ML20107M483
| ML20107M483 | |
| Person / Time | |
|---|---|
| Issue date: | 02/28/1985 |
| From: | NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | |
| References | |
| NUREG-0910, NUREG-0910-R01-S02, NUREG-0910-S02, NUREG-910, NUREG-910-R1-S2, NUREG-910-S2, NUDOCS 8503010298 | |
| Download: ML20107M483 (24) | |
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UNITED STATES g
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February 1985 SUPPLEMENT 2 TO NUREG-0910, REV. 1 "NRC COMPREHENSIVE RECORDS DISPOSITION SCHEDULE" INSTRUCTIONS 4
Remove Insert GRS Schedules-Table of Contents Entirety Entirety GRS Schedule 1 pp.1-9 thru l-12 pp. 1-9 thru l-12 GRS Schedule 2 pp. 2-1 and 2-2 pp. 2-1 and 2-2 GRS Schedule 6 pp. 6-1 thru 6-4 pp. 6-1 thru 6-4 GRS Schedule 7 pp. 7-1 and 7-2 pp. 7-1 and 7-2 1
8503010298 850228 PDR NUREG 0910 R PDR t
O TABLE OF CONTENTS F
PAGE NO.
GENERAL RECORDS SCHEDULE 1................................
1-1 Civilian Personnel Records................................
1-1 Item 1 Official Personnel Folders.................
1-1 Item 2 Service Record Cards.......................
1-2 Item 3 Personnel Correspondence and Subject Files.
1-2 Item 4 Offers of Employment Files.................
1-2 Item 5 Certificates of Eligibles Files............
1-3 Item 6 Employee Record Cards......................
1-3 Item 7 Position Classification Files..............
1-3 Item 8 Interview Records..........................
1-4 Item 9 Performance Rating Board Case Files........
1-4 Item 10 Temporary Individual Employee Records......
1-4 Item 11 Position Identification Strips.............
1-4 Item 12 Employee Awards Files......................
1-5 Item 13 Incentive Awards Program Reports...........
1-6 Item 14 Notifications of Personnel Action..........
1-6 Item 15 Employment Applications....................
1-6 Item 16 Personnel Operations Statistical Reports...
1-6 Item 17 Correspondence and Forms Files.............
1-6 Item 18 Duplicate Documentation and Personnel Files Maintained Outside Personnel 0ffices..................................
1-7 Item 19 Individual Health Record Files.............
1-7 Item 20 Health Unit Control Files..................
1-7 Item 21 Individual Employee Health Case Files......
1-8 Item 22 Statistical Summaries......................
1-8 Item 23 Performance Rating Records.................
1-8 Item 24 Motor Vehicle Operation Files..............
1-9 Item 25 Financial Disclosure Report Files..........
1-9 Item 26 Equal Employment Opportunity Records.......
1-10 Item 27 Personnel Counseling Records...............
1-12 Item 28 Standards of Conduct Files.................
1-12 Item 29 Labor Management Relations Records.........
1-12 Item 30 Training Records...........................
1-13 Item 31 Grievance, Disciplinary and Adverse Action Files....................................
1-14 Item 32 Personal Injury Files......................
1-14 Item 33 Merit Promotion Case Files..................
1-15 iii
TABLE OF CONTENTS (Continued)
PAGE NO.
GENERAL RECORDS SCHEDULE 2.....................................
2-1 Payrolling and Pay Administration Records.................
2-1 Item 1 Individual Accounts Files..................
2-1 Item '
Payroll Correspondence Files...............
2-1 Item 3 Time and Attendance Report Files...........
2-2 Item 4 Individual Authorized Allotments Files.....
2-2 Item 5 Bond Registration Files....................
2-3 Item 6 Bond Receipt and Transmittal Files.........
2-3 Item 7 Bond Purchase Files........................
2-3 Item 8 Leave Application Files....................
2-3 Item 9 Leave Record Cards.........................
2-3 Item 10 Leave Data Files...........................
2-4 Item 11 Notification of Personnel Action Files.....
2-4 Item 12 Budget Authorization Reference Files.......
2-4 Item 13 Payroll Files..............................
2-4 Item 14 Payroll Control Files......................
2-5 Item 15 Payroll Change Files.......................
2-5 Item 16 Fiscal Schedules Files.....................
2-5 Item 17 Administrative Payroll Report Files........
2-6 Item 18 Tax Files..................................
2-6 Item 19 Income Tax Return Files....................
2-6 Item 20 Tax Report Files...........................
2-6 Item 21 Retirement Files...........................
2-6 Item 22 Insurance Deduction Files..................
2-7 Item 23 Levy and Garnishment Files.................
2-7 Item 24 Wage Survey Files..........................
2-7 GENERAL RECORDS SCHEDULE 3.....................................
3-1 Procurement, Supply, and -Grant Records....................
3-1 Item 1 Unique Procurement Files...................
3-1 Item 2 Real Property Files........................
3-1 Item 3 General Correspondence Files...............
3-1 Item 4 Routine Procurement Files..................
3-1 Item 5 Supply Management Files....................
3-2 Item 6 Solicitad and Unsolicited Bids and Proposal Files.......................
3-3 Item 7 Public Printer Files.......................
3-3 Item 8 Nonpersonal Requisition Files..............
3-4 Item 9 Inventory Requis ition Files................
3-4 Item 10 Inventory Files............................
3-4 Item 11 Telephone Records..........................
3-4 iv
TABLE OF CONTENTS (Continued)
PAGE NO.
Item 12 Contractors' Payroll Files.................
3-5 Item 13 Tax Exemption Files........................
3-5 Item 14 Grant Application Files....................
3-5 Item 15 Grant Case Files...........................
3-5 Item 16 Grant Control Files........................
3-5 Item 17 Grant Correspondence and Subject Files.....
3-6 Item 18 Final Product Files........................
3-6 Item 19 Contract Appeals Case Files................
3-6 Item 20 Contractor's Statement of Contingent or Other Fees............................
3-6 GENERAL RECORDS SCHEDULE 4.....................................
~4-1 Property Disposal Records.................................
4-1 Item 1 Surplus Property Precedential Case Files...
4-1 Item 2 Property Disposal Case Files...............
4-1 Item 3 Excess Real Property Reports...............
4-1 Item 4 Property Disposal Correspondence Files.....
A-1 Item 5 Excess Personal Property Reports...........
4-1 Item 6 Surplus Property Case Files................
42 Item 7 Real Property Files........................
4-2 GENERAL RECORDS SCHEDULE 5.....................................
5-1 Budget Preparation, Presentation, and Apportionment Records.................................................
5-1 Item 1 Budget Policy Files........................
5-1 Item 2 Budget Estimates and Justifications Files..
5-1 Item 3 Budget Correspondence Files................
5-1 Ite.i 4 Budget Background Records..................
5-1 Item 5 Budget Reports Files.......................
5-2 Item 6 Budget Apportionment Files.................
5-2 GENERAL RECORDS SCHEDULE 6.....................................
6-1 Accountable Officers' Accounts Records....................
6-1 Item 1 Accountable Officers' Files................
6-2 Item 2 GA0 Exceptions Files.......................
6-3 Item 3 Certificates Settlement Files..............
6-4 Item 4 General Fund Files.........................
6-4 Item 5 Accounting Administrative Files............
6-4 Item 6 Federal Personnel Surety Bond Files........
6-4 Item 7 Gasoline Sales Tickets.....................
6-5 Item 8 Telephone Toll Tickets.....................
6-5 Item 9 Telegrams..................................
6-5 v
.~
TABLE OF CONTENTS (Continued)
PAGE NO.
GENERAL RECORDS SCHEDULE 7.....................................
7-1 Expenditure Accounting Records............................
7-1 Item 1 Expenditures Accounting General Correspondence and Subject Files.........
7-2 Item 2 General Accounting Ledgers.................
7-2 Item 3 Appropriation Allotment Files..............
7-2 Item 4 Expenditure Accounting Posting and Control Files....................................
7-2 GENERAL RECORDS SCHEDULE 8.....................................
8-1 Stores, Plant, and Cost Accounting Records................
8-1 Item 1 Plant Accounting Files.....................
8-1 Item 2 Plant, Cost and Stores General Correspondence Files.....................
8-1 Item 3 Stores Invoice Files.......................
8-1 Item 4 Stores Accounting Files....................
8-2 Item 5 Stores Accounting Work Papers..............
8-2 Item 6 Plant Accounting Files.....................
8-2 Item 7 Cost Accounting Reports....................
8-2 Item 8 Cost Rport Data Files......................
8-2 GENERAL RECORDS SCHEDULE 9.....................................
9-1 Travel and Transportation Records.........................
9-1 Item 1 Freight Fi1es..............................
9-1 Item 2 Lost or Damaged Shipments Files............
9-2 Item 3 Passenger Transportation Files.............
9-2 Item 4 Passenger Reimbursement Files..............
9-2 Item 5 General Travel and Transportation Files....
9-3 GENERAL RECORDS SCHEDULE 10...................
10-1 Motor Vehicle Maintenance and Operation Records...........
10-1 Item 1 Motor Vehicle Correspondence Files.........
10-1 Item 2 Motor Vehicle Operating and Maintenance Files....................................
10-1 Item 3 Motor Vehicle Cost Files...................
10-1 Item 4 Motor Vehicle Report Files.................
10-2 Item 5 Motor Vehicle Accidents Files..............
10-2 Item 6 Motor Vehicle Release Files................
10-2 Item 7 Motor Vehicle Operation...................
10-2 vi
TABLE OF CONTENTS (Continued)
PAGE NO.
GENERAL RECORDS SCHEDULE 11....................................
11-1 Space and Maintenance Records.............................
11-1 Item 1 Space and Maintenance General Correspondence Files.....................
11-1 Item 2 Agency Space Files.........................
11-1 Item 3 Directory Service Files....................
11-2 Item 4 Credentials Fi1es..........................
11-2 Item 5 Building and Equipment Service Files.......
11-2 GENERAL RECORDS SCHEDULE 12....................................
12-1 Communications Records....................................
12-1 Item 1 Messenger Service Files....................
12-1 Item 2 Communication Correspondence, Reports, and Reference Fi1es..........................
12-1 Item 3 Telecommunications Operational Files.......
12-2 Item 4 Telephone Summaries........................
12-2 Item 5 Postal Records.............................
12-2 Item 6 Mail and Delivery Service Control Files....
12-2 Item 7 Penalty Mail Report Files..................
12-3 Item 8 Postal Irregularities Files................
12-4 GENERAL RECORDS SCHEDULE 13....................................
13-1 Printing, Binding, Duplication, and Distribution Records..
13-1 Item 1 Publications Files.........................
13-1 Item 2 Administrative Correspondence Files........
13-1 Item 3 Project Fi1es..............................
13-1 Item 4 Control Files..............................
13-2 Item 5 Mailing Lists..............................
13-2 Item 6 JCP Reports Files..........................
13-2 Item 7 Internal Management Files..................
13-3 GENERAL RECORDS SCHEDULE 14....................................
14-1 Informational Services Records............................
14-1 Item 1 Public Relations Files.....................
14-1 Item 2 Information Subject Files.................
14-2 Item 3 Information Requests Files.................
14-2 Item 4 Acknowledgement Files......................
14-2 Item 5 Press Service Files............
14-2 Item 6 Information Project Files..................
14-2 vii
ABLE OF CONTENTS (Continued)
PAGE NO.
Item '
Commendation / Complaint Correspondence Fi1es....................................
14-2 Item 6 Indexes and Check Lists....................
14-2 Item 9 (Items 9 through 15 are Reserved)..........
14-3 Item 16 Freedom of Information Act (FOIA) Requests Fi1es....................................
14-3 Item 17 FOIA Appeals Files.........................
14-4 Item 18 FOIA Control Files.........................
14-4 Item 19 FOIA Reports Files.........................
14-4 u Item 20 FOIA Administrative Files..................
14-5 Item 21 (Items 21 through 24 are Reserved).........
14-5 Item 25 Privacy Act Requests Files.................
14-5 Item 26 Privacy Act Amendment Case Files...........
14-6 Item 27 Privacy Act Accounting of Disclosure Files.
14-7 Item 28 Privacy Act Control Files..................
14-7 Item 29 Privacy Act Reports Files..................
14-8 Item 30 Privacy Act General Administrative Files...
14-8 GENERAL RECORDS SCHEDULE 15....................................
15-1 Housing Records...........................................
15-1 GENERAL RECORDS SCHEDULE 16....................................
16-1 Administrative Management Records.........................
16-1 Item 1 Formal Directives, Procedural and Operating Manuals........................
16-1 Item 2 Publications...............................
16-2 Item 3 Records Disposition Files..................
16-2 Item 4 Forms Files................................
16-3 Item 5 Management Improvement Reports.............
16-3 Item 6 Records Holdings Files.....................
16-3 Item 7 Project Control Files......................
16-3 Item 8 Reports Control Files......................
16-3 Item 10 Working Papers.............................
16-4 Item 11 Records Management Files...................
16-4 Item 12 Committee and Conference Records...........
16-4 Item 13 Organizational Files.......................
16-4 Item 14 Feasibility Studies........................
16-5 GENERAL RECORDS SCHEDULE 17....................................
17-1 Cartographic, Remote Sensing Imagery, and Related Records.
17-1 viii
Supplement 2 February 1985 TABLE OF CONTENTS (Continued)
PAGE NO.
GENERAL RECORDS SCHEnULE 18....................................
18-1 Security and Protective Services Records..................
18-1 Item 1 Security Policy Files......................
18-1 Item 2 Classified Documents Administrative Correspondence Files.....................
18-1 Item 3 Document Receipt Files....................
18-2 Item 4 Destruction Certificates Files.............
18-2 Item 5 Classified Document Inventory Files........
18-2 Item 6 Top Secret Accounting and Control Files....
18-2 Item 7 Access Request Files.......................
18-2 Ite'm 8 Classified Document Container Security Fi1es....................................
18-3 Item 9 Security and Protective Services Administrative Correspondence Files......
18-3 Item 10 Survey and Inspection Files................
18-3 Item 11 Survey and Inspection Files................
18-3 Item 12 Investigative Files........................
18-3 Item 13 Property Pass Ff1es........................
18-4 Item 14 Guard Assignment Files.....................
18-4 Item 15 Police Functions Files.....................
18-4 Item 16 Personal Property Accountability Files.....
18-4 Item 17 Key Accountability Files...................
18-5 Item 18 Visitor Control Records....................
18-5 Item 19 Facilities Checks Files....................
18-5 Item 20 Guard Service Control Files................
18-6 Item 21 Logs and Registers......................
18-6 Item 22 Security Clearance Administrative Subject Files............................
18-6 Item 23 Personnel Security Clearance Files.........
18-7 Item 24 Personnel Security Clearance Status Files.,
18-7 Item 25 Security Violations Files..................
18-8 Item 26 Reserved...................................
18-8 Item 27 Emergency Planning Administrative Correspondence Files.....................
18-8 Item 28 Emergency Planning Case Files..............
18-9 Item 29 Emergency Directives Reference Files.......
18-9 Item 30 Emergency Planning Reports.................
18-9 Item 31 Emergency Operations Tests Files...........
18-9 GENERAL RECORDS SCHEDULE 19....................................
19-1 Research and Development Records..........................
19-1 ix m
Supplement 2.
February 1985 TABLE OF CONTENTS (Continued)
PAGE N0.
GENERAL RECORDS SCHEDULE 20....................................
20-1 Machine - Readable Records................................
20-1 Part I - Master Fi1es................................
20-3 Items 1 - 12 Statistical Files................
20-3 Items 13 - 18 Scientific Files.................
20-5 Items 19 - 20 Federal loan and/or Grant Files.. 20-7 Items 21 - 22 Information Retrieval Files......
20-7 Items 23 - 24 Summary Files....................
20-7 Items 25 - 26 Sample and/or Subsample..........
20-8 Items 27 - 29 Housekeeping Files...............
20-8 Item 30 Publication File.................
20-9 Items 31 - 32 Pri n t Fi l e.......................
20-9 Item 33 Security Backup File.............
20-9 Item 34 Technical Reformat File..........
20-9 Part II - Processing Files...........................
20-10 Item 1 Work Fi1e........................
20-10 Item 2 Test File........................
20-10 Items 3 - 10 Input Source File................
20-10 Item 11 Intermediate Input / Output File...
20-12 Items 12 - 13 Valid Transaction File...........
20-12 Item 14 Audit Trail File.................
20-12 Pa r t I I I - Do cume n ta ti on.............................
20-13 Items 1 - 3 Data Systems Specifications......
20-13 Items 4 - 5 Systems Test Documentation....... 20-13 Items 6 - 7 File Specifications..............
20-14 Item 8 User Guides......................
20-14 Item '9 Output Specifications............
20-15 Item 10 Reports..........................
20-15 Items 11 - 13 Information Retrieval............
20-15 GENERAL RECORDS SCHEDULE 21....................................
21-1 Audiovisual Records......................................
21-1 GENERAL RECORDS SCHEDULE 22....................................
22-1 Design and Construction Drawings and Related Records......
22-1 x
I,
Supplement 2 February 1985 TABLE OF CONTENTS (Continued)
PAGE NO.
GENERAL RECORDS SCHEDULE 23...................................
23-1 Records Common to Most 0ffices...........................
23-1 GENERAL RECORDS SCHEDULE 24...................................
24-1 Temporary Commissions, Committees, and Board Records.....
24-1 Item 1
Commission Meetings Files.............
24-1 Item 2
Public Hearings Files.................
24-1 Item 3
General Correspondence Files..........
24-1 Item 4
Publication Files.....................
24-1 Item 5
News Release Files....................
24-2 Item 6
Speech Files..........................
24-2 Item 7
Press Conference Files................
24-2 Item 8
Organizational Files..................
24-2 Item 9
Unpublished Studies Files.............
24-2 Item 10 Project Subject Files.................
24-3 Item 11 Audio Visual Fi les....................
24-3 Item 12 Chronological Files...................
24-3 Items 13-15 Reserved..............................
24-5 Item 16 Machine-Readable Files................
24-5 Items 17-19 Reserved..............................
24-5 Item 20 All Other Records.....................
24-5 Item 21 Staff Reference Files.................
24-5 Item 22 Mailing Lists.........................
24-5 Item 23 General Administrative Files..........
24-5 Item 24 Transitory Correspondence.............
24-6 Item 25 Rejected 0ffers.......................
24-6 xi
Supplement 2 February 1985 GENERAL RECORDS SCHEDULE 1 ITEM N0.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (3) Performance-related records Destroy when 3 years old pertaining to a former employee.
or when no longer needed, whichever is sooner.
(4) All other summary performance Destroy 3 years after appraisals records, including date of appraisal.
performance appraisals and job elements and standards upon which they are based.
(5) Supporting documents.
Destroy 3 years after date of appraisal or when no longer needed, whichever is sooner.
b.
SES appointees (as defined in 5 USC 3132a(2)).
(1) Performance records superseded Destroy upon supersession.
through an administrative, judicial, or quasi-judicial procedure.
(2) Performance-related records Disposition pending pertaining to a former SES appointee.
(3) All other performance appraisals, Destroy 5 years after along with job elements and date of appraisal, exclu-standards (job expectations) sive of any interim upon which they are based.
service as a Presidential appointee.
(4) Supporting documents.
Destroy 5 years after date of appraisal or when no longer needed, whichever is sooner.
c.
Presidential appointees.
Disposition pending 24.
Motor Vehicle Operation Files.
See GRS 10 Item 7.
25.
Financial Disclosure Reports.
a.
Reports and related documents submitted by individuals as required under the Ethics in Government Act of 1978 (P.L.95-521).
1-9 L
Supplement 2 February 1985 GENERAL RECORDS SCHEDULE 1 ITEM N0.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (1) Records including SF 278A for Destroy 1 year after individuals filing according nominee ceases to be to Section 20lb of the Act, under consideration for and not subsequently confirmed appointment; EXCEPT that by the U.S. Senate, documents needed in an ongoing investigation will be retained until no longer needed in the investigation.
(2) All other records including Destroy when 6 years old; SF 278.
EXCEPT that documents needed in an ongoing investigation will be l
retained until no longer needed in the investigation.
b.
All other statements of employment Destroy when 6 years old; and financial interests and related EXCEPT that documents needed records, including confidential in an ongoing investigation statements filed under Executive will be retained until no Order 11222.
longer needed in the investigation.
26.
Equal Employment Opportunity Records.
a.
Official Discrimination Complaint Case Files.
Originating agency file containing Destroy 4 years after complaints with related corre-resolution of case.
spondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearings and meetings, and other records as described by 29 CFR 1613.222.
Cases resolved with the Commission by EE0C or by a U.S. Court.
b.
Copies of Complaint Case Files.
Duplicate case files or documents Destroy 1 year after pertaining to case files retained resolution of case.
I in Official File Discrimination Complaint Case File, 1-10
Supplement 2 February 1985 GENERAL RECORDS SCHEDULE 1 ITEM
_N 0.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION c.
Background Files.
Background records not filed in the Destroy 2 years after Official Discrimination Complaint final resolution of Case Files.
case.
d.
Compliance Records.
(1) Compliance Review Files Destroy when 7 years old.
Review, background papers and correspondence relating to contractor employment practices.
(2) EED Compliance Reports Destroy when 3 years old.
e.
Employee Housing Request.
Forms requesting agency assist-Destroy when 1 year old.
ance in housing matters, such as rental or purchase.
f.
Employment Statistics Files.
Employment statistics relating Destroy when 5 years old.
to race and sex.
g.
EE0 General Files.
General Correspondence and copies Destroy when 3 years old, of regulations with related records or when superseded or pertaining to the Civil Rights Act-obsolete, whichever is of 1964, the EE0 Act of 1972, and applicable.
any pertinent future legislation; and Commission EE0 Committee Meeting and records including minutes and reports.
h.
EE0 Affirmative Action Plans (AAP).
(1) Commission copy of con-Destroy 5 years from date solidationAAP(s).
of plan.
I (2) Commission feeder plan to Destroy 5 years from consolidated AAP(s).
date of feeder plan or when administrative purposes have been served, whichever is sooner.
l l-11
Supplement 2 Fcbruary 1985 GENERAL RECORDS SCHEDULE 1 ITEM NO.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (3) Report of on-site reviews Destroy 5 years from date of l
of Affirmative Action report.
(4) Agency copy of annual Destroy 5 years from date of report of Affirmative report.
Action accomplishments.
27.
Personnel Counseling Records.
a.
Counseling files.
Reports of interviews, analyses Destroy 3 years after and related records.
termination of counseling.
b.
Alcohol and Drug Abuse Program.
Records created in planning Destroy when 3 years old.
cor rdinating and directing an alcohol and drug abuse program.
28.
Standards of Conduct Files.
Correspondence, memoranda and other Destroy when obsolete records relating to codes of ethics or superseded.
and standards of conduct.
29.
Labor Management Relations Records.
a.
Labo; Management Relations General and Case Files.
Correspondence, memoranda, reports and other records relating to the relationship between management and employee unions or other groups:
(1) Office negotiating agreement Destroy when 5 years old.
(2) Other offices.
Destroy when superseded or obsolete.
1-12
Supplement 2 February 1985 GENERAL RECORDS SCHEDULE 2 Payrolling and Pay Administration Records Payrolling and pay administration records pertain to disbursements to civilian employees of the Government for personal services.
This schedule applies to the pay records that are common to all agencies, but it excludes (a) retirement records (Form 2806 or equivalent) that are maintained during employee duty and then transferred to the Bureau of Retirement, Insurance, and Occupational Health of the OPM: (b) files physically transmitted to the General Accounting Office or maintained in Commission space for audit under section ll7(b) of the Budget and Accounting Procedures Act of 1950; (c) records relating to tax withholding, savings bonds, or fidelity bonds, or other records held by the appropriate units of the Treasury Department responsible for the related Government-wide programs; (d) or to Office of Management and Budget files reflecting agency personnel needs and problems.
Papers required by the Comptroller General to be maintained for site audit are segments of accountable officers's accounts.
In no event may disposal be made to records pertaining to accounts, claims or demands involving the Government of the United States which have not been settled or adjusted by the General Accounting Office without the written approval of the Comptroller General, as required by 82 Stat. 1301 (44 U.S.C. 3309).
NRC pay accounts are prepared and maintained in accordance with Title 6--Pay, leave, and Allowances and incorporated in the GA0 Manual for Guidance of Federal agencies.
ITEM NO.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.
Individual Accounts Files.
Individual earning and service Transfer to the cards, such as standard Form 1127 National Personnel or equivalent.
Records Center (NPRC),
St. Louis, Missouri.
(a) If filed in official personnel folder (OPF) or in individual pay folder adjacent to the OPF, destroy with the OPF.
(See GRS 1, Item 1.)
(b) If not in or filed adjacent to the OPF, destroy 56 years after the date of the last entry on the card.
2.
Payroll Correspondence Files.
General correspondence files maintained Destroy when 2 years old.
by payroll units pertaining to payroll preparation and processing.
2-1
Supplement 2 s
February 1985 GENERAL RECORDS SCHEDULE 2 ITEM N0.
DESCRIPTION OF RECORD _S_
AUTHORIZED DISPOSITION Time and Attendance Report Files.
a.
Form such as Standard Form 1130 or equivalent.
(1) Payroll preparation and Destroy after GA0 audit processing copies.
or when 3 years old.
whichever is sooner.
(2) All other copies.
Destroy 6 months after the end of the pay period.
b.
Flexitime Attendance Records.
Supplemental time and attendance Destroy after GA0 audit records, such as sign-in/ sign-out or when 3 years old, sheets and work reports, used for whichever is sooner.
time accounting under Flexitime systems.
4.
Individual Authorized Allotments
- Files, a.
U.S. Savings Bond Authorization, Standard Form 1192 or equivalent, and authorization for individual allotment to the Combined Federal Campaigns.
(1)
If record is maintained on Destroy when superseded or earning record card, af ter separation of employee.
If employee transfers within the Commis-sion or between agencies, these authorizations must also be transferred. See Treasury Fiscal Require-ments Manual, para. 6030.10 for instructions relating to savings bonds authoriza-tions, and FPM Chapter 550, Subchapter 3, Part 8 for instructions relating to CFC authorizations.
(2)
If record is not maintained Destroy 3 years after elsewhere.
supersession or 3 years after separation of employee.
See (1) above for transfer instructions.
2-2
Supplement 2 February 1985 GENERAL RECORDS SCHEDULE 6 Accountable Officers' Accounts Records This general schedule covers accountable officers' returns and related records, including records under the cognizance of the General Accounting Office.
Accountable officers' accounts include record copies of all records concerned with the accounting for, availability, and status of public funds.
There are several types of " accountable officers," such as:
(a) the collecting officer, who receives monies owed to the Federal Government and ensures that it is credited to the proper account; (b) the disbursing officer who is responsible for providing documentation to the General Accounting Office since he accomplishes the actual payment of public monies to proper Federal creditors; and (c) the certifying officer, whose signature on a summary attests to authenticity of vouchers listed on the schedule.
Disbursements for NRC are made by the Chief Disbursing Office of the Treasury, who heads the Division of Disbursement of the Bureau of Government Financial Operations within the Treasury Department.
Since July.1949, disbursements have been made for most agencies on the basis of certified schedules, with the detailed vouchers held in agency space for site audit by the General Accounting Office.
This procedure was extended and confirmed by General Accounting Office General Regulations No. 115, issued January 29, 1952, which promulgated a standard form voucher and schedule of payments (Standard Forms 1166 and 1167) for use by all agencies effective July 1, 1952, and formally eliminated the transfer to vouchers of the Chief Disbursing Officer.
This schedule includes records held for onsite audit by the General Accounting Office, as described in Item la below.
Under onsite audit, vouchers, contracts, schedules, statements of transactions and accountability and other related supporting documents are retained in agency space for the General Accounting Office auditors.
Section 5 of the Post Office Department Financial Control Act of 1950 and Section 117(b) of the Budget and Accounting Procedures Act of 1950 (whenever the Comptroller General determines that audit shall be conducted at the site) require agencies to retain these records, which are under General Accounting Of fice cognizance.
The General Accounting Office has given general authority to all agencies, if the records are no longer required for administra-tive purposes, to transfer all audited records and any unaudited records more than one full fiscal year old to Federal Archives and Records Centers.
- However, to transfer unaudited accountable officers' accounts less than one year old, permission must be obtained from the Director, Office of Administrative Services, GA0.
Records relating to the availability, collection, and custody of funds include (1) the appropriation warrants, (2) other documents which deposit funds into the Treasury, and (3) documents which provide accountable officers with status reports on funds in their custody, such as the proofs of depository account and statements of funds to their credit.
Commission copies of these deposit and status documents are so intimately related to the accounts of these officers that they are included in this schedule.
6-1
Supplement 2 February 1985 GFNERAL RECORDS SCHEDULE 6 ITEM NO.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.
Accountable Officers' Files.
a.
Original or ribbon copy of Destroy 6 years, accountable officers' accounts 3 months after maintained in the Commission for period covered by site audit by GA0 auditors, con-account.
sisting of statements of transactions, statements of accountability, collec-tion schedules, collection vouchers, disbursement schedules, disbursement vouchers or documents used as schedules or vouchers, exclusive of freight records and payroll records.
If an agency is operating under an inte-grated accounting system approved by GAO, certain required documents, supporting vouchers and/or schedules are included in the site audit records. These records document only the basic financial transaction, money received and money paid out or deposited, in the course of operation of the agency. All copies _except the certified payment or collection copy, usually the original or ribbon copy, and all additional or supporting documentation not involved in an integrated system are covered by succeeding items in this schedule.
Site audit records include, but are not limited to, the Standard Forms listed below.
Also included are equivalent agency forms which document the basic financial transaction as described above.
SF 215, Deposit Ticket l
SF 224, Public Voucher for Purchases and Services Other Than Personal SF 1036, Statement of Certificate and Award SF 1047, Public Voucher for Refunds SF 1069, Voucher for Allowance at Foreign Post of Duty SF 1080, Voucher for Transfer Between Appropriations and/or Funds SF 1081, Voucher and Schedule of Withdrawals and Credits SF 1096, Schedule of Voucher Deductions 6-2
Supplement 2 GENERAL RECORDS SCHEDULE 6 February 1985 ITEM No.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION SF 1097, Voucher,and Schedule to Effect Correction of Errors SF 1098, Schedule of Cancelled Checks SF 1113, Public Voucher for Transportation Chargers SF 1114, Bill of Collection SF 1114A, Official Receipt SF 11148,' Collection Voucher SF 1129, Reimbursement Voucher SF 1143, Advertising Order SF 1145, Voucher for Payment Under Federal Tort Claims Act SF 1154, Public Voucher for Unpaid Compen-sation Due a Deceased Civilian Employee SF 1156, Public Voucher for Fees and Mileage of Witness SF 1166, Voucher and Schedule of Payments SF 1185, Schedule of Undeliverable Checks for Credit to Government Agencies SF 1218, Statement of Accountability (Foreign. Service Account)
SF 1219, Statement of Accountability SF 1220, Statement of Transactions According to Appropriation, Funds and Receipt Accounts SF 1221, Statement of Transactions According to Appropriation, Funds, and Receipt Accounts (Foreign Service Account) b.
Memorandum or extra copies of Destroy 3 years after accountable officers' returns the period of the account.
including statements of trans-actions and accountability, all supporting vouchers, schedules, and related papers not covered elsewhere in this schedule, and excluding freight records covered by Schedule 9 and payroll records covered by Schedule 2.
2.
GAO Exceptions Files.
General Accounting Office notices of Destroy 1 year after exceptions, such as Standard Form 1100, exception has been re-formal or informal, and related ported as cleared by GAO.
correspondence.
6-3
Supplement 2 GENERAL RECORDS SCHEDULE 6 February 1985 ITEM NO.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 3.
Certificates Settlement Files.
Copies of certificates of settlement of accounts of accountable officers, state,
ments of differences, and related records, a.
Certificates covering closed Destroy 2 years after account settlements, supplemental date of settlement.
settlements, and final balance settlements, b.
Certificates covering periodic Destroy when subsequent settlements.
certificate of settlement is received.
4.
General Fund Files.
Records relating to availability, Destroy when 3 years old.
collection, custody and deposit of funds including appropriation warrants and certificates of deposit other than those records covered by Item 1 of this schedule.
5.
Accounting Administrative Files.
Correspondence, reports and data relatng to voucher preparation, administrative audit, and other accounting and disbursing operations.
a.
Files used for workload and Destroy when 2 years old.
personnel management purposes.
b.
All other files.
Destroy when 3 years old.
6.
Federal Personnel Surety Bond Files.
a.
Official copies of the bond and attached powers of attorney.
(1) Bonds purchased prior to Destroy 15 years after January 1, 1956.
bond becomes inactive.
(2) Bonds purchased after Destroy 15 years af ter December 31, 1955.
the end of the bond premium period.
1 6-4
.~.
Supplement 2 February 1985 GENERAL RECORDS SCHEDULE 7 Expenditure Accounting Records Expenditure accounting records are the ledgers and related documents maintained by agencies to show in summary fashion how their funds, appropriated and non-appropriated, are spent after allotment by the Office of Management and Budget (OMB), and the sources and nature of any receipts.
The key records are the general ledger accounts, which constitute, as a unit, the heart of the accounting systems.
These ledgers summarize the financial status and financial transactions of the NRC, showing the current status of funds available for expenditure, the amounts due and collected for the account of the Government, accumulated expenditures and liabilities, and the values of stock, equipment, and other property in Commission custody.
They are controls that serve not only as central fiscal records, but also a primary source of data for top management concerned with NRC solvency, with expenditures and with program costs.
The general ledgers are subdivided into arbitrarily created account titles, which are based on programs, projects, costs, and funds.
Supporting them are a group of subsidiary ledgers and papers further detailing the information in the general ledgers or serving as posting media to the ledgers themselves.
To the extent that they reflect appropriation expenditures, the general ledgers are supported by allotment ledgers, which at all times show the current unobligated balance of funds allotted for NRC purposes and thereby provide a safeguard against over expenditure by operating officials.
The allotment ledgers are general controls over expenditures, and they in turn summarize and are supported by more detailed controls that normally take the form of project or job orders which authorize exact and specific expenditure.
The sources of data that are posted to the ledger files are somewhat diverse, but they fall into two general groups:
a.
Copies of various obligation or expenditure documents, such as vouchers and schedules, which flow through the ledger unit for posting.
b.
Journal vouchers and similar internal control documents created to authorize and convey entires to the general ledger.
As the centralized fiscal record, the general ledgers ultimately summarize stores, plant and cost accounting data, which are treated in a separate schedule, but these are only several aspects of the tota'l ledger accounts.
Consequently, the ledgers are the source for the data included in the basic apportionment reports to the OMB and the Treasury Department, and overall y
reports of Commission fiscal condition which may be required by the General Accounting Officer (Schedules 6 and 8).
The adequacy for audit purposes of the general ledger accounts is normally considered by General Accounting Officer auditors to be indicative of the su.itability of the Commission's entire accounting system and the reliability of its financial data.
In no event may disposal be made of records pertaining to accounts, claims, or demands involving the Government of the United States which have not been settled or adjusted by the General Accounting Office without written approval of the Comptroller General, as required by Section 9 of the Records Disposal Act of July 7, 1943, as amended (44 U.S.C. 372) 7-1
Supplement 2 i
February 1985 GENERAL RECORDS SCHEDULE 7 ITEM N0.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.
Expen_ditures Accounting General Correspondence and Subj ect Files.
Correspondence or subject files main-Destroy when 2 years old.
tained by operating units responsible for expenditures accounting, pertain-ing to their internal operations and administration.
2.
General Accounting Ledgers.
General accounts ledgers, showing Destroy 6 years and 3 months debit and credit entries, and re-after the close of the fiscal flecting expenditures in summary.
year involved.
3.
Appropriation Allotment Files.
Allotment records showing status of Destroy 6 years and 3 months obligations and allotments under each af ter the close of the fisc.1 authorized appropriation.
(NRC year involved.
Form 101) 4.
E_xpenditure Accounting Posing and Control Files.
Records used as posting and control media, subsidiary to the general and allotment ledgers, and not elsewhere covered in this schedule.
a.
Original records.
Destroy when 3 years old.
b.
Copies.
Destroy when 2 years old.
7-2
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BIB'.lOGRAPHIC DATA SHEET NUREG-0910, Rev. I Supplement 2 siessrauctTc~s o~ r-i..
..s, J 'ITLE A%Q suBisf LE J LE AVI SL AN'E NRC Comprehensive Records Disposition Schedule
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February 1985
. o AT E RtPOHf issuto I
February 1985 7 PtRSomptNG oMGA%Q Af TON % awe AND WarLING ADOntss finoc anspe te cedri 8 PMOJECT T A5n woma u%it guvetR e
Division of Technical Information and Document Control Office of Administration U.S. Nuclear Regulatory Commission Washington, DC 20555 la SPONsORsNG ORGANisaisoN %Avt AND walling ADDRE55 4sace dr te coses s t e T v Pt OF M E PoM t w
NRC Official Records Disposition Schedules Same as 7. above.
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.e N/A 12 su'*LEVENT ARv %QTts 13 A.sTR ACT d200 mores se easJ in compliance with statutory requirements set forth in Title 44 U.S. Code, "Public Printing and Documents," and in the applicable regulations cited in Title 41 Code of Federal Regulations, "Public Contracts and Property Management," Chapter 101, Subchapter B, " Archives and Records," the U.S.
Nuclear Regulatory Commission submitted to the General Services Administration National Archives and Records Services, and to the Comptroller General a schedule (commonly referred to as a disposition or retention schedule) proposing the appropriate duration of retention and the final disposition for records created or maintained by the NRC.
i 1
l
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1, i
Disposition Schedule Unlimited 0fficial Records I
<r.
..oisri...aso,isisciore vs UNCLASSIFIED lrh4 re90911 UNCLASSIFIED i, ~u
.E. o., AG e s i9,ReCE
.