Text

NRC Comprehensive Records Disposition Schedule
	ML20117G758
Person / Time
Issue date:	02/29/1996
From:	; NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
To:	;
References
	NUREG-0910, NUREG-0910-R02-S02, NUREG-0910-S02, NUREG-910, NUREG-910-R2-S2, NUREG-910-S2, NUDOCS 9605220230
	Download: ML20117G758 (195)
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February 1996 l

SUPPLEMENT 2 TO NUREG-0910, REVISION 2 l

"NRC COMPREHENSIVE RECORDS DISPOSITION SCHEDULE" i

Instructions Remove Insert General Records Schedule GRS Schedules 1-23 All pages All pages

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GRS Subject Index pp.1-22 pp.1-26 j

GRS Forms Index pp.1-14 pp.1-18 j

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9605220230 960229 PDR NUREG 0910 R PDR

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Transmittal No. 7 General Records Schedules q

August 1995 TABLE OF CONTENTS introduction to the General Records Schedules Schedule 1.

Civilian Personnel Records Schedule 2.

Payrolling and Pay Administration Records i

Schedule 3.

Procurement, Supply, and Grant Records Schedule 4.

Property Disposal Records Schedule 5.

Budget Preparation, Presentation, and Apponionment Records q

Schedule 6.

Accountable Officers' Accounts Records l

Schedule 7.

Expenditure Accounting Records Schedule 8.

Stores, Plant, and Cost Accounting Records Schedule 9.

Travel and Transportation Records Schedule 10.

Motor Vehicle Maintenance and Operations Records i

Schedule 11.

Space and Maintenance Records l

Schedule 12.

Communications Records Schedule 13.

Printing, Binding, Duplication, and Distribution Records Schedule 14.

Information Services Records Schedule 15.

Housing Records Schedule 16.

Administrative Management Records Schedule 17.

Cartographic, Aerial Photographic, Architectural, and Engineering Records Schedule 18.

Security and Protective Services Records Schedule 19.

Research and Development Records (RESClNDED)

Transmittal No, 7 General Records Schedules August 1995 Schedule 20.

Electronic Records Schedule 21.

Audiovisual Records Schedule 22.

Inspector General Records Schedule 23.

Records Common to Most Offices Within Agencies Subject Index Forms Index 9

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I Transmittal No. 7 General Records Schedules g

August 1995 INTRODUCTION TO THE GENERAL RECORDS SCHEDULES General Records Schedules (GRS) are issued by the Archivist of the United States to provide disposal authorization for temporary records common to several or all agen-cies of the Federal Government. They include records relating to civilian personnel, fiscal accounting, procurement, communications, printing, and other common func-tions, and certain nontextual records. These records comprise an estimated one-third of the total volume of records created by Federal agencies.

In 1978, use of the GRS was made legally mandatory. The disposal authorizations must be used by a Federal agency to the greatest extent possible. Because these schedules ure designed to cover records common to several agencies, the records descriptions are general. Agency records officers may use the schedules either as an appendix to an agency printed schedule or tailored to the agency's own particular needs and incorporated into agency schedules.

The GRS does not cover all records of an agency. It must be supplemented by schedules for unique program records. Agencies should exercise particular care in applying the GRS to subject or correspondence files that may include a mix of adminis trative and program records. Usually, administrative subject files have short retention (m

h periods, less than 3 years. Program subject files may be needed by the agency for 10 years or more, and may have archival value as well. Agencies should maintain administrative records separately from program records, if administrative records are mixed with program records and cannot be economically segregated, the entire file should be kept for the period of time approved for the program records. Similarly, if documents covered by these schedules are part of a subject or case file that docu-ments activities different from those covered by the schedules, they should be treated in the same manner as the files of which they are a part.

For more information on scheduling unique program records, including potentially permanent records, see the Disposition of Federal Records Handbook. Also, NARA has prepared a series of instructional guides that provide information on scheduling nontextual records that are not covered by the GRS. The handbook and separate guides on electronic records, audiovisual records, and cartographic and architectural records are available from the National Archives and Records Administration, Publica-tions Distribution (NECD), Room G-9, Washington, DC 20408.

GRS items cover only record copies. In some instances, more than one copy of a document or fi!e would be considered a record if different offices use it to perform different functions. When it is difficult to decide whether files are record or nonrecord materials, the records officer should treat them as records. Records officers may consult with the National Archives and Records Administration (NIR) to determine the i

record or nonrecord status of particular files.

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Transmittal No. 7 General Records Schedules August 1995 The disposition instructions in the GRS are to be implemented without further approval from NARA, with the exception that most records created before January 1,1921, must first be offered to NARA for appraisal. If NARA rejects these records they may I

be destroyed immediately. GRS 3,11,16, and 21 have other delimiting dates.

Agencies that convert records covered by the GRS to microform should apply the GRS disposition standards to the microform copies and destroy the paper copies after verification of the film unless legal considerations require longer retention of the paper (36 CFR 1230.10(b)). No further authorize tion from NARA is required to implement s

these provisions. If an agency wishes to apply a different retention period for any series of records included in the GRS, the records officer must submit an SF 115 providing justification for the deviation.

The GRS includes two indexes, an alphabetical Subject index and an index of commonly used Standard and Optional Forms. The forms index includea only the forms most frequently used by the various Government agencies.

As provided in GRS 20, Electronic Records, the disposal instructions for most records in the remaining schedules are applicable to both hard copy and electronic versions of the records described. GRS 20 specifies several exceptions to this authority. In those cases, the electronic version of the file must be scheduled by submission of an SF 115 to NARA.

Questions of applicability of any GRS item to agency records or differences of interpretation between the records officer and other agency personnel that cannot be reconciled within the agency may be referred to the Director, Records Appraisal and Disposition Division, NARA, from offices in the Washington, DC, area, or the Director of the nearest Federal records center (FRC) from offices outside the Washington area.

Some records series covered by the GRS are eligible for retirement to an FRC.

Records should be retired from agency space to an FRC only if transfer costs do not exceed the expense of retaining them in agency space. Records sent to FRCs should have a remaining retention of at least 1 year. If special circumstances, such as lack of filing equipment or space, make it imperative that records be retired, exceptions can be made to this policy. These decisions are made on an individual basis by the appropriate FRC Director. Procedures for transfer of records to FRCs are found in NARA regulations (36 CFR 1228.152).

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Transmittal No. 7 General Records Schedule 1 August 1995 v

GENERAL RECORDS SCHEDULE 1 Civilian Personnel Records Agency civilian personnel records relate to the supervision over and management of Federal civilian employees. This schedule covers the disposition of Official Personnel Folders of civilian employees and other records relating to civilian personnel, wherever located in the agency. Specifically excluded are program records of the Office of Personnel Management, the Bureau of Medical Services (PHS/HHS), the Office of Workers' Compensation Programs (DOL), and the Equal Employment Opportunity Commission. Any records created prior to January 1,1921, must be offered to the National Archives and Records Administration for appraisal before these disposition l

instructions may be applied.

The most important types of records, the Official Personnel Folders, the Service Record l

Cards, and the Employee Medical Folders, are maintained according to The Guide to l

Personnel Recordkeepina, an OPM manual that prescribes a system of recordkeeping for Federal personnel.

I Master files created in central data processing facilities that replace records described

O under items 21,22, and 25f, are not authorized for disposal under the General Records l

Schedules. All of the records described in this schedule are authorized for disposal in both hard copy and electronic formats, as provided in GRS 20, Electronic Records.

ITEM l

l NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Official Personnel Folders.

Records filed on the right side of the Official Personnel Folder (OPF). (See GRS 1, item 10, for temporary papers on the left side of l

the OPF). Folders covering employment terminated after December 31,1920, excluding those selected by the National Archives and Records Administration for permanent retention.

a. Transferred employees.

See Chapter 7 of the Guide to Personnel Recordkeepino for i

instructions relating to folders of employees transferred to O

another agency.

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Transmittal No. 7 General Records Schedule 1 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Separated employees.

Transfer folder to National Personnel Records Center, St.

Louis, MO,30 days after latest separation (see note 2]. NPRC 1

will destroy 65 years after separstion from Federal service.

[ NOTES: (1) OPF's covering periods of employment terminated prior to January 1,1921, tire not covered by this item. If an agency has such files, it should contart the NARA Records Appraisal and Disposition Division to request appraisal of the files. If NARA rcjects the records, the disposition for GRS 1, item 1b applies. (2) Certain agencies have been exempted by OPM from retiring their OPF's to NPRC. These agencies retain OPF's for the period specified in item 1b of this schedule and effect destruction after that period has elapsed.)

2.

Service Record Cards.

Oll Service Record Card (Standard Form 7 or equivalent).

a.

Cards for employees separated cr Transfer to NPRC (CPR), St.

transferred on or before December 31, Louis, MO. Destroy 60 years l

1947.

after earliest personnel action.

4 b.

Cards for employees separated or Destroy 3 years after separation transferred on or after January 1,1948.

or transfer of employee.

[ NOTE: Effective December 31,1994, the SF 7 card became obsolete.]

3.

Personnel Correspondence Files.

Correspondence, reports, and other records Destroy when 3 years old.

relating to the general administration and operation of personnel functions, but excluding records specifically described elsewhere in this schedule and records maintained at agency staff planning levels.

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Transmittal No. 7 General Records Schedule 1 (g)

August 1995

'O ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 4.

Offers of Employment Files.

Correspondence, including letters and telegrams, offering appointments to potential employees.

a.

Accepted offers.

Destroy when no longer needed.

b.

Declined offers:

(1) When name is received from Return to OPM with reply and certificate of eligibles.

application.

(2) Temporary or excepted appoint-File with application (see item 15 ment.

of this schedule).

(3) All others.

Destroy immediately.

g)

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Certificate of Eliaibles Fifes.

Copies obtained from OPM of certificates Destroy when 2 years old.

of eligibles with related requests, forms, correspondence, and statement of reasons for passing over a preference eligible and selecting a nonpreference eligible.

6.

Employee Record Cards.

Employee record cards used for informational Destroy on separation or transfer purposes outside personnel offices (such as of employee.

SF 7B).

[ NOTE: Effective December 31,1994, the SF 7 card became obsolete. Agencies may use an internal agency form.)

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Transmittal No. 7 General Records Schedule 1 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 7.

Position Classification Files.

a.

Position Classification Standards Files.

(1) Standards and guidelines issued or Destroy when superseded or reviewed by OPM and used to obsolete.

classify and evaluate positions within the agency.

(2) Correspondence and other records relating to the development of

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+l standards for classification of positions peculiar to the agency, and OPM approval or disapproval.

(a) Case file.

Destroy 5 years after position is abolished or description is superseded.

(b) Review File.

Destroy when 2 years old.

b.

Position Descriptions.

Record copy of position descriptions Destroy 2 years after position is that include information on title, series, abolished or description grade, duties and responsibilities, and superseded.

related papers.

b.

Accounting copy of requisition.

Destroy 3 years after period i

covered by related account.

7.

Noncersonal Reouisition File.

Requisitions for nonpersonal services, such Destroy when 1 year old.

as duplicating, laundry, binding, and other services (excluding records associated with accountable officers' accounts (Schedule 6).

l 8.

Inventory Reauisition File.

Requisitions for supplies and equipment for current inventory.

l a.

Stockroom copy.

Destroy 2 years after completion j

l or cancellation of requisition.

l b.

All other copies.

Destroy when 6 months old.

9.

Inventory Files.

a.

Inventory lists.

Destroy 2 years from date of list.

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Transmittal No. 7 General Records Schedule 3 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Inventory cards.

Destroy 2 years after discontinuance of item,2 years after stock balance is transferred to new card or recorded under a new classification, or 2 years after equipment is removed from j

agency control.

1 c.

Report of survey files and other papers Destroy 2 years after date of used as evidence for adjustment of survey action or date of posting inventory records, not otherwise covered medium.10.

Telephone in the GRS.

Records.

Telephone statements and toll slips.

Destroy 3 years after period covered by related account.

11.

Contractors' Payroll Files.

Contractors' payrolls (construction contracts)

Destroy 3 years after date of submitted in accordance with Labor completion of contract unless Department regulations, with related contract performance is subject certifications, antikickback affidavits, and of enforcement action on such other related papers.

date.

12.

Tax Exemption Files.

Tax exemption certificates and related Destroy 3 years after period papers.

covered by related account.

13.

Unsuccessful Grant Applicatior Files.

Applications, correspondence, and other Destroy 3 years after rejection or records relating to unsuccessful rejected or withdrawal.

withdrawn) applications.

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i Transmittal No. 7 General Records Schedule 3 g

August 1995 ITEM NO.-

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 14.

Grant Administrative Files.

Correspondence and/or subject files relating Destroy when 2 years old.

to routine operations and daily activities in administration of the grant program.

[ Note: Grant case files, which include accepted applications among many other documents, substantive correspondence and subject files relating to grant programs, and -

final product files, cannot be scheduled in the GRS. The types and significance of grant programs and the contents of the files vary, so no single disposition can be applied to the files on a Governmentwide basis. To schedule these records, agencies must submit an SF 115 to NARA.]

15.

Contract Aooeals Case Files.

Contract appeals case files arising under the Contracts Dispute Act, consisting of O.

notices of appeal and acknowledgements thereof; correspondence between parties; j

copies of contracts, plans, specifications, exhibits, change orders, and amendments; transcripts of hearings; documents received from parties concerned; final decisions; and

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all other related papers.

j a.

Records created prior to October 1, Destroy 6 years, 3 months after 1979.

final action on decision, b.

Records created after September 30, Destroy 1 year after final action 1979 on decision.

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Transmittal No. 7 General Records Schedule 3 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 16.

Contractor's Statement of Continaent or Other Fees.

Standard Form 119, Contractor's Statement Destroy when superseded, of Contingent or Other Fees, or statement in obsolete, or no longer needed, lieu of the form, filed separately from the whichever is sconer.

contract case file and maintained for enforcement or report purposes.

17.

Small and Disadvantaaed Business Utilization Fi!es.

Correspondence, reports, studies, goal Destroy when 3 years old.

statements, and otner records relating to the small and disadvantaged business utilization program, as required by P.L.95-507.

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i Transmittal No. 7 General Records Schedule 4 lq August 1995 GENERAL RECORDS SCHEDULE 4 Property Disposal Records l

These records pertain to the sales by agencies of real and personal property surplus to the needs of the Government. The act creating the General Services Administration trans-i I

ferred to the new agency the functions of the former War Assets Administration relating to i

property disposition. This schedule is not applicable to transaction or policy files created l

by the General Services Administration and predecessor agencies, to records in the l

Department of the Interior relating to the public domain, and to records relating to overseas i

property under Department of State control. Any surplus property transaction files dated prior to the establishment of the former Procurement Division of the Department of i

Treasury in 1933 must be offered to the National Archives and Records Administration for appraisal before applying these disposition instructions.

In no event may disposal be made of records pertaining to accounts, claims, or demands l

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 l

required by 44 U.S.C. 3309.

O, Three forms are prescribed for use by an agency selling surplus personal property under lg'd GSA regulations:

a. Standard Form 114, Sale of Government Property, invitation, and Bid, and Acceptance. Related papers that are maintained by the agencies, usually in case fashion, l

consist of correspondence, bids, other notices of sale, invoices, and sales slips.

b. Standard Forms 120, Report of Excess Personal Property, and 121, Quarterly Report of Utilization and Disposal of Excess and Surplus Personal Property. Agencies use SF 120 to report excess personal property to the regional General Services Administration offices, which initiate screening action. The quarterly reports are submitted to the Office of l

Property Management, Office of Federal Supply and Services, General Services Adminis-tration, which consolidates the data All records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records i

Common to Most Offices Within Agencies.

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l Transmittal No. 7 General Recor'3 Schedule 4 August 1995 ITEM NO.

DESCRJPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Property Disposal Correspondence Files.

Correspondence files maintained by units Destroy when 2 years old.

responsible for property disposal, per-taining to their operation and adminis-tration, and not otherwise provided for.

l 2.

Excess Personal property Reports.

Destroy when 3 years cid.

1 3.

Surplus Property Case Files.

Case files on sales of surplus personal property, comprising invitations, bids, accep-tances, lists of matenals, evidence of sales, and related correspondence.

a.

Transactions of more than $25,000.

Destroy 6 years after final pay-ment.

l b.

Transactions of $25,000 or less.

Destroy 3 years after final pay-ment.

4.

Real Property Files.

1 Records necessary or convenient for the Transfer to new custodian upon use of real property sold, donated, or traded completion of sale, trade, or do-to non-Federal ownership, including, if perti-nation proceedinos, or accep-l nent as determined by the releasing agen-tance of purchase money mort-cy, site maps and surveys, plot plans, gage.

architect's sketches, working diagrams, pre-liminary drawings, bluepnnts, master trac-ings, utility outlet plans, equipment location l

plans, specifications, construction progress photographs, inspection reports, building and equipment management and mainte-nance records, allowance lists, and dupli-cate copies of title papers, provided (a) that the records can be segregated without harm 9

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Transmittal No. 7 General Records Schedule 4 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION to other documents of enduring value, (b) that no responsibility attaches to the Gov-ernment because of disagreement between the transferred documents and the physical condition of the property at the time of con-veyance, and (c) that if the property is re-leased for historical use or purpose the user i

agrees to retain them and return them to the Federal Government immediately upon the discontinuance of its use for historical pur-poses.

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[ Note: Case files on the disposal of surplus real and related personal property and excess l

real property reports are not covered by the GRS because some of these files may have l

long-term legal value. Agencies must schedule these series by submitting an SF 115 to l

NARA.)

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Transmittal No. 7 General Records Schedule 5

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August 1995

%.J GENERAL RECORDS SCHEDULE S Budoet Preparation. Presentation, and Apportionment Records l

Budget and apportionment records include the various files accumulated in an agency in the course of formulating its budget for submission to the Office of Management and Budget (OMB) and to the Congress; in defending its requests for funds before both bodies; and after enactment of an appropriation bill, in ensuring that the funds are used in such a way as to suffice for the appropriate period of time. The funds are made available to the agency by OMB, usually in quarterly portions, and the agencies must indicate and justify l

regularly to OMB their proposed rate of expenditure. After the funds have been made available to the agency, its own controls over the funds are in its expenditure accounting records (Schedule 7), and detailed information relative to expenditures is contained in the accountable officers' accounts (Schedule 6).

This schedule applies to certain records of budget preparation and apportionment in all agencies, but does not apply to records of OMB and the Treasury Department reflecting the Governmentwide budget responsibilities of those agencies. Records created prior to January 1,1921, must be offered to the National Archives and Records Administration before applying the disposition instructions.

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Agency budget records are normally created at alllevels of agency organization. They show proposals from all operating levels as well as the bureau-wide and agencywide l

coordinating work done by formally organized budget offices. Therefore the records consist of detailed workpapers and budgetary statements developed by single operating units, the more significant budget statements and related papers representing consolidated submissions prepared at the bureau or equivalent level and forwarded to the agency budget officer, and the records at the highest level pertaining to the budget submission for the entire agency.

l The nature of the budget presentation itself is standardized by OMB which prescribes format and procedures for all Federal agencies. However, the internal reports and papers which support the budget and are used in its preparation vary from agency to agency. The budget submission, a record copy of which is usually designated by the agency, is a duplicate of the set of papers submitted to OMB. These include summary statements of appropriations and expenditures, statements of contract authorizations, and statements of l

receipts as well as narrative summary Qtements which highlight the principal features of i

the agency requests and immediately related supporting documents. The narrative l

presents the policies and the programs of the agency which the budgetary requests are to support. In addition to the summaries, the submission includes schedules of obligations and statements pertaining to each type of appropriation and fund under which the individual agency operates. Finally, OMB requires additional supporting data pertaining to (nV) objects of expenditure, particular agency programs, and figures based on the cost of various type of service operations, such as personnel and payrolling activities.

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Transmittal No. 7 General Records Schedule 5 August 1995 All records described in this schedule are authorized for disposal in both hard copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Budaet Correscendence Files.

Correspondence files in formally organized Destroy when 2 years old.

budget offices pertaining to routine administration, internal procedures, and other matters not covered elsewhere in this schedule, EXCLUDING files relating to agency policy and procedure maintained in formally organized budget offices.

I 2.

Budaet Backaround Records.

Cost statements, rough data and similar Destroy 1 year after the close of materials accumulated in the preparation of the fiscal year covered by the annual budget estimates, including budget.

duplicates of budget estimates and justifications and related appropriation language sheets, narrative statements, and related schedules; and originating offices' copies of reports submitted to budget offices.

3.

Budaet Reports Files.

Periodic reports on the status of appropriation accounts and apportionment.

a.

Annual report (end of fiscal year).

Destroy when 5 years old.

b.

All other reports.

Destroy 3 years after the end of the fiscal year.

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i Transmittal No. 7 General Records Schedule 5 August 1995 sJ ITEM N_Q DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 4.

Budaet Apportionment Files.

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Apportionment and reapportionment Destroy 2 years after the close i

schedules, proposing quarterly obligations of the fiscal year.

l under each authorized appropriation.

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[ Note: The following budget files are not covered by the GRS:

-Budget office correspondence or subject files documenting budget policy and procedures and reflecting policy decisions affecting expenditures for agency programs.

--Budget estimates and justifications of formally organized budget offices at the bureau l

(or equivalent) or higher organizational level. Depending on agency recordkeeping l

practices and patterns of documentation, these records may have archival value and must be scheduled by submitting an SF 115 to NARA.]

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lh Transmittal No. 7 General Records Schedule 6 l

August 1995

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GENERAL RECORDS SCHEDULE 6 l

Accountable Officers' Accounts Records This general schedule covers accountable officers' returns and related records, including records under the cognizance of the General Accounting Office (GAO). This schedule does not apply to the copies of schedules and related papers held by the Chief Disbursing Officer of the Treasury. Any records created prior to January 1,1921, must be offered to the National Archives and Records Administration before applying these disposition instructions.

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 GAO since he/she accomplishes the actual payment of public monies to proper Federal creditors; and (c) the certifying officer, whose signature on a summary attests to the authenticity of vouchers listed on the schedule.

O Disbursements for most civilian Government agencies are made by the Chief Disbursing l

Officer of the Treasury, who heads the Division of Disbursement of the Bureau of l

Government Financial Operations within the Treasury Department. Since July 1949, l

disbursements have been made for most agencies on the basis of certified schedules, with the detailed vouchers transferred to GAO from the agency or held in agency space if a site l

audit was involved. This procedure was extended and confirmed by GAO General Regulations, No.115 issued January 29,1952, which promulgated a standard form l

voucher and schedule of payments (Standard Forms 1166 and 1167) for use by all agencies, affective July 1,1952, and formally eliminated the transfer of vouchers of the Chief Disbursing Officer.

This schedule includes records held for onsite audit by GAO, as desenbed in item 1a below. Under onsite audit, vouchers, contracts, schedules, statements of transactions and accountability, and other related supporting documents are retained in agency space for GAO auditors. Section 5 of the Post Office Department Financial Control Act of 1950 and 1

i Section 117(b) of the Budget and Accounting Procedures Act of 1950 (whenever the Comptroller General determines that an audit shall be conducted at the site) require agencies to retain these records, which are under GAO cognizance. GAO has given i

j general authority to the agencies, if the records are no longer required for administrative l

purposes, to transfer all audited records and any unaudited records more than 1 full fiscal year old to Federal records centers. However, to transfer unaudited accountable officers' accounts less than one year old, permission must be obtained from the Director, Records j n Management, GAO. Because the records previously transferred to GAO are retained in

Transmittal No. 7 General Records Schedule 6 August 1995 the agency, some agencies have eliminated the creation of memorandum copies as d3 scribed in item 1b of this schedule.

Records relating to the availability, collection, and custody of funds include (1) the appropriation warrants, (2) other documents that deposit funds into the Treasury, and (3) documents that 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. Agency copies of these deposit and status documents are so intimately related to the accounts of 1

these officers that they are included in this schedule. The copies received by the Fiscal Service of the Treasury Department are not covered by this schedule and are provided for in separate schedules.

All records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Accountable Officers' Files.

O a.

Original or ribbon copy of accountable Destroy 6 years and 3 months officers' accounts maintained in the after period covered by account.

sgency for site audit by GAO auditors, consisting of statements of transactions, statements of accountability, collection schedules, collection vouchers, disbursement schedules, disbursement vouchers, and all other schedules and vouchers or documents used as schedules or vouchers, exclusive of commercial passenger transportation and freight records and payroll records, EXCLUDING accounts and supporting documents pertaining to Arnerican Indians. If an agency is operating under an integrated accounting system approved by GAO, certain required documents supporting vouchers and/or schedules are included in the site audit 2

Transmittal No. 7 General Records Schedule 6 August 1995 i(

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION records. These records document only the basic financial transaction, money received and money paid out or deposited in the course of operating 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 and Optional Forms listed below. Also included are equivalent agency forms which document the basic financial transaction as described above.

C)

SF 215 Deposit Ticket SF 224 Statement of Transactions SF 1012 Travel Voucher j

SF 1034 Public Voucher for Purchases and Services Other Than Personal SF 1036 Statement of Certificate and Award i

SF 1038 Advance of Funds Application and Account SF 1047 Public Voucher for Refunds SF 1069 Voucher for Allowance at Foreign Posts 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 SF 1097 Voucher and Schedule to Effect Correction of Errors O

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Transmittal No. 7 General Records Schedule 6 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION SF 1098 Schedule of Canceled Checks SF 1113 Public Voucher for Transportation Charges i

SF 1129 Reimbursement Voucher SF 1143 Advertising Order SF 1145 Voucher for Payment Under Federal Tort Claims Act SF 1154 Public Voucher for Unpaid Compensation Due a Deceased Civilian Employee SF 1156 Public Voucher for Fees and Mileage SF 1164 Claim for Reimbursement for Expenditures on Official Business 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)

OF 1114 Bill of Collection OF 1114A Official Receipt OF 1114B Collection Voucher 4

Transmittal No. 7 General Records Schedule 6 August 1995 ITEM NQ -

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Memorandum copies of accountable Destroy when 1 year old.

officers' returns including statements of transactions and accountability, all supporting vouchers, schedules, and related documents not covered elsewhere in this schedule, EXCLUDING freight records covered by Schedule 9 and payroll records covered by Schedule 2.

[ NOTE: Accounts and supporting documents pertaining to American Indians are not authorized for disposal. Such records must be retained indefinitely since they may be needed in litigation involving the Government's role as trustee of propedy held by the Government and managed for the benefit of Indians.)

2.

GAO Exceptions Files.

General Accounting Office notices of Destroy 1 year after exception exceptions, such as Standard Form 1100, has been reported as cleared by formal or informal, and related GAO.

correspondence.

3.

Certificates Settlement Files.

Copies of certificates and settlement of accounts of accountable officers, statements of differences, and related records.

a.

Certificates covering closed account Destroy 2 years after date of settlements, supplemental settlements, settlement.

and final balance settlements.

b.

Certificates covering period settlements.

Destroy when subsequent certificate of settlement is received.

5

E Transmittal No. 7 General Records Schedule 6 August 1995 l

ITEM b_lQ.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i

4.

General Fund Files.

Records relating to availability, collection, Destroy when 3 years old.

custody, and deposit of funds including appropnation warrants and certificates of l

deposit, other than those records covered by item 1 of this schedule.

5.

Accountina Administrative Files.

Correspondence, reports, and data relating to voucher preparation, administrative audit, and other accounting and disbursing operations.

a.

Files used for workload and personnel Destroy when 2 years old.

management purposes.

b.

All other files.

Destroy when 3 years old.

6.

Federal Personnel Surety Bond Files.

I a.

Official copies of bond and attached powers of attorney.

i (1) Bonds purchased before Destroy 15 years after bond January 1,1956.

becomes inactive.

(2) Bonds purchased after Destroy 15 years after end of December 31,1955.

bond premium period.

l l

b.

Other bond files including other copies Destroy when bond becomes i

of bonds and related documents.

inactive or after the end of the bond premium period.

l 6

Transmittal No. 7 General Records Schedule 6 August 1995 ITEM NQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 7.

Gasoline Sales Tickets.

- Hard copies of sales tickets filed in support Destroy after GAO audit or when of paid vouchers for credit card purchases of 3 years old, whichever is gasoline.

sooner.

8.

Telephone Toll Tickets.

Originals and copies of toll tickets filed in Destroy after GAO audit or when support of telephone toll call payments.

3 years old, whichever is sooner.

1 9.

Telearams.

Originals and copies of telegrams filed in Destroy after GAO audit or when support of telegraph bills.

3 years old, whichever is sooner.

1

(

10.

Administrative Claims Files.

a.

Claims against the United States.

Destroy when 6 years, 3 months Records relating to claims against the old.

United States for moneys that have been administratively (1) disallowed in full or (2) allowed in full or in part, and final payment of the amount awarded, EXCLUDING claims covered by subitem c. below, i

b.

Claims by the United States subject to the Federal Claims Collection Standards and 28 U.S.C. 2415 or 31 U.S.C.

3716(c)(1).

Records relating to claims for money or property that were administratively determined to be due and owing to the United States and that are subject to the Federal Claims Collection Standards (4 CFR Chapter 11), EXCLUDING claims covered under subitem c. below.

7

Transmittal No. 7 General Records Schedule 6 1

August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (1) Claims which were paid in full or by Destroy when 6 years,3 months means of a compromise agreement old.

pursuant to 4 CFR Part 103.

(2) Claims for which collection action has been terminated under 4 CFR Part 104.

Destroy 10 years,3 months after (a)

Claims for which the the year in which the Government's right to collect Government's right to collect first was not extended.

accrued.

(b)

Claims for which the Destroy 3 months after the end Government is entitled (per 28 of the extended period.

U.S.C. 2415) to additional time to initiate legal edion.

(3) Claims that the agency Destroy when 6 years,3 months administratively determines are not old.

owed to the United States after collection action was initiated.

c.

Claims files that are affected by a court Destroy when the court order is order or that are subject to litigation lifted, litigation is concluded, or proceedings.

when 6 years, 3 months old, whichever is later.

8

i Transmittal No. 7 General Records Schedule 6 August 1995 ITEM HQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 11.

Walver of Claims Files.

Records relating to waiver of daims of the United States against a person arising out of an erroneous payment of pay allowances, travel expenses, or relocation expenses to an employee of an agency or a member or former member of the uniformed services or the National Guard, induding bills of collection, requests for waiver of claim, investigative reports, decisions by agency and/or GAO approving or denying the waiver, and related records.

a.

Approved waivers (agencies may Destroy 6 years,3 months after approve amounts not aggregating to the close of the fiscal year in more than $500 or GAO may approve which the waiver was approved.

O any amount).

b.

Denied waivers.

Destroy with related claims files in accordance with items 10b.

and 10c. of this schedule.

t 9

l Transmittal No. 7 General Records Schedule 7 August 1995 GENERAL RECORDS SCHEDULE 7 Expenditure Accountina Records i

Expenditure accounting records are the ledgers and related documents maintained by all Federal agencies to show in summary fashion how their funds, appropriated and nonappropriated, 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 agency accounting system.

These ledgers summarize the financial status and financial transactions o* the agency, 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 agency custody. They are controls that serve not only as central fiscal records, but also as a primary source of data for top management concerned with agency solvency, expenditures, and 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 documents further detailing the information in the general ledgers or serving as posting media to the ledgers themselves. To the extent that they reflect l

appropriation expenditures, the general ledgers are supported by allotment ledgers, which at all times show the current unobligated balance of funds allotted for specific i

v agency purposes and thereby provide a safeguard against overexpenditure 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 that authorize exact and specific expenditures.

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, that flow through the ledger unit for posting.

b.

Journal vouchers and similar internal control documents created to authorize and convey entries 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 total ledger accounts. Consequently, the ledgers are the source of the data included in the basic apportionment reports to the OMB and the Treasury Department, and overall reports of agency fiscal condition which may be required by the General Accounting Office (Schedules 6 and 8). The adequacy for audit purposes of the generalledger accounts is normally considered by General Accounting Office auditors to o

i e

Transmittal No. 7 General Records Schedule 7 August 1995 be indicative of the agency's entire acc(.unting system and the reliability of its financial data.

This schedule does not apply to such records maintained on a Governmentwide basis by the Treasury Department and the OMB, or to those formerly maintained by the General Accounting Office. Any records created prior to January 1,1921, must be offered to the National Archives and Records Administration before applying these disposition instructions.

When a claim is filed by or against the Government, records relating to the claim should be retained without regard to the otherwise applicable records retention schedules that would have authorized destruction of the records prior to the tirne when the claim is finally resolved, unless the agency has received written approval from the General Accounting Office (44 U.S.C. Section 3309 and 62 Comp. Gen. 42 (1982)). A claim is finally resolved: (1) when it is disallowed and the time for appealing the denial or instituting suit on the claim has expired; or (2) when it is allowed and paid or the amount offered in compromise is accepted and paid; or (3) when the amount found due and owing proves uncollectible because time limits for collectin0 the indebtedness through legal proceedings or by way of setoff have expired.

All records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Expenditures Accountino General Correspondence and Subject Files.

Correspondence or subject files maintained Destroy when 2 years o!d.

by operating units responsible for 2

expenditures accounting, pertaining to their internal operations and administration.

2.

General Accountino Ledoers.

General accounts ledgers, showing debit Destroy 6 years and 3 months and credit entries, and reflecting efter the close of the fiscal year expenditures in summary, involved.

2

Transmittal No. 7 General Records Schedule 7 August 1995 ITEM

fiQ, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 3.

Acoropriation Allotment Files.

Allotment records showing status of Destroy 6 years and 3 months obligations and allotments under each after the close of the fiscal year authorized appropriations.

involved.

4.

Exoenditure / ccountina Postina and Control fil.9.1 Records u'-ed as posting and control media, subsidiary to the general and allotment ledgers, and not covered elsewhere in this schedule.

a. Original records.

Destroy when 3 years old.

l

b. Copies.

Destroy when 2 years old.

i k

3

O O

O 1

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}

Trcnsmittal No; 7 Gansral Records Schsduls 8

(

August 1995

)

GENERAL RECORDS SCHEDULE 8 Stores. Plant. and Cost Accountina Records j

i Specialized stores, plant, and cost accounting records are maintained by mos' agencies, i

particularly those with extensive plant and stock inventories. These records, which reflect the not monetary worth of an agency and its assets, are periodically recorciled with the supply data found in stock inventory reords, but they do not include procurement papers.

Any records created prior to January 1,1921, must be offered to the National Archives and Records Administration before applying these disposition instructions.

a. Stores Accounting. These records are maintained to provide personal accountability for the receipt and custody of materials and to document the monetary worth of such materials. Completed copies of material movement documents show custody, and stores accounting data are normally reviewed and consolidated by means of records and returns submitted to agency headquarters. There the information is used for procurement -

planning, budget, and other management purposes. These records do not include records reflecting the physical movements of material to and from storage points, although they may be involved in posting. Summary data on plant value are also available in pertinent ledger accounts.

b. Plant Accounting. These records document principal characteristics of each item of physical plant and equipment, including real property. They constitute primarily a type of inventory control, but in addition are a principal source of data on the capital investment in physical plant (as distinguished from maintenance or operating costs) and other items not normally represented in a store or stock inventory system. Summary data on plant value are also maintained.

c. Cost Accounting. These records are designed to show accumulated data on the costs of agency operation, the direct and indirect costs of production, administration, and the. performance of program functions of the agency. The data, which are normally accumulated by means of cost reports and statistics accumulated by operating personnel, are ultimately integrated into the accounts concemed with operating and program costs.

Material cost information is collected by posting requisitions for material or procurement documents to intermediate records, and labor cost information is obtained by charging time expended on individual jobs and projects assigned control numbers for cost control purposes. Cost data are used in evaluating economy of agency operation and in preparing budget estimates.

All records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

Trcnsmittal No. 7 G:n rcl Records Sch: dub 8 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Plant. Cost. and Stores General Correspondence Files.

Correspondence files of units responsible Destroy when 3 years old.

for plant, cost, and stores accounting operations.

2.

Stores invoice Files.

Invoices or equivalent papers used for Destroy when 3 years old.

stores accounting purposes.

3.

Stores Accountino Files.

Stores accounting returns and reports.

Destroy when 3 years old.

4.

Stores Accountino Backoround Files.

Working files used in accumulating stores Destroy when 2 years old.

accounting data.

5.

Plant Accountino Files.

Plant account cards and ledgers, other than Destroy 3 years after item is those pertaining to structures, withdrawn from plant account.

j l

[ Note: Plant accounting cards and ledgers pertaining to structures are not disposable under the GRS. Agencies must submit an SF 115 to NARA to schedule these records.]

6.

Cost Accountino Reports.

a. Copies in units receiving reports.

Destroy when 3 years old.

b.

Copies in reporting units, and related Destroy when 3 years old.

workpapers.

l l

2 l

i Trrnsmittal No. 7 Gansral Records Schsdula 8 August 1995 j

ITEM NQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 7.

Cost Report Data Files.

Ledgers, forms, and electronic records j

used to accumulate data for use in cost reports.

l

a. Ledgers and forms.

Destroy when 3 years old.

b. Automated records.

1 (1) Detail cards.

Destroy when 6 months old.

(2) Summary cards.

Destroy when 6 months old.

(3) Tabulations.

Destroy when 1 year old.

O O

3

1 O

Transmittal No. 7 General Records Schedule 9 August 1995 GENERAL RECORDS SCHEDULE 9 Travel and Transoortation Records This schedule covers records documenting the movement of goods and persons under Government orders. The records include bills of lading, transportation requests, transpor-j tation vouchers, per diem vouchers, travel authorizations, and all supporting documenta-tion, including that prescribed by Title 5 of the General Accounting Office Policy and Procedures Manual. Record copies of all travel, transportation, and freight documents used to support payments become components of the accountable officers' accounts.

. Disposition for commercial transportation and freight site audit records is covered by item 1 of this schedule. Individual, noncommercial, reimbursable travel site audit records are covered by General Records Schedule 6, item 1a, item 10, or item 11. Some copies become accounting posting media, which are covered by General Records Schedule 7, item 4.

a. Movement of aoods..The key record is the bill of lading, of which there are copies for consignors, consignees, and the carriers themselves. The documents related to and normally filed with the bill of lading are varied and often voluminous. These may Q

consist of shortage and demurrage reports, invoices, and other data that document the transaction. Included are records relating to the shipment of household effects, autho-rized by law and regulations for military personnel and for civilian employees of the Government. Agencies shipping certain valuables under the Govemment Losses in Shipment Act, which insures against loss, retain copies of schedules of material shipped, documents relating to claims which may ensue, and other pertinent records.

b. Movement of persons. The movement of persons is documented by copies of travel orders, authorizing travel and subsequent payment, and standard-form vouchers showing payment for official travel.. The two primary copies of travel orders are the administrative copy maintained by the transportation unit controlling the authorization of

~

travel and the copy used for encumbrance of funds Vouchers documenting cash advances for travel purposes are covered by General Records Schedule 6, item 1a, only after the advance has been properly liquidated and can be included in a settled fiscal account. Unliquidated cash advances for travel purposes are covered by General Records Schedule 6, item 10.

All records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

Transmittal No. 7 General Records Schedule 9 l

August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i

1.

Commercial Freiaht and Passenaer Trans-portation Files.

a.

Original vouchers and support docu-Destroy 6 years after the period ments covering commercial freight and of the account.

passenger transportation charges of settled fiscal accounts, including regis-ters and other control documents, but EXCLUDING those covered by item 1b of this schedule.

b.

Records covering payment for commer-Destroy when 10 years old.

cial freight and passenger transportation charges for services for which 1) notice of overcharge has been or is expected to be issued, or if a rail freight overpayment is involved, 2) deduction or collection action has been taken,3) voucher contains inbound transit shipment (s),4) parent voucher has print of paid supplemental bill associated, 5) voucher has become involved in litigation, or 6) any other condition, such as detection of overcharge, that prevents the settling of the account, requiring the voucher to be retained beyond the 6 year retention period.

c.

Issuing office copies of Govemment or Destroy 6 years after the period commercial bills of lading, commercial of the account.

passenger transportation vouchers (SF 1113A) and transportation requests (SF 1169), travel authorizations, and support-ing documents.

j d.

Obligation copy of commercial passen.

Destroy when funds are obligat-ger transportation vouchers.

ed.

0 2

1 l

l

Transmittal No. 7 General Records Schedule 9

]

August 1995 l

ITEM M

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION e.

Unused ticket redemption forms, such Destroy when no longer needed as SF 1170.

for administrative use.

2.

Lost or Damaaed Shioments Files.

Schedules of valuables shipped, correspon-Destroy when 6 years old.

dence, reports, and other records relating to the administration of the Government Losses in Shipment Act.

3.

Noncommercial. Reimbursable Travel Files.

Copies of records relating to reimbursing individuals, such as travel orders, per diem vouchers, and all other supporting docu-ments relating to official travel by officers, employees, dependents, or others authorized by law to travel.

a.

Travel administrative office files.

Destroy when 6 years old.

b. Obligation copies.

Destroy when funds are obligat-ed.

4.

General Travel and Transoortation Files.

a.

Routine administrative records including Destroy when 2 years old.

correspondence, forms, and related re-cords pertaining to commercial and non-commercial agency travel and transpor-tation, and freight functions, not covered

{

elsewhere in this schedule.

b.

Accountability records documenting the Destroy 1 year after all entries issue or receipt of accountable docu-are cleared, ments.

3

Transmittal No. 7 General Records Schedule 9 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 5.

Records Relatina to Official Passports.

a.

Application files.

Documents relating to the issuance of Destroy when 3 years old or official passports, including requests for upon separation of the bearer, i

passports, transmittal letters, receipts, whichever is sooner.

and copies of travel authorizations.

b.

Annual reports concerning official pass-ports.

Reports to the Department of State con-Destroy when 1 year old.

cerning the number of official passports issued and related matters.

c.

Passport registers.

Registers and lists of agency personnel Destroy when no longer needed.

who have official passports.

(NOTES: (1) Official passports should be returned to the Department of State upon expiration or upon the separation of the employee. (2) Item Sb does not pertain to copies of the annual reports held by the Department of State.)

O 4

1 l

Transmittat No. 7 General Records Schedule 10 i

August 1995 GENERAL RECORDS SCHEDULE 10 Motor Vehicle Maintenance and Operation Records These records pertain to the management, maintenance, and operation of motor vehicles used by agencies.

i 41 CFR 101-38 prescribes policies and procedures. Standard Form 82, which is an annual motor vehicle report required by the Federal Supply Services, General Services Administration, is the only standardized record. Certain cost and inventory control forms j

have been developed, but they are not mandatory. This schedule covers agency records pertaining to the daily use and operation of the vehicles.

In general, records pertaining to motor vehicles reflect a threefold responsibility: (a) the accumulation of cost and operating data for internal accounting and management purposes and for reports submitted to the Office of Federal Supply and Services (Standard Form 82, Agency Report of Motor Vehicle Data); (b) the maintenance of the vehicles themselves; and (c) protecting the interest of the Government in accident claims against it. The records themselves consist of chauffeur service logs and reports, vehicle j

repair and maintenance checkoff sheets, cost ledgers, and claims correspondence and O

t forms.

V All records described in this schedule are authorized for disposal in both hard-copy and

{

electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Motor Vehicle Correspondence Files.

Correspondence in the operating unit Destroy when 2 years old.

responsible for maintenance and operation of motor vehicles not otherwise covered in this schedule.

2.

Motor Vehicle Operatino and Maintenance Files.

a.

Operating records including those Destroy when 3 months old.

relating to gas and oil consumption, dispatching, and scheduling.

1

Transmittal No. 7 General Records Schedule 10 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Maintenance records, including those Destroy when 1 year old.

relating to service and repair.

3.

Motor Vehicle Cost Files.

Motor vehicle ledger and worksheets Destroy 3 years after providing cost and expense data.

discontinuance of ledger or date of worksheet.

4.

Motor Vehicle Report Files.

j i

Reports on motor vehicles (other than Destroy 3 years after date of 1

accident, operating, and maintenance report.

reports), including SF 82, Agency Report of Motor Vehicle Data.

5.

Motor Vehicle Accident Files.

G, Records relating to motor vehicle accidents, De.: troy 6 years after case is maintained by transportation offices, closed.

including SF 91, Operator's Report of Motor Vehicle Accident, SF 91 A, Investigation Report of Motor Vehicle Accident, and SF 94, Statement of Witness.

6.

Motor Vehicle Release Files.

Records relating to transfer, sale, donation, Destroy 4 years after vehicle or exchange of vehicles, including SF 97, leaves agency custody.

The United States Government Certificate of Release to Obtain Title to a Motor Vehicle.

7.

Motor Vehicle Operator Files.

Records relating to individual employee Destroy 3 years after separation operations of Government-owned vehicles, of employee or 3 years after including driver tests, authorization to use, recision of authorization to safe driving awards, and related operate Government-owned correspondence.

vehicle, whichever is sooner.

2

Transmittal No. 7 Goneral Records Schedule 11 August 1995 GENERAL RECORDS SCHEDULE 11 Space and Maintenance Records This schedule provides for the disposal of all copies, wherever located in an agency, of records relating to space and maintenance, except as indicated below. Records documenting these functions pertain to the acquisition, allocation, utilization, and release of space and include related correspondence and reports submitted to the General Services Administration (or equivalent agency with similar Governmentwide responsibilities) as directed by law and regulation (41 CFR 101-17); correspondence and forms relating to the compilation of directory service listings; identification credentials and related accountable records; requests for building and equipment services; and correspondence files reflecting the activities of the unit responsible for handling space and related matters within the agency.

This schedule does not cover (a) copies of these records that are an integral part of accountable officers' accounts (Schedule 6); (b) records of procurement snd supply (Schedule 3); (c) records that reflect Govemmentwide programs (such as the records held by the Public Buildings Service of the General Services Administration) Any records created prior to the establishment of the Public Buildirgs Administration m 1939 must be offered to the National Archives and Records Administration before applying these disposition instructions.

All records described in this schedule are authorized for disposal in both hard copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Space and Maintenance General Correspondence Files.

Correspondence files of the unit responsible Destroy when 2 years old.

for space and maintenance matters, pertaining to its own administration and operation, and related papers, t

1

Transmittal No. 7 General Records Schedule 11 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 2.

Aaency Space Files.

Records relating to the allocation, utilization, and release of space under agency control, and related reports to the General Services Administration.

a.

Building plan files, surveys, and other Destroy 2 years after termination records utilized in agency space of assignment, or when lease is planning, assignment, and adjustment.

cancelled, or when plans are superseded or obsolete.

b.

Correspondence with and reports to staff agencies relating to agency space holdings and requirements.

(1)

Agency reports to the General Destroy when 2 years old.

j Services Administration, including SF 81, Request for Space, and related documents.

(2)

Copies in subordinate reporting Destroy when 1 year old.

units and related work papers.

3.

Directory Service Files.

Correspondence, forms, and other records Destroy 2 months after issuance relating to the compilation of directory service of listing.

i listings.

2

r Transmittal No. 7 General Records Schedule 11 l

August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 4.

Credentials Files.

Identification credentials and related papers.

a.

Identification credentials including cards, Destroy credentials 3 months l

badges, parking permits, after return to issuing office, phoDgraphs, agency permits to operate motor vehicles, and property, dining room and visitors passes, and other identification credentials.

b.

Receipts, indexes, listings, and Destroy after all listed credentials accountable records.

are accounted for.

(

5.

Buildina and Eauipment Service Files.

Requests for building and equipment Destroy 3 months after work is b\\

maintenance services, excluding fiscal performed or requisition is j

's copies.

cancelled.

j l

i l

l l

r

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3

Transmittal No. 7-General Records Schedule 12 August 1995 GENERAL RECORDS SCHEDULE 12 Communications Records The principal records documenting communication functions include messenger service data; telecommunications service control and operational records; long distance telephone reports; postal records, consisting of post office forms and supporting papers; mail control records and supporting and related papers; agency copies of penalty mail reports; and records relating to private delivery service (such as United Parcel Service).

This schedule covers the records described below, wherever located in an agency but does not cover records that reflect Governmentwide programs, such as records held by the U.S. Postal Service and the Information Technology Service of the General Services

' Administration, other than those documenting their own internal administrative management functions. In addition, item 4, telephone use records, has been reserved pending development of disposition standards acceptable to both the General Services Administration and the General Accounting Office. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Administration before applying the' disposition instructions in this schedule.

s Other than those covered by item 3, all records described in this schedule are authorized for disposal in both hard copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Messenaer Service Files.

Daily logs, assignment records and Destroy when 2 months old.

Instructions, dispatch records, delivery receipts, route schedules, and related records.

2.

Communication General Files.

a.

Correspondence and relatad records Destroy when 2 years old.

pertaining to internal administration and operation.

Transmittal No. 7 General Records Schedule 12 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Telecommunications general files Destroy when 3 years old.

including plans, reports, and other records pertaining to equipment requests, telephone service, and like matters.

c.

Telecommunications statistical reports Destroy when 1 year old.

including cost and volume data.

d.

Telecommunications voucher files.

(1) Reference copies of vouchers, Destroy when 1 fiscal year old.

bills, invoices, and related records.

(2) Records relating to installation, Destroy 1 year after audit or change, removal, and servicing of when 3 years old, whichever is equipment.

sooner.

e.

Copies of agreements with background Destroy 2 years after expiration data and other records relating to or cancellation of agreement.

agreements for telecommunications services.

3.

Telecommunications Operational Files.

[See note on next page.]

a.

Message registers, logs, performance Destroy when 6 months old.

l reports, daily load reports, and related and similar records.

b.

Copies of incoming and original copies Destroy when 2 years old.

l of outgoing messages, including SF 14, l

Telegraphic Message maintained by communications offices or centers, and EXCLUDING the copies maintained by the originating program office.

[ NOTE: Master files and data bases created in central data processing facilities to supplement or replace the records covered by item 3 are not authorized for disposal under the GRS. Such files must be scheduled on an SF 115.]

2

Transmittal No. 7 General Records Schedule 12 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 4.

Telephone Use Records.

RESERVED.

5.

Post Office and Private Mail Company Records.

l Post Office and private mail company forms and supporting papers, exclusive of records held by the United States Postal Service.

a.

Records relating to incoming or outgoing Destroy when 1 year old.

registered mail pouches, registered, certified, insured, overnight, express, and special delivery mail including receipts and return receipts.

b.

Application for registration and Destroy when 1 year old.

certification of declared value mail.

c.

Report of loss, rifling, delayed or late Destroy when 1 year old.

delivery, wrong delivery, or other improper treatment of mail.

l 6.

Mail and Delivery Service Control Files.

a.

Records of receipt and routing of Destroy when 1 year old.

incoming and outgoing mail and items handled by private delivery companies such as United Parcel Service, EXCLUDING both those covered by item 5 and those used as indexes to correspondence files.

b.

Statistical reports of postage used on Destroy when 6 months old.

outgoing mail and fees paid for private deliveries (special delivery, foreign, registered, certified, and parcel post or packages over 4 pounds).

O c.

Requisition for stamps (exclusive of Destroy when 6 months old.

copies used as supporting documents to payment vouchers).

3

Transmittal No. 7 General Records Schedule 12 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION d.

Statistical reports and data relating to Destroy when 1 year old.

handling of mail and volume of work performed.

e.

Records relating to checks, cash, Destroy when 1 year old.

stamps, money orders, or any other valuables remitted to the agency by mail.

f.

Records of and receipts for mail and Destroy when 6 months old.

packages received through the Official Mail and Messenger Service.

g.

General files including correspondence, Destroy when 1 year old or memoranda, directives, and guides when superseded or obsolete, relating to the administration of mail whichever is applicable.

room operations.

i h.

Locator cards, directories, indexes, and Destroy 5 months after other records relating to mail delivery to separation or transfer of individuals.

individual or when obsolete, whichever is applicable.

7.

Penalty Mail Report Files.

Official penalty mail reports and all related Destroy when 6 years old.

papers.

8.

Postal irreaularities File.

Memoranda, correspondence, reports and Destroy 3 years after completion other records relating to irregularities in the of investigation.

handling of mail, such as loss or shortage of postage stamps or money orders, or loss or destruction of mail.

O 4

Transmittal No. 7 General Records Schedule 13 August 1995 GENERAL RECORDS SCHEDULE 13 Printino. Bindina. Duplication. and Distribution Records This schedule provides for the disposal of all copies, wherever located in the aaency, of records relating to printing, binding, duplication, and distribution, except as indicated. The principal records documenting these functions are (a) records pertaining to requests for service, control, production, and distribution of individual jobs or projects (this material normally consists of requisitions requesting service and registers or similar media utilized to control the receipt of the requisitions and to record the production, distribution, and cost analysis within the operating units); and (b) correspondence and report files reflecting the activities of the unit responsible for handling, printing, binding, duplication, and distribution matters within the agency. Any records created prior to January 1,1921, must be offered to the National Archives and Records Administration before applying these disposition instructions.

This schedule does not cover (a) the record copy of printed materials; (b) records retained by agencies for onsite audit by the General Accounting Office, and agency memorandum copies which are part of the accountable officers' accounts (Schedule 6); and (c) records that reflect agency programs (such as those of the Government Printing Office and the Bureau of Engraving and Printing), rather than administrative management functions.

All records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Administrative Correspondence Files.

Correspondence files pertaining to the Destroy when 2 years old.

administration and operation of the unit responsible for printing, binding, duplication, and distribution matters, and related documents.

2.

Project Files.

Job ~ or project records containing information relating to planning and execution of printing, binding, duplication, and distribution jobs.

i l

Transmittal No. 7 General Records Schedule 13 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i

a.

Files pertaining to the accomplishment Destroy 1 year after completion of the job, containing requisitions, bills, of job.

samples, manuscript clearances, and related documents exclusive of (1) requisitions on the Public Printer and related records; and (2) records relating to services obtained outside the agency.

b.

Files pertaining to planning and other Destroy when 3 years old.

technical matters.

[ NOTE: The GRS does not cover the publications themselves. One copy of each publication should be designated the record copy and scheduled for transfer to the National Archives. Agencies should describe each series of publications on an SF 115 submitted to NARA. Extra copies are nonrecord and may be destroyed when no longer n eded.)

3.

Control Files.

Control registers pertaining to requisitions Destroy 1 year after close of and work orders.

fiscal year in which compiled or 1 year after filling of register, whichever is applicable.

4.

Mailina Lists.

a.

Correspondence, request forms, and Destroy after appropriate other records relating to changes in revision of mailing list or after 3 mailing lists.

months, whichever is sooner.

b.

Card lists.

Destroy individual cards when cancelled or revised.

l O

2 l

l

l l

t Transmittal No. 7 General Records Schedule 13 August 1995 l

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l

5.

JCP Reports Files.

Reports to Congress and related records.

a.

Agency report to Joint Committee on Destroy when 3 years old.

Printing regarding operation of Class A l

and B Plants and inventories of printing, binding, and related equipment in Class A and B Plants or in storage.

b.

Copies in subordinate reporting units Destroy 1 year after date of and related workpapers.

report.

6.

Internal Manaaement Files.

Records relating to internal management and Destroy when 2 years old.

operation of the unit.

s l

3

Transmittal No. 7 General Records Schedule 14

-s l

i August 1995 D

GENERAL RECORDS SCHEDULE 14 Information Services Records This schedule covers certain records pertaining to informational services performed by Government agencies in their day-to-day affairs and in their relations with the public; including records created in administering Freedom of information Act and Privacy Act programs. Except as othenvise specified in individualitems, it applies to copies of these records wherever located in an agency. Item 4 applies only to files maintained in the office responsible for the operation of the information activities of the agency or subdivision thereof. Items 11 through 15 describe the files accumulated in carrying out the provisions of the Freedom of Information Act, and items 21 through 26 describe the files created in administering the provisions of the Privacy Act. Items 31 through 35 cover records created in response to requests for mandatory records declassification.

These records consist of inquiries, replies, and related correspondence; in the case of FOIA, Privacy Act, and mandatory declassification files, appeals and other records; administrative background files for formal information releases, and records relating to inappropriate release of privileged information. Closely related records such as records relating to budget presentation, ard printing, duplicating, and distribution are covered by (o')

other General Records Schedules. Records created prior to January 1,1921, must be V

offered to the National Archives and Records Administration (NARA) before applying this j

schedule.

Other information services records such as speeches and press releases may have permanent value. As potentially archival records, these series must be scheduled individually so NARA may appraise them. To schedule these and other information services records not included in this schedule, agencies submit an SF 115, Request for Records Disposition Authority, to NARA.

All records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Information Reauests Files.

Requests for information and copies of Destroy when 3 months old or replies thereto, involving no administrative when no longer needed, actions, no policy decisions, and no special whichever is sooner.

l (

compilations or research and requests for

'~'

l and transmittals of publications, photographs, and other information literature.

l

i I

l Transmittal No. 7 General Records Schedule 14 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1

2.

Acknowledaement Files.

Acknowledgement and transmittals of Destroy 3 months after l

inquiries and requests that have been acknowledgement and referral.

referred elsewhere for reply.

3.

Press Service Files.

Press service teletype news and similar Destroy when 3 months old.

materials.

4.

Information Project Files.

Information service project case files Destroy 1 year after close of file maintained in formally designated information or 1 year after completion of offices.

project.

5.

Commendation /Comolaint Correspondence Files.

Anonymous letters, letters of commendation, Destroy when 3 months old.

complaint, criticism and suggestion, and l

replies thereto, EXCLUDING those on the basis of which investigations were made or administrative action taken and those incorporated into individual personnel records.

6.

Indexes and Check Lists.

Bibliographies, checklists, and indexes of Destroy when superseded or agency publications and releases, obsolete.

EXCLUDING those relating to record sets I

scheduled as permanent.

1

7. through 10. Reserved.

O 2

I Transmittal No. 7 General Records Schedule 14 i

( -)

August 1995

%J ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i

11.

Freedom of information Act (FOIA) Requests Files.

Files created in response to requests for information under the Freedom of Information Act, consisting of the original request, a copy of the reply thereto, and all related supporting files which may include the official file copy of requested record or copy thereof.

a.

Correspondence and supporting documents (EXCLUDING the official file copy of the records requested if filed herein).

(1) Granting access to all the Destroy 2 years after date of requested records.

reply.

(2) Responding to requests for non-existent records; to requesters who provide inadequate descriptions; and to those who fail to pay agency reproduction fees.

(a) Request not appealed.

Destroy 2 years after date of reply.

(b) Request appealed.

Destroy as authorized under Item 12.

(3) Denying access to all or part of the records requested.

(a) Request not appealed.

Destroy 6 years after date of reply.

(b) Request appealed.

Destroy as authorized under item 12.

3

Transmittal No. 7 General Records Schedule 14 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Official file copy of requested records.

Dispose of in accordance with approved agency disposition instructions for the related records or with the related FOIA request, whichever is later.

12.

FOIA Appeals Files.

Files created in responding to administrative appeals under the FOIA for release of information denied by the agency, consisting of the appellant's letter, a copy of the reply thereto, and related supporting documents, which may include the official file copy of records under appeal or copy thereof.

a.

Correspondence and supporting Destroy 6 years after final documents (EXCLUDING the file copy determination by agency,6 years of the records under appealif filed after the time at which a herein).

requester could file suit, or 3 years after final adjudication by the courts, whichever is later.

b.

Official file copy of records under Dispose of in accordance with appeal.

approved agency disposition instructions for the related record or with the related FOIA request, whichever is later.

13.

FOIA Control Files.

Files maintained for control purposes in responding to requests, including registers and similar records listing date, nature, and purpose of request and name and address of requester.

4

p Transmittal No. 7 General Records Schedule 14 Q

August 1995 ITEM i

NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION a.

Registers or listing.

Destroy 6 years after date of last entry.

b.

Other files.

Destroy 6 years after final action by the agency or after final adjudication by courts, whichever is later.

14.

FOIA Reports Files.

Recurring reports and one-time information Destroy when 2 years old or requirements relating to the agency sooner if no longer needed for implementation of the Freedom of administrative use.

Information Act, EXCLUDING annual reports to the Congress at the departmental or agency level.

y

[ NOTE: The GRS does not cover departmental cr agency level annual reports to the Congress. These reports should be scheduled for transfer to the National Archives by submitting an SF 115 to NARA.]

15.

FOIA Administrative Files.

Records relating to the general agency Destroy when 2 years old or implementation of the FOIA, including sooner if no longer needed for notices, memoranda, routine administrative use.

correspondence, and related records.

16. through 20. Reserved.

21.

Privacy Act Reouests Files.

Files created in response to requests from individuals to gain access to their records or to any information in the records pertaining to them, as provided for under 5 U.S.C.

552a(d)(1). Files contain original request, copy of reply thereto, and all related supporting documents, which may include the official file copy of records requested or copy thereof.

5

Transmittal No. 7 General Records Schedule 14 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i

a.

Correspondence and supporting documents (EXCLUDING the official file copy of the records requested if filed herein).

(1) Granting access to all the Destroy 2 years after date of requested records.

reply.

(2) Responding to requests for j

nonexistent records; to requesters who provide inadequate descriptions; and to those who fail l

to pay agency reproduction fees.

(a) Requests not appealed.

Destroy 2 years after date of reply.

(b) Requests appealed.

Destroy as authorized under Item 22.

(3) Denying access to all or part of the records requested.

(a) Requests not appealed.

Destroy 5 years after date of reply.

(b) Requests appealed.

Destroy as authorized under item 22.

b.

Official file copy of reauested records.

Dispose of in accordance with approved agency disposition instructions for the related records or with the related Privacy Act request, whichever is later.

1 6

Transmittal No. 7 General Records Schedule 14 August 1995 ITEM NO.

DESCRIPTIQN OF RECORDS AUTHORIZED DISPOSITION 22.

Privacy Act Amendment Case Files.

l Files relating to an individual's request to amend a record pertaining to that individual as provided for under 5 U.S.C. 552a(d)(2); to the individual's request for a review of an agency's refusal of the individual's request to amend a record as provided for under 552a(d)(3); and to any civil action brought by the individual against the refusing agency as provided under 5 U.S.C. 552a(g).

a.

Requests to amend agreed to by Dispose of in accordance with agency. Includes individual's requests the approved disposition to amend and/or review refusal to instructions for the related amend, copies of agency's replies subject individual's record or 4 O

thereto, and related materials.

years after agency's agreement to amend, whichever is later.

b.

Requests to amend refused by agency.

Dispose of in accordance with includes individual's requests to amend the approved disposition and to review refusal to amend, copies instructions for the related of agency's replies thereto, statement of subject individual's record, 4 disagreement, agency justification for years after final determination by refusal to amend a record, and related agency, or 3 years after final materials.

adjudication by courts, whichever is later.

c.

Appealed requests to amend. Includes Dispose of in accordance with all files created in responding to appeals the approved disposition under the Privacy Act for refusal by any instructions for related subject agency to amend a record.

individual's record or 3 years after final adjudication by courts, whichever is later.

O 7

1 1

Transmittal No. 7 General Records Schedule 14 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 23.

Privacy Act Accounting of Disclosure Files.

Dispose of in accordance with Files maintained under the provisions of 5 the approved disposition U.S.C. 552a(c) for an accurate accounting of instructions for the related the date, nature, and purpose of each subject individual's records or 5 disclosure of a record to any person or to years after the disclosure for another agency, including forms for showing which the accountability was the subject individual's name, requester's made, whichever is later.

name and address, purpose and date of disclosure, and proof of subject individual's consent when applicable.

24.

Privacy Act Control Files.

Files maintained for control purposes in responding to requests, including registers and similar records listing date, nature of request, and name aru address of requester.

a.

Registers or listings.

Destroy 5 years after date of last entry.

b.

Other files.

Destroy 5 years after final action by the agency or final adjudication by courts, whichever is later.

25.

Privacy Act Reports Files.

Recurring reports and one-time information Destroy when 2 years old.

requirement relating to agency implementation, including biennial reports to the Office of Management and Budget, and the Report on New Systems at the alllevels.

l

[ NOTE: The GRS does not cover the biennial report to Congress from the Office of Management and Budget.]

O 8

(

I l

g Transmittal No. 7 General Records Schedulo 14 b'

August 1995 i

ITEM l

NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1

\\

26.

Privacy Act General Administrative Files.

i Records relating to the general agency Destroy when 2 years old or l

implementation of the Privacy Act, including sooner if no longer needed for i

notices, memoranda, routine administrative use.

l correspondence, and related records.

i

27. through 30. Reserved.

l 31.

Mandatory Review For Declassification Reauests Files.

I Files created in response to requests for l

information under the mandatory review l

provisions of Executive Order (E.O.) 12356 consisting of the original request, a copy of i

the reply thereto, and all related supporting e

(

files, which may include the official file copy L

i cf requested records or a copy thereof.

l a.

Correspondence and supporting documents (EXCLUDING the official file i

copy of the records lf filed herein, and l

sanitizing instructions, if applicable).

(1) Granting access to all the Destroy 2 years after date of requested records.

reply.

l (2) Responding to requests for nonexistent records; to requesters who provide inadequate descriptions; and to those who fail to pay agency reproduction fees.

(a) Request not appealed.

Destroy 2 years after date of reply.

l (b) Request appealed.

Destroy as authorized under item

32. ITEM

/"'T

\\

9

Transmittal No. 7 General Records Schedule 14 August 1995 NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (3) Denying access to all or part of the records requested.

(a) Request not appealed.

Destroy 5 years after date of reply.

(b) Request appealed.

Destroy as authorized under item 32.

b.

Official file copy of requested records.

Dispose of in accordance with approved disposition instructions for the related records or with the related mandatory review request, whichever is later.

c.

Sanitizing instructions.

Destroy when superseded or when requested documents are 32.

Mandatory Review for Declassification Appeals Files.

Files created in responding to administrative appeals under the mandatory review provisions of E.O.12356 and its predecessors for release of information denied by the agency. Files consist of the appellant's letter, a copy of the reply thereto, and related supporting documents, which may include the official file copy of records under appeal or copy thereof.

a.

Correspondence and supporting Destroy 4 years after final documents (EXCLUDING the official detormination by agency.

file copy of the records under appeal if filed herein).

O 10

Transmittal No. 7 General Records Schedule 14

, O August 1995 i

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Official file copy of records under Dispose of in accordance with l

appeal.

approved agency disposition instructions for the related j

records, or with the related mandatory review rer,uest.

l whichever is later.

33.

hiandatory Review for Declassification Control Files.

Files maintained for control purposes in l

responding to requests, including registers l

crd similar records listing date, nature, and l

purpose of request and name and address af requester.

l a.

Registers or listing.

Destroy 5 years after date.

]

l b.

Other files.

Destroy 5 years after final action l

34.

Mandatory Review for Dec!assification l

Reports Files.

Reports relating to agency implementation of Destroy when 2 years old or the mandatory review provisions of the sooner if no longer needed for current Executive Order on classified national administrative use.

security information, including annual reports submitted to the Information Security Oversight Office.

35.

Mandatory Review for Declassification 1

Administrative Files.

' Records relating to the general agency Destroy when 2 years ola or implementation of the mandatory review sooner if no longer needed for 1

provisions of the current Executive Order on administrative use.

l classif;ed national security information, including notices, memoranda, l

j correspondence, and related records.

11

Transmittal No. 7 General Records Schedule 14 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 36.

Erroneous Release Files.

Files relating to the inadvertent release of privileged information to unauthorized parties, containing information the disclosure of which would constitute an unwarranted invasion of personal privacy.

Files contain requests for information, copies of replies thereto, and all related supporting documents, and may include the official copy of records requested or copies

thereof, a.

Files that include the official file copy of Follow the disposition the released records, instructions approved for the released official file copy or destroy 6 years after the erroneous release, whichever is

later, b.

Files that do not include the official file Destroy 6 years after the copy of the released records.

erroneous release.

12

Transmittal No. 7 General Records Schedule 15 August 1995 v

GENERAL RECORDS SCHEDULE 15 Housino Records The housing records covered by this schedule include files and data accurnulated in the maintenance and management of Federally owned and operated housing facilities within the continental United States for civilian employees of the Federal Government, military personnel, and others eligible by law to reside in the projects. These facilities may consist of low cost quarters located either within or adjacent to the confines of Federal installations or in a critical defense or other area. This schedule includes housing records maintained by housing managers and housing or quarters offices, but does not cover the headquarters or staff office files of the supervising agency, or the files of the HUD, the Department of Health and Human Services, or the Department of Veterans Affairs pertaining to program operations in planning and financing housing facilities.

Maintenance records reflect repair and general upkeep of the housing project or units.

Management involves the assignment and rental of units, rent collection and other fiscal operations, and overall supervision. However, rental charges for military personnel are normally represented by checkages made against pay accounts.

['

Certain housing records are subject to the provisions of other General Records

\\

Schedules. Supply and fiscal files are covered by General Records Schedules 3 and 6.

Schedules 1,2,8, and 10 may also be involved. Many records of agent cashiers serving as housing rental managers are similar to those of other Federal accountable officers and are disposable under General Records Schedule 6.

All records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Housino General Correspondence Files.

Correspondence files pertaining to the Destroy when 2 years old.

maintenance and management of housing projects.

(D V

Transmittal No. 7 General Records Schedule 15 August 1995 ITEM j

NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 2.

Housino Maintenance and Repair Files.

Maintenance and repair records for individual units.

a. Summary card or ledger record.

Destroy 3 fiscal years following close of fiscal year in which unit is closed to tenancy or leaves agency control.

b. Work orders, requisitions, and related Destroy 3 fiscal years following papers involved in repair and maintenance close of fiscal year in which work work.

is done.

3.

Housina Manaaement Files.

Reports pertaining to housing management, Destroy when 2 years old.

including expenditure, survey, collection, and other statistical and narrative data.

4.

Housino Lease Files.

Copies of leases, renewals, termination Destroy 3 fiscal years following notices, and related documents.

close of fiscal year in which (a) lease termination, lapse, or cancellation occurs or (b) litigation is concluded, whichever is later.

5.

Housina Assionment and Vacancy Card Files.

a. Individual tenant cards.

Destroy when tenant vacates unit.

9 2

l

\\

,m Transmittal No. 7 General Records Schedule 15

)

August 1995 l

ITEM NO.

. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l

b. Individual housing unit cards.

Destroy 3 fiscal years after close of fiscal year in which unit is closed to tenancy or leaves agency control.

6.

Housina inventory Files.

Furnishing inventory files, pertaining to items Destroy 3 fiscal years after close included in furnished units.

of fiscal year in which inventory is superseded.

7.

Housina Application Files (other than copies in lease files).

a. Rejected application files.

Destroy 1 year from date of p

rejection.

b. All others.

Destroy when 2 years old.

3

l Transmittal No. 7 General Records Schedule 16 O

August 1995 GENERAL RECORDS SCHEDULE 16 Administrative Manaaement Records This schedule provides for the disposal of certain records relating to administrative management activities in Federal agencies, excluding records of operating personnel, budget, accounting, and printing functions, which are covered by other General Records Schedules. Included within the scope of the schedule are disposable records created in the course of organizational planning, davelopment, and simplification of procedures; records management activities; and administration of management improvement programs. General Records Schedule 1 (Items 12 and 13) provide for the disposition of case files on individuals involved in incentive award and similar types of management l

improvement programs. Any records created prior to January 1,1939, must be offered to l

the National Archives and Records Administration before applying these disposition instructions.

l The organizational locations and titles of administrative management units vary from l

agency to ager.cy. They may be scattered at numerous levels or locations, or may be j

centralized. For the purposes of this schedule, the nomenclature standards set forth by the Senate Committee on Government Operations in Senate Report No. 245,80th

,O Congress,1st session, are followed: the first organizational level within an agency is the lb bureau level; subordinate components are, successively, division, branch, section, and I

unit.

This schedule is based on the presumption that management activities are carried on by a specialized person or unit with, at least, divisionwide and usually bureauwide or l

agencywide responsibilities or by a group of such persons or units in an agency, although its provisions are applicable to exactly comparable records of agencies without such formal assignments of responsibility. Many similar or comparable records created at lower organizational levels or in field offices vary so greatly in content, value, and arrangement that they are not covered by this schedule.

l l

Because of the nature of the activities documented by administrative management l

records, a relatively large proportion of them is of continuing value. Files with potential archival value are not covered by the General Records Schedules. They must be scheduled individually by submission of an SF 115 to NARA. These records include organizational charts and reorganization studies, functional statements,, delegations of authority, and agency histories. However, related temporary or ephemeral materials include working papers that do not have a direct bearing on the transaction, intermediate drafts of documents and worksheets that do not represent significant basic steps in the preparation of final drafts, letters or memoranda of transmittal and acknowledgment, routing slips, and extra copies of documents.

(

1

l Transmittal No. 7 General Records Schedule 16 August 1995 All records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Administrative Issuances.

a.

Notices and other types of issuances Destroy when superseded or related to routine administrative functions obsolete.

(e.g., payroll, procurement, personnel).

b.

Case files related to (a) above that Destroy when issuance is document aspects of the development of destroyed.

the issuance.

[ NOTE: Record sets of formal directives, procedural and operating manuals, publications, and management improvement reports submitted to the Office of Management and Budget, and the case files documenting their development are potentially permanent records and must be scheduled by submission of an SF 115 to NARA.)

2.

Records Disposition Files.

I Descriptive inventories, disposal authorizations, schedules, and reports.

a.

Basic documentation of records Destroy when related records are description and disposition programs, destroyed, or transferred to the including SF 115, Request for Records National Archives, or when no Disposition Authority; SF 135, Records longer needed for administrative Transmittal and Receipt; SF 258, or reference purposes.

Request to Transfer, Approval, and Receipt of Records to National Archives of the United States; and related documentation.

l b.

Routine correspondence and Destroy when no longer needed memoranda.

for reference.

9 2

l

Transmittal No. 7 General Records Schedule 16 O

August 1995 ITEM NA DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 3.

Forms Files.

l a.

One record copy of each form created Destroy 5 years after related by an agency with related instructions form is discontinued, and documentation showing inception, superseded, or canceled.

scope, and purpose of the form.

b.

Background materials, requisitions, Destroy when related form is specifications, processing data, and discontinued, superseded, or

. control records.

canceled.

4.

Records Holoinas Files.

Statistical reports of agency holdings, including feeder reports from all offices and data on the volume of records disposed of by destruction or transfer.

a.

Records held by offices that prepare Destroy when 3 years old.

reports on agencywide records holdings.

l b.

Records held by other offices.

Destroy when 1 year old.

5.

Prolect Control Files.

Memoranda, reports, and other records Destroy 1 year after the year in l

documenting assignments, progress, and which the project is closed.

l completion of projects.

6.

Reports Control Files.

Case files maintained for each agency report Destroy 2 years after the report created or proposed, including oublic use is discontinued.

reports. Included are clearance forms, including OMB 83 (formerly SF 83); copies of pertinent forms or descriptions of format; copies of authorizing directives; preparation j

instructions; and documents relating to the evaluation, continuation, revision, and discontinuance of reporting requirements.

3

Transmittal No. 7 General Records Schedule 16 i

August 1995 ITEM E

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 7.

Records Manaaement Files.

Correspondence, reports, authorizations, and Destroy when 6 years old. Earlier other records that relate to the management disposalis authorized if records of agency records, including such matters as are superseded, obsolete, or no forms, correspondence, reports, mail, and longer needed for reference.

files management; the use of microforms, ADP systems, and word processing; records management surveys; vital records programs; and all other aspects of records management not covered elsewhere in this schedule.

8.

Committee and Conference Files.

a.

Records relating to establishment, Destroy 2 years after termination organization, membership, and policy of of committee.

Internal committees.

O b.

Records created by committees.

(1)

Agenda, minutes, final reports, Destroy when 3 years old or and related records when no longer needed for documenting the reference, whichever is sooner.

accomplishments of official boards and committees, EXCLUDING those maintained by the sponsor or Secretariat.

[ NOTE: Records maintained by the sponsor or Secretariat are potentially permanent and must be scheduled by submission of an SF 115 to NARA.]

(2)

All other committee records.

Destroy when 3 years old or when no longer needed for reference, whichever is sooner.

[ NOTE: Records created to comply with the provisions of the Government in the Sunshine Act, including transcriptions and minutes of closed meetings, electronic recordings for which verbatim transcripts do not exist, and annual reports to Congress describing the agency's compliance with the act, are permanent records and must be scheduled by submission of an SF 115 to NARA.]

4

1 i

Transmittal No. 7 General Records Schedule 16 August 1995 ITEM M

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION c.

Records maintained by agency Destroy 5 years after termination Committee Management Officers for of committee.

committees established under the Federal Advisory Committee Act, including copies of charters, membership lists, agendas, policy statements, and material required to be available for public information.

[ NOTE: This subitem does not apply to records maintained at the General Services Administration or records covered elsewhere in this schedule.)

9.

Feasibility Studies.

Studies conducted before the installation of Destroy 5 years after completion any technology or equipment associated with or cancellation of study, information management systems, such as

/

word processing, copiers, micrographics, and communications. Studies and system analyses for the initial establishment and major changes of these systems. Such studies typically include a consideration of the alternatives of the proposed system and a cost / benefit analysis, including an analysis of the improved efficiency and effectiveness to be expected from the proposed system.

10.

Microform Insoection Records.

a.

Agency copy of inventories, logs, and Destroy 1 year after the records reports documenting the inspection of are transferred to the legal permanent microform records, as custody of the National Archives.

required by 36 CFR Part 1230.

[ NOTES: (1) This item does not cover the copy of logs and reports that are attached to the SF 135 when records are transferred to a Federal records center or the SF 258 when records are transferred to the National Archives. (2) Inspection records for unscheduled records that are converted to microform are also unscheduled and may not be destroyed.]

5

Transmittal No. 7 General Records Schedule 16 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Agency copy of logs and other records Destroy when no longer needed, documenting the inspection of temporary microform records. as recommended by 36 CFR Part 1230.

j 11.

IRM Triennial Review Files.

Reports required by the General Services Destroy when 7 years old.

Administration concerning reviews of information resources management (IRM) practices. Included are associated correspondence, studies, directives, feeder reports, and monitoring surveys and reports.

12.

Information Collection Budaet Files.

Reports required by the Office of Destroy when 7 years old.

Management and Budget under the Paperwork Reduction Act about the number of hours the public spends fulfilling agency reporting requirements. Included are associated feeder reports, report exhibits, correspondence, directives, and statistical compilations.

13.

Documents Published in the Federal Reaister.

a.

Files documenting the processing of Destray when 1 year old.

notices announcing committee meetings, including meetings open to the public under the Government in Sunshine Act (5 U.S.C. 552b (e) (3); hearings and investigations; filing of petitions and applications; issuance or revocation of a license; grant application deadlines, the availability of certair' Cvironmental impact statements; c legations of authority; ar.d oli,9r matters that are not codified in the Code of Federal Regulations.

6

4 Transmittal No. 7 General Records Schedule 16 O

August 1995 ITEM NQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Files documenting the processing of Destroy when 2 years old.

semiannual regulatory agenda.

[ NOTE: Agency files documenting the development, clearance, and processing of proposed and final rules for publication in the Federal Register are not covered by the General Records Schedules. These records may be, but are not necessarily, permanent.

They must be scheduled individually by each agency so NARA can conduct an analysis and appraisal to determine their appropriate disposition.]

14.

Manaaement Control Records.

Records created in accordance with procedures mandated by OMB Circular A-123, Management Accountability and Control Systems, and P.L.97-255, the Federal Managers' Financial Integrity Act. Under p

these authorities, agencies are required to perform evaluations of their accounting and e

administrative controls to prevent waste,

' fraud, and mismanagement.

a.

Policy, procedure, and guidance files.

Copies of internal directives maintained Destroy when superseded, by the agency's internal control staff (but not those copies maintained in the agency's official file of intemal directives); external directives such as OMB Circular A-123; and correspondence outlining policy and procedure for performing management reviews.

b.

Management control plans.

Comprehensive plans documenting the Destroy when superseded.

agency's efforts to ensure compilance with OMB Circular A-123.

O 7

1

Transmittal No. 7 General Records Schedule 16 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION c.

Risk analyses.

Reports and supporting materials used Cut off closed fi;es annually, to document review of program areas for Destroy after next review cycle.

susceptibility to loss or unauthorized use of resources, errors in reports and information, and illegal and unethical actions.

d.

Annual reports and assurance Cut off closed files annually, statements created by organizational Destroy after next reporting components below the agency cycle.

(department or independent agency) level and compiled by the agency into a single unified report for direct submission to the President or Congress.

[ NOTE: This item does not cover the consolidated final reports submitted directly to the President or Congress. The final reports must be scheduled by submitting an SF 115 to the National Archives.)

e.

Tracking files.

Files used to ensure the completion and Destroy when no longer needed.

timeliness of submission of feeder reports, including schedules of evaluations, interim reporting, lists of units required to report, and correspondence relating to the performance of the reviews.

O 8

Transmittal No. 7 General Records Schedule 16 August 1995 ITEM

N_Q, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION f.

Review files.

Correspondence, reports, action copies of audit findings, and other records that l

identify program intemal control l

weaknesses, and corrective actions taken to resolve such problems. Since l

A-123 provides for alternative internal l

control reviews under OMB Circulars A-i 76, A-127, or A-130, this item also applies to copies of these reviews, provided they are identified as alternative l

reviews in the management control plan.

l (1) Office with responsibility for Cut off when no further coordinating internal Control corrective action is necessary, functions.

Destroy 5 years after cutoff.

p (2) Copies maintained by other offices as Cut off when no further internal reviews.

corrective action is necessary.

Destroy 1 year after cutoff.

l

[ NOTE: Alternative reviews such as computer security reviews and management and consultant studies may need to be kept longer than provided in item 14f(2). This item applies only to copies maintained as internal reviews.)

l l

9

l i

1 Transmittal No. 7 General Records Schedule 17 August 1995 j

GENERAL RECORDS SCHEDULE 17

{

Cadoarachic. Aerial Photoorachic. Architectural. and Enaineerina Records Federal agencies create or receive cartographic, aerial photographic, architectural, and engineering design records in connection with their official activities. Many of these records have continuing historical value after they are no longer being used by the agency. Descriptions of both the historically valuable and the disposable records were formerly included in General Records Schedule 17, Cartographic, Remote Sensing Imagery, and Related Records, and in General Records Schedule 22, Design and Construction Drawings and Related Records. The General Records Schedules have been revised to cover only disposable records. Guidelines for identifying and scheduling the records of continuing value are now provided in " Managing Cartographic and Architectural Records: An Instructional Guide." The Guide must be used in conjunction with the General Records Schedule to insure proper disposition of all cartographic, aerial photographic, architectural, and engineering design records held by an agency.

This schedule relates to cartographic records prepared during intermediate stages of publication, unannotated aerial photographic negatives and prints, and architectural and engineering drawings. Cartographic and aerial photographic records created before O

January 1,1950, and architectural or engineering drawings created before January 1, 1921, must be brought to the attention of the National Archives before applying the disposition instructions in this schedule.

ITEM M

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Cartoarachic Records Prepared Durina Intermediate Stacos of Publication.

Scribed plastic sheets, color separation Destroy when no longer needed sheets, composites prepared as a step in the for revision.

making of color separation sheets, photographic negatives, glass plate negatives, enlargements or reductions, color pulls, proof copies subject to final revision,

" correction file" maps annotated to show corrections to be incorporated into the next edition of the published map, and similar items whose informational content is duplicated by the final pubIlshed map.

O

Transmittal No. 7 General Records Schedule 17 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 2.

Vertical and Obliaue Aerial Photoaraohv.

Vertical and oblique film in black and white, color, or " false color," including related photo indexes (controlled or uncontrolled mosaics),

flight line indexes, or coordinate grid systems used as finding aids.

a.

Unannotated duplicate copy negatives, Destroy when no longer needed 1

internegatives, rectified negatives, and for agency use.

glass plate negatives.

b.

Unannotated prints when original film Destroy when no longer needed negatives exist.

for agency use.

[ NOTE: The term aerial photography means visual images of the surface of the earth, of other planetary bodies, or of the atmosphere, taken from airborne vehicles for the purpose of evaluating, measuring, or mapping the cultural and physical features of the landscape or sky, and related tabular and graphic indexes necessary for the proper identification and retrieval of these records. Conventional aerial photographs taken from aircraft produce direct film images from cameras. Other remote sensing imagery, such as that from orbiting satellites, which requires conversion or alteration of sensor data from digital, ciectronic, or computerized form to photographic or videographic images must be scheduled for disposition on a case-by-case basis.)

3.

Architectoral Drawinas of Temocrarv Structures and Buildinas or of Buildinas Not Critical to the Mission of the Aaency.

Drawings of structures and buildings such as Destroy when no longer needed telephone and electric lines, storage sheds, for administrative purposes.

parking lots, and comfort stations.

4.

Drawinas of Electrical. Plumbina. Heatina. or Destroy when no longer needed Air Conditionina Systems.

for administrative purposes.

9 2

I Transmittal No. 7 General Records Schedule 17

!I August 1995 l

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l

5.

Contract Neactiation Drawinas.

Drawings prepared during contract Destroy when no longer needed l

negotiation for buildings or objects lacking for administrative purposes.

i nistorical, architectural, or technological l

significance; drawings related to electrical, plumbing, heating, or air conditioning projects; or drawings superseded by final l

working /as built drawings.

6.

Space Assianment Plans.

l Outline floor plans indicating occupancy of a Destroy when no longer needed l

building.

for administrative purposes.

7.

Architectural Models.

Models prepared for illustrative or Dispose of when no longer presentation purposes.

needed for administrative l

purposes.

j i

[ NOTE: These models may be offered for donation to museums or similar organizations after approval by NARA under the provisions of 36 CFR 1228.60.)

8.

Enaineerina Drawinas of Routine Minor Parts.

Drawings of such objects as fasteners, nuts, Destroy when no longer needed bolts, wires, screws, nails, pipefittings, for administrative purposes.

brackets, struts, plates, and beams, if l

maintained separately or if segregable from a l

larger file.

I I'C 3

1

Transmittal No. 7 General Records Schedule 17 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 9.

Drawinas Reflectino Minor Modifications.

Repetitive engineering drawings showing Destroy when no longer needed minor modifications made during research for administrative purposes.

and development, and superseded by final drawings, if filed separately or if readily segregable from a larger file.

10.

Paint Plans and Samples.

Plans and paint samples for painting all Destroy when no longer needed areas of buildings lacking historical, for administrative use.

architectural, or technological significance and plans and samples for painting appliances, elevators, and other mechanical parts of buildings.

[ NOTE: Paint plans and samples for the interior and exterior walls of buildings significant for historical, architectural, or technological reasons are not disposable under this item and must be scheduled by submitting an SF 115 to NARA.]

4

Transmittal No. 7 General Records Schedule 18 (n)

August 1995 v

GENERAL RECORDS SCHEDULE 18 Security and Protective Services Records Security and protective services records include the various files created by agencies to i

control and protect classified information; to protect Government facilities from unauthorized entry, sabotage, or loss; to ensure the adequacy of protective measures at privately owned plants given security cognizance by the Government; to determine loyalty and fitness of individuals employed by, or seeking employment from the Government; and to develop and implement plans for the protection of life and property under emergency conditions. Included are selected files of offices having Governmentwide or agencywide responsibility for security and protective services programs. Also included are files of security units, guard forces, and other organizational elements documenting the control of classified information, access to facilities, and like matters.

This schedule authorizes for disposal records documenting administrative actions relating to the above functions. Records documenting Governmentwide or agencywide security and protective services planning and programming, reflecting basic overall policies and p

determinations are not authorized for disposal by this schedule. Variations among

(

agencies in methods of implementing statutory requirements for security and protective services result in dissimilarities in program documentation. The application of standard techniques of filing and disposition to such records through the medium of a General Records Schedule is therefore impractical. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Administration before applying these disposition instructions.

With the exception of item 5, all records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

OO

Transmittal No. 7 General Records Schedule 18 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Classified information Accountina and Control Records Records accumulating from measures taken by agencies to protect classified information from unauthorized disclosure in accordance with Executive Orders and statutory or regulatory requirements.

1.

Classified Documents Administrative Correspondence Files.

Correspondence files pertaining to the Destroy when 2 years old.

administration of security classification, control, and accounting for classified documents, not covered elsewhere in this schedule.

[ NOTE: This item does not cover records documenting policies and procedures accumulated in offices having agencywide responsibilities for security and protective services programs.]

2.

Document Receipt Files.

Records documenting the receipt and Destroy when 2 years old.

issuance of classified documents.

3.

Destruction Certificates Files.

Certificates relating to the destruction of Destroy when 2 years old.

classified documents.

4.

Classified Document Inventory Files.

Destroy when 2 years old.

Forms, ledgers, or registers used to show identity, internal routing, and final disposition made of classified documents, but exclusive of classified document receipts and destruction certificates and documents relating to Top Secret material covered elsewhere in this schedule.

2

1 l

Transmittal No. 7 General Records Schedule 18 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 5.

Too Secret Accountina and Control Files.

a.

Registers maintained at control points to Destroy 5 years after documents indicate accountability over Top Secret shown on forms are documents, reflecting the receipt, downgraded, transferred, or dispatch, or destruction of the documents.

destroyed.

b.

Forms accompanying documents to Destroy when related document ensure continuing control, showing names is downgraded, transferred, or of persons handling the documents, destroyed.

intra-office routing, and comparable data.

[ NOTE: Master files and data bases created in central data processing units to supplement or replace the records covered by item 5 are not authorized for disposal under the GRS. Such files must be scheduled on an SF 115.]

6.

Access Reauest Files.

4 Requests and authorizations for individuals to Destroy 2 years after have access to classified files.

authorization expires.

7.

Classified Document Container Security Files.

a.

Forms or lists used to record safe and Destroy when superseded by a padlock combinations, names of new form or list or upon tum-in individuals knowing combinations, and of containers.

comparable data used to control access into classified document containers.

d 3

Transmittal No. 7 General Records Schedule 18 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Forms placed on safes, cabinets, or Destroy 3 months following the vaults containing security classified last entry on the form (see note).

documents that record opening, closing, and routine checking of the security of the container, such as locking doors and windows, and activating alarms. Included are such forms as SF 701, Activity Security Checklist, and SF 702, Security Container Check Sheet.

[ NOTE: Forms involved in investigations will be retained until completion of the investigation.]

Facilities Security and Protective Services Records Records relating to measures taken for the protection of Government-owned facilities and privately operated facilities given security cognizance by the Government from unauthorized entry, sabotage, or loss.

8.

Security and Protective Services Administrative Correspondence Files.

Correspondence files relating to administration Destroy when 2 years old.

and operation of the facilities security and protective services programs, not covered elsewhere in this schedule.

[ NOTE: This item does not cover records documenting policies and procedures accumulated in offices having agency-wide responsibilities for security and protective services programs.]

4

1 Transmittal No. 7 General Records Schedule 18 O

August 1995 ITEM

.N_Q DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION -

9.'

Survey and Inspection Files.

(Govemment-owned facilities)

Reports of surveys and inspections of Destroy.when 3 years old or Government-owned facilities conducted to upon discontinuance of facility, ensure adequacy of protective and preventive whichever is sooner.

measures taken against hazards of fire, explosion, and accidents, and to safeguard information and facilities against sabotage and unauthorized entry.

10.

Survey and Inspection Files.

(privately owned facilities)

Reports of surveys and inspections of Destroy when 4 years old or privately owned facilities assigned security when security cognizance is cognizance by Government agencies and terminated, whichever is sooner.

\\

related documents.

11.

Investicative Files.

investigative files accumulating from Destroy when 2 years old.

investigations of fires, explosions, and accidents, consisting of retained copies of reports and related documents when the original reports are submitted for review and filing in other agencies or organizational elements, and reports and related papers concerning occurrences of such a minor nature that they are settled locally without referral to other organizational elements.

12.

Property Pass Files.

Property pass files, authorizing removal of Destroy 3 months after property or materials.

expiration or revocation.

5

Transmittal No. 7 General Records Schedule 18 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPColii@

13.

Guard Assianment Files.

i Files relating to guard assignments and

strength, a.

Ledger records.

Destroy 3 years after final entry.

b.

Requests, analyses, reports, change Destroy when 2 years old.

notices, and other papers relating to post assignments and strength requirements.

14.

Police Functions Files.

Files relating to exercise of police functions.

a.

Ledger records of arrest, cars ticketed, Destroy 3 years after final entry.

and outside police contacts.

b.

Reports, statements of witnesses, Destroy when 2 years old.

warning notices, and other documents relating to arrests, commitments, and traffic violations.

c.

Reports on contact of outside police with Destroy when 1 year old.

building occupants.

l 15.

Personal Property Accountability Files.

l Files relating to accountability for personal property lost or stolen.

a. Ledger files.

Destroy 3 years after final entry.

l 6

l

i i

4 T

Transrnittal No. 7 General Records Schedule 18

, August 1995

\\

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i

b.

Reports, loss statements, receipts, and Destroy when 1 year old.

other documents relating to lost and found articles.

16.

Key Accountability Files.

Files relating to accountability for keys issued.

i a.

For areas under maximum security.

Destroy 3 years after turn-in of l

key.

b.

For other areas.

Destroy 6 months after turn-in of key.

17.

Visitor Control Files.

,C Registers or logs used to record names of outside contractors, service personnel, visitors, employees admitted to areas, and reports on automobiles and passengers.

4 a.

For areas under maximum security.

Destroy 5 years after final entry or 5 years after date of document, as appropriate.

b.

For other areas.

Destroy 2 years after final entry i

or 2 years after date of document, as appropriate.

18.

Facihties Checks Files.

Files relating to periodic guard force facility checks.

a.

Data sheets, door slip summaries, check Destroy when 1 year old.

sheets, and guard reports on security violations (except copies in files of agency security offices covered by item

! s 24 of this schedule).

7 l

I i

Transmittal No. 7 General Records Schedule 18 August 1995 ITEM

_N_Q2 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b

Reports of routine after-hours security Destroy when 1 month old.

checks that either do not reflect security violations or for which the information contained therein is documented in the files defined in item 24 of this schedule.

19.

Guard Service Control Files _

a.

Control center key or code records, Destroy when superseded or emergency call cards, and building obsolete.

tecord and employee identification cards.

b.

Rotnd reports, service reports on Destroy when 1 year o!d.

interrupilons and tests, and punch clock dial sheets.

c.

Automatic machine patrol charts and Destroy when 1 year old.

registers of patrol and alarm services.

d.

Arms distribution sheets, charge records, Destroy 3 months after return of and receipts.

arms.

20.

Loas and Reaisters.

Guard logs and registers not covered elsewhere in this schedule.

a.

Central guard office master logs.

Destroy 2 years after final entry.

b.

Individual guard post logs of occurrences Destroy 1 year after final entry.

entered in master logs.

I 8

l Transmittal No. 7 General Records Schedule 18 August 1995 ITEM NA DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Personnel Security Clearance Records Records accumulating from investigations of personnel conducted under Executive Orders and statutory or regulatory requirements.

21.

Security Clearance Administrative Subiect Files.

Correspondence, reports, and other records Destroy when 2 years old.

relating to the administration and operation of the personnel security program, not covered elsewhere in this schedule.

22.

Personnel Security Clearance Files.

Personnel security clearance case files created under Office of Personnel y

Management procedures and regulations and 1

related indexes maintained by the personnel V

security office of the employing agency.

a.

Case files documenting the processing of Destroy upon notification of investigations on Federal employees or death or not later than 5 years applicants for Federal employment, after separation or transfer of whether or not a security clearance is employee or no later than 5 granted, and other persons, such as years after contract relationship those performing work for a Federal expires, whichever is applicable.

agency under contract, who require an approval before having access to Government facilities or to sensitive data.

These files include questionnaires, summaries of reports prepared by the investigating agency, and other records reflecting the processing of the investigation and the status of the clearance, exclusive of copies of investigative reports furnished by the investigating agency.

v 9

Trcnsmittal No. 7 General Records Schedule 18 August 1995 ITEM

_N Q.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Investigative reports and related Destroy in accordance with the documents furnished to agencies by investigating agency instructions.

{

investigative organizations for use in j

making security / suitability determinations.

c.

Index to the Personnel Security Case Destroy with related case file.

Files.

23.

Personnel Security Clearance Status Files.

Lists or rosters showing the current security Destroy when superseded or clearance status of individuals.

obsulete.

24.

Security Violations Files.

Case files relating to investigations of alleged violations of Executive Orders, laws, or agency regulations for the safeguarding of national security information.

a.

Files relating to alleged violations of a Destroy 5 years after close of sufficiently serious nature that they are case.

referred to the Depadment of Justice or Defense for prosecutive determination, exclusive of files held by Department of Justice or Defense offices responsible for making such determinations.

b.

All other files, exclusive of documents Destroy 2 years after completion placed in official personnel folders.

of final action or when no longer needed, whichever is sooner.

10

Transmittal No. 7 General Records Schedule 18 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 25.

Classified Information Nondisclosure Aarcements.

Copies of nondisclosure agreements, such as SF 312, Classified Information Nondisclosure Agreement, signed by civilian and military personnel with access to information that is classified under standards put forth by Executive Orders governing security classification. These forms should be maintained separately from personnel security clearance files. Agreements for civilian employees working for elements of the intelligence community must be maintained separately from the official personnel folder.

For all other persons, these forms may be filed in the individual's official military

[s personnel folder (for uniformed military personnel) or on the right side of the official personnel folder (for civilian employees).

a.

If maintained separately from the Destroy when 70 years old.

individual's official personnel folder.

b.

If maintained in the individual's official Apply the disposition for the personnel folder.

official personnel folder.

Emeraency Plannina Records Records accumulating from the formulation and implementation of plans, such as evacuation plans, for protection of life and property during emergency conditions.

26.

Emeraency Plannina Administrative Correspondence Files. [See note on next page.]

Correspondence files relating to administration Destroy when 2 years old.

and operation of the emergency planning program, not covered elsewhere in this schedule.

11 4

i Transmittal No. 7 General Records Schedule 18 August 1995

[ NOTE: This item does not cover records documenting policies and procedures tccumulated in offices having agencywide responsibilities for emergency programs.]

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 27.

Emeraency Plannino Case Files.

Case files accumulated by offices responsible Destroy 3 years after issuance for the preparation and issuance of plans and of a new plan or directive.

directives, consisting of a copy of each plan or directive issued, with related background documents, EXCLUDING one record copy of each plan or directive issued, if not included in the agency's permanent set of master directives files.

[ NOTES: (1) If the emergency plan is not included in the agency's master set of directives files, a record set must be maintained and scheduled for eventual transfer to the National Archives by submission of an SF 115. (2) Emergency planning reports of operations tests, consisting of consolidated or comprehensive reports reflecting agencywide results of tests conducted under emergency plans are also permanent and must be scheduled for transfer to the National Archives by submission of an SF 115.]

28.

Emeraency Operations Tests Files.

Files accumulating from tests conducted under Destroy when 3 years old.

agency emergency plans, such as instructions to members participating in test, staffing assignments, messages, tests of communications and facilities, and reports EXCLUDING consolidated and comprehensive reports.

12

Transmittal No. 7 General Records Schedule 18 August 1995 ITEM M

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 29.

National Defense Executive Reserve (NDER)

Case Files.

Case files for NDER reservists or applicants, maintained by agencies with major mobilization responsibilities in cases of national security emergencies, including qualifications statement, other personnel and administrative records, skills inventory, training data, and other records relating to administration of the NDER program.

a.

Case files on reservists.

Destroy 5 years after termination from NDER program.

j b.

Case files on individuals whose Destroy when 5 years old.

applications were rejected or withdrawn.

O 42

Transmittal No. 7 General Records Schedule 19 August 1995 GENERAL RECORDS SCHEDULE 19 Research and Development Records The previous editions of the General Records Schedules (GRS) included GRS 19, l

Research and Development Records. However, GRS 19 has not provided meaningful records disposition authority for Federal research and development records. Because of the varied nature of research and development activities in the Federal Governr..w.t.,

uniform disposition standards cannot be mandated for most series of records created in carrying out such functions.

Retention periods were not specified for.the more substantive records series. In addition, many research and development activities do not generate records as described in the previous version of GRS 19. It is important for agencies to schedule their research and development records individually, so that they may be accurately described. This approach will allow proper appraisal of the records by the National Archives and Records Administration and facilitate preservation of significant records for fuNre research. The National Archives has determined that the disposition of research and development records should not be governed by a General Records Schedule.

GRS 19 is therefore RESCINDED.

O i

0

l p

Transmittal No. 7 General Records Schedule 20

'g August 1995 GENERAL RECORDS SCHEDULE 20 Electronic Records This schedule provides disposal authorization for certain electronic records and specified hard-copy (paper) or microform records that are integrally related to the electronic records.

This schedule applies to disposable electronic recorde created or received by Federal agencies including those managed for agencies by contractors. It covers records created by computer operators, programmers, analysts, systems administrators, 1

and all personnel with access to a computer. Disposition authority is provided for certain master files, including some tables that are components of data base management systems, and certain files created from master files for specific purposes.

In addition, this schedule covers certain disposable electronic records produced by end users in office automation applications. These disposition authorities apply to the categories of electronic records described in GRS 20, regardless of the type of computer used to create or store these records.

GRS 20 does not cover all electronic records. Electronic records not covered by GRS 20 may not be destroyed unless authorized by a Standard Form 115 that has been approved by the National Archives and Records Administration (NARA).

The records covered by several items in this schedule are authorized for erasure or deletion when the agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes. NARA cannot establish a more specific retention that would be appropriate in all applications. Each agency should, when appropriate, determine a more specific disposition instruction, such as

" Delete after X update cycles" or " Delete when X years old," for inclusion in its records i

disposition directives or manual. NARA approvalis not needed to set retention periods for records in the GRS that are authorized for destruction when no longer needed.

Items 2a and 1a (in part) of this schedule apply to hard-copy or microform records used in conjunction with electronic files. Item 1 also covers printouts produced to test, use, and maintain master files. Items 10 and 11 of this schedule should be applied to special purpose programs and documentation for disposable electronic records whatever the medium in which such documentation and programs exist.

This schedule has been revised to include electronically-generated records previously covered in General Records Schedule 23, Records Common to Most Offices. The original numbering of the items in GRS 20 has been preserved. The items moved from GRS 23 have been added at the end, except the item covering administrative data bases that has been incorporated into item 3.

Electronic versions of records authorized for disposal elsewhere in the GRS may l

be deleted under the provisions of item 3 of GRS 20.

See also 36 CFR Part 1234 for NARA regulations on electronic records O

management.

l 1

l l

Transmittal No. 7 General Records Schedule 20 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Files / Records Relatino to the Creation. Use.

and Maintenance of Computer Systems.

Applications. or Electronic Records.

a.

Electronic files or records created Delete / destroy when the agency solely to test system performance, as determines that they are no well as hard-copy printouts and related longer needed for administrative, documentation for the electronic legal, audit, or other operational files / records.

purposes.

b.

Electronic files or records used to Delete after information has create or update a master file, been transferred to the master including, but not limited to, work files, file and verified.

valid transaction files, and intermediate input / output records.

c.

Electronic files and hard-copy printouts Delete / destroy when the agency created to monitor system usage, determines they are no longer including, but not limited to, log-in needed for administrative, legal, files, password files, audit trail files, audit, or other operational system usage files, and cost-back files purposes.

used to assess charges for system use.

2.

InouuSource Records a.

Non-electronic documents or forms Destroy after the information has designed and used solely to create, been converted to an electronic update, or modify the records in an medium and venfied, or when no electronic medium and not required for longer needed to support the audit or legal purposes (such as need reconstruction of, or serve as the for signatures) and not previously backup to, the master file, scheduled for permanent retention in a whichever is later.

NARA-approved agency records schedule.

O 2

i i

Transmittal No. 7 General Records Schedule 20 O

August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Electronic records, except as noted in Delete when data have been item 2c, entered into the system entered into the master file or during an update process, and not database and verified, or when required for audit and legal purposes.

no longer required to support reconstruction of, or serve as back-up to, a master file or database, whichever is later, c.

Electronic records received from Delete when data have been another agency and used as input /

entered into the master file or source records by the receiving database and verified, or when agency, EXCLUDING records no longer needed to support produced by another agency under the reconstruction of, or serve as terms of an interagency agreement, or back up to, the master file or records created by another agency in database, whichever is later.

response to the specific information

'p needs of the receiving agency.

\\j d.

Computer files or records containing Delete after the necessary data uncalibrated and unvalidated digital or have been incorporated into a analog data collected during master file.

observation or measurement activities or research and development programs and used as input for a digital master file or database.

3.

Electronic Versions of Records Scheduled for Disposal.

a.

Electronic versions of records that are Delete after the expiration of the scheduled for disposal under one or retention period authorized by more items in GRS 1-16,18, 22, or the GRS or when no longer 23; EXCLUDING those that replace or needed, whichever is later.

duplicate the following GRS items:

GRS 1, items 21, 22,25f; GRS 12, item 3; and GRS 18, item 5.

D 3

Transmittal No. 7 General Records Schedule 20 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b.

Electronic records that support administrative housekeeping functions when the records are derived from or replaco hard copy records authorized by NARA for destruction in an agency-specific records schedule.

(1)

When hard copy records are Delete electronic version when retained to meet recordkeeping the agency determines that it is requirements.

no longer needed for administra-tive, legal, audit, or other operational purposes.

(2)

When the electronic record Delete after the expiration of the replaces hard copy records that retention period authorized for support administrative the hard copy file, or when no housekeeping functions.

longer needed, whichever is later.

(3)

Hard copy printouts created for Destroy when the agency short-term administrative determines that they are no purposes.

longer needed for administrative, legal, audit, or other operational purposes.

4.

Data Files Consistino of Summarized Information.

Records that contain summarized or Delete when the agency aggregated information created by combining determines that they are no data elements or individual observations from longer needed for administrative, a single master file or data base that is legal, audit, or other operational disposable under a GRS item or is purposes. (See note on authorized for deletion by a disposition job following page.)

approved by NARA after January 1,1988, EXCLUDING data files that are created as disclosure-free files to allow public access to the data which may not be destroyed before securing NARA approval.

4

Transmittal No. 7 General Records Schedule 20 pg August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (NOTE: Data files consisting of summarized information which were created from a master file or data base that is unscheduled, or that was scheduled as permanent but no longer exists or can no longer be accessed, may not be destroyed before securing NARA approval.)

5.

Records Consistino of Extracted Information.

Electronic files consisting solely of records Delete when the agency extracted from a single master file or data determines that they are no base that is disposable under GRS 20 or longer needed for administrative, approved for deletion by a NARA-approved legal, audit, or other operational disposition schedule, EXCLUDING extracts purposes.

l that are:

i a) produced as disclosure-free files to allow public access to the data; or

,p b) produced by an extraction process g

which changes the informational content of the source master file or data base; which may not be destroyed before securing NARA approval. For print and technical reformat files see items 6 and 7 of this schedule respectively.

(NOTES: (1) Records consisting of extracted information that was created from a master file or data base that is unscheduled, or that was scheduled as perma-i nent but no longer exists or can no longer be accessed may not be destroyed before securing NARA approval. (2) See item 12 of this schedule for other extracted data.]

6.

Print File.

Electronic file extracted from a master file or Delete when the agency data base without changing it and used determines that they are no solely to produce hard-copy publications longer needed for administrative, and/or printouts of tabulations, ledgers, legal, audit, or other operational registers, and statistical reports.

purposes.

O 5

Transmittal No. 7 General Records Schedule 20 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 7.

Technical Reformat File.

Electronic file consisting of data copied from Delete when the agency a complete or partial master file or data base determines that they are no made for the specific purpose of information longer needed for administrative, interchange and written with varying technical legal, audit, or other operational specifications, EXCLUDING files created for purposes.

transfer to the National Archives.

8.

Backups of Files.

Electronic copy, considered by the agency to be a Federal record, of the master copy of an electronic record or file and retained in case the master file or database is damaged or inadvertently erased.

a.

File identical to records scheduled for Delete when the identical transfer to the National Archives.

records have been captured in a subsequent backup file or when the identical records have been transferred to the National Archives and successfully copied.

b.

File identical to records authorized for Delete when the identical disposalin a NARA-approved records records have been deleted, or schedule.

when replaced by a subsequent backup file.

9.

Findino Aids (or Indexes).

Electronic indexes, lists, registers, and other Delete with related records or finding aids used only to provide access to when 'he agency determines records authorized for destruction by the that they are no longer needed GRS or a NARA-approved SF 115, for admiriistrative, legal, audit, or EXCLUDING records containing abstracts or other operational purposes, other information that can be used as an whichever is later.

information source apart from the related re-cords.

6

)

Transmittal No. 7 General Records Schedule 20 August 1995 ITEM NA DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 10.

Special Purpose Proarams.

Application software necessary solely to use Delete when related master file or maintain a master file or database ~

or database has been deleted.

authorized for disposal in a GRS item or a NARA-approved records schedule, EXCLUDING special purpose software necessary to use or maintain any unscheduled master file or database or any master file or database scheduled for transfer to the National Archives.

11.

Documentation.

a.

Data systems specifications, file Destroy or delete when specifications, codebooks, record superseded or obsolete, or upon layouts, user guides, output authorized deletion of the related O.

specifications, and final reports master file or data base, or upon (regardless of medium) relating to a the destruction of the output of master file or data base that has been the system if the output is 1

authorized for destruction by the GRS needed to protect legal rights, or a NARA-approved disposition whichever is latest.

schedule.

b.

Copies of records relating to system Destroy or delete when security, including records superseded or obsolete.

documenting periodic audits or review and recertification of sensitive applications, disaster and continuity plans, and risk analysis, as described in OMB Circular No. A-130.

.[ NOTES: (1) Documentation that relates to permanent or unscheduled master files and data bases is not authorized for destruction by the GRS. (2) See item 1a of this schedule for documentation relating to system testing.]

4 s

7

Transmittal No. 7 General Records Schedule 20 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 12.

Downloaded and Copied Data.

Derived data and data files that are copied, extracted, merged, and/or calculated from other data generated within the agency, when the original data is retained.

a.

Derived data used for ad hoc or one-Delete when the agency time inspection, analysis or review, if determines that they are no the derived data is not needed to longer needed for administrative, support the results of the inspection, legal, audit, or other operational analysis or review.

purposes.

b.

Derived data that provide user access Delete when the agency in lieu of hard copy reports that are determines that they are no authorized for disposal.

longer needed for administrative, legal, audit, or other operational purposes.

c.

Metadata or reference data, such as Delete from the receiving system format, range, or domain or device when no longer specifications, which is transferred needed for processing.

from a host computer or server to another computer for input, updating, or transaction processing operations.

[ NOTE: See item 5 of this schedule for other extracted data.)

1 l

13.

Word Processino Files.

i Documents such as letters, memoranda, Delete from the word processing reports, handbooks, directives, and manuals system when no longer needed i

recorded on electronic media such as hard for updating or revision.

disks or floppy diskettes after they have been copied to an electronic recordkeeping system, paper, or microform for 1

recordkeeping purposes.

l 1

O

Transmittal No. 7 General Records Schedule 20 O

August 1995 b

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 14.

Electronic Mail Records.

Senders' and recipients' versions of Delete from the e-mail system electronic mail messages that meet the after copying to a recordkeeping definition of Federal records, and any attach-system.

ments to the record messages after they have been copied to an electronic recordkeeping system, paper, or microform for recordkeeping purposes.

[ NOTE: Along with the message text, the recordkeeping system must capture the names of sender and recipients and date (transmission data for recordkeeping purposes) and any receipt data when required.)

15.

Electronic Spreadsheets.

Electronic spreadsheets generated to support (n

V) administrative functions or generated by an individual as background materials or feeder reports.

a.

When used to produce hard copy that Delete when no longer needed is maintained in organized files.

to update or produce hard copy.

b.

When maintained only in electronic Delete after the expiration of the form.

retention period authorized for the hard copy by the GRS or a NARA-approved SF 115. If the electronic version replaces hard copy records with differing retention periods and agency software does not readily permit selective deletion, delete after the longest retention period has expired.

t q 9

- Transmittal No. 7 General Records Schedule 21 s

August 1995 GENERAL RECORDS SCHEDULE 21

- 1 Audiovisual Records This schedule covers audiovisual and related records created by or for agencies of the Federal Government as well as those acquired in the course of business.

For audiovisual records that are not described in this schedule, agencies must request disposition authority by submitting an SF 115, Request for Records Disposition ~ Authority, to the National Archives and Records Administration (NIR).

Audiovisual records include still and motion picture photography, graphic l

materials, and sound and video recordings. Related documentation includes (1) l production files or other files documenting the creation, justification, ownership, and rights to the records and (2) finding aids used to identify or access the records.

l This schedule does not cover: (1) cartographic records, (2) remote sensing l

imagery recorded on film or magnetic tape, or (3) microform copies of textual records. Disposable cartographic records and remote sensing imagery recorded on

.)

film are covered by GRS 17; temporary computerized data are covered by GRS 20 and l

GRS 23; and microform copies of textual records that have been authorized by NARA for destruction need not be separately scheduled, in accordance with 36 CFR 1230.10(b).

l This schedule does not include descriptions of permanent or potentially permanent records. Guidance about the identification, maintenance, use, and disposition of potentially permanent audiovisual records is provided in the NARA publication,

" Managing Audiovisual Records: An Instructional Guide." Copies are available from the NARA Office of Records Administration.

The. word " destroy" is used to authorize the destruction of data or information.

Erasable media such as audio tape should be reused whenever practical. Silver-bearing photographic film must be destroyed in accordance with 41 CFR 101-45.10,

" Recovery of Precious Metals."

This General Records Schedule authorizes the disposal of certain records without further concurrence from NARA. Agencies are encouraged to include specific l

series descriptions for such records in their comprehensive schedules while i

citing the applicable disposition instruction from this General Records Schedule as the authority for destroying the records.

1 i

L l

Transmittal No. 7 General Records Schedule 21 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Still Photooraohv 1.

Photographs of routine award ceremonies, Destroy when 1 year old or when social events, and activities not related to the no longer needed.

mission of the agency.

2.

Personnel identification or passport Destroy when 5 years old or photographs.

when no longer needed.

3.

Internal personnel and administrative training Destroy 1 year after completion filmstrips and slides of programs that do not of training program.

reflect the mission of the agency.

4.

Duplicate items in excess of record Destroy when no longer needed.

elements required for preservation, duplication, and reference service by 36 CFR 1228.184.

Graphic Arts 5.

Viewgraphs.

Destroy 1 year after use or when no longer needed.

6.

Routine artwork for handbills, flyers, Destroy 1 year after final posters, letterhead, and other graphics.

publication or when no longer needed.

7.

Line and halftone negatives, screened Destroy when no longer needed paper prints and offset lithographic for publication or reprinting.

plates used for photomechanical reproduction.

8.

Line copies of graphs and charts.

Destroy 1 year after final production or when no longer needed.

2

Transmittal No. 7 General Records Schedule 21 August 1995 ITEM M

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Motion Pictures i

9.

Films acquired from outside sources for Destroy 1 year after i

personnel and management training.

completion of training program.

10.

Films acquired from outside sources for Destroy when no longer needed.

personnel entertainment and recreation.

11.

Routine surveillance footage.

Destroy when no longer needed.

12.

Routine scientific, medical, or Destroy when 2 years old or engineering footage.

when no longer needed.

13.

Duplicate prints and preprint elements Destroy when no longer needed.

in excess of those elements required for preservation by 36 CFR 1228.184.

Video Recordinas 14.

Programs acquired from outside sources Destroy 1 year after for personnel and management training.

completion of training program.

15.

Programs acquired from outside sources Destroy when no longer needed.

for personnel entertainment and recreation.

16.

Rehearsal or practice tapes.

Destroy immediately.

17.

Internal personnel and administrative Destroy 1 year after completion training programs that do not reflect of training program.

the mission of the agency. (These include " role-play" sessions, management and supervisory instruction, etc.)

18.

Routine surveillance recordings.

Destroy when no longer needed.

19.

Routine scientific, medical, or Destroy when 2 years old or engineering recordings.

When no longer needed.

0 3

w e

Transmittal No. 7 General Records Schedule 21 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 20.

Recordings that document routine Destroy when no longer needed.

meetings and award presentations.

21.

Duplicate dubbings and premix elements Destroy when no longer needed.

in excess of those elements required for preservation, duplication, and reference by 36 CFR 1228.184.

Audio (Sound) Recordinos 22.

Recordings of meetings made exclusively Destroy immediately after use.

for note taking or transcription, EXCLUDING recordings of proceedings of Presidential commissions and other executive commissions.

(NOTE: Recordings of Presidential and other executive commissions are not covered by the GRS. Such records are usually appraised as permanent, and they must be described on an SF 115 submitted to NARA for final disposition approval.

23.

Dictation belts or tapes.

Destroy immediately after use.

24.

Premix sound elements created during the Destroy immediately after use.

course of a motion picture, television, or radio production.

25.

Library sound recordings (e.g., effects, Destroy when no longer needed, music).

26.

Daily or spot news recordings available Destroy when 6 months old or to local radio stations on a call-in basis.

when no longer needed.

27.

Duplicate dubbings in excess of those Destroy when no longer needed.

elements required for preservation, duplication, and reference by 36 CFR 1228.184.

4

Transmittal No. 7 General Records Schedule 21 c

August 1995 ITEM NLQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Related Documentation 28.

Production files or similar files that document Dispose of according to the origin, development, acquisition, use, and instructions covering the related ownership of temporary audiovisual records.

audiovisual records.

29.

Finding aids for identification, retrieval, or use Dispose of according to the of temporary audiovisual records.

instructions covering the related audiovisual records, 5

d i

1 Transmittal No. 7 General Records Schedule 22

(

August 1995 GENERAL RECORDS SCHEDULE 22 Inspector General Records The inspectors General monitor agency programs and operations to prevent and reduce waste and fraud and to improve agency management. The inspector General Act of 1978, as amended, and other legislation established an Office of Inspector General (OlG) in selected Government agencies. Several other agencies have created nonstatutory OlGs.

An OlG conducts and supervises audits and investigations; recommends policies to promote economy, efficiency, and effectiveness and to prevent fraud and abuse; and reports problems, deficiencies and progress to the agency head. OlGs must submit reports to the Congress.

This schedule covers the two major series of disposable investigative, audit, and related records created or maintained by an OlG. Indexes to these files are covered by General Records Schedule 23, Records Common to Most Offices Within Agencies, item 9.

Correspondence or subject files, policy files, publications, reports to Congress, and any other records not specifically described in this schedule must be scheduled by each agency individually. This schedule does not authorize disposal of investigative case files e

for cases that result in national media attention, Congressional investigation, or substantive

'(

changes in agency policy or procedure. Such files must be scheduled by submission of an SF 115.

This schedule does not apply to records created or accumulated by inspectors General of military agencies (i.e., the Department of Defense and all DOD components) and the Central intelligence Agency.

The records described in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records Common to Most Offices Within Agencies.

ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Investigative Case Files for Civilian Agencies other than the Central Intelligence Agency.

Case files developed during investigations of known or alleged fraud, abuse, and irregularities or violations of laws and regulations, EXCLUDING those that result in Q

national media attention, Congressional V

investigation, or substantive changes in agency policy or procedure. Cases relate to

/

Transmittal No. 7 General Records Schedule 22 August 1996 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION agency personnel and programs and operations administered or financed by the agency, including contractors and others having a relationship with the agency. This includes investigative files relating to employee and hotline complaints, and other miscellaneous complaint files. Files consist of investigative reports and related documents, such as correspondence, notes, attachments, and working papers.

a.

Files containing information or allegations Destroy when 5 years old.

which are of an investigative nature but do not relate to a specific investigation. They include anonymous or vague allegations not warranting an investigation, matters referred to constituents or other agencies for handling, and support files providing general information which may prove useful in Inspector General investigations.

b.

All other investigative case files except those Place in inactive files when case that are unusually significant for documentingis closed. Cut off inactive file at major violations of criminal law or ethical end of fiscal year. Destroy 10 standards by agency officials or others.

years after cutoff.

[ NOTE: Significant cases, i e., those that result in national media attention, Congressional investigation, and/or substantive changes in agency policy or procedures are not covered by this item. The disposition of significant investigative files will be determined by NARA.

Such files must be scheduled by submitting an SF 115.]

2.

Audit Case Files of Civilian Aaencies Other than the Central Intelliaence Aoency.

Case files of internal audits of agency programs, Cut off at end of fiscal year in operations, and procedures, and of external which case is closed. Destroy 8 audits of contractors and grantees, containing years after cutoff.

audit reports, correspondence, memorands, and supporting working papers.

2

r w

Transmittal No. 7 General Records Schedule 23 August 1995 General Records Schedule 23 Records Common to Most Offices Within Aaencies This schedule provides for the disposal of certain records common to most offices in Federal agencies. It covers administrative subject files; facilitative records such as suspense files, tracking and control records, calendars, and indexes; and transitory documents.

This schedule does not apply to any materials that the agency has determined to be nonrecord or to materials such as calendars or work schedules claimed as personal.

Office Administrative Files described under item 1 are records retained by an originating office as its record of initiation of an action, request, or response to requests for information. This item may be applied only to separate administrative files containing such records as copies of documents submitted to other offices for action including budget feeder documents, purchase orders, and training requests. Item 1 may not be applied to files that also contain program records, and it may not be applied by an office that receives and takes action on documents submitted by other offices.

Several items covering electronic records produced on stand-alone or networked i

personal computers (such as word processing files, administrative data bases, and g

spreadsheets) that were previously in this schedule have been moved to General Records Schedule 20, Electronic Records. To preserve the previous numbering of the items in GRS 23, the item numbers that have been moved have been reserved. The disposition of records desenbed in this schedule that are created in electronic form is governed by GRS 20, item 3.

1

Transmittal No. 7 General Records Schedule 23 August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1.

Office Administrative Files.

Records accumulated by individual offices that Destroy when 2 years old, or relate to the internal administration or when no longer

needed, housekeeping activities of the office rather than whichever is sooner, the functions for which the office exists. In general, these records relate to the office organization,

staffing, procedures, and communications; the expenditure of funds, including budget records; day-to-day administration of office personnel including training and travel; supplies and office services and equipment requests and receipts; and the use of office space and utilities. They may also include copies of internal activity and workload reports (including work progress, statistical, and narrative reports prepared in the office and forwarded to higher levels) and other materials that do not serve as unique documentation of the programs of the office.

[ NOTE: This schedule is not applicable to the record copies of organizational charts, functional statements, and related records that document the essential organization, staffing, and procedures of the office, which must be scheduled prior to disposition by submitting an SF 115 to NARA.)

2-4.

Reserved.

5.

Schedules of Daily Activities.

Calendars, appointment books, schedules, logs, diaries, and other records documenting meetings, appointments, telephone calls, trips,

visits, and other activities by Federal employees while serving in an official capacity, EXCLUDING materials determined to be personal.

2

l Transmittal No. 7 General Records Schedule 23 August 1995 ITEM N_Q.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i

a.

Records containing substantive Destroy or delete when 2 years j

information relating to official activities, old.

the substance of which has not been incorporated into official

files, l.

EXCLUDING records relating to the official activities of high government offi-cials (see note).

l

[ NOTE:

High level officials include the heads of departments and independent agencies; their deputies and assistants; the heads of program offices and staff offices including assistant secretaries, administrators, and commissioners; directors of offices, bureaus, or equivalent; principal regional officials; staff assistants to those aforementioned officials, such as special assistants, confidential assistants, and administrative assistants; and career i

Federal employees, political appointees, and officers of the Armed Forces j

serving in equivalent or comparable positions. Unique substantive records j

relating to the activities of these individuals must be scheduled by submission of an SF 115 to NARA.

b.

Records documenting routine activities Destroy or delete when no longer containing no substantive information and needed for convenience of records containing substantive informa-reference.

tion, the substance of which has been incorporated into organized files.

[ NOTE: GRS 20, item 3, authorizes deletion of electronic records described by subitems a and b of this item.]

6.

Suspense Files.

Documents arranged in chronological order as a reminder that an action is required on a given date or that a reply to action is expected and, if not received, should be traced on a given date.

i a.

A note or other reminder to take action.

Destroy after action is taken.

i l

3 i

Transmittal No. 7 General Records Schedulo 23 August 1995 ITEM NO.

DESCRIPTION OF RECORDS

. AUTHORIZED DISPOSITION b.

The file copy or an extra copy of an Withdraw documents when reply outgoing communication, filed by the date is received. (1) If suspense copy j

on which a reply is expected.

is an extra

copy, destroy immediately. (2)If suspense copy l

is the file copy, incorporate it into the official files.

~

7.

Transitory Files.

Documents of short-term interest which have Destroy when 3 months old, or no documentary or evidential value and when no longer

needed, normally need not be kept more than 90 days.

whichever is sooner.

Examples of transitory correspondence are shown below.

a.

Routine requests for information or publications and copies of replies which require no administrative action, no policy decision, and no special compilation or research for reply.

b.

Originating office copies of letters of transmittal that do not add any information to that contained in the transmitted material, and receiving office copy if filed separately from transmitted material.

c.

Quasi-official notices including memoranda and other records that do not serve as the basis of official actions, such as notices of holidays or charity and welfare fund appeals, bond campaigns, and similar records.

O 4

l Transmittal No. 7 General Records Schedule 23 O

August 1995 ITEM NO.

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 8.

Trackino and Control Records.

Logs, registers, and other records used to Destroy or delete when no longer l

control or document the status of needed.

correspondence, reports, or other records that are authorized for destruction by the GRS or a NARA-approved SF 115.

9.

Findino Aids (or Indexes).

Indexes, lists, registers, and other finding aids Destroy or delete with the related used only to provide access to records records or sooner if no longer authorized for destruction by the GRS or a needed.

NARA-approved SF 115, EXCLUDING records containing abstracts or other information that can be used as an information source apart from the related records.

O O

5

- - = _ =

Transmittal No.7 General Records Schedules Subject index August 1995 GENERAL RECORDS SCHEDULES Subiect index Schedule item Accidents, General (see investigative Files)

Accident, Molar Vehicle Report 10 5

Accountable Officers' Returns 6

1 Accountability Classified documents 18 5

Forms, transportation requests 9

1,3 Keys, security, and protective 18 16 Personal property files 18 15 Transportation and travel 9

4 Accounting Accountable officers' returns 6

1 Availability of funds 6

4 Collection of funds 6

4 Correspondence 6

5 Custody of funds 6

4 Deposit of funds 6

4 i

Exception, notices of GAO 6

2 Settlement, certificates of 6

-3 Support documents 6

7-9 Surety, personnel bond 6

6 Accounts Accounts, general 7

2 Allotment 7

3 Posting and control media 7

4 Acquisition of Real Property, Title Papers 3

1 Administrative Files (Office) 23 1

Administrative Management Audits / reviews 16 11,14 Committees 16 8

1

Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Administrative Management (continued)

Feasibility studies 16 9

Forms 16 3

Notices and other issuance 16 1

Project control 16 5

Records management 16 2,4,7 Reports control 16 6

Administrative Claims Files 6

10 Aerial Film 17 2

ADP (see Electronic Records)

Affirmative Action Plans 1

25 Allotment Ledgers 7

3 Analog Data (Uncalibrated) 20 2d Applications Employment 1

15 Grants 3

13 Housing 15 7

Apportionment and Reapportionment (see Budget)

Appropriation Warrants 6

4 Architecture Drawings 17 4,5,9 Models 17 7

Arrests 18 14 Audiovisual I

Contracts 21 28 Finding aids 21 29 2

l

Transmittal No.7 General Records Schedules Subject Index i

August 1935 Schedule item Audiovisual (continued)

Graphic arts 215-8 Artwork Flyers.

21 6

Letterhead 21-6 Posters 21' 6

Line copies, charts & graphs 21 8

Photo-mechanical reproduction 21 7

Viewgraphs 21 5

Motion pictures 21 9-13 Duplicates 21 13 Engineering 21 12 Entertainment 21 10 Scientific, medical 21 12 Surveillance 21 11 Training 21 9

Production files 21 28 Scripts 21 28

)

lO Sound recordings 21 22-27 e

Dictation 21 23 l

Dubbings 21 27 Effects 21 25 i

Meetings 21 22 Media production 21 24 News recordings 21 26 l

Pre-mix elements 21 24 Still photography 21 1-4 Ceremonial 21 1

Duplicates 21 4

Filmstrips (internal training) 21 3

Passports 21 2

Personnel identification 21 2

l Slides (internal training) 21 3

l Video recordings 21 14-21 Awards presentation 21 20 Dubbings 21 21 Engineering 21 19 Entertainment 21 15 i

j Management instruction 21 17 3

Transmitta! No.7 General Records Schedules Subject index August 1995 Schedule item Audiovisual Video recordings (continued)

Medical 21 19 Meetings 21 20 Practice tapes 21 16 Surveillance 21 18 Training 21 14,17 Audit Case Files 22 2

Automobile Permits 11 4

Awards (Personnel) 1 12,13 Bid and Proposal Files 3

5 Acceptable bidders 3

5d Cancelled 3

Sc Successful 3

Sa Unsuccessful 3

Sb,13 Bills of Lading 9

1 Binding 13 2

Bonds Campaigns 23 7

Personnel surety 6

6 Savings 2

14 Budget Apportionment 5

4 Correspondence files 5

1 Reports 5

3 Work papers 5

2 l

Building Space and Maintenance l

Allocation 11 2

Correspondence 11 1,2b Credentials 11 4a 4

Transmittal No.7 General Records Schedules Subject Index August 1995 i

Schedule item '

Building Space and Maintenance (continued)

Directory service 11 3

Plans 11 2a Release 11 2

Repods 11 2b Request for services 11 5

Utilization 11 2

Calendars 23 5

Carrier (see Transportation)

Cartographic Aerial film 17 2

Color pulls 17 1

Color separation sheets 17 1

Composites,

17 1

O Maps Correction 17 1

Case Files Classification appeals 1

7d Contract appeals 3

15 Emergency planning 18 27 Erroneous release 14 36 FOIA appeals 14 12 Informational services 14 4

Personnel EEO complaint 1

25 Incentive awards 1

12a,13 Labor management 1

28 Security 18 22 Privacy Act amendment 14 22 Procurement 3

3 Real property 3

1 Surplus property 4

3 5

Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Certificates Classified document destruction 18 3

Eligibles (employment) 1 5

Performance rating 1

23 j

Settlement 6

3 Tax exemption 3

12 Tax withholding 2

13a i

Title 3

1 Transit 9

1 i

Charity appeals 23 7

Charts (see Cartographic)

Civilian Personnel (see Personnel)

Claims Administrative 6

10 Health benefits, former spouse 1

35 Waiver of, administrative 6

11 Classified Documents Access control 18 6

Accounting 18 5

Administrative correspondence 18 1

Container security 18 7

inventory 18 4

Receipt 18 2

Classified Information and Control Access control 18 6

Container security 18 7

Correspondence 18 1

Destruction certificates 18 3

Classified Information Nondisclosure Agreement 18 25 8

1 i

Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Clearance (see Personnel, Security clearance)

Commendation Letters 1

12c Committee Management 16 8c Committees 16 8

Communications Administrative 12 2

Correspondence 12 2

Equipment 12 2b,2d(2)

Messages 12 3b Operation 12 2,3a Reports Administrative 12 2b Load 12 3a i

Performance 12 3a l

Statistical 12 2c Vouchers 12 2d Complaints, Discrimination 1

25 l

Construction 17 4-10 Contract Appeals Case Files 3

15 Contracts 3

3 Contractors' Employment Practices, EEO 1

25d(1)

Contractors' Payrolls 3

11 Contractor's Statement of Contingent or Other Fees 3

16 Control Files Classified documents 18 5

FOIA 14 13 General 23 8

7

Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Control Files (continued)

Mandatory Review 14 33 Printing 13 3

Privacy Act 14 24 Correspondence Accounting 6

5 Building and space maintenance 11 1,2b Communications 12 2

Cost accounting 8

1 Emergency planning 18 26 Expenditure accounting 7

1 Facilities, security 18 8

Grant 3

14 Housing 15 1

Informational services 14 1,2,5 Motor vehicle 10 1,7 Pay 2

24 Personnel 1

3,4,17a, 17c Personnel security 18 21 Plant accounting 8

1 Printing, Administrative 13 1

Procurement 3

2 Property disposal 4

1 Security and protective service 18 8

Space and maintenance 11 1

Stores accounting 8

1 Surplus property 4

1 Transportation 9

4 Travel 9

4 Word processing 20 13 Cost Accounting Correspondence 8

1 Ledgers 8

7 Reports 8

6 8

I i,o Transmittal No.7 General Records Schedules Subject Index l(

August 1995 Schedule item Credentials 11 4

l 18 12,19a Credit Card Purchases 6

1,7,8 Declassification (see Mandatory Review for Declassification)

Deductions, Payroil 2

13a,15,16 Direct Deposit, Payroll Authorization 2

17 Design and Construction 17 4-10 Discrirnination Complaints 1

25 Dispensary Control Files 1

20 F%

)

Drawings 17 3-5,8-9 Driver Tests 10 7

Drug Testing 1

36 Electronic Fund Transfer, Payroll 2

17 Electronic Records Backup tapes 20 8

Calendars 23 5

Copied data 20 12 Databases 20 3

Documentation 20 11 Downloaded data 20 12 Extracted data 20 5

Federal procurement data system 3

3d Finding aids 20 9

23 9

l Input data (see Source data)

Intermediate data 20 1b

! lA G'1 9

Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Electronic Records (continued)

Master data files Administrative (routine) 20 3

Reformatted 20 7

Summarized data 20 4

Mail or messages 20 14 Pay record, individual 2

1 Payroll files, noncurrent 2

2 Print files 20 6

Printouts 20 1 a,1 c Programs, special purpose 20 10 Publications 20 6

Repods 20 6

Software 20 10 Source data 8

7 20 2

Specifications 20 11 Spreadsheets 20 15 System usage files 20 1c Test data 20 1a Test documentation 20 1a Update records 20 1b Valid transaction files 20 1b Word processing files 20 13 Work files 20 1b Emergency Planning Case files 18 27 Correspondence 18 26 Operations tests 18 28 Employee Performance 1

23 Employee Records (see Personnel and also Payroll)

Employee Transfer and Detail 1

14 Engineering Drawings 17 8

Equal Employment Opportunity Complaints 1

25 10

l Transmittal No.7 General Records Schedules Subject Index O

' August 1995 l

Schedule item Erasable Media (see Electronic Records) i Erroneous Release 14 36 Expenditure Accounting Allotment 7

3 Correspondence 7

1 Ledgers 7

2 Posting and control 7

4 Facilities, Security Correspondence 18 8

Inspections and surveys 18 9,10 investigation 18 11 Feasibility Studies 16 9

p

- Federal Register, Documents Published in 16 13 Films Duplicates 21 13 Engineering 21 12 Entertainment 21 10 Scientific and medical 21 12 Surveillance 21 11 Training 21 9

Finding Aids Audiovisual 21 29 General 23 9

Information services 14 6

Electronic 20 9

Flexitime Records (see Payroll)

Follow-up Files 23 6

Forms 16 3

O 11

Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Freedom of Information Act Files Administrative 14 15 Appeals 14 12 Control 14 13 Erroneous release 14 36 Reports 14 14 Requests 14 11 Freight 9

1,2 Freight and Passenger Transportation Files 9

1,3 l

Gasoline Sales Tickets 6

7 General Accounting Office Notices of exception 6

2 Site audit 6

1 Support documentation 6

7,8,9 Government Losses in Shipment Act 9

2 Grants 3

13,14 Graphic Arts (also see Audiovisual) 21 5-8 Guard Assignment 18 13 Facility checks 18 18 Service control 18 19 Logs and registers 18 20 Health Benefits Claims, Former Spouse 1

35 Health Programs, Civilian Dispensary logs 1

20 Employee medical folder 1

21 Health record card 1

19 Individual cases 1

21 Repods 1

22 Household Effects Shipment of 9

1 12

Transmittal No.7

(-

General Records Schedules Subject Index August 1995 Schedule item Housing Applications 15 7

Assignment 15 5

Correspondence 15 1

Furnishings inventory 15 6

Lease 15 4

Maintenance and repair 15 2

Repods 15 3

Requests (EEO) 1 25e Tenant 15 Sa Vacancy 15 5

Identification Credentials 11 4

Incentive Award Case Files 1

13 Indexes (see Finding Aids)

Information Collection Budget 16 12 Information Resources Management information collection budget 16 12 Systems studies 16 9

Triennial reviews 16 11 Informational Services Acknowledgement files 14 2

Bibliographies 14 6

Correspondence 14 1,2,5 Erroneous release 14 36 Freedom of information 14 11-15 Information retrieval system 20 10 Press service files 14 3

Privacy Act files 14 21-25 Project case files 14 4

Publications indexes & bibliographies 14 6

Requests 14 1

23 7a

njury and Illness, Occupational 1

31,35 13

Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule Item Inspections Microform logs 16 10 Safety and Security Government-owned facilities 18 9

Privately-owned facilities 18 10 Inspectors General 22 1-22 Internal Control Review 16 14 Interview 1

8 inventory, equipment and supplies 3

9 investigative Files 18 11 2

1 Invitations Bid 3

5 Committee meetings 16 8b(2) 4 invoices, Stores Accounting 8

2 Job Descriptions 1

7 Key Control, Security 18 16 Labor Management Relations 1

28 Leave 2

6-9 Donated 1

37 Ledgers Allotment 7

3 Cost report 8

7 Electronic files to produce 20 6

General accounts 7

2 Plant accounting 8

5 Subsidiary 7

4 Levy and Garnishment 2

18 14

l Transmittal No.7-General Records Schedules Subject Index

(

August 1995 l

Schedule item Losses in Shipment Act, Government 9

2 Mail Administration 12 Sg Certified 12 Sa Control 12 5

Delayed delivery report 12 Sc l

Electronic 20 14 Express 12 Sa insured 12 Sa Loss report 12 Sc,8

(

Messenger service 12 1,6h Overnight 12 Sa Penalty mail reports 12 7

l Postal irregularities 12 8

Private mail companies 12 5

Receipt and routing 12 6a O

Receipts 12 6a,6f Registered mail 12 Sa,6b Stamps 12 Sc,6e Statistical reports 12 6b,6d Mailing List 13 4

Maintenance 11 1,5 Management (see Administrative Management)

Mandatory Review for Declassification Administrative files 14 35 Appeals 14 32 Control 14 33 Repods 14 34 Requests 14 31 Maps (see Cartographic) i Measurement Data, Electronic 20 2d Medical Records 1

19-21 15

,7..-

y

Trcnsmittal No.7 General Records Schedules Subject Index August 1995 Schedule item M:rit Promotion Case Files 1

32 M:ssages (Electronic Mail) 20 14 M:ssenger Service 12 1

Microform inspection 16 10 Motion Pictures (also see Audiovisual) 21 9-13 Motor Vehicle Accidents 10 5

Correspondence 10 1,7 Cost and expense data 10 3

Maintenance 10 2b Operation 10 2a Operators 10 7

Releases 10 6

Repods 10 4

National Defense Executive Reserve Cases 18 29 Nondisclosure Agreements (Classified Information) 18 25 Notices 16 1

23 7c Notification of Personnel Action 1

14 Observational Data, Electronic 20 2d Occupational Injury and Illness 1

31,34 Official Personnel Folders 1

1,10 Overseas Employment 1

3 Parking Permits 11 4a Passes 11 4a 18 12 16

Transmittal No.7 -

General Records Schedules Subject Index August 1995 1

Schedule Item Passports.

9 5

Photographs 21 2

Pay and Payroll-Allotment authorizations 2

15,16 Bonds Authorization 2

14 Purchase 2

14 Receipt and transmittal 2

14 Registration 2

14 Combined Federal Campaign 2

15a Correction records 2

23 Correspondence 2-24 Direct deposit 2

17 Electronic fund transfer 2

17 Flexitime records 2

7 Individual employee pay record 2

1 Leave application 2

6 Leave record 2

9 Levy and garnishmont 2

18 Pay comparability 1

40-Payrolls (copy) 2 2

Reports Error 2

22a Fiscal 2

22c Management or workload 2

22b Tax 2

13c Retirement 2

28 Savings allotment authorizations 2

15b Taxes 2

13 Thrift Savings Plan 2

16 Time and attendance reports 2

7,8 Union dues 2

15b Wage survev 1

38 Performance Rating 1

23 Personal Injury 1

31 17

Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Personnel (Civilian)

Adverse action 1

30b Affirmative Action Plans 1

25h Application record card 1

33d Applications for employment 1

15,33h,33k Appointments 1

4,41 Awards 1

12,13 Certificates of eligibles 1

5,33n.

Certification request control index 1

33n Correspondence 1

3,4,170,17c Counseling 1

26 Delegated agreements 1

33 i

Discrimination cases 1

25 Displaced employee pr'ogram 1

33o,p Dispensary logs 1

20 Driver tests 10 7

Drug testing 1

36 Employee interviews 1

8 Employee medical folder 1

21 Employee record card 1

6 Equal Employment Opportunity 1

25

)

Evaluations 1

7c(2)

Examination announcement cases 1

33e Examinations 1

33c,e,i Financial disclosure reports 1

24 Grievance 1

30a Handicapped individuals 1

41 Health benefits claims, denied 1

35 Health record cases 1

21 Health records, individual 1

19,21 Health unit control files 1

20 incentive awards Cases 1

12a Repods 1

13 Informational files 1

18 Injury and illness 1

31,34 Interviews 1

8 Labor-management relations 1

28 Leave 2

6,7,8,9 Letters of reference 1

10 Motor vehicle operation 10 7

18

~ Transmittal No.7 General Records Schedules Subject index August 1995 Schedule

!!fm Personnel (Civilian) (continued)

Notification of Personnel Action 1

.14 Official Personnel Folder

.1 1,10 Pay comparability 1

41 Performance ratings 1

23 Personnel security case files 18 22 Position classification Appeals 1

7d Standards 1

7a(1)

Survey 1

7c Position descriptions 1

7b Position identification strips 1

11 Reduction-in-Force (RIF) records 1

17b(1),30b Registers of eligibles 1

33f Reports Affirmative action 1

25h(4)

Audits of delegated examining 1

33q operations O

Statistical 1

16,22,25f Retention registers 1

17b Retirement assistance 1

39 Retirement (payroll) 2 28 Security clearance 18 22,23 Security violation 18 24 Service record card 1

2 Standards of conduct 1

27 Temporary records 1

10 Test material stock control 1

33c Time and attendance 2

6-9 Training i

29 Vacancy announcements 1

32 Personnel Security Case files 18 22 Correspondence 18 21 Status 18 23 Violations 18 24 Photographs (also see Audiovisual) 21 1-4 O

19

Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Plant Accounting Account cards 8

5 Correspondence 8

1 Ledgers 8

5 Police Records 18 14 Position Descriptions 1

7b Postal Irregularities 12 8

Postal Records 12 5

Press Service 14 3

Printing Correspondence 13 1

Mailing lists 13 4

Management 13 6

Planning 13 2b Projects 13 2a Reports to Congress 13 5

Registers 13 3

Privacy Act Administrative 14 26 Amendment cases 14 22 Control records 14 24 Disclosure 14 23 Erroneous release 14 36 Repods 14 25 Requests 14 21 Procurement Bids and proposals 3

5 Bond and surety 3

3 Contract appeals 3

15 Contractors' payrolls 3

11 Contracts 3

3 Correspondence 3

2 Federal Procurement Data System 3

3d 20

Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Procurement (continued)

Inventories 3

9 Purchase orders 3

3 Real property acquisition 3

1 Requisitions 3

3,6,7,8 Small and disadvantaged business utilization 3

17 Supply management 3

4 j

Survey, reports of 3

9c Tax exemption certificates 3

12 Telephone statements 3

10 i

Production Files (Audiovisual) 21 28 Promotion, Merit 1

3,32 1

Proposals (see Bids and Proposals Files) t Property Disposal lk Correspondence 4

1 Excess personal property reports 4

2 i

Real property disposal 4

4 Surplus property 4

3 Property Pass 18 12 Publications, Electronic 20 6

Purchase Orders 3

3

)

Recordings Sound (audio) 21 22-27 Video 21 14-21 Records Disposition Files 16 2

Records Holdings Files 16 4

Records Management Files 16 7

O Reduction-in-Force (RIF) Records (see Personnel) 21

Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Reports Accident, motor vehicle 10 5

Budget 5

3 Building space and maintenance 11 2b Communications 12 2b Control Files 16 6

Cost accounting 8

6 Electronic files to produce 20 6

Freedom of Information 14 14 Health programs, civilian 1

22 Housing 15 3

Incentive award 1

13 Joint Committoe on Printing 13 Sa Losses in Shipment Act, Govemment 9

2 Mail 12 Sc,6b,6d,7,8 Motor vehicle 10 4

Pay and payroll 2

22,28 Personnel 1

13,16,22, 25f,25h(4),

33q Privacy Act 14 25 Property disposal 4

2 Security (facility) 18 18 Space and maintenance 11 2

Statistical Communications 12 2c Cost accounting 8

7 Health 1

22 Mall 12 6b,d i

Payroll 2

22 Personnel 1

16 Surplus property 4

2 i

Requisitions Bindings 13 2

Control registers 13 3

Duplication 13 2

Housing maintenance and repair 15 2b Non-personal 3

7 Printing 13 2a Procurement 3

3,6,7,8 j

22

I Transmittal No.7 General Records Schedules Subject index j

August 1995 1

Schedule item Requisitions (continued) i Public Printer 3

6 Stamps 12 6c Supplies and equipment 3

8 Retirement 2

28 Assistance 1

-39 Safety and Security inspections 18 9,10

. Schedules of Daily Activities 23

'5 Scripts 21 28 Security and Protective Services Correspondence 18 8

l Guard assignment and strength 18 13 Guard force facility checks 18 18 O

e Guard log and registers 18 20 v

Guard service control 18 19 investigations 18 11 Key accountability 18 16 Lost or stolen property 18 15 Police files 18 14 Property pass files 18 12 Survey and inspection 18 9,10 Visitor control files 18 17 Selective Placement 1

5 Shortage and Demurrage Reports 9

1 Site Audit Records 6

1 2

1 9

1 Small and disadvantaged business utilization (see Procurement)

O oftware S

20 10 23

l Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Sound Recordings (also see Audiovisual) 21 22-27 Space and Maintenance Allocation and utilization 11 2

Building plans 11 2

Correspondence 11 1,2b Credentials 11 4

Directory service listings 11 3

Maintenance 11 5

Repods 11 2b Specifications, Real Property 4

4 Spreadsheets 20 15 Statement of Employment and Financial Interest 1

24b Statistical Files Extracted data 20 5

Summarized data 20 4

Still Pictures (also see Audiovisual) 21 1-4 Stores Accounting Correspondence 8

1 Invoices 8

2 Returns and reports 8

3 Work papers 8

4 Suggestions, Employee 1

12a(1)

Supply Inventory 3

9 Requirements 3

4 Requisitions 3

8 Surety Bond Files 6

6 Surplus Property Correspondence 4

1 Personal property 4

3 24

)

Transmittal No.7 General Records Schedules Subject Index t

August 1995 Schedule item Surplus Property (continued) l Real property 4

4 Reports 4

2 Suspense Files 23 6

Tax Exemption Certificates 3

12 Tax Files 2

13 Telecommunications 12 2,3 Telegrams 6

9 Telephone Statements and Toll Slips 3

10 6

8 Thrift Savings Plan 2

16.

Time and Attendance 2

6-9 Title Papers 3

1 Tracking Files (see Control Records)

Training Records 1

29 Transit Certificates 9

1 l

Transitory Files 23 7

Transportation Accountability 9

4 Bills of Lading 9

1 l

Correspondence 9

4 Freight records 9

1 Lost or damaged shipment 9

2 0

25

Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Travel Accountability 9

4 Authorization 9

1 Correspondence 9

4 Orders 9

3 Passports 9

5 Reimbursement 9

3 Requests 9

1 Vouchers 9

1,3 U.S. Postal Service Records 12 5

U.S. Savings Bonds Payroll savings 2

14 Receipt and transmittal 2

14 Registration 2

14 Vacancy Announcements 1

32 Video Recordings (see also Audiovisual) 21 14-21 Viewgraphs 21 5

Visitors' Passes 11 4

l Vouchers Communications 12 2d General 6

1 Passenger transportation 9

1 Wage Survey 1

38 Waiver of Claims 6

11 Word Processing Files 20 13 Work Papers Budget 5

2 Stores accounting 8

4 0

26

Transmittal No. 7 General Records Schedule Forms Index p

August 1995 GENERAL RECORDS SCHEDULES Forms Index STANDARD FORMS SF NUMBER TITLE Schedule item 1

Printing and Binding Requisition 3

6 13 2

1A Binding Instructions 3

6

)

13 2

1B List of Books to be Bound 3

6 13 2

1C Printing and Binding Requisition for Specialty items 3

6 13 2

2 U.S. Government lease for Real Property 3

3 2B U.S. Government lease for Real Property Short Form 3

3 7

Service Record 1

2 l

(obsolete as of Dec. 31, 1994) 7A Service Record - Continuation 1

2 (obsolete as of Dec. 31,1994) 7B Employee Record 1

6 i

(obsolete as of Dec. 31, 1994) 7D Position Identification Strip 1

11 (obsolete as of Dec. 31,1994) 14 Telegraphic Message 12 3

15 Application for 10-Point Veteran Preference 1

1 18 Request for Quotations 3

3,5 24 Bid Bond 3

3 i

l

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item i

25 Performance Bond 3

3 25A Payment Bond 3

3 25B Continuation Sheet (For Standard Forms 24,25, and 25A) 3 3

26 Award / Contract 3

3,5 28 Affidavit of Individual Surety 3

3 30 Amendment of Solicitation / Modification of 3

3,5 33 Solicitation, Offer and Award 3

3,5 34 Annual Bid Bond 3

3,5 35 Annual Performance Bond 3

3,5 39 Request for Referral of Eligibles 1

5,33 39A Request and Justification for Selective Factors and Quality Ranking Factors 1

5,33 44 Purchase Order - Invoice - Voucher 3

3 6

1 44a-d Purchase Order - Invoice - Voucher 3

3 6

1 50 Notification of Personnel Action 1

1,14 608 Notification of Personnel Action 1

1,14 52 Request for Personnel Action 1

1,33 2

i Transmittal No. 7 General Records Schedule Forms Index August 1995 i

l SF NUMBER TITLE Schedule item 1

59 Request for Approval of Non-Competitive Action 1 1

61 Appointment Affidavits 1

1 61B Declaration of Appointee 1

'1 l

62 Agency Request to Pass Over a Preference 4

Eligible or Object ~. an Eligible 1

5 66 Official Personnel Folder 1

1 71 Application for Leave 2

6 81 Request for Space 11 2

83 Request for OMB Review 16 6

(Replaced by OMB 83, Paperwork Reduction Act Submission) 4 82 Agency Report of Motor Vehicle Data 10 4

85 Questionnaire for Noncritical-Sensitive Positions 18 22 86 Questionnaire for Sensitive Positions 18 22 91 Operator's Report of Motor Vehicle Accident 10 5

91A Investigation Report of Motor Vehicle Accident 10 5

94 Statement of Witness 10 5

97-The United States Government Certificate of 4

3 Release to Obtain Title to a Motor Vehicle 10 6

98 Notice of Intention to Make a Service Contract and Response to Notice 3

11 98A Notice of Intention to Make a Service Contract and Response to Notice Attachment A 3

11 99 Notice of Award of Contract 3

3 3

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item 108 Statement of Receipts 7

4 113A Monthly Report of Federal Civilian Employment 1 16 114 Sale of Government Property - Bid and Award 4

3 114A Sale of Government Property - Item Bid Page -

Sealed Bid 4

3 114B Sale of Government Property -Item Bid Page

- Sealed Bid 4

3 114C Sale of Government Property - General Sale Terms and Conditions 4

3 114C-1 Sale of Government Property - Special Sealed Bid Conditions 4

3 114C-2 Sale of Government Property - Special Sealed Bid

- Term Conditions 4

3 114C-3 Sale of Government Property - Special Spot Bid Conditions 4

3 114C-4 Sale of Government Property - Special Auction Conditions 4

3 114D Sale of Government Property - Amendment of Invitation for Bids / Modification of Contract 4

3 114E Sale of Government Property - Negotiated Sales Contract 4

3 114F Sale of Government Property - Item Bid Page -

Spot Bid or Auction 4

3 115 Request for Records Disposition Authority 16 2

O 4

}

Transmittal No. 7 General Records Schedule Forms index O

August 1995 SF NUMBER TITLE Schedule item 115A Request for Records Disposition Authority -

Continuation 16 2

119 Contractor's Statement of Contingent or Other Fees 3

3,5,16 120 Report of Excess Personal Property 4

2 120A Continuation Sheet i

(Report of Excess Personal Propedy) 4 2

121 Annual Report of Utilization and Disposal of Excess and Surplus Personal Property 4

2 122 Transfer Order - Excess Personal Property 4

2 123 Transfer Order - Surplus Personal Property 4

2 123A Transfer Order - Surplus Personal Property -

Continuation Sheet 4

2 126 Repod of Personal Property for Sale 4

2 126A Report of Personal Property for Sale (Continuation Sheet) 4 2

127 Request for Official Personnel Folder (Separated Employee) 1 17 132 Apportionment and Reapportionment Schedule 5 4

133 Report on Budget Execution 5

3 135 Records Transmittal and Receipt 16 2

135A Records Transmittal and Receipt (Continuation) 16 2

5

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item 144 Statement of Prior Federal Civilian and Military Service 1

1 145 Telephone Service Request 3

3 12 2

145B Agency Request for Telephone Service 3

3 150 Deposit Bond - Individual Invitation, Sale of Government Personal Property 4

3 151 Deposit Bond - Annual Sale of Government Personal Property 4

3 152 Request for Clearance, or Cancellation of Standardand Optional Forms or Exception 16 3

177 Statement of Physical Ability for Light Duty Work 1

1 180 Request Pertaining to Military Records 14 21 182 Request, Authorization, Agreement and Certification of Training 1

1 203 Annual Audiovisual Report 16 4

215 Deposit Ticket 6

1 224 Statement of Transactions Classified According to Appropriation, Fund and Receipt Account, and Related Control Totals 6

1 225 Report on Obligations 5

3 252 Architect-Engineer Fixed-Price Contract 3

3 6

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item 254 Architect-Engineer and Related Services Questionnaire 3

3 j

255 Architect-Engineer and Related Services i

Questionnaire for Specific Project 3

3 258 Request to Transfer - Approval and Receipt of Records to National Archives of the i

United States 16 2

269 Financial Status Report Long Form 3

3 270 Request for Advance or Reimbursement 3

3 271 Outlay Report and Request for Reimbursement for Construction Programs 3

3 272 Federal Cash Transactions Report 3

3 t

272A Federal Cash Transactions Report Continuation 3 3

273 Reinsurance Agreement for a Miller Act Performance Bond 3

3 274 Reinsurance Agreement for a Miller Act Payment Bond 3

3 275 Reinsurance Agreement in Favor of the United States 3

3 278 Executive Branch Personnel-Public Financial Disclosure Report 1

24 278A Assets and income Public Financial Disclosure Report, Schedule A 1

24 279 Federal Procurement Data System FPDS -

Individual Contract Action Report over $10,000 3 3

k 7

Transmittal No. 7 General Records Schedule Forms index August 1995 SF NUMBER TITLE Schedule item 308 Request for Determination and Response to Request 3

3 311 Agency Information Security Program Data 18 1

312 Classified Information Nondisclosure Agreement 18 25 344 Multiuse Standard Requisitioning / issue System Document 38 360 Request to Approve an Interagency Reporting Requirement 16 3

1 361 Transportation Discrepancy Report 9

2 362 U.S. Government Freight Loss / Damage Claim 9

2 364 Report of Discrepancy 9

2 Ol 701 Activity Security Checklist 18 7b 702 Security Container Check Sheet 18 7b 1012 Travel Voucher 6

1 1012A Travel Voucher Memorandum 9

1 1013A Payroll for Personal Services 2

2 1034 Public Voucher for Purchases and Services Other Than Personal 6

1 1034A Public Voucher for Purchases and Services Other Than Personal (Memorandum) 6 1

8

Transmittal No. 7 General Records Schedule Forms index August 1995 SF NUMBER TITLE Schedule ligm 1035 Public Voucher for Purchases and Services Other Than Personal Continuation Sheet 6

1 1035A Public Voucher for Purchases and Services Other Than Personal Memorandum (Continuation Sheet) 6 1

1038 Advance of Funds Application and Account 6

1 9

3 1047 Public Voucher for Refunds 6.

1 1048 Public Voucher for Refunds 6

1 1049 Public Voucher for Refunds 6

1 1050 Public Voucher for Refunds (Memorandum) 6 1

0 1069 Voucher for Allowances at Foreign Posts of Duty 6

1 1080 Voucher for Transfers Between Appropriations and/or Funds 6

1 1081 Voucher and Schedule of Withdrawals and Credits 6

1 1093 Schedule of Withholdings Under the Davis-Bacon Act (40 U.S.C. 276a) and/or The Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333) 3 3,11 1094 U.S. Tax Exemption Certificate 3

12 i

l0

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item 1094A U.S. Tax Exemption Certificate (Accountability Record) 3 12 1

1096 Schedule of Voucher Deductions 6

1 1098 Schedule of Canceled or Undelivered Checks 6

1 1103A U.S. Government Bill of Lading - Memorandum copy 9

1 1104 U.S. Government Bill of Lading - Shipping Order 9

1 1

1109A U.S. Government Bill of Lading - Continuation Sheet (Memorandum) 9 1

1113 Public Voucher for Transportation Charges 6

1 1113A Public Voucher for Transportation Charges (Memorandum) 6 1

l 9

1 1128 Payroll for Personal Services - Payroll Certification and Summary 6

1 1128A Payroll for Personal Service - Payroll j

Certification and Summary - Memorandum 2

2 1145 Voucher for Payment Under Federal Tort Claims Act 6

1 1145A Voucher for Payment Under Federal Tort Claims Act - Memorandum 6

1 1150 Record of Leave Data 2

9a 1151 Nonexpenditure Transfer Authorization 6

1 10

T m

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item 1152 Designation of Beneficiary - Unpaid Compensation of Deceased Civilian Employee 1

1 1154

.Public Voucher for Unpaid Compensation Due a Deceased Civilian Employee 6

1 1156 Public Voucher for Fees and Mileage of Witnesses 6

1 1156A Public Voucher for Fees and Mileage of Witnesses - Memorandum 6

1 9

3 1157 Claim for Witness Attendance Fees, Travel, and Miscellaneous Expenses 9

3 1164 Claim for Reimbursement for Expenditures on Official Business 6

1 9

3 1165 Receipt for Cash - Subvoucher 6

1 l

1166 Voucher and Schedule of Payments 6

1 1166A Voucher and Schedule of Payments -

Memorandum 6

1 1167 Voucher and Schedule of Payments (Continuation Sheet) 6 1

i l

1167A Voucher and Schedule of Payments (Continuation Sheet) - Memorandum 6

1 1169A U.S. Government Transportation Request -

Memorandum 9

1 1170 Redemption of Unused Tickets 9

1 1176 Public Voucher for Unpaid Pay and Allowances Due a Deceased Member of the Armed Forces 6 1

11 l

Transmittal No. 7 General Records Schedule Forms index August 1995 SF NUMBER TITLE Schedule item 1176A Public Voucher for Unpaid Pay and Allowances Due a Deceased Member of the Armed Forces

- Memorandum 6

1 1177 U.S. Savings Bond issue File Action Request 2

14c 1182 Subscriber List for issuance of United States Savings Bonds 2

14b 1183 Subscriber List for issuance of United States Savings Bonds 2

14b 1186 Transmittal for Transportation Schedules and Related Basic Documents 9

1 1187 Request for Payroll Deductions for Labor Organization Dues 2

15b 1188 Revocation of Voluntary Authorization for Allotment of Compensation for Payment of Labor Organization Dues 2

15b 1189 Request by Employee for Payment of Salaries or Wages by Credit to Account at a Financial Organization 2

17 1198 Request by Employee for Allotment of Pay for Credit to Savings Accounts with a Financial Organization 2

15b 1199a Direct Deposit Sign-up Form 2

17 1203A U.S. Government Bill of Lading, Privately Owned Personal Property - Memorandum Copy 9 1

1204 U.S. Government Bill of Lading, Privately Owned Personal Property - Shipping Order 9

1 12

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule J.tg.m 1205 U.S. Government Freight Waybill - Privately Owned Personal Property - Original 9

1 1218 Statement of Accountability (Foreign Service Account) 6 1

1219 Statement of Accountability 6

1 1220 Statement of Transactions According to Appropriations, Funds, and Receipt Accounts 6

1 6

5 1221 Statement of Transactions According to Appropriations, Funds, and Receipt Accounts (Foreign Service Account) 6 1

6 5

1303 Request for Federal Cataloging / Supply Support Action 3

2 2800 Application for Death Benefits - Civil Service Retirement System 1

1 2801 Application for immediate Retirement under the Civil Service Retirement System 1

1 2801-1 Certified Summary of Federal Service - Civil Service Retirement System 1

1 2802 Application for Refund of Retirement Deductions - Civil Service Retirement System 1

-1 2803 Application to Make Deposit or Redeposit - Civil Service Retirement System i

1 2804 Application to Make Voluntary Contribution - Civil Service Retirement System 1

1 2805 Request for Recovery of Debt Due the United States 2

18 13 i

l Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item 1

2808 Designation of Beneficiary - Civil Service Retirement System 1

1 2809 Health Benefits Registration Form - Federal l

Employees Health Benefits Program 1

1 l

2810 Federal Employees Health Benefits Program -

Notice of Change in Health Benefits Enrollment 1 1

l l

2811 Transmittal and Summary Report to Carrier -

Federal Employees Health Benefits Program 2

22b 2812 Report of Withholdings and Contributions for Health Benefits, Life Insurance, and Retirement 2 22b l

2812A Report of Withholdings and Contributions for Health Benefits by Enrollment Code 2

22b I

2815 Employee Service Statement 1

1 2823 Designation of Beneficiary - Federal Employees' Group Life Insurance Program 6

1 5515 Debit Voucher 1

1 l

e 14

Transmittal No. 7 General Records Schedule Forms Index O

August 1995 OPTIONAL FORMS OF NUMBER TITLE Schedule item 7

Property Pass 11 4

8 Position Description 1

7 12 Request for Door Title Cards and Holders 11 5

16 Sales Slip (Sale of Government Personal Property) 4 3

26 Data Bearing Upon Scope of Employment of Motor Vehicle Operator 10 5

30 Motor Vehicle Service and Inspection Work Orders 10 2

' O 49 inquiry for United States Government Use Only (Reference and Employment inquiry) 1 15 50 inquiry for United States Government Use Only (Educational Inquiry) 1 15 51 Inquiry for United States Government Use Only Law Enforcement inquiry 1

15 55 U.S. Government identification Card 11 4

68 Record of Travel Expenses 9

3 101 Summary Worksheet for Estimating Reporting Costs 16 6

108 Daily Vehicle Usage Report 10 2

112 Classified Material Receipt 18 5

116 Record of Top Secret Material 18 5

15

l i

Transmittal No. 7 General Records Schedule Forms index August 1995 OF NUMBER TITLE Schedule item 117 Notice of Security Violation 18 24 118 Record of Violation 18 18,24 119 Record of Material Removed for Overnight Custody 18 4,5 123 Top Secret Document Inventory Record 18 5

131 Stocit Control Card 3

9 136 Application for Retirement - Foreign Service Retirement and Disability System 1

1 137 Designation of Beneficiary 1

1 138 Application for Refund of Retirement Contributions (Foreign Service Retirement System) 1 1

140 Election to Receive Extra Service Credit Towards Retirement and Report of Residence of Spouse 1

1 141 Application for Service Credit 1

1 144 Temporary Duty TDY Official Travel Authorization 9

1 153 Outgoing Telegram 12 3

153A Outgoing Telegram Continuation Sheet 12 3

158 General Receipt 6

1 164 Meritorious Service increase Certificate 1

12 16

1 i

i Transmittal No. 7 General Records Schedule Forms index O

August 1995 OF NUMBER TITLE Schedule Item 187 Telegram Repeat Request 12 3

189 Travel Reimbursement Voucher 6

1 189A Travel Reimbursement Voucher - Memorandum 6 1

9 1

189B Travel Reimbursement Voucher (Continuation Sheet) 6 1

189C Travel Reimbursement Voucher (Continuation Sheet) - Memorandum 6

1 9

1 190 Foreiga Service Emergency Locator Information 1 6

191 Outgoing Telegram (OCR - Overseas) 12 3

AQ 191A Outgoing Telegram - Continuation Form (OCR j

Overseas) 12 3

l 199 Notice of Shipment of Effects Residence-to-Residence Method 9

1 200 Monthly Record of Vehicle Operation Cost 10 2

202 Leave Record 2

7 202A Leave Summay 2

7 205 Statement of Operating Cash Advance and Replenishment Voucher 6

1 206 Purchase Order, Receiving Report and Voucher 3 3

206A Purchase Order, Receiving Report and Voucher (Continuation Sheet) 3 3

17 v

n

Transmittal No. 7 General Records Schedule Forms index August 1995 OF NUMBER TITLE Schedule item 208 Statement of Collections - Foreign Service of the United States of America 6

1 4

612 Optional Appliccoon for Federal Employment i

1,15,32 1017G Joumal Voucher 7

4 1121 Bill of Lading Accountability Record 9

1 1130 Time and Attendance Report 2

7 1135 Time and Attendance Report 2

7 1136 Time and Attendance Report 2

7 1137 Leave Record 2

9 O

9

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U S GOVERNMENT PftlNTINO OFFICE 1996 - 399 133 1 40192

NRC FORM 335 U.S. NUCLECR REGULAVoRY COMMISSION

1. REPORT NUMBEM M

1102 mN any noi. no BIBLIOGRAPHIC DATA SHEET EUREG~09l0 ISeeinstructens on the reverss)

. TITLE AND SUBTITLE Supplement 2 3.

DATE REPORT PUBLISHED NRC Comprehensive Records Disposition Schedule MONTH VEAR February 1996

4. FIN oR GR ANT NUMBER

b. AUTHOR (S)

6. TYPE oF REPORT

1. PE R ioD CoV E R E D tinctume omel B.

F R NtZAT eon - N AME AND ADOR ESS for NRc. prouw omston. orrece or req *on, U.5 Nuckw Regulatory Communoon. and mailong marrea;ir contractor, proveer Information and Records Management Branch Office of Information Resources Management U.S. Nuclear Regulatory Commission Washington, DC 20555-0001

& SPo R

G ANlZATIoN - NAME AND ADOR E55 tar NRc. type '5eme as above";tecontractor, prouwe NRC ouvesson, otroce or Region. v.A Nucuar Resuserooy commonnoon.

Same as above.

. SUPPLEMENTARY NOTES 11, nBSTR ACT (Joo. ore or emi The approved records disposition schedules specify the appropriate duration of retention and the final disposition for records created or maintained by the NRC.

NUREG-0910, Revision 2, Supplement 2 makes editorial and administrative changes to the National Archives and Records Administration's General Record Schedule (GRS) and forwards an entire updated set of the General Records Schedule including GRS Subject and Forms Indexes.

13. KE Y WoRDS/DESCR:PToRS tust.o,d, or persm enet.ur nemt reses,en.r, m s cering,3,,,8ert i

13. AVA!LA8:uf v ST ATEMENT Unlimited Disposition Schedule i.. secuairy ceAssa cArioN Official Records tra r.,e, Records Disposition Schedule Unclassified Records Retentien Periods t ran anart>

I ecords Schedules Unclassified I

R

16. NUMBER of PAGES

16. PRICE NMC PORM 335 (249)

4 i,

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l 1

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9 e

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j Printed on recycled i

Paper 3

i 9

j Federal Recycling Program

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ML20117G758

Text

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