documents for Replication (2) . . . . . . . . . . . . . . . . . . . . . . 18

Processing of Publicly Available Documents (3) . . . . . . . . . . . . . . . . . . . . 19

Part III

Document Control Desk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Introduction (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Mail Receipt and Review (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Delivery of Incoming Mail (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Parts I - IX

iv Approved: June 15, 1995

(Revised: March 15, 2007)

Contents (continued)

Part III (continued)

NRC Mail Center Basic Procedures (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Determining Documents Appropriate for ADAMS (C) . . . . . . . . . . . . . . . . . . . 23

Office of the Secretary of the Commission (SECY) and the Office of the

Executive Director for Operations (OEDO) (D) . . . . . . . . . . . . . . . . . . . . . 23

Part IV

The Regions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Introduction (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Regional Document Processing Summary (B) . . . . . . . . . . . . . . . . . . . . . . . . 24

Part V

NRC Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

General Staff Responsibilities (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Areas of Special Concern (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Maintenance of Nonrecord Reference Materials (1) . . . . . . . . . . . . . . . . . 26

Releasing Documents to the Public in PARS (2) . . . . . . . . . . . . . . . . . . . . 26

Part VI

Electronic Regulatory Information Distribution System (E-RIDS) . 28

Introduction (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Process Description (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Role of Document Liaison Officers (DLOs) (C) . . . . . . . . . . . . . . . . . . . . . . . . 28

E-RIDS Notification (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Part VII

Managing Official Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Declaring Official Agency Records in ADAMS (A) . . . . . . . . . . . . . . . . . . . . . . 30

Internally Generated Documents (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Externally Generated Documents (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Filing Official Agency Records in ADAMS (B) . . . . . . . . . . . . . . . . . . . . . . . . . 31
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Parts I - IX

Approved: June 15, 1995 v

(Revised: March 15, 2007)

Contents (continued)

Part VIII

Systems Interfacing With ADAMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Electronic Information Exchange (EIE) (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Electronic Hearing Docket (EHD) (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

High-Level Waste Electronic Hearing Docket (HLW-EHD) (C) . . . . . . . . . . . . 33

Licensing Support Network (LSN) (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Part IX

Support Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

NRC File Center (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

ADAMS Support Center (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Public Document Room (PDR) (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part I

Approved: June 15, 1995 1

(Revised: March 15, 2007)

Part I

Introduction

Overview/Description of ADAMS (A)

The Agencywide Documents Access and Management System

(ADAMS) is an electronic information system that maintains most

of the NRC's unclassified program-related records in a centralized

electronic document repository. ADAMS is designed to meet

National Archives and Records Administration (NARA) regulations.

(1)

The "official record" of documents maintained in ADAMS is an

electronic file with an associated document profile containing

"fielded" data to describe the document and its attributes. (2)

Content of ADAMS (B)

On November 1, 1999, the NRC terminated processing agency

documents through the existing document management systems,

the Nuclear Documents System (NUDOCS) and the Bibliographic

Retrieval System (BRS), and began processing documents

through ADAMS. Beginning April 1, 2000, ADAMS became the

official repository for the unclassified program-related records of

the agency, except for unclassified Safeguards Information (SGI)

and records determined to be inappropriate for electronic

maintenance. (1)

Staff should maintain in ADAMS most newly created or received

NRC unclassified program "Official Agency Records (OARs)," that

is, "Federal Records" as defined in 44 U.S.C. 3301, which were

kept in paper recordkeeping systems before April 1, 2000, except

for unclassified SGI and records determined to be inappropriate for

electronic maintenance. (2)

The following records are appropriate for maintenance in ADAMS.

(3)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part I

2 Approved: June 15, 1995

(Revised: March 15, 2007)

Content of ADAMS (B) (continued)

• Program Records of Administrative Offices (a)

NRC administrative offices create both program and

administrative records. The program records created by

administrative offices document the program activities of the

administrative offices and are appropriate for capture in

ADAMS. Examples of such records include Department of

Energy (DOE) work orders, interagency agreements, and

procurements; Freedom of Information Act (FOIA) and Privacy

Act requests released to the public; and those pertaining to

forms, Office of Management and Budget (OMB) report

clearances, and records management.

• Program Records of Program Offices (b)

Program records are those records NRC creates or receives to

perform the unique functions that stem from the mission of the

agency. For example, correspondence with licensees regarding

their licenses are program records. Each NRC program office

and region maintains collections of program records unique to

their functions. ADAMS keeps the OAR of most but not all of

NRC’s unclassified program records.

• Sensitive Unclassified Non-Safeguards Information

(SUNSI) (c)

The NRC generates and receives many categories of

documents containing Sensitive Unclassified Non-Safeguards

Information (SUNSI). SUNSI is divided into seven groups and

includes any information the loss, misuse, modification, or

unauthorized access of which can reasonably be foreseen to

harm the public interest, the commercial or financial interests

of the entity or individual to whom the information pertains, the

conduct of NRC and Federal programs, or the personal privacy

of individuals. (i)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part I

Approved: June 15, 1995 3

(Revised: March 15, 2007)

Content of ADAMS (B) (continued)

The seven SUNSI groups are (1) Allegation Information, (2)

Investigation Information, (3) Security-Related Information, (4)

Proprietary Information, (5) Privacy Act Information, (6)

Federal-, State-, Foreign Government- and International

Agency-Controlled Information, and (7) Sensitive Internal

Information. (ii)

With some exceptions (Allegation Information, Investigation

Information, and some Federal-, State-, Foreign Governmentand International Agency-Controlled Information), most

documents containing SUNSI can be placed into ADAMS. (iii)

If the document qualifies for ADAMS, the "Document

Sensitivity" must be profiled with one of the sensitive values

(Sensitive or Sensitive-Copyright, as appropriate) and the

document "Availability" marked as "Non-Publicly Available."

Access rights are to be assigned to user groups with a need to

access the information to perform their official duties. (iv)

For the most current information on the SUNSI that is

appropriate for ADAMS, consult the NRC's internal Web site:

http://www.internal.nrc.gov//sunsi/index.html. (v)

• Nonrecord Reference Materials (d) 

Nonrecord reference materials are U.S. Government-owned

documentary materials excluded from the legal definition of

records (44 U.S.C. 3301), either by failing to meet the general

conditions of record status or by falling under one of three

specific categories that consist of extra convenience copies,

stocks of publications, and library or museum materials. (i)

Staff must use the ADAMS "Reference" Document Class when

adding nonrecord reference materials to ADAMS and must

manage the Reference class documents that they place in

ADAMS, deleting them from ADAMS as soon as they are no

longer needed. (ii)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part I

4 Approved: June 15, 1995

(Revised: March 15, 2007)

Content of ADAMS (B) (continued)

On the basis of the conditions noted above and the categories

specifically cited in the law, nonrecord reference materials

include— (iii)

– Information copies of correspondence, directives, forms,

and other documents on which no administrative action is

recorded or taken. (a)

– Routing slips and transmittal sheets adding no information

to that contained in the transmitted material. (b)

– Tickler, followup, or suspense copies of correspondence,

provided they are extra copies of the originals. (c)

– Duplicate copies of documents maintained in the same file.

(d)

– Extra copies of printed or processed materials for which

complete record sets exist, such as current and superseded

manuals maintained outside the office responsible for

maintaining the record set. (e)

– Catalogs, trade journals, and other publications that are

received from other Government agencies, commercial

firms, or private institutions and that require no action and

are not part of a case on which action is taken. (f)

– Physical exhibits, artifacts, and other material objects

lacking evidential value. (g)

The following records may not be maintained in ADAMS: (4)

• Classified Information (a)

Any documents or records, either draft or final, containing any

category of classified information at any level of classification,

such as Top Secret, Secret, or Confidential. Classified
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part I

Approved: June 15, 1995 5

(Revised: March 15, 2007)

Content of ADAMS (B) (continued)

information is also any information that is designated as

National Security Information, Restricted Data, or Formerly

Restricted Data.

• Unclassified Safeguards Information (SGI) (b)

– Information that specifically identifies the detailed security

measures of a licensee or an applicant for the physical

protection of special nuclear material, or security measures

for the physical protection and location of certain plant

equipment vital to the safety of production or utilization

facilities. (i)

– Although documents containing unclassified SGI may not

be kept in ADAMS, unclassified transmittal letters are

added to ADAMS if they are part of a record series for

which ADAMS maintains the OAR. (ii)

• Sensitive Unclassified Non-Safeguards Information

(SUNSI) (c)

– Documents containing Sensitive Unclassified

Non-Safeguards Information (SUNSI) that NRC generates

and receives. SUNSI is divided into seven groups and

includes any information the loss, misuse, modification, or

unauthorized access of which can reasonably be foreseen

to harm the public interest, the commercial or financial

interests of the entity or individual to whom the information

pertains, the conduct of NRC and Federal programs, or the

personal privacy of individuals. (See this part, Section

(B)(3)(c), for the seven SUNSI groups and the NRC SUNSI

Web site address.) (i)

– Documents within the groups of Allegation Information,

Investigation Information, and some Federal-, State-,

Foreign Government- and International Agency-Controlled
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part I

6 Approved: June 15, 1995

(Revised: March 15, 2007)

Content of ADAMS (B) (continued)

Information (NOFORN [No Foreign Dissemination

Information], Naval Nuclear Propulsion Information, and

Law Enforcement Sensitive). (ii)

• Export-Controlled Information (ECI) (d)

Export-Controlled Information (ECI), which includes activities,

items, and information related to the design, development,

engineering, manufacture, production, assembly, testing,

repair, maintenance, operation, modification, demilitarization,

destruction, processing, or use of items with a capacity for

substantial military application utility. ECI is governed by the

International Traffic in Arms Regulations (ITAR) (under the

jurisdiction of the State Department) and, possibly, the Export

Administration Regulations (EAR). It is unlawful under the ITAR

to send or take ECI out of the U.S. or to disclose, orally or

visually, or transfer ECI to a foreign person inside or outside

the U.S.

• No Foreign Dissemination Information (NOFORN) (e)

NOFORN, which is used to designate information not

appropriate for release to foreign nationals. Normally, this

information relates to either critical nuclear design information

or foreign intelligence.

• Personal Papers (f)

Personal papers, which are documentary materials of a private

or nonpublic character that do not relate to, or have an effect

upon, the conduct of agency business. Personal papers are

excluded from the definition of Federal records and are not

owned by the Government. Examples of personal papers

include materials relating solely to an individual's private

affairs, such as diaries, journals, and personal

correspondence.
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part I

Approved: June 15, 1995 7

(Revised: March 15, 2007)

Content of ADAMS (B) (continued)

• Selected Administrative and Programmatic Records (g)

– Personnel, training, travel, and time and attendance

records and building, space and equipment services

records, which are not kept in ADAMS but continue to be

maintained in paper. (i)

– Administrative records that are personnel, security, space

management, training, travel, and time and attendance

records (ii)

– Allegation case files of the Office of Nuclear Material Safety

and Safeguards, Office of Nuclear Reactor Regulation

(NRR), Office of Nuclear Regulatory Research, and the

regions (iii)

– Allegation files and investigation case files of the Office of

the Inspector General (iv)

– Chronological files, office files, and schedules of daily

activity of the Chairman and the Commissioners (v)

– Commission decisionmaking files; Commission (SECY)

paper comment folders, and Commission action

memoranda comment folders of SECY (vi)

– Reactor operator licensing case files (Part 55 docket files)

of NRR and the regions (vii)

– Investigation case files of the Office of Investigations (viii)

ADAMS Libraries (C)

An ADAMS Document Library collects and stores electronic

documents created or received by NRC staff in the course of

conducting the official business of the agency. The libraries are

accessed through the ADAMS Document Manager. All libraries
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part I

8 Approved: June 15, 1995

(Revised: March 15, 2007)

ADAMS Libraries (C) (continued)

have document folders and subfolders. Document folders provide

a visual means to organize documents stored within each ADAMS

library. Each document folder has security properties to define and

control access to the folder. (1)

ADAMS has two libraries inside the NRC firewall and two libraries

outside the NRC firewall. (2)

• The two libraries inside the firewall are used solely by NRC

staff. (a)

– Main Library (i)

The Main Library contains, with limited exceptions, NRC's

program-related OARs that are kept in ADAMS and are

related to the following:

• NRC policy, direction, and oversight activities. (a)

• Nuclear reactor licensing, operation, safety, research,

and inspection and enforcement activities. (b)

• Radioactive waste licensing, operation, safety,

research, and inspection and enforcement activities. (c)

• Nuclear materials licensing, safety, research, and

inspection and enforcement activities. (d)

• DOE work orders, interagency agreements, and other

related records. (e)

• Records of the Office of the General Counsel, the Office

of the Secretary, the Atomic Safety Licensing Board

Panel, and the Office of Commission Appellate

Adjudication. (f)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part I

Approved: June 15, 1995 9

(Revised: March 15, 2007)

ADAMS Libraries (C) (continued)

• Records maintained in the Electronic Hearing Docket

(EHD). (g)

• Program records of the Offices of Congressional Affairs,

International Programs, State Programs, Public Affairs,

and the Regional Public Affairs Offices. (h)

– Legacy Library (ii)

The Legacy Library contains the bibliographic descriptions

of the older programmatic records that were originally

maintained in NUDOCS and the BRS. More recent

documents that were available in electronic text through

NUDOCS are also included in the Legacy Library. Some

records have abstracts or full text files associated with

them.

• The two ADAMS libraries outside the firewall are for public use.

(b)

– Public Legacy Library (i)

The Public Legacy Library contains the bibliographic

descriptions of the older programmatic records that were

originally maintained in the BRS. Some records have

abstracts or full text files associated with them.

– Publicly Available Records System (PARS) Library (ii)

This library contains publicly available OARs copied from

the ADAMS Main Library after October 1999. This library is

routinely updated with copies of new OARs from the Main

Library that are designated as publicly available. The staff

and public can access these documents from the NRC's

external Web site, using a standard Web browser. Staff can

also access the PARS library directly from the Document

Manager screen.
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

10 Approved: June 15, 1995

(Revised: March 15, 2007)

Part II

Document Processing Center

Introduction (A)

Both external documents received by NRC and internally generated

documents are processed into ADAMS through the Document

Processing Center (DPC). The DPC is the central document intake

operation for NRC Headquarters. The DPC provides central

document processing and dissemination of documents that are

made available electronically using ADAMS. (1)

Internally generated documents and documents submitted to NRC

using Electronic Information Exchange (EIE) or in CD-ROM format

are sent to the DPC for review and, if appropriate, processing into

ADAMS. (2)

The Headquarters DPC also completes processing of documents

added to ADAMS by the regional capture and intake stations. (3)

The DPC shares the responsibility of proper filing of documents

within ADAMS for records disposition purposes with the NRC File

Center. The File Center files the program records for NRC

program offices (i.e., the Office of Nuclear Material Safety and

Safeguards, the Office of Nuclear Reactor Regulation, the Office

of International Programs, the Office of Nuclear Regulatory

Research, and the Office of State and Tribal Programs). The DPC

has responsibility for filing the program records for NRC

administrative offices (i.e., all other offices). (4)

Document Receipt (B)

At NRC Headquarters, the NRC Document Control Desk (DCD),

the Office of the Executive Director for Operations (OEDO), and

the Office of the Secretary (SECY) serve as the primary receipt

points for externally generated incoming paper documents for

processing. In the regions, the regional capture/intake stations
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

Approved: June 15, 1995 11

(Revised: March 15, 2007)

Document Receipt (B) (continued)

assume that role. The DPC makes several scheduled daily pickups

from the DCD, the NRC File Center, OEDO, and SECY. In

addition, the DPC receives externally generated documents in

electronic format from NRC stakeholders via the NRC EIE

program. NRC staff-generated documents are provided to the

DPC as single electronic files (stand-alone documents), multiple

electronic files (two or more electronic files document packages),

mixed packages (combination of electronic file(s) and paper) or

paper documents that are only available in paper. (1)

The two processing categories for externally generated documents

received by the DPC for processing are— (2)

• "Expedited" - Processing completed within 3 to 6 working

hours after receipt by the DPC. (a)

• "Normal" - Processing completed within 8 working hours after

receipt by the DPC. (b)

Processing is complete for an externally generated document

when the electronic regulatory information distribution system (eRIDS) notification is distributed. (3)

Document Preparation (C)

The DPC prepares documents for scanning by removing all

staples, binders, paper clips, and so on. The document

preparation staff provides documents to the scanning staff for

processing by processing category.

Normal Processing (1)

Normal processing involves the following steps. The DPC performs

some or all of these steps depending on the origin and media of a

document.

• Scanning to generate digitized images. (a)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

12 Approved: June 15, 1995

(Revised: March 15, 2007)

Document Preparation (C) (continued)

Normal Processing (1) (continued)

• Adding to ADAMS. (b)

• Completing the Document Profile and security access rights.

(c)

• Performing quality control on the Document Profile and security

access rights. (d)

• Declaring as Official Agency Records (OARs) in accordance

with established guidelines and procedures. (e) 

• Notifying recipients through an e-RIDS e-mail message

containing a link to the document. (f)

Special Processing (2)

• Color Documents (a)

– Color image files are generally two to three times larger

than an image file for the same document scanned in black

and white and usually color adds no value to understanding

the information presented in the document. All color

documents are scanned in black and white unless the

document is not perceivable and understandable when

viewed without color. Examples of color documents that are

scanned in color include graphs, bar charts, and so on, that

depend exclusively on differences in color to understand

the information and data being presented. (i)

– Staff should submit color documents that meet the above

criteria to the DPC with a justification for color scanning. (ii)

• Nonstandard-Size Documents (Oversized) (b)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

Approved: June 15, 1995 13

(Revised: March 15, 2007)

Document Preparation (C) (continued)

Special Processing (2) (continued)

– For large documents (300 or more pages), the DPC may

need to divide the document into pieces in order to properly

scan and store it in ADAMS for viewing. In these cases, the

documents are packaged so that they are grouped in order

under a single accession number. (i)

– Documentary materials that cannot be converted to an

electronic form suitable to add to ADAMS, such as relief

models/maps, audiovisual materials (motion pictures, audio

and video recordings, etc.), physical samples, or classified

and safeguards materials that cannot be added to ADAMS,

are described in an ADAMS document profile and

forwarded to the NRC File Center. The File Center forwards

the original material to the appropriate office for retention in

accordance with the records disposition schedule. (ii)

• Older Paper Records (c)

The NRC Executive Council determined which older paper

record collections, created before the implementation of

ADAMS, were to be entered in ADAMS. This determination

was based on criteria that included priorities of office directors

and availability of agency funds. Offices are not to enter older

paper record collections into ADAMS on their own for reference

purposes without the approval of an office director. However,

existing paper records may be scanned and entered into

ADAMS if these records need to be part of a document

package for a new OAR. If an older existing paper record has

been scanned and included as a part of a new OAR in

ADAMS, the image of the scanned paper record becomes a

new OAR and is so designated in ADAMS.
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

14 Approved: June 15, 1995

(Revised: March 15, 2007)

Document Scanning and Imaging (D)

Document Scanning Services (1)

The DPC provides various levels of scanning services:

• For simple scanning, the DPC scans a document and e-mails

the ADAMS Accession Number to the requestor. (a)

• Normal scanning is performed on paper documents that are

received for regular processing. (b)

• For complex scanning services, the DPC scans portions of a

document and packages it with electronic portions of the

document. (c)

Text Processing and Text Conversion (2)

The DPC creates an optical character recognition (OCR) text file

(.txt) for each scanned paper document that is combined with the

digital images to create a portable document format (PDF)

searchable image (exact) file. The accuracy of the OCR output can

vary according to the quality of the source document.

Image Inspection (3)

The DPC performs quality control on 100 percent of the generated

digitized images to ensure that they fully reflect the associated

paper documents as to completeness, resolution, and page

orientation, and corrects images as appropriate.

Quality Control (4)

The DPC is responsible for completion and quality assurance of

the ADAMS document profile.
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

Approved: June 15, 1995 15

(Revised: March 15, 2007)

Document Indexing (E)

ADAMS document indexing involves identifying and entering all

information necessary to complete ADAMS document profiles and

declaring specified documents as OARs. This indexing includes all

data elements required for document distribution, tracking, and

identification.

Paper Documents (1)

Externally Generated (a)

• The DPC scans paper documents to generate bit-mapped

images for conversion to PDF searchable image (exact)

format. (i)

• The DPC adds the documents to ADAMS using the DPC

production document class and completes the Document

Profile and security access rights in accordance with the

ADAMS template instructions. (ii)

• The DPC performs quality control on the Document Profile,

verifying that profile and security access rights are correct. (iii)

• The DPC declares documents OARs in accordance with

established guidelines and procedures. (iv)

• The DPC selects the appropriate distribution pattern and

notifies the recipients of the document’s receipt and processing

by sending an e-RIDS e-mail message containing an electronic

link to the document. (v)

Internally Generated (b)

• NRC staff add internally generated paper documents to

ADAMS by submitting them to the DPC with attached NRC

Forms 665S or 665P. The forms should contain data that only

the staff knows about the documents, such as availability and
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

16 Approved: June 15, 1995

(Revised: March 15, 2007)

Document Indexing (E) (continued)

Paper Documents (1) (continued)

sensitivity, and if sensitive, security access rights, granting the

DPC owner rights to the document. NRC Form 665S is used

for single documents and NRC Form 665P is used for multiple

documents that are put into an ADAMS package. (i)

• The DPC completes the processing of internally generated

electronic documents in the same manner as noted above

under this part, Sections (E)(1)(a)(ii) to (v), for externally

generated paper documents. (ii)

Electronic Documents (2)

Externally Generated (a)

• The DPC receives documents in electronic format via EIE and

in CD-ROM. (i)

• The DPC completes the processing of externally generated

electronic documents in the same manner as noted above

under this part, Sections (E)(1)(a)(ii) to (v), for externally

generated paper documents. (ii)

Internally Generated (b)

• NRC staff submit documents in electronic form to the DPC by

completing the appropriate data fields on NRC Form 665

electronically in ADAMS, granting the DPC owner rights to the

document, and placing a pointer to the document in one of the

ADAMS DPC processing folders. (i)

• The DPC completes the processing of internally generated

electronic documents in the same manner as noted above

under this part, Sections (E)(1)(a)(ii) to (v), for externally

generated paper documents. (ii)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

Approved: June 15, 1995 17

(Revised: March 15, 2007)

Document Profile and Security

Access Rights (F)

ADAMS Templates

To ensure that all documents identified to be kept in ADAMS as

OARs are added correctly and consistently, NRC adopted a

strategy to create and use ADAMS document processing

instruction templates. ADAMS templates contain the instructions

necessary to add a specific category or type of document to

ADAMS, including guidance and directions for completing the

document profile and assigning security access rights. Each NRC

office is responsible for creating the ADAMS templates for the

records of its organization. 

Declaration of Official Agency

Records (G)

The DPC completes the profile, adds additional security data, and

declares documents as OARs in accordance with established

guidelines and procedures. There are instances in which internally

generated documents currently exist only in paper form and are

used as attachments or enclosures to internally generated

documents. In these instances, the DPC scans the documents,

completes the profile, adds additional security data, and declares

documents as OARs in accordance with established guidelines

and procedures. (For additional guidance see ADAMS Desk

Reference Guide, Chapter 10.)

E-RIDS Document Distribution (H)

The DPC notifies NRC staff members when expedited or normal

processing has been completed for their specific documents via eRIDS e-mail notification. The DPC reviews each e-RIDS

notification to ensure that the distribution codes and docket

numbers are correct and that manual adjustments to the

distribution list have been made when appropriate. The DPC
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

18 Approved: June 15, 1995

(Revised: March 15, 2007)

E-RIDS Document Distribution (H) (continued)

reviews each e-mail notification to ensure that notifications are

being sent to the appropriate NRC staff member and the

appropriate document is attached to the message.

Releasing Documents to the Public (I)

ADAMS is the NRC’s official means of making agency documents

available to the public. In the past, publicly available documents

were sent to the Public Document Room (PDR) on paper and

microfiche and posted at the NRC Web site. In the ADAMS

environment, only a small number of high-interest documents are

sent to the PDR in paper form and microfiche is no longer

produced. Of the documents the DPC declares as OARs daily,

those that are designated as "Publicly Available" and meet certain

specified conditions, are copied, or "replicated" to the PARS

Library, which is outside the NRC firewall on the external server.

Replicating Publicly Available Documents (1)

• In the replication process, the documents and profile data are

copied to the ADAMS public library (PARS - Publicly Available

Records System). (a)

• At scheduled intervals each day, the DPC searches the

ADAMS Main Library for documents that meet the criteria

noted below for release. Documents eligible for release are

copied into the Replication Folder for release to PARS. (b) 

Identification of Documents for Replication (2)

• When new NRC-generated documents or new externally

generated documents are captured in ADAMS, profile records

are generated and partially completed by the staff, by auxiliary

intake stations in the regions, or by the OIS DPC. When

documents are final or when appropriate, these documents

must be declared as OARs. (a)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

Approved: June 15, 1995 19

(Revised: March 15, 2007)

Releasing Documents to the Public (I) (continued)

Identification of Documents for Replication (2) (continued)

• With some exceptions, the staff of the DPC will be the ones

who actually initiate the software function to declare OARs. But

it is the NRC staff that must provide the information about the

public availability and timing of release of NRC-generated

documents. (b)

• Four entries must appear on the ADAMS profile before a

document is eligible to be copied to the PARS library. (c)

– The document must have been declared as an "Official

Agency Record." (i)

– The "Availability" profile field must say "Publicly Available."

(ii)

– There must be a value in the "Date to be Released" profile

field. (iii)

– Document Sensitivity must be "Non-Sensitive" or

"Non-Sensitive - Copyright." (iv)

Processing of Publicly Available Documents (3)

• Externally Generated Documents (a)

Typically, externally generated documents received by the

NRC appropriate for release are released to the public on the

6th working day after the document is added to the ADAMS

main library. This time period allows 5 full working days for the

staff to review a document received by NRC to ensure no

proprietary, privacy, or other sensitive information is made

public. (For additional guidance see ADAMS Desk Reference

Guide, Chapter 9.) 
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part II

20 Approved: June 15, 1995

(Revised: March 15, 2007)

Releasing Documents to the Public (I) (continued)

Processing of Publicly Available Documents (3) (continued)

• NRC Staff-Generated Documents (b)

Generally, documents generated by the NRC appropriate for

release are released to the public on the 6th working day after

the date of the document. For example, if the document is

dated Monday, May 2, 2005, its release date will be Tuesday,

May 10, 2005. The time period provided will allow 5 full working

days for the addressee to receive the document. (For

additional guidance, see ADAMS Desk Reference Guide,

Chapter 9.)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part III

Approved: June 15, 1995 21

(Revised: March 15, 2007)

Part III

Document Control Desk

Introduction (A)

The Headquarters Document Control Desk (DCD) is the primary

document capture operation or station for external paper

documents received by NRC in support of the licensing,

regulatory, and adjudicatory functions of the agency. OIS manages

the DCD. (1)

Externally generated official business mail that is not delivered

directly to an NRC office is forwarded to the DCD by the NRC Mail

Center. The DCD also receives externally generated hard copy

mail from offices that received their mail directly and have

determined that the documents are to be included in ADAMS. The

DCD opens and analyzes mail to determine whether documents

are appropriate for ADAMS. The DCD returns hard copy mail

deemed inappropriate for ADAMS to the NRC Mail Center for

delivery to the addressee. (2)

Each regional office manages and operates its own ADAMS

document capture and intake stations. Regional offices have

developed specific mail-handling and document intake procedures

customized for their work environments. (3)

Mail Receipt and Review (B)

Delivery of Incoming Mail (1)

Each office director is responsible for establishing local policy and

procedures to determine how incoming mail is processed and

forwarded to the DCD. The office director selects one of the

following alternatives:
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part III

22 Approved: June 15, 1995

(Revised: March 15, 2007)

Mail Receipt and Review (B) (continued)

Delivery of Incoming Mail (1) (continued)

• Incoming mail is delivered directly to the DCD in Headquarters

or (a)

• Incoming mail is delivered directly to an office's mail station.

Office staff identify the Official Agency Record (OAR)

correspondence that is to be kept in ADAMS and send the

correspondence to the DCD. (b)

NRC Mail Center Basic Procedures (2) 

The NRC Mail Center (Office of Administration) receives, sorts,

and forwards incoming mail to its appropriate location for review

and processing.

• The Mail Center staff performs a bulk sort and separates the

official agency business mail from the obvious unofficial

business mail, such as circulars, advertisements, catalogs, and

so on. If appropriate, unofficial mail will be delivered through

the normal mail delivery process. Incoming mail marked

"Addressee Only" is delivered directly to the addressee by the

Mail Center staff. (a)

• The Mail Center staff signs and returns the Domestic Return

Receipt for registered or certified mail it receives and receipts

for any other mail required by a mail delivery service. On the

basis of the option selected by the office, the Mail Center

delivers official business mail directly to the office or to the

DCD. (b)

• Mail sent to the Headquarters classified mailing address is

handled in accordance with Management Directive 12.2, "NRC

Classified Information Security Program," and is delivered

directly to the recipient specified on the inner envelope by the

Mail Center staff. (c)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part III

Approved: June 15, 1995 23

(Revised: March 15, 2007)

Determining Documents

Appropriate for ADAMS (C)

The DCD opens and analyzes mail to determine whether

documents are appropriate for ADAMS. The DCD forwards mail

deemed inappropriate for ADAMS to the addressee. (1)

The DCD forwards to the DPC externally generated documents

that are to be stored in ADAMS. (2)

Office of the Secretary of the

Commission (SECY) and the Office

of the Executive Director for

Operations (OEDO) (D)

At Headquarters, the NRC DCD, OEDO, and SECY serve as the

primary control points for DPC pickup of externally generated

incoming paper documents for processing. In the regions, the

regional capture/intake stations assume that role. The DPC makes

a minimum of six pickups daily from the DCD, the NRC File

Center, OEDO, and SECY.
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part IV

24 Approved: June 15, 1995

(Revised: March 15, 2007)

Part IV

The Regions

Introduction (A)

ADAMS document processing in the regions parallels and in some

cases is integrated into Headquarters processing procedures.

ADAMS is an NRC-wide system and the joint responsibility of the

offices, the regions, and OIS. Although many of the specific

procedures in the regions differ by necessity from those of

Headquarters, the basic principle remains. ADAMS is the

repository for the unclassified program-related records of the

agency, except for unclassified Safeguards information (SGI) and

records determined to be inappropriate for electronic maintenance.

(1)

Although regional practices are mentioned in this handbook,

regional staff should consult local procedures, their local

Document Liaison Officer, and the ADAMS Desk Reference

Guide. (2)

Regional Document Processing Summary (B)

Regional staff are responsible for initial ADAMS input of electronic

documents with a minimally completed profile. The Document

Processing Center (DPC) is responsible for completion and quality

assurance of the ADAMS document profile, declaring documents

as Official Agency Records (OARs), and copying publicly available

records to the ADAMS public library. (1)

In the regions, the regional capture/intake stations assume the role

of the Headquarters DCD. Regional offices have developed

specific mail-handling and document intake procedures

customized for their work environments. (2)

The regional capture/intake stations are responsible for— (3)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part IV

Approved: June 15, 1995 25

(Revised: March 15, 2007)

Regional Document Processing Summary (B)

(continued)

• Document receipt (a)

• Scanning (b)

• Image quality control (c)

• Rendering the scanned image into a portable document format

(PDF) file (searchable exact image) (d)

• Preparing a minimal ADAMS document profile (e) 

For both electronic and paper documents created or received by

the regional stations, the Headquarters DPC is responsible for

finishing the processing of documents by— (4)

• Completing the document profiles (a)

• Ensuring the quality and accuracy of document profiles (b)

• Declaring documents as OARs (c)

• Electronically distributing the documents (if a regulatory

information distribution system (RIDS) code was assigned by

regional staff) (d)

• Filing OARs in the records management software (e)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part V

26 Approved: June 15, 1995

(Revised: March 15, 2007)

Part V

NRC Staff

General Staff Responsibilities (A)

ADAMS is an electronic document management system available

to NRC staff, and the maintenance of ADAMS is the joint

responsibility of OIS, NRC regional and Headquarters

management, and NRC staff. Every NRC employee has a

responsibility to ensure that ADAMS is a complete and accurate

file repository for NRC official records that should be placed there.

Areas of Special Concern (B)

Although ADAMS has quality control software edits to assist staff,

the need for care in entering documents in ADAMS is an important

responsibility. Staff should exercise special care in the following

areas:

Maintenance of Nonrecord Reference Materials (1)

• Staff must use the ADAMS "Reference" Document Class when

adding nonrecord reference materials. (a)

• Staff must manage the Reference class documents that they

place in ADAMS and delete them from ADAMS as soon as

they are no longer needed. (b)

Releasing Documents to the Public in the Publicly Available

Records System (PARS) (2)

• NRC staff have a central role in the process in which

documents are released to the public and must therefore be

alert to the proposed release of externally generated

documents and exercise special care in completing profile

fields relating to the release of NRC-generated documents. (a)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part V

Approved: June 15, 1995 27

(Revised: March 15, 2007)

Areas of Special Concern (B) (continued)

Releasing Documents to the Public in PARS (2) (continued)

• Staff should refer to current guidance contained in “NRC Policy

and Procedures for Handling, Marking, and Protecting

Sensitive Unclassified Non-Safeguards Information (SUNSI)”

for the handling of sensitive unclassified information relating to

reactors, other NRC-licensed facilities, and for nuclear

materials. (b)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part VI

28 Approved: June 15, 1995

(Revised: March 15, 2007)

Part VI

Electronic Regulatory Information Distribution

System (E-RIDS)

Introduction (A)

The Regulatory Information Distribution System (RIDS), also

referred to as the Electronic Regulatory Information Distribution

System (e-RIDS), relies on a mixture of organizational GroupWise

mailbox e-mail accounts and individual e-mail addresses. The

organizational e-mail accounts are similar to mail stops that offices

use for regular mail.

Process Description (B)

Each organization ensures that local procedures are established

and implemented to monitor assigned e-RIDS organizational

e-mail accounts and manage the mail sent from the Document

Processing Center (DPC). Procedures are in place within each

office to review incoming items and distribute them to the

appropriate staff for review or action. (1)

E-RIDS distribution lists are developed by NRC offices in

coordination with OIS’ ADAMS Development and Document

Processing Section (ADDPS). E-RIDS lists are based on various

criteria such as document type, subject matter, and program area.

The number of organizational e-mail accounts established for each

office and the rules for their use differs depending on each office’s

preference. (2)

Role of Document Liaison Officers (DLOs) (C)

The office Document Liaison Officers (DLOs), as delegated by

office directors and regional administrators, are responsible for the

periodic review and update of e-RIDS codes and associated

distribution patterns that are used to disseminate documents
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part VI

Approved: June 15, 1995 29

(Revised: March 15, 2007)

Role of Document Liaison Officers (DLOs) (C)

(continued)

under their control. DLOs serve as conduits for making additions,

changes, and deletions to the e-RIDS Distribution Database

maintained by ADDPS. (1)

The purpose of this review is to— (2)

• Ensure that documents are distributed to the appropriate

functional recipients. (a)

• Update distribution patterns for specific e-RIDS codes. (b)

• Ensure that the office RIDS e-mail accounts (resources) set up

for organizations and individuals remain valid and accurately

reflect current organizational acronyms. (c)

E-RIDS Notification (D)

Incoming documents added to ADAMS by the DPC are

electronically distributed to GroupWise organizational accounts

and e-mail accounts. (1)

Staff distribute final NRC-generated documents using ADAMS,

sending documents to the appropriate GroupWise organizational

mailbox(es) or personal e-mail accounts. (2)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part VII

30 Approved: June 15, 1995

(Revised: March 15, 2007)

Part VII

Managing Official Records

Declaring Official Agency

Records in ADAMS (A)

Internally Generated Documents (1)

Under the procedures for adding NRC-generated documents to

ADAMS, staff add their documents to ADAMS that will become

OARs using the Draft Document Class and entering a minimal set

of profile information. The Document Processing Center (DPC) is

responsible for changing the class to Official Record, completing

the profile, and declaring the documents as Official Agency

Records (OARs).

Externally Generated Documents (2)

Each office selected one of the three options for processing all its

externally generated documents. These options are—

• Option 1 (a)

The DPC executes the Declare as Official Agency Record

function. When necessary, changes to the document profile

data and/or security access list are made by OIS Records

Management staff upon request by the office. OIS completes

all processing required to add an office’s incoming documents

into ADAMS, including profiling the availability field, which

specifies whether a document is publicly available. Offices that

choose this option can change a document’s profile data or

security access list when necessary.

• Option 2 (b)

The office executes the Declare as Official Agency Record

function. The DPC profiles the document and, in the case of

availability, selects the value "not publicly available." The DPC

then sends the document to the individual(s) or group who
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part VII

Approved: June 15, 1995 31

(Revised: March 15, 2007)

Declaring Official Agency

Records in ADAMS (A) (continued)

Externally Generated Documents (2) (continued)

have been designated by the offices as having "owner" access

rights. "Owners" of the documents make changes to the

document profile data, including public availability, and/or

security access list, and then execute the Declare as Official

Agency Record function. Offices that choose this option have

designated staff in their office to be granted "owner" rights to

the documents processed by the DPC.

• Option 3 (c)

The DPC executes the Declare as Official Agency Record

function. When necessary, changes to the document profile

data and/or security access list are made by office staff who

have been designated to be part of the ADAMS Records

Managers Group. This option is similar to Option 1 in that the

DPC completes profiling an office’s incoming documents into

ADAMS, including completing the availability field, and

declares them as OARs. The difference between Option 1 and

Option 3 is that in Option 3, office staff can make needed

changes to the office’s document profiles rather than

requesting OIS to make the changes. Offices that choose this

option have designated the staff who are part of the Records

Managers Group. 

Filing Official Agency Records

in ADAMS (B)

The ADAMS records management software is fully integrated with

the ADAMS document management software, and its functionality

enables NRC to terminate paper recordkeeping and rely on the

ADAMS electronic documents as NRC's official records. The

records management software manages the retention and

disposition requirements of OARs maintained in ADAMS. (1)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part VII

32 Approved: June 15, 1995

(Revised: March 15, 2007)

Filing Official Agency Records

in ADAMS (B) (continued)

ADAMS Records Management Software— (2)

• Is a records management software package fully integrated

with other ADAMS software. (a)

• Meets all NARA specifications for electronic recordkeeping

systems. (b)

• Contains records classification tools that are used by record

filers to electronically "file" documents by assigning them a file

code or codes from the ADAMS file plan. (c)

• Manages the retention and disposition of final agency records

maintained in ADAMS. (d)

The members of the two ADAMS Groups in each library (with the

exception of the Public and Legacy Libraries) have special rights

and privileges to control and manage the OARs kept in ADAMS.

These groups are called Records Managers and Record

Declarers. The members of these groups have special records

management privileges and have the capability to perform certain

actions on documents, such as declaring documents as OARs,

modifying the profiles of OARs, filing documents in the ADAMS

records management software, and destroying OARs, which

cannot be performed by staff who are not group members.

Although the group names are the same in each library, the

membership of these groups are unique to the specific library.

Where applicable, each office has identified the staff in their

organizations to be members of these groups. (3)

Records Managers and Records Declarers are responsible for

filing ADAMS documents according to the ADAMS File Plan. The

ADAMS File Plan is an hierarchical records classification scheme

in the records management software used for filing documents and

packages to place them under records management control. The

ADAMS File Plan is based on the “NRC Comprehensive Records

Disposition Schedule” (NUREG-0910). (4)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part VIII

Approved: June 15, 1995 33

(Revised: March 15, 2007)

Part VIII

Systems Interfacing With ADAMS

Electronic Information Exchange (EIE) (A)

Electronic Information Exchange (EIE) allows NRC stakeholders

to transmit their documents related to official agency business

through the Internet. The EIE system uses a public key

infrastructure and digital signaturing technology to authenticate

documents and validate the person submitting the information. The

system ensures that the exchanged material is secure and that the

person submitting the material is, in fact, who is indicated. EIE

allows NRC to receive documents from the public in electronic

formats suitable for ADAMS.

Electronic Hearing Docket (EHD) (B)

The purpose of the publicly available electronic hearing docket

(EHD) is to provide parties to adjudicatory proceedings before the

Nuclear Regulatory Commission, designated Atomic Safety and

Licensing Boards, or presiding officers with readily available

access to hearing documents. (1)

Electronic documentary material submitted to the EHD is entered

as official agency records into the Commission's ADAMS. (2)

High-Level Waste Electronic Hearing

Docket (HLW-EHD) (C)

The high-level waste electronic hearing docket (HLW-EHD) is the

official hearing docket of NRC for the proceeding on the

construction authorization application of the Department of Energy

(DOE) for a high-level radioactive waste geologic repository. The

HLW-EHD was established pursuant to the requirements of 10

CFR 2.1013 to store electronic filings via EIE from parties to the

waste proceeding.
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part VIII

34 Approved: June 15, 1995

(Revised: March 15, 2007)

Licensing Support Network (LSN) (D)

The licensing support network (LSN) responds to a congressional

mandate that NRC reach a determination on the DOE's application

for construction authorization for a high-level radioactive waste

repository at Yucca Mountain, Nevada, in a 3-year time frame. To

shorten the time spent on the exchange of documents that may be

used as evidence in an NRC licensing proceeding, the parties and

potential parties to the hearing on the DOE application made their

documents available via the Internet before the submission of the

DOE license application to NRC. The LSN provides a single place

where the parties and potential parties to the licensing hearing can

search for documents from any or all of those collections in a

uniform way. (1)

NRC documents relevant to the HLW adjudicatory proceeding are

placed in an HLW server for the LSN search engine to access. (2)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part IX

Approved: June 15, 1995 35

(Revised: March 15, 2007)

Part IX

Support Services

NRC File Center (A)

The Records and FOIA/Privacy Services Branch (RFPSB),

Information and Records Services Division (IRSD), OIS, manages

the Headquarters (HQ) NRC File Center. The File Center

manages the hard copy of external records scanned into ADAMS

and administers proper disposition of records within ADAMS

through the use of records management software. (1)

Externally generated documents are processed (added to

ADAMS) at one of the ADAMS document capture and intake

stations. After processing, the source paper documents are

delivered to the HQ NRC File Center where they are kept for the

period of time specified in the applicable records disposition

schedule, but in all cases for a minimum of 60 days. (2)

• Most of the source paper documents are destroyed after the

60-day retention period. However, there are several paper

document types identified by offices as having intrinsic value

and are retained longer than 60 days in accordance with the

National Achieves and Records Administration (NARA)

approved records schedules. (a)

• External documents received in CD-ROM format are forwarded

to the File Center after review and ADAMS processing where

they are retained in accordance with the applicable NRC

Records Disposition Schedule. (b)

• The File Center is responsible for files maintenance and

disposition of all external documents that are not appropriate

for ADAMS processing. For example, paper or CD-ROM

copies of Safeguards Information (SGI) are packaged and

transmitted to the File Center in accordance with applicable

security directives. (c)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part IX

36 Approved: June 15, 1995

(Revised: March 15, 2007)

NRC File Center (A) (continued)

• The File Center is responsible for some documents that for

legal or other reasons are maintained both in paper format and

in ADAMS. (d)

• NRC File Center Staff are members of the Records Managers

group with owner rights to documents and packages to file

Official Agency Record (OAR) documents and packages in the

ADAMS File Plan. The NRC File Center files the programmatic

documents of the Office of Nuclear Material Safety and

Safeguards, the Office of Nuclear Reactor Regulation, the

Office of International Programs, the Office of Nuclear

Regulatory Research, and the Office of State and Tribal

Programs that were previously filed in paper by the File Center.

(e)

• File Center staff routinely review OAR document and package

profiles, and package contents, to determine where documents

and packages are filed in the File Plan. (f)

ADAMS Support Center (B)

The ADAMS Support Center is available to help both

Headquarters and regional staff. The center is staffed by

professional reference librarians and records managers who are

highly proficient in using ADAMS and are extremely familiar with

NRC’s documents as they are used in the NRC business

environment. (1)

The ADAMS Support Center is located at NRC Headquarters,

Telephone: 301-415-1234, Press 1; E-Mail: ADAMSIM. (2)

The ADAMS Support Center assists with questions and issues

regarding— (3) 

• How and when to use ADAMS (a)

• ADAMS information management policy and procedure (b)
Volume 3, Part 2 - Records Management

ADAMS Document Processing

Handbook 2 of MD 3.53 Part IX

Approved: June 15, 1995 37

(Revised: March 15, 2007)

ADAMS Support Center (B) (continued)

• Document indexing/profiling rules (c)

• Document Processing Center (DPC) operations (d)

• Records retention and disposition (e)

• Assistance with finding documents in ADAMS (f)

• Assistance with ADAMS passwords (g)

• Establishing new ADAMS accounts (h)

• Creating and maintaining ADAMS groups (i)

Public Document Room (PDR) (C)

The NRC Public Document Room (PDR) is the facility at One

White Flint North, 11555 Rockville Pike (first floor), Rockville,

Maryland, where public records of NRC were made available for

public inspection in paper or microfiche before the implementation

of ADAMS. (1)

The PDR remains available for public inspection of NRC-released

documents. In the PDR, NRC provides computer terminals for

public use to access Publicly Available Records System (PARS)

documents on the NRC Web site, http://www.nrc.gov, to view

publicly available documents, and to order them for a fee. (2)

The facility is staffed with reference librarians to assist the public

in identifying and locating documents and in using the NRC Web

site and ADAMS. The NRC PDR is open Monday through Friday,

except on Federal holidays. Reference service and access to

documents may also be requested by telephone (301-415-4737 or

800-397-4209) or by e-mail (PDR@nrc.gov), facsimile

(301-415-3548), or letter (NRC Public Document Room, One

White Flint North, 11555 Rockville Pike (first floor), Rockville,

Maryland 20852-2738). (3)