No. 44.000

Records Management Policy


Effective Date 8/19/11



The purpose of this policy is to address the lab-wide management of records at Fermilab.



This policy applies to Fermilab Research Alliance, LLC (including all legal entities under its exclusive control) and all its employees, contractors, subcontractors, and Fermilab users that generate records to be used by Fermilab.

When this policy applies to subcontractors, it will be explicitly mentioned in the contracting documents.



It is Fermilab’s policy to, in an economical and efficient manner, provide adequate and proper documentation of the administrative and programmatic activity of the Laboratory such as organization, functions, policies, decisions, procedures, and essential transactions.

All persons who work at Fermilab shall manage records, both electronic and hardcopy, in the manner prescribed in the Fermilab Records Management Program (FRMP).

  • The Records Management Program shall:
    • Ensure that relevant versions of applicable records are available for effective reference.
    • Ensure that records remain legible, readily identifiable, and retrievable.
    • Define provisions for specifying, preparing, reviewing, retaining, disposing, protecting, preserving, changing, traceability, accountability, and retrievability of records per DOE O 243.1.
    • Ensure all records are assigned to an owner.
    • Ensure that no records are destroyed without notification of the owner.
    • Ensure that if a record owner is transferred or leaves Fermilab, the record must be assigned to a new owner.

The requirements, processes, and systems will be documented in the FRMP Handbook and conveyed to the appropriate personnel in such a manner to guarantee understanding and proper use.  



    1. DOE O 414.1C, Quality Assurance, dated 6-17-05.
    2. DOE O 243.1, Records Management Program, dated 2-03-06
    3. DOE O 471.3, Indentifying and Protecting Official Use Only Information, dated 4-09-0


Responsible Organization

  • The Laboratory Director is responsible for all programs and delegates to the Associate Director of Operations the day-to-day management of the Records Management Program required by DOE O 414.1C
  • The Chief Operating Officer has responsibility for ensuring the flowdown of requirements throughout the organization, use of the policies, and review of policies by management in accordance with their prescribed periodicity/expiration date.
  • All Fermilab organizational elements shall conduct their operations in a manner consistent with the above policy and objectives.
  • The responsibility for compliance to requirements starts at the worker level and broadens as it progresses upward through the line organization. The line managers are fully responsible for the execution of their personnel, activities and sites assigned to them, and shall take necessary actions to ensure requirements are implemented and performance is monitored and corrected as necessary.
  • The Business Services Section shall prepare, maintain and update the FRMP manual to implement this policy; the manual complies with all applicable DOE orders and is for use by all Divisions, Sections and Centers (D/S/Cs).
  • D/S/Cs shall have a Records Coordinator for their respective areas of responsibility in accordance with the FRMP;
  • Records Coordinators may represent multiple organizations.
Overall responsibility for the day-to-day management of the FRMP resides with the Records Administrator. The Records Administrator and the Laboratory Archivist shall work together on Records of historical interest.