NUREG-0910, Rev. 1, NRC Comprehensive Records Dispostion Schedule

NUREG-0910, Rev. 1, NRC Comprehensive Records Dispostion Schedule

ML20076G671
Person / Time
Issue date:	05/31/1983
From:	NRC OFFICE OF ADMINISTRATION (ADM)
To:
References
NUDOCS 8306150588, NUREG-0910 R01
Download: ML20076G671 (149)

Text

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NUREG-0910 Revision 1

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NRC Comprehensive Records Disposition Schedule P

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.r-NOTICE Availability of Reference Materials Cited in NRC Publications -

Most documents cited in N RC publications will be available from one of the following sources:

1. The NRC Public Document Room,1717 H Street, N.W.'

Washington, DC 20555

2. The NRC/GPO Sales Program, U.S. Nuclear Regulatory Commission, Washington, DC 20555

3. The National Technical Information Service, Springfield, VA 22161 Although the listing that follows represents the majority of documents cited in NRC publications, it is not intended to be exhaustive.

Referenced documents available for inspection and copying for a fee from the NRC Public Docu-ment Room include N RC correspondence and internal NRC memoranda; NRC Office of Inspection and Enforcement bulletins, circulars, information notices, inspection and investigation notices; Licensee Event Reports; vendor reports and correspondence; Commission papers;and applicant and licensee documents and correspondence.

The following documents in the NUREG series are available for purchase from the NRC/GPO Sales Program: formal NRC staff and contractor reports, NRC-sponsored conference proceedings, and N RC booklets and brochures. Also available are Regulatory Guides, NRC regulations in the Code of Federal Regulations, and Nuclear Regulatory Commission issuances.

Documents available from the National Technical Information Service include NUREG series reports and technical reports prepared by other federal agencies and reports prepared by the Atomic Energy Commission, forerunner agency to the Nuclear Regulatory Commission.

Documents available from public and special technical libraries include all open literature items, such as books, journal and periodical articles, and transactions. Federal Register notices, federal and state legislation, and congressional reports can usually be obtained from these libraries.

Documents such as theses, dissertations, foreign reports and translations, and non NRC conference proceedings are available for purchase from the organization sponsoring the publication cited.

Single copies of NRC draft reports are available free upon written request to the Division of Tech-nical Information and Document Control, U.S. Nuclear Regulatory Commission, Washington, DC 20555.

Copies of industry codes and standards used in a substantive manner in the N RC regulatory process are maintaired at the NRC Library, 7920 Norfolk Avenue, Bethesda, Maryland, and are available there for reference use by the publ:c. Codes and standards are usually copyrighted and may be purchased from the originating organization or, if they are American National Standards, from the American National Standards Institute,1430 Broadway, New York, NY 10018.

GPO Prmted cnpy price: $7.00 _

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NUREG-0910 Revision 1 O

v NRC Comprehensive Records Disposition Schedule Minuscript Completed: May 1983 Date Published: May 1983 Approved By The Archivist Of The United States ecember 9,1981 pproved By The Comptroller General )

Of The l United States April 21,1981 Division of Technical Information and Document Control Office of Administration U.S. Nuclear Regulatory Commission Washington, D.C. 20666

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l FOREWORD p

In compliance with statutory requirements set forth in Title 44 U.S. Code, "Public Printing and Documents," and in the applicable regulations cited in

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Title 41 Code of Federal Regulations, "Public-Contracts and Property Manage-ment," Chapter 101, Subchapter B, " Archives and Records," the U.S. Nuclear ,

Regulatory Commission submitted to the General Services' Administration, National Archives and Records Services and to the Comptroller General a schedule (commonly referred to as a disposition or retention schedule) proposing the appropriate duration of retention and the final disposition for records created or maintained by the NRC. J On April 21, 1981, the General Accounting Office approved the schedules as proposed by NRC. On December 9, 1981, after conducting an examination of the submitted schedules, the Archivist of the United States approved the NRC's Comprehensive Records Disposition Schedule as published herein.

Effective January 1, 1982, NRC will institute records retention and disposal i practices in accordance with the approved Comprehensive Records Disposition i Schedule (CRDS). CRDS~is comprised of NRC Schedules (NRCS) 1-4 which apply to the agency's program or substantive records and General Records Schedules

^

(GRS) 1-24 which apply to housekepping or facilitative records. {

NRCS-I applies to records common to all or most NRC offices; NRCS-II applies to program records as found in the various offices of the Commission, Atomic Safety and Licensing Board Panel, and the Atomic Safety and Licensing Appeal O Panel; NRCS-III applies to records accumulated by the Advisory Committee on Reactor Safeguards; and NRCS-IV applies to records accumulated in the various

(~) NRC offices under the Executive Director for Operations.

The schedules are assembled functionally / organizationally to facilitate their use. Preceding the records descriptions and disposition' instructions for both NRCS and GRS, there are brief statements on the organizational units which accumulate the records in each functional area, and other information regarding the schedules' applicability.

Applicable procedures for the disposal or retirement of NRC records are issued i by the U.S. Nuclear Regulatory Commission,- Office of Administration, Division of Technical Information and Document Control, Document Management Branch,

Washington, D.C. 20555. Comments or questions regarding the Comprehensive Records Disposition Schedule or its application may be directed to the Chief, Document Management Branch.

This publication has been issued in a loose leaf notebook format to facilitate updating. Amendments or additions will be issued as page revisions.

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TABLE OF CONTENTS PAGE N0 s

1 NRC Schedule I RECORDS COMMON TO MOST OFFICES......... I.1-1 Part 1 .0ffice General Administrative Files............. I.1-1 Item 1 Records Retirement List.................... I.1-1 Item 2 Suspense Files............................. I.1-1 Item 3 Transitory Files........................... I.1-1 Item 4 Office Organization Reference Files........ I.1-2 i Item 5 Office Administrative Files................ I.1-3 Item 6 Employee Travel F11es...................... I.1-3 Item 7 Office General Personnel Files............. I.1-3 Item 8 Weekly Status Reports . . . . . . . . . . . . . . . . . . . . . . I.1-4 Item 9 Reimbursable Agreements and Contract Files. I.1-4 Item 10 Vendor Topical Reports. . . . . . . . . . . . . . . . . . . . . I .1-4 Item 11 Reading or Chronological Files............. I.1-4 Item 12 Policy and Precedent Reference Files....... I.1-5 i Item 13 Staff Working File......................... I.1-5 Item 14 Reference Publication Files................ -I.1-5 Item 15 Schedule of Daily' Activities............... I.1-6 Item 16 Routine Control Files...................... I.1-7 Item 17 Technical Reference Files. . . . . . . . . . . . . . . . . . I.1-7 Item 18 Finding Aids............................... I .1-8 Part 2 General Program Correspondence Files............ I.2-1 Item 1 General Subject Correspondence Files....... I.2-1 4

Part 3 Docket Files.................................... I.3-1 Ites 1 Commission's Decisional License Docket Files.................................... I.3-1 Item 2 Power Reactor License Docket Files of the ASLBP............................. I.'-2 Item 3 Power Reactor License Docket Files of the ASLAP............................. I.3-2 Item 4 Licensing Docket Formal Hearing Files...... I.3-2 Item 5 Nuclear Power Plant Docket Files........... I.3-3 Item 6 Export / Import License Dccket File. . . . . . . . . . I.3-4 Item 7 Fuel Facilities, Transportetion, Byproduct, Source, and Special Nuclear Material Docket Files............ I.3-5 Item 8 High-Level, Low-Level, and Uranium Recovery Docket Files.................... I.3-6 Item 9 Licensing Project Files.................... I.3-6 Item 10 Non-Licensing Project Files................ I.3-6 Item 11 Emergency Planning Files................... I.3-6 1

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l TABLE OF CONTENTS (Continued)

PAGE NO.

Part 4 Medical and Health Files........................ I.4-1 Item 1 Health Records Files....................... I.4-1 Item 2 Personnel Exposure Files................... I.4-1 Item 3 Licensee Mismanagement Files............... I.4-1 Item 4 Personnel Monitoring Report Files. . . . . . . . . . I.4-1 Part 5 Program Administration Files.................... I.5-1 Item 1 Awards Files............................... I.5-1

, Item 2 Budget Ft1es............................... I.5-1 l

Item 3 Committee and Conference Records........... I.5-1 Item 4 Directive Case Files....................... I.5-2 Item 5 Forms Files................................ I.5-2 Item 6 Grants' Fi1es.............................. I.5-3 l Item 7 Information Files.......................... I.5-3 Item 8 Organizational Records..................... I.5-3 l Item 9 Publications............................... I.5-4 I Item 10 Security Policy Files...................... I.5-4 l Item 11 Security Violations (Felonies) Files....... I.5-5

! Item 12 Systems Security Records................... I.5-5 Item 13 Training Aids.............................. I.5-8 Part 6 Cartographic Records............................ I.6-1 Item 1 Emergency Planning Maps.................... I.6-1 Item 2 Plans and Systems Design Descriptions...... I.6-1 Part 7 Machine Readable Records........................ I.7-1 Item 1 Secretary Staff Requirements Memorandum Tracking System.......................... I.7-1 Item 2 Commission Staff Papers File System (CSPFS).................................. I.7-1 l

Item 3 Public Document Room Document Control (P0R/DCS)......................... I.7-1 System Item 4 Keyword Index (KWIC/KW0C).................. I.7-2 Item 5 Material Surveillance (MATSURV)............ I.7-2

! Item 6 Seismic Qualification (SEISMIC)............ I.7-2 l Item 7 Steam Generators........................... I.7-2 l Item 8 Franklin Institute - Licensing Action l

Status Monitoring System................. I.7-2 Item 9 Regulatory Activities Management System (RAMS)................................... I.7-3 Item 10 TMI Action Item Tracking System. .'. . . . . . . . . . I.7-3 Item 11 Construction Status Reporting Systems...... I.7-3 Item 12 NRR Personnel / Training System.............. I.7-3 i

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TABLE OF CONTENTS (Ccntinued)

Item 13 Transport Approved Package Information System................................... I.7-4 Item 14 Nucicar Material Management and-Safeguards System (NPMSS). . . . . . . . . . . . . . . . I.7-4 Item 15 NMSS Budget System (B005).................. I.7-4 Item 16 Budget System, MMSS........................ I.7-4 Item 17 Program Planning & Status Assessment System (PPSAS)........................... I.7-5 Item 18 NMSS Case Work System (CASE)............... I.7-5 Item 19 Material Licensing System. . . . . . . . . . . . . . . . . . I.7-5 Item 20 Project Control System, NMSS............... I.7-5 Item 21 Environmental Qualification (ENQUAL)....... I.7-5 Item 22 Action Item Tracking System (AITS)......... I.7-6 Item-23 Program Support Management System (PSMS)... I.7-6 Item 24 Outstanding Item Systems (0I5)............. I.7-6 Item 25 Incident Response Center Data System....... I.7-6 Item 26 Part 21 Data System........................ I.7-7 Item 27 Vendor Selection System.................... I.7-7 ,

Item 28 Module Status Report System................ I.7-7 Item 29. 766 - Statistical and Enforcement Test System................................... I 7-7 Item 30 License Fee Branch Reporting System........ I.7-8 Item 31 Career Management Branch System, I&E....... I.7-8 Item 32 Integrated Resource Management System...... I.7-8 Item 33 Headquarters / Regional Communications....... I.7-8 Item 34 Monthly Management Report System, I&E...... I.7-8 Item 35 Personnel System, Research................. I.7-9 Item 36 Travel System, Research.................... I.7-9 Item 37 Budget System, Research.................... I.7-9 Item 38 Research Request Log System................ I.7-9 l Item 39 Research Results Transfer and Organization Information System.......... I.7-10 Item 40 Standards Committee Participation System (SDC0M).................................. I.7-10 Item 41 Comments and Proposed Rule Changes Published in the Federal Register (CPRC). I.7-10 Item 42 IEEE Component Failure Rates'(IEEE)........ I.7-10 Item 43 Standards Project Control System (SPCS).... I.7-10 Item 44 Resource Allocation Systems for Standards (RASS)................................... I.7-11 Item 45 Standards Accountability Management System (SAMS)................................... I.7-11 Item 46 Technical Assignment and Control System (TACS)................................... I.7-11 Item 47 Work Item Tracking System (WITS-II)........ I.7-11 Item 48 Manpower Accountability Tracking System (MATS)................................... I.7-12 l

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TABLE OF CONTENTS (Continu;d)

Item 49 Statistical Information System for Operating Reactors (SIS 0R)............... I.7-12 Item 50 Radiation Exposure Information System (REIRS).................................. I.7-12 Item 51 Nuclear Plant Reliability Data System (NPRDS).................................. I.7-12 Item 52 Manpcwer System (MPS)...................... I.7-13 Item 53 ADP Contractor Cost Tracking System (ACTS). I.7-13 Item 54 NIH Computer Timesharing System (NIH)...... I.7-13 Item 55 Automated Information Documentation System (AIDS).................................., I.7-13 Item 56 Congressional Information Retrieval System (CIRS)................................... I.7-14 Item 57 ADP Project Management System.............. I.7-14' Item 58 ADP/ Management Information System.......... I.7-14 Item 59 Tape Library System......................s. I.7-14 Item 60 Integrated Financial Management Information System (IFMIS)............... I.7-15 Item 61 Travel Authorization and Voucher System (TRAVEL)................................. I.7-15 Item 62 Payroll (PAY).............................. I.7-15 Item 63 Accounting (CAB)........................... I.7-15 Item 64 Budget Financial Analysis System (BFAS).... I.7-16 Item 65 Staff Year Analysis System (SAS)........... I.7-16 Item 66 Controller Budget System (CBS)............. I.7-16 Item 67 Licensing and Inspection Planning Profile System (LIPP)............................ I.7-17 Item 68 Radiological Emergency Response Plan (RERP)................................... I.7-17 Item 69 Peacetime Radiological Emergency Response Analysis Device (PRERAD)................. I.7-17 Item 70 State Legislation.......................... I.7-18 Item 71 State Agreements Tracking and Updating

System (STATUS).......................... I.7-18 i

Item 72 International Programs Export / Import License Tracking System (IPELTS). . . . . . . . . I.7-18 Item 73 Licensee Event Reporting (LER)............. I.7-18 Item 74 Analysis & Evaluation Tracking System j (ANETS).................................. I.7-19 Item 75 Coordination of Licensee Events Analysis and Review (CLEAR)....................... I.7-19 Item 76 Central Personnel Clearance Index (CPCI)... I.7-19 Item 77 Central Personnel Security Clearance Index (CPSCI)............................ I.7-19 Item 78 Classified Document Control System (CDCS).. I.7-20 Item 79 Administrative Budget Control (ABC)........ I.7-20 0

TABLE OF CONTENTS (Continuid)

PAGE NO.

s_ I Item 80 Contracts System........................... I.7-20 Item 81 Telephone Billing and Certification System (TELE)............................ I.7-20 Item 82 Property and Supply System (PASS).......... I.7-20 Item 83 Personnel (PARIS).......................... I.7-21 Item 84 Serial Information Control System (SICS)... I.7-21

. Item 85 Information Requirements Control Automated System (IRCAS)........................... I.7-21 Item 86 Personnel Education and Training Information System (PETIS)............... I.7-22 }

Item 87 00E/ RECON.................................. I./-22 ,

Item 88 Holding Action System (HAS)................ I.7-22  :

Item 89 Machine Readable Cataloging System (MARC).. I.7-22 s Item 90 Personne1.................................. I.7-23 ,

i Part 8 Audiovisual Records...... ...................... I.8-1  !

Item 1 Still Photography Files.................... I.8-1 .

Item 2 Graphic Arts Fi1es......................... I.8-2  !'

Item 3 Video Recording Files...................... I.8-3 Item 4 Sound Recording Files...................... I.8-4 NRC Schedule II RECORDS OF THE COMMISSION........... II.I-1 Part 1 Records of the Commissioners.................... II.1-1 l

Item 1 Commissioners' Chronological Files......... II.1-1 Part 2 Records of Boards and Panels.................... II.2-1 l Item 1 Memoranda to Panel Board Members........... II.2-1 Item 2 Panel Board's Monthly Status Report to Commissioners............................ II.2-1 Item 3 Transcripts of ASLBP Hearings. . . . . . . . . . . . . . II.2-1 Item 4 Minutes of Advisory Screening Committees... II.2-2 Item 5 Advisory Screening Committee Consultant Personnel Files.......................... II.2-2 i

Part 3 Records of the Office of the Secretary.......... II.3-1 Item 1 Commission (SECY) Paper Files.............. II.3-1 Item 2 Transcripts of Commission Meetings......... II.3-2 1

Item 3 Stenographic Tapes of Commission Meetings.. II.3-2 Item 4 Rul emaki ng Docket Files. . . . . . . . . . . . . . . . . . . . II.3-2 r

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TABLE OF CONT 2NTS (Continued)

PAGE NO.

Part 4 Records of the Office of the General Counsel.... II.4-1 Item 1 Litigation Case Files...................... II.4-1 Item 2 Commission Memorandum Files................ II.4-1 Item 3 Legislative Files.......................... II.4-1 Part 5 Office of Congressional Affairs Records......... II.5-1 Item 1 Congressional Correspondence Files......... II.5-1 Item 2 Senate and House Members Profile Files..... II.5-1 Item 3 Legislative Files.......................... II.5-1 Part 6 Records of the Office of Inspector and Auditor.. II.6-1 Item 1 Audit and Inspection Files................. II.6-1 Item 2 Investigation Files........................ II.6-1 Part 7 Office of Policy Evaluation..................... II.7-1 Item 1 Evaluation Background Files................ II.7-1 Part 8 Office of Investigntions........................ II.8-1 Item 1 Allegation and Inquiry Files................ II.8-1 Item 2 Investigation Case Files................... II.8-1 Item 3 Investigation Procedure Memo (IPM)......... II.8-2 NRC Schedule III RECORDS OF THE ADVISORY COMMITTEE ON REACTOR SAFEGUAR05................. III.1-1 Item 1 General Program Correspondence Files....... III.1-1 Item 2 ACRS Members Personnel Files............... III.1-1 1

Item 3 Minutes of the Committee................... III.1-1 Item 4 Transcripts of ACRS Meetings............... III.1-2 Item 5 Committee Files on Regulation Guidelines... III.1-2 i

Item 6 Consultant Personnel Files................. III.1-2 Item 7 Reports of Consultants..................... III.1-2 Item 8 Annual Reports of the ACRS to the U.S.

Congress................................. III.1-3 Item 9 Nuclear Reactor Project Files.............. III.1-3 Item 10 Nuclear Power Plant Docket Files........... III.1-3 Item 11 Classified Defense Information Files....... III.1-4 i

NRC Schedule IV RECORDS OF EXECUTIVE OPERATIONS........ IV.1-1 Part 1 Records of the Office for Analysis and Evaluation of Operational Data................ IV.1-1 0

TABLE OF CONTENTS (Continued)

PAGE NO.

V Item 1 Operational Data and Information Screening Files.................................... IV.1-1 Item 2 Case Study Report Files.................... IV.1-1 Part 2 Records of the Office of the Executive Legal Director...................................... IV.2-1 Item 1 Patent and Technical Data Files............ IV.2-1 Part 3 Records of the Office of Small and Disadvantaged Business Utilization and Civil Rights.................................. IV.3-1 Item 1 General Files.............................. IV.3-1 Part 4 Inspection and Enforcement Records.............. IV.4-1 Item 1 IE Issuance Files......................... IV.4-1 Item 2 Inspection and Enforcement Case Files...... IV.4-1 Item 3 Preliminary Notification of Event or Unusual Occurrence PNO, PNS Files........ IV.4-3 Item 4 IE Manua1................................. IV.4-3 Item 5 Safeguards Status Reports.................. IV.4-3 Item 6 Reports of Defects or Non-Compliance O Item 7 Item 8 (Part 21 Reports)........................

IE Morning Reports........................

Nuclear Material Accountability Worksheets.

IV.4-4 IV.4-4 IV-4-4 Part 5 International Program Records Item 1 Country Files.............................. IV.5-1 Item 2 Country Ff1es.............................. IV.5-1 Item 3 Formal Arrangement and Agreement Files..... IV.5-1 Item 4 Foreign Visitor Files...................... IV.5-2 Item 5 International Organization Files........... IV.5-2 Item 6 Files of Department of State Cables and Atomic International Forum Wires......... IV.5-2 Part 6 Nuclear Material and Safeguards Records......... IV.6-1 Item 1 Process Operator License Files............. IV.6-1 Item 2 Certificate of Compliance Files............ IV.6-1 Item 3 Quality Assurance Files........... ........ IV.6-2 Item 4 Safety Evaluation Reports.................. IV.6-2 Item 5 Sealed Source and Device Review Files...... IV.6-2 Item 6 International Safeguards Program Office.... IV.6-2

TABLE OF CONTENTS (Continued)

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Item 7 Source and Special (SS) Material -

Accountability Systers Files. . . . . . . . . . . . . . . IV.6-3 Part 7 Nuclear Reactor Regulation Records............... IV.7-1 Item 1 Antitrust Case Files........................ IV.7-1 Item 2 Reactor Operator End Senior Operator Docket Files.... ......................... IV.7-1 Part 8 Research Records..... ............................... IV.8-1 Item 1 Scientific and Technical Reports................ IV.8-1 Item 2 Field Test Files................................ IV.8-1 Item 3 Rejected Research Project Proposals............. IV.8-2 Item 4 Research Program Fi1es.......................... IV 8-2 Item 5 Research Project Case Files..................... IV.8-2 l Item 6 Experiment and Test Files....................... IV.8-3 Item 7 Laboratory Notebooks............................ IV.8-4 Item 8 Research Background Files....................... IV.8-4 Item 9 Original Tracings of Drawings, Specifications, and Photographs of Completed Product or Apparatus..................................... IV.8-5 Part 9 Standards and Policy Development Records........ IV.9-1 Item 1 Nuclear Safety Standards Program Files..... IV.9-1 Part 10 State Program Records........................... IV.10-1 Item 1 Agreement State Files...................... IV.10-1 Item 2 Non-Agreement State Files.................. IV.10-1 Item 3 Health Training Files...................... IV.10-1 Item 4 State Legislation Files.................... IV.10-1 Item 5 Information Report on State Legislation.... IV.10-2 9

NRC SCHEDULE I n

(G RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 1. OFFICE GENERAL ADMINISTRATIVE FILES

1. Records Retirement Lists Copies of documents created in Retain in active files until re?. iring files to Federal Archives all records listed thereon and Records Centers or similar have been destroyed, maintain records storage areas. Included list in headquarters for are Standard Forms 135 or similar permanent reference.

lists, and related papers.

2. Suspense Files Papers arranged in chronological  ;

order as a reminder that an action is required on a given date; a reply to action is expected and if not received should be traced on a given date; or a transitory paper being e held for reference which may be f "'S destroyed on a given date. Examples

( '-

'i of papers in suspense files are:

a)- A note or other reminder to Destroy after action is taken.

submit a report or to take ,

some other action.

b) The file copy, or an extra Withdraw papers when reply is copy of an outgoing communica- received. If suspense copy is tion, filed by the date on an extra copy, destroy it; if which a reply is expected. it is the file copy, incorporate it with other papers for file.

c) Papers which may be destroyed Destroy on date under which in 30 days or less as being suspended.

without further value.

3. Transitory Files Papers of short term interest which Destroy when 90 days old or have no documentary or evidential sooner if purpose has been value and normally need not be kept served.

more than 90 days. Examples of transitory correspondence are shown

'"' below:

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NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION a) Requests for Information or Publications Routine requests for information or publications which require no administrative action, no policy decisions, and no special compilations or research for reply, such as requests for publications or other printed material.

b) Letters of Transmittal Letters of transmittal that do not add any information to that contained in the transmittal material.

c) Quasi-Official Notices Memoranda and other papers 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 papers.

4. Office Organization Reference Files Documents relating to the Destroy when superseded, organization and function of an obsolete, or no longer needed office. Included are copies of for reference.

organization and functional charts and statements; documents relating to office staffing; documents concern-ing functional assignments and changes. Also included are docu-ments reflecting minor changes in the office organization or func-tional assignments which are made by the office chief.

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NRC SCHEDULE I l.O -

RECORDS COMMCN-T0 MOST'0FFICES U

- ITEM-NO. DESCRIPTION OF RECORUS AUTHORIZED DISPOSITION

5. Office Administrative Files

i. Documents accumulated by Cut off-at close of fiscal individual offices that year. Destroy when 2 years relate tc routine internal old or. ' sooner i f purpose management or general admin- - has been served.

istration (budget, procurement, etc.) rather than-the function for which the office exists.

1 These records may include copies-of correspondence and reports ,

which are prepared'in the office j

, and forwarded to higher levels and/or.

other materials that do not serve  ;

as official documentation. Includes  ;

also papers relating to obtaining housekeeping-type services from i responsible offices. i i i j 6. Employee Travel Files. j Correspondence, requests, travel Cut off at close of fiscal .

authorizations ~and orders, year. Destroy when 1 year itineraries, and similar papers old.

I pertaining to employee travel exclusive of records maintained l' in the Controller's Office.

4 7 .' Office General Personne1~ Files Documents that relate to the day- Cut off at close of fiscal l to-day administration of personnel year. Destroy when 2 years in individual' offices. Included old.  ;

i are papers that relate to attend-I ance and overtime, notices of l

holidays and hours worked;. notices and lists of persons to attend  ;

training sessions; papers concern-ing participation in ernployee and l community affairs; campaigns, drives; L and comparable,or related papers.

I Arranged as appropriate.

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NRC SCHEDULE I I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

8. Weekly Status Reports Destroy when one year old.

Files constst of internal narrative reports containing items of interest on program activities submitted by NRC offices weekly to the Commiscion.

9. Reimbursable Agreements and Contract Files Includes all contractual and See General Records Schedule 3, reimbursable agreement files (under Item 4 for authorized disposition.

Memorandum of Understanding -

DOE /NRC) pertaining to work done for NRC by any outside source.

10. Vendor Topical Reports Reports submitted as part of licensing requirements by nuclear steam supply systems vendors containing information of use to utility companies as well as the Commission.

a) Silver master and one diazo Offer to NARS when 20 years copy of microfiche old. If the National Archives declines, destroy when no longer needed.

b) Paper copies of reports Destroy when microfiche copies are determined to be an adequate substitute for paper copies or when no longer needed if office does not have access to microfiche copies.

11. Reading or Chronological Files Extra copies of correspondence Cut off at close of fiscal prepared and maintained by the year. Destroy when 1 year originating office, used solely old or when reference value as a reading or reference file 'has been exhausted, whichever for the convenience of personnel. is sooner.

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NRC SCHEDULE I ek RECORDS COMMON TO MOST OFFICES (d*

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Exception Applicable to the Commissioners' chronological file of outgoing corresponcence comprised of letters signed by the Commissioners. See NRC Schedule II, Part 3, Item 1.

12. Policy and Precedent Reference Files Copies of documents establishing Destroy when organizational policy or precedents pertinent to unit is discontinued or when future and continuing actions. documents become obsolete or Normally, policy and precedent are no longer needed for files are maintained at operating operating or reference purposes.

levels and consist of extra copies of operating procedures, statements of policy or procedure, examples of

, typical cases, and other documents

/ duplicated in official files.

Q) Original or official record copies will NOT be placed in this file.

This file consists of non-record copies maintained only for convenience of reference.

13. Staff Working File Reference files maintained for con- Destroy at the same time the venience by individual staff members. related subject file is Includes copies of docket material destroyed, or earlier if no and other records maintained in longer needed for reference official NRC files. purposes.

14. Reference Publication File's Copies of NRC internal and/or Destroy when superseded, external directives, and publi- obsolete, or no longer cations issued by other Govern- needed for reference purposes.

ment agencies and non-governmental organizations maintained for reference wit?.in an office.

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NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

15. Schedules of Daily Activities.

Calendars, appointment books, schedules, logs, diaries, and other records documenting n.eetings, appoint-ments, telephone calls, trips, visits, and other activities of Federal employees.

a. Records containing substantive Offer to NARS when no longer information relating to the needed.

official activities of high level officials, the substance If the offer is not accepted, of which has not been incorpo- destroy the records when rated into memoranda, reports, 6 years old.

correspondence, or other records included in the official files.

(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 afore-mentioned officials, such as special assistants, confidential assistants, and administrative assistants; and career Federal employees, political appointees, and officers of the Armed Forces serving in equivalent or compar-able positions.)

b. Records of other than high level Destroy when 2 years old.

Federal employees as defined in "a" above containing substantive information relating to official activities, the substance of which has not been incorporated into official files.

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NRC SCHEDULE I

(

\s_,) RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

c. Routine materials containing Destroy when no longer needed.

no substantive information regarding the daily activities of other than high level offi-cials as defined in "a" above; records of all Federal employees containing substantive informa-tion, the substance of which has been incorporated into official files; and/or personal records of all Federal employees relating to nonofficial activities.

16. Routine Control Files.

Job control records, status cards, Remove from related records and routing slips, work processing destroy when work is completed

[,-_ ] sheets, correspondence control forms, or when no longer needed for s ,,/ receipts for records chargeout, and operating purposes.

other similar records used solely to control work flow and to record routine and merely facilitative actions taken.

17. Technical Reference Files.

Copies of documents retained Review annually and destroy strictly for reference and material of no further informational purposes and reference value.

which are not part of the official files. Include copies of reports, studies, special compilations of data, drawings, periodicals, books, clippings, extra (nonrecord) copies of " policy and precedent" files, brochures, catalogs, vendor price lists, and publications prepared internally and externally. Note:

Reference materials relevant to permanent records accessioned by or scheduled to be,accessioned by the National Archives should be offered to NARS.

v

)

I.1-7

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

18. Finding Aids.

Indexes, lists, registers, and other finding aids necessary for the efficient use of other records.

a. Finding aids for series that Offer to NARS.

have been accessioned by the National Archives and those relating to major program case files not previously authorized for disposal.

b. All other finding aids. Follow disposition instructions for the records to which they relate, or destroy when no longer needed for reference.

1 O

O I.1-8

s NRC SCHEDULE I 1

,) RECORDS COMMON TO MOST OFFICES ITEM NO. DEECRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 2. GENERAL PP0 GRAM CORRESPONDENCE FILES

1. General Subject Correspondence Files l Letters, memoranda, messages, studies, reports, forms, and other data documenting aad/or implementing plans, policies, procedures, accom-plishments, opinions, and decisions pertaining to NRC program and staff activities.

a) Program Correspondence Files Permanent. Cut off at close of at the office level or above fiscal year. Hold 2 years and These files document policy- retire to WNRC. Offer to NARS making decisions or signifi- when 20 years old.

cant NRC program management functions. They are accumu-

[ \ lated by the Advisory Committee

\s_,I or Reactor Safeguards (ACRS),

the Secretary of the Commission, l Office Directors reporting to the Commission, and those reporting

! to the Ex~ecutive Director for l Operations and are filed variously in large central collections or in decentralized locations. Excluded is that program correspondence which documents routine transactions and covered by item 1.c) below.

l b) Program Correspondence Files Cut off at close of fiscal year.

maintained at the-division Hold 2 years and retire to FARC/

level and below in NRC WNRC as appropriate. Destroy Headquarters Offices and in 10 years after cutoff.

Recional Offices c) Routine Program Correspondence Destroy when two years old Files maintained at all organi- or sooner if purpose has l

i zational levels Files docu- been served.

l menting program transactions of l a routine or recurring nature, h

\. _,

s the record content of which is summarized or duplicated in Item 1.a) or b) above.

I.2-1

e' a

t i

NRC SCHEDULE I

( RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l

! PART 3. DOCKET FILES i The docket files accumulated by the Agency in the licensing process constitute the most voluminous files of the NRC. These. records encompass technical, environmental, legal, and financial documentation pertinent to the granting, *

. amending,'and renewal or revocation of licenses under:10 CFR.

i The several separate offices at both Commission and operational. levels require that the filing of. license docket materials' conform to these offices'= separate 4 functions and responsibilities. This results in obvious duplication at various organizational levels in administering the agency licensing function. .For

, example, at the adjudicatory phase an official adjudicatory docket is developed .

~and maintained in the Office of the Secistary. At the same time, in administer--  !

ing the adjudicatory function, duplicative working docket files are maintained by *

.the Atomic Safety Licensing Board Panel and the Atomic Safety Licensing Appeal )

Board offices. ,

i Therefore, descriptive disposition standards for the licensing docket files-have been placed in this section of the schedule rather.than assigning them to the  !

proper functional or' organizational area in the schedules (where they may more j 1 properly belong) in order to be better able to perceive relationships in establishing reasonable retention standards for the records.  ;

j -

~

{. -This has not been done, however, for the ACRS which has special recordkeeping requirements imposed by the Federal Advisory Committee Act (PL 92-463). See NRC' Schedule III.

t ADJUDICATORY LICENSING DOCKET FILES

1. Commission's Decisional License '

Docket Files The official license files of the. . Permanent. Offer to NARS Commission maintained in the 5 years after expiration Office of the Secretary contain'ing or revocation of license. -

copies of-Licensing Board and .

Appeal Board Orders and transcripts of hearings, exhibits consisting of copies of pertinent staff documents,-Commission orders and decisions, and filings by various parties and related documentation in all licensing proceedings.

Arranged numerically by docket number.

I.3-l'

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITICN

2. Power Reactor License Docket Files of the ASLBP Case files containing copies of Destroy after completion of license applications, staff papers, the first refueling of power letters of inter /enors, letters reactor.

from tne Board, I&E Reports, Commissioners' reports, and other docket-related' documentation.

3. Power Reactor License Docket Files of the ASLAP Case files documenting the appeals Place in inactive file to and decisions taken by the those cases on which Appeal ASLAP including appeal transcripts Board action has been introduced into and made a part completed. Transfer inactive of the record, and the final files in annual blocks to decisions. WNRC. Destroy inactive files when 3 years old.

4. Licensing Docket Formal Hearing Files Case files maintained by the Offices of the Executive Legal Director on hearings before the Commission, Boards and Panels relating to antitrust actions, and applications for construction permits and operating licenses for individual nuclear facilities. Files consist of correspondence, briefs, plead-ings, hearing transcripts, and related regords on cases and are used by OELD staff in arguing cases.

a). Paper records Destroy after verification that microfiche copies are adequate substitutes for original records.

b) Silver master and one diazo Offer to NARS. If not accepted copy of microfiche by the National Archives, main-tain until no longer needed by agency.

I.3-2

s s -%

s ,

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ,

i s  ; .,

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITIGN ..s .

7 c) Reference copies of microfiche Destrcywhennolongerndeded." ,

A TECHNICAL LICENSING DOCKET FILES

5. Nuclear Power Plant Docket Files ,g Records documenting licensing of , ,

the construction and operation of  ;

commercial nuclear reactors for power

generation pursuant to Parts 2, 20, 50, '

100 and 140 of Title 10, Code of .

t

\

Federal Regulations. Material consists of individual applicant case files, identified by assigned docket numbers, containing copies 4 of all documents received or s generated in the review, '

evaluation, and authorization 9 stages of the licensing process.

Each operating license issued is for a fixed time period specified in the license document but in no case exceeding 40 years. Licenses '

may be renewed by NRC upon the expiration of the initially authorized operating period. '

a) Official docket files of the Permanent. Offer to NARS 20 Office of Nuclear Reactor years after termiration of Regulation, located in the license. ,

Records Services Branch, deter-mined by the NRC or the NARS to have exceptional value because of '

the highly significant nature ,

of their contents or their l i

uniqueness. Included are files that:

1. Result in judicial decisions or legislation that affect the functions and activities ,

of NRC, e.g. Enrico Fermi ,

J No. 1 (Power Reactor i Demonstration Co. React 6r). ,,

I.3-3 2- -. , - - - .,

(sy i

.i ?

T NRC SCHEDULE I

' RECORDS COMMON TO MOST OFFICES

(

ITEM , ..

, .NO . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

'N 2. Result in significant changes in regulatory activities and

,  ! D procedures, e.g., Brown's Ferry J

3. Were the subject of Congres-sional investigation or were of great public interest, e.g., TMI.

b) Other docket files of Destroy 20 years after NRR except for that part termination of license.

~

of the files described in Item 5.c) below.

%. c) Hearing and intervention Destroy when 5 years old.

\ l correspondence and information; hearing transcripts of boards

,T s

and panels; inspection reports i';' and related correspondence; and any other documentation duplicated in the permanent s

file described in a) above a.:d NRC Schedule I, Part 3,

, e Item 1 and NRC Schedule IV,

, Part 4, Item 2.a).

. d) Duplicate docket files located Destroy when 5 years old or I in IE, PDR, and Regional offices sooner if purpose has been except for documentation served.

described in NRC Schedule IV,

Part 4, Item 2.a.

A f

, ' 6. Export / Import Licens.e Docket File Case files and related control log pertaining to the licensing of

, , cortpanies and individuals pursuant I

" s to 10 CFR Part 110 to export or I. s import nuclear material and equip-nent and nuclear components and facilities. Included are license 1 applications, a copy of the license,

!\si and all other documentation f portaining t'o the licensing process. l 9 > Arranged numerically by license l

number.

s 1.3-4

i NRC' SCHEDULE I RECORDS COM40N TO MOST OFFICES i

ITEM  :

! NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l

! i i

a) Official files maintained Permanent. . Retire to WNRC  !

i

in the Office of Inter- when 10 years old. Offer to i national Programs. NARS 10 years after license has  !

i expired.

I b) Other copies throughout NRC. Destroy when no longer needed. l

7. Fuel Facilities, Transportation,  !

! Byproduct Source, and Special  !

I- Nuclear Material Docket Files

Case files documenting the licensing {

of persons, institutions, facilities l

! or companies to use byproduct, source '

and special nuclear material, and to  !

transport nuclear material as defined  ;

in 10 CFR Parts 30,_40, 50, 70, and 71.  !

Included are the application, license L and amendments, and all related l

<[ documentation. Excluded are case I j .( files (under 10 CFR Part 40) with j license prefix of "SUA" which are l covered by Item 8 of this schedule.

, a) Official case files located Retire to WNRC after license  ;

! in the Office of Nuclear is expired or. terminated and j i Material Safety and Safe- receipt of certification that -

, guards (NMSS) except for those premises are free of contami-  ;

i files covered by b) below. nation. Destroy 10 years after  !

date of certification, or Decommissioning Procedure.

,b) Case Files covering licensees Transfer to Agreement States I for which licensing jurisdic-tion is transferred to the State under agreement covering transfer of function. j c) All other copies in NMSS, I&E Destroy when 1 year old and Regional Offices. or earlier if purpose has l been served.

O I.3-5 l

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

8. High-Level, Low-Level, and Uranium Recovery Docket Files Case Files documenting the licensing Permanent. Offer to NARS of high-level, low-level and uranium when 10 years old.

recovery operations including mills, solution mining, and heat leaching of ion exchange facilities in non-Agreement States as defined in 10 CFR 40 with license transfer prefix of "SUA." Includes applications, licenses and amend-ments and other related material.

Arranged by docket number.

9. Licensing Project Files Applications for construction permits and/or licensing and related records on withdrawn or otherwise cancelled projects.

a) Files under 10 CFR Part 50 Destroy 20 years after withdrawal or cancellation.

b) Files under other applicable Destroy 1 year after with-parts of 10 CFR. drawal or cancellation.

10. Non-licensing Project Files Reports and correspondence relating Destrcy 20 years after to specific DOE developmental completion of project.

projects involving use of nuclear materials.

11. Emergency Planning Files a) Case files accumulated in the Permanent offer to NARS when Office of Inspection & Enforcc- 20 years old.

ment, Division of Emergency Preparedness, consisting of a record copy of each plan or j directive issued, when related background papers.

O I.3-6

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES f

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b) Record set of NRC reports of Permanent offer to NARS when operation tests accumulated in 20 years old.

the Office of Inspection &

Enforcement, Division of Emer-gency Preparedness, consisting of consolidated or comprehensive reports reflecting NRC-wide results of tests conducted under emergency plans. .

c) Copies of records pertaining Destroy when superseded or to office participation in obsolete.

emergency planning exercises and tests maintained in the ,

various offices throughout NRC.

O I.3-7 l -

NRC SCHEDULE I

\g RECORDS COMMON TO MOST OFFICES ITEM l NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l PART 4. MEDICAL AND HEALTH FILES

1. Health Records Files l

Health case files on NRC employees, See GRS1, Item 21 for exclusive of records relating to authorized disposition

, unique occupational hazards of the I

atomic energy program, covered by item 2 of this schedule, comprising l forms and correspondence and related papers documenting medical treatment.

2. Personnel Exposure Files Records accumulated to measure the degree of radiation exposure of individuals to external radiation and internally deposited isotopes.

a) Individual NRC personnel folders Destroy 75 years from the date containing data and radiation of the creation of the record.

exposure l

b) Film badge processing reports Destroy 75 years from date of report

3. Licensee Mismanagement Files Licensee reports and other records Files to be maintained by relating to incidents of licensees licensee or State office (primarily doctors or other medical of radiological safety for facilities) mismanagement of radia- 75 years from date of report.

tion administered to individuals If records are deposited with containing name of individuals and the NRC, destroy 75 years from other data pertaining 'to the date of report.

mismanagement.

4. Personnel Monitoring Report Files l

Reports and related correspondence required of licensees by NRC under 10 CFR 20.407.

a) Paper records submitted by Destroy two years after data is

\v licensees inputed to Radiation and

, Information Reporting System l (REIRS)

I.4-1

NRC SCHEDULE 1 RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b) Machine readable tape information Destroy data when it has been on computer maintained at Oak determined by competent NRC Ridge National Laboratory authorities that all purposes have been =erved.

c) Computer printouts produced by Destroy when superseded or any organizational level obsolete.

O I.4-2 O

l

NRC SCHEDU'LE I Gj RECORDS COMMON TO MOST OFFICES ITEM NO._ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 5. PROGRAM ADMINISTRATION FILES The files described in this part of NRC Schedule I properly belongs in one or more of the twenty-four General Records Schedules. However, because of specialized NRC records retention requirements for these selected common-type government records, they are included in this schedule in alphabetical order with other general NRC records.

1. Awards Files a) Records relating to meritorious Permanent. Offer to NARS when and distinguished service awards 10 years old.

made at the Commission level and maintained by the Division of Personnel.

b) Copies of records described in Destroy 2 years after award a) above exclusive of those filed is made.

in Official Personnel Folders.

r k 2. Budget Files a) Correspondence or subject files Permanent. Offer to NARS when in the office of the Controller 10 years old.

I documenting Commission policy and procedures governing budget admin-istration, and reflecting policy decisions affecting expenditures for agency programs.

b) Copies of budget estimates and Permanent. Offer to NARS when justifications prepared and 10 years old, maintained by the Division of Budget, Office of the Controller.

Included are appropriation language sheets, narrative statements, and related schedules and data.

c) Working papers and background Destroy 1 year after the materials maintained at all close of the fiscal year organizational levels. covered by the budget.

3. Committee and C'onference Records r l'"' a) Records relating to establishment,

\s_,}/ organization, membership and policy.

I.5-1

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (1) Interagency and Permanent. Offe'r to NARS international committees. 10 years'after NRC involvement terminates.

(2) Internal committees. Destroy 2 years after termination of committee.

b) Records created by committees.

(1) Agenda, minutes, final reports, and related records documenting accomplishments.

(a) Records created when Permanent. Offer to NARS NRC is the sponsor 20 years after NRC involve-agency. ment terminates.

(b) All other copies. Destroy when 3 years old or when no longer needed for reference.

(2) All other committee records. Destroy when 3 years old or when no longer needed for reference.

4. Directive Case Files Internal directives issued at the Commission level, maintained in the Office of Resource Management, a) Record copy documenting Permanent. Offer to NARS when important aspects of the 10 years old.

development of the issuance.

b) Working papers and background Destroy 6 months after material, directive is issued.

c) Other copies of directives. Destroy when superseded.

5. Forms Files a) One record copy of each NRC form Permanent. Offer to NARS when created that is maintained by 10 years old.

TIDC with related instructions.

I.5-2

NRC SCHEDULE I i RECORDS COMMON TO MOST OFFICES V

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b) Working papers, background Destroy when related materials, requisitions, speci- form is discontinued, .

fications, processing data, and superseded, or cancelled.

control records maintained at all organizational levels.

6. Grants' Files a) Case files of contracts, reports, Destroy 6 years and three studies, agreements, correspond- months after case is closed.

ence, and other records relating to receipt, award, and monitoring of grants.

b) Reports, books, studies, or any Permanent. Offer to NARS other final grant product and when 10 years old.

related records accumulated in the Division of Contracts.

O 7. Information Files a) Complete set of formal Permanent. Offer to NARS when informational releases and 10 years old.

publications, press conference transcripts, official speeches, and indexes thereto maintained by the Office of Public Affairs.

b) Copies of records described in Destroy when no longer needed.

a) above.

8. Organizational Records l

I a) Official organization charts, telephone books and related records which document the organization and functions of the agency.

(1) Record copy maintained by Permanent. Offer to NARS

, the Office of Resource when 10 years old.

( Management.

l 3 (2) All other copies. Destroy when superseded or obsolete.

J I

I.5-3 l

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b) Narrative histories of the Commission and its work, includ-ing oral history projects.

(1) Record copy maintained Permanent. Offer to NARS when by the NRC Historian's 10 years old.

Office.

(2) All other copies. Destroy when superseded or obsolete.

9. Publications NUREGS, Pamphlets, reports, leaflets, regulations, manuals or the last manuscript copy if not published, relating to NRC matters.

a) Record copy maintained in the Document Management Branch, Office of Administration.

(1) Publication in paper form Permanent. Offer to NARS when only. 10 years old.

(2) Publication in microform - Permanent. Offer to NARS when silver master and one diazo 2 years old. Destroy paper copy. records when it has been determined that microform copies are adequate substitutes for original records, b) Work papers and background De; troy 6 months after materials. publication.

c) Other copies. Destroy when no longer needed.

10. Security Policy Files Manuals, directives, plans, reports, Permanent. Offer to NARS when and correspondence reflecting policies 10 years old.

and procedures developed by Security, Office of Administration in the administration and direction of security and protective services programs. 1 I.5-4

NRC SCHEDULE I m

,) RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

11. Security Violations (Felonies) Files Case files relating to investigations Permanent. Offer to NARS when of alleged security violations of 10 years old.

exceptional historical and evidential value. Maintained by Security, Office of Administration.

12. Systems Security Records a) Access Request Files Requests and authorizations for Destroy 2 years after individuals to have access to authorization expires.

COMSEC information.

b) Document and Material Transfer Records

\ Destroy 2 years after

( _,/ COMSEC document and material transfer records, package completion of transation.

receipts and COMSEC material reports,'SF-153.

c) Inventory of COMSEC Documents and Material

1) Periodic inventories of COMSEC Destroy after the succeeding documents and material in inventory is submitted and i

cases where no discrepancies verified.

l exist.

2) Periodic inventories of Destroy after the succeeding COMSEC documents and inventory is submitted and material where discrepancies verified and all discrepancies

' exist. resolved.

3) Inventories conducted on Destroy 1 year after conducted change or absence of COMSEC and verified and all l custodian. discrepancies resolved.

4) Inventories conducted Destroy when all purposes periodically or on change have been served.

/'"'N or absence of COMSEC

( ,)

custodian where irregular-ities exist or have existed.

I.5-5

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION d) Loss or Compromise of Accountable COMSEC Documents or Material Message reports, letter reports Destroy only after or other documents relating to accountability established or loss or compromise of accountable evidence of compromise COMSEC documents or material. negated.

e) Document and Material Destruction Key card disposition record, key Destroy when 2 years old.

list disposition record and other records of destruction of accountable COMSEC documents or material.

f) Reportable Telecommunications Insecurities Reports of any deviation or Destroy 5 years after all incident which could adversely action has been completed.

affect the security of a telecommunication system.

g) Security Proposals for the Establisment of Centers and Use of Equipment Security proposals for the Destroy 2 years after the center establishment of secure com- is deactivated, equipment has munications centers, been replaced or system is installation of equipment or changed.

systems, h) Equipment List of equipment comprising a Destroy when no longer secure telecommunications system applicable.

(e.g., terminal equipment, cryptographic equipment and modems).

O I.5-6

NRC SCHEDULE I

['N RECORDS COMMON TO MOST OFFICES V

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i) Floor Plans Floor plans of secure communi- Destroy when secure cations centers showing the communications centers have location of equipment, the been relocated.

construction of walls, floors and ceilings of the room (s) or separate archi-tectural details such as doors, windows or ducts.

j) Installation Drawings Installation drawinga, e.g., Destroy when equipment has writing diagrams or conduct been replaced.

plans for the secure telecommunications equipment.

k) Standard Operating Instructions hi Q Standard operating instructions Destroy when secure for secure communications communications center is no center. longer operable.

1) Tempest and Acoustic Tests Documents relating to Tempest Destroy after subsequent tests tests or acoustic tests con- have been conducted and results ducted of secure communications approved.

centers.

m) Audio Countermeasure Inspection Files Records of sweep requests (NRC Destroy after the succeeding Form 337) and sweep reports (NRC inspection is conducted.

Form 336) relating to the exam-ination and inspection using sophisticated electronic equipment.

I.5-7

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM t NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i

l 13. Training Aids 1

a) One copy of each manual, Permanent. Offer to NARS when syllabus, textbook, and other 10 years old.

training aid or management and technical subjects developed by the Commission and maintained by the Management Development staff and the I&E Training officers, l both Headquarters and Chattanooga, l Tennessee.

b). Training aids from other agencies Destroy when superseded or or private institutions. obsolete.

l l

O l

l I

1 9

l I.5-8

NRC SCHEDULE I

() RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF "ECORDS AUTHORIZED DISPOSITION

, PART 6. ' CARTOGRAPHIC RECORDS

1. Emergency Planning Maps Maps are used in NRC's emergency

! preparedness program.

a) Record set maps, developed from Permanent. Offer to NARS when USGS 7.5 minute series topo- 10 years old. '

graphical maps depicting a 10 mile radius of each nuclear power plant.

b) Record set of maps of the Permanent. Offer to NARS when ingestion pathway emergency 10 years old.

planning zone depicting a ,

l 50-mile radius of each power plant. Maps are developed from I g USGS 1:250.000 scale series topographic maps.

c) Copies of maps described in a. Destroy when superseded or and b. above. obsolete. ,

DESIGN RECORDS

2. Plans and Systems Desian Descriptions Drawings and plans of 64 systems Permanent. Offer to NARS associated with the LOFT

• reactor. when 20 years old.

l Maintained by the research contractor L l at the facility.

• Loss of fluid test.

l i

I 1

I.6-1 l

. - - _ . - - _ - - _ . ~ . . - - - _ _ __ _ _ _ . - _ _ _ _ _ _ _ _ _ _ _ - _ _ .

NRC SCHEOULE I y

) RECORDS COMMON TO MOST OFFICES J

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 7. MACHINE READABLE RECORDS This schedule covers machine-readable records which include data on+ magnetic tape, disk packs, magnetic drums, punched cards and optical disk.

Federal statutes and regulations define Federal records as the products of government business and specifically include all media on which they may be recorded.

OFFICE OF THE SECRETARY

1. Secretary Staff Requirements Memorandum Tracking System The system generates reports which Retain until it has been contain information on all tasks determined by a competent assigned to staff by Commission NRC Official that data are action; the tasks are contained in .no longer needed; erase and p SECY Staff Requirements Memorandums, reuse tape, etc.

g j SRMs. The reports list each task V according to action office, ED0/

Office, COM/ Office, and status such as complete, overdue or on schedule.

2. Commission Staff Papers File System (CSPFS)

The system maintains a file of Retain until it has been Commission staff papers representing determined by a competent policy session, consent calendar, NRC Official that data are Commission action and information no longer needed; erase and report items submitted to the reuse tape, etc.

Commission.

3. Public Document Room Document Control System (PDR/DCS)

, The system provides access to biblio- Retain until it has been graph.ic data on NRC records maintained determined by a , competent in the NRC Public Document Room. NRC Official that data are j

no longer needed; erase and reuse tape, etc.

O I.7-1 l

l

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION ADVISORY COMMITTEE ON REACTOR SAFEGUARDS

4. Keyword Index (KWIC/KWOC) Retain until it has been determined by a competent NRC Official that data are no longer needed; erase and reuse tape, etc.

OFFICE OF NUCLEAR REACTOR REGULATION

5. Material Surveillance (MATSURV)

The system provides a data base to Retain until it has been facilitate the storage and retrieval determined by a competent of information relating to license NRC Official that data are reactor pressure vessel (RPV) material no longer needed; erase surveillance programs. (Supports and reuse tape, etc.

generic review task A-11.)

6. Seismic Qualification (SEISMIC)

The system maintains data and informa- Retain until it has been tion regarding seismic equipment determined by a competent qualifications for NRC staff review NRC Offical that data are and evaluation. no longer needed; erase and reuse tape, etc.

7. Steam Generators This system maintains a data base of Retain until it has been engineering information regardi.ng determined by a competent reactor power plant steam generator NRC Official that data are operating experience. It is used to no longer needed; erase evaluate the qualitative and quanti- and reuse tape, et'c.

tative aspects of steam generator operating experience.

8. Franklin Institute - Licensing Action Status Monitoring System l

This system is designed to monitor Retain until it has been the status of technical assistance determined by a competent contracts. The software prevides NRC Official that data are on-line updating of milestones and no longer needed; erase status reporting. and reuse tape, etc.

I.7-2

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

9. Regulatory Activities Management System (RAMS)

RAMS is an integration of three Retain until it has been systems (NRR Licensing, TACS, MPS) determined by a competent which are updated weekly. Data within NRC Official that data are the system are retained by staff no longer needed; erase members, plant review, and technical and reuse tape, etc.  !

assignments. The system retains current and historical data on project schedules and staff resources.

10. TMI Action Item Tracking System This system tracks actions taken to Retain until it has been resolve problems identified in the determined by a competent TMI Action Plan. NRC Official that data are no longer needed; erase

11. Construction Status Reporting Systems This is a computerized data base that Retain until it has been provides the information necessary for determined by a competent monitoring the progress of the con- NRC Official that data are struction of nuclear power plants. no longer needed; erase The data base is available on-line and reuse tape, etc.

through a user-oriented query language which may be used to edit ,

data entry, as well as produce  !

formatted reports and plots. The reports generated from this data base

! are used in conjunction with the work l

done by MPA analysts to produce the -

yellow book monthly.

12. NRR Personnel / Training System This contains personnel and training Retain until it has been data which permits the NRR manage- determined by a competent ment to monitor personnel actions NRC Official that data are and training requests. no longer needed; erase and reuse tape, etc.

a l

I.7-3

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES l h ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION OFFICE OF NUCLEAR MATERIALS SAFETY AND SAFEGUARDS

13. Transport Approved Package Information System The system maintains data and Retain until it has been information regarding all packages determined by a competent approved by NRC for use in the trans- NRC Official that data are portation of radioactive material, no longer needed; erase Included are description of package, and reuse tape, etc.

approval particulars and all licensed users.

14. Nuclear Material Management and Safeguards System (NMMSS)

The NMMSS is a national nuclear Retain until it has been material accounting system. It pro- determined by a competent vides information needed to track and NRC Official that data are regulate production, transfer, pos- no longer needed; erase session, use, import, and export of and reuse tape, etc.

nuclear materials. The system main-tains information on the location and quantities of special nuclear materials, SNM, in possession of DOE and NRC licensees. The system l is operated by Union Carbide Corp.

at the Gaseous Diffusion Plant in 1

Oak Ridge, Tenn.

15. NMSS Budget System (BUDS)

The system provides information for Retain until it has been NMSS management to control execution determined by a competent of the NMSS financial plan. NRC Official that data are no longer needed; erase and reuse tape, etc.

l 16. Budget System, NMSS The system maintains d data base on Retain until it has been NMSS financial resources. determined by a competent NRC Official that data are no longer needed; erase and reuse tape, etc.

I.7-4

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES G

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

17. Program Planning & Status Assessment S,ystem (PPSAS)

PPSAS is an integration of four Retain until it has been computer systems (NMSS case work, determined by a competent TACS, MPS, NMSS Budget) which are NRC Official that data are updated weekly. Data within the no longer needed; erase system are retained by staff member, and reuse tape, etc.

licensee, and technical assignments.

The system retains current and historical data on project schedules and staff resources.

18. NMSS Case Work System (CASE)

System provides management with a Retain until it has been means to identify and track the status determined by a competent of all case work items relative to NRC Official that data are licensing nuclear fuel facilities and no longer needed; erase and O materials. reuse tape, etc.

19. Material Licensing System The Material Licensing ADP System Retain until it has been maintains data and information determined by a competent regarding nuclear material licensing NRC Official that data are and processes mass mailings'to no longer needed; erase applicants, license expiration and reuse tape, etc.

notices, material possession amounts for inspection purposes, statistical data reports, management reports, and fulfills requests for material license information.

20. Project Control System, NMSS The system maintains data and Retain until it has been information regarding fuel cycle determined by a competent facilities and transportation NRC Official that data packaging licensing applications. are no longer needed; erase Included are current status of pro- and reuse tape, etc.

gress on various reviews and actual manpower expenditures on project milestones.

O V

I.7-5

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION OFFICE OF INSPECTION AND ENFORCEMENT

21. Environmental Qualification (ENQUAL)

This system provides technical Retain until it has been reviewers and inspectors with a data determined by a competent base containing qualification details NRC Official that data are from operating nuclear reactors for no longer needed; erase all electrical components used in and reuse tape, etc.

safety systems in hostile environments,

. 22. Action Item Tracking System (AITS)

The system maintains data and Retain until it has been information tracking individual items determined by a competent of the workload of the Office of NRC Official that data are Inspection and Enforcement. The no longer needed; erase data file is available to all I&E and reuse tape, etc.

Offices by use of on-line, time-shared terminals.

23. Program Support Management System (PSMS)

This system tracks projects and Retain until it has been contracts by decision units. determined by a competent NRC Official that data are l no longer needed; erase and reuse tape, etc.

24. Outstanding Item Systems (0IS_1 This system tracks all items which Retain until it has been require follow-up action by Project determined by a competent and Specialist Inspectors. NRC Offical that data are l

no longer needed; erase and reuse tape, etc.

25. Incident Response Center Data System This system monitors predesignated Retain until it has been l reactor parameters to facilitate determined by a competent evaluations by the staff of the NRC Official that data aro l Incident Response System. no longer needed; erase and reuse tape, etc.

I.7-6

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

26. Part 21 Data Syster.

The system maintains information Retain until it has been pertaining to the administrative determined by a competent handling of licensee reported NRC Official that data are defects and noncompliance received no longer needed; erase in accordance with the requirement and reuse tape, etc.

of 10 CFR Part 21, Reporting of Defects and Noncompliance.

27. Vendor Selection System The system maintains categories of Retain until it has been nuclear component vendor-related determined by a competent data and allows selection of vendors NRC Official that data are for inspection based upon safety no longer needed; erase and significance, inspection history, reuse tape, etc.

and other weighted criteria.

N I 28. Module Status Report System The system maintains the status of Retain until it has been all modules required to be inspected determined by a competent under various I&E inspection programs. NRC Official that data are Information includes definition no longer needed; erase of inspection program being monitored, and reuse tape, etc.

facilities selected for review, modules with overdue inspections, inspection profile and a transaction listing of all facilities included in the review.

29. 766 - Statistical and Enforcement Text ,

System l The systent maintains data and Retain until it has been information regarding inspection, determined by a competent investigation, inquiry activities and NRC Official that data are associated enforcement actions. no-longer needed; erase Textual information concerns items and r.euse tape, etc.

of noncompliance, licensee identified item, and deviation identified during an inspection activity.

O .

I.7-7

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

30. License Fee Branch Reporting System The system maintains data and infor- Retain until it has been mation on inspections conducted for determined by a competent safety / safeguards, materials, test, NRC Official that data are research or commercial reactors, and no longer needed; erase and fuel facilities and is used to reuse tape, etc.

establish a basis for determining license fees.

31. Career Management Branch System, I&E The system maintains data and Retain until it has been information or, the qualifications and determined by a competent training accomplishments of Office of NRC Official that data are Inspection and Enforcement personnel, no longer needed; erase and reuse tape, etc.

32. Integrated Resource Management System The system produces manpower computa- Retain until it has been tional tables (E-2) and budget determined by a competent estimate tables (E-3A, E-3, E-4). NRC Official that data are no These tables reflect I&E's manpower longer needed; erase and requirements for inspections of reuse tape, etc.

facilities by type, phase of construc-tion or operation and age.

33. Headquarters / Regional Communications This system maintains data and Retain until it has been i

information for daily reporting of gietermined by a competent Regional Office to Headquarters of NRC Official that data are no activities such as: inspections, longer needed; erase and

. bulletins, circulars, messages, Blue reuse tape, etc.

I Sheets and Staff Meeting Notes.

34. Monthly Management Report System, I&E The system interfaces with all I&E Retain until it has been automated systems to gather specific determined by a competent data and information on all Inspection NRC Official that data l and Enforcement activities. are no longer needed; erase l and reuse tape, etc.

O l I.7-8

l

-s NRC SCHEDULE I

\  :

RECORDS COMMON TO MOST OFFICES l j

l ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION OFFICE OF NUCLEAR REGULATORY RESEARCH I

35. Personnel System, Research The system maintains Cata'and Retain until it has been information regarding Office of determined by a competent Research employees such as: time and NRC Official that data are I attendance, dates for in grade or no longer needed; erase and promotion, positions qualified for reuse tape, etc.

and telephone number and location.

36. Travel System, Research I

System maintains all details Retain until it has been i regarding travel by Office of determined by a competent Research employees. NRC Official that data are no longer needed; erase i s and reuse tape, etc.

\ j 37. Budget System, Research An automated budget, contract and Retain until it has been financial plan system maintains data determined by a competent and information regarding laboratory NRC Official that data are contract proposals, 189's, of the no longer needed; erase Office of Research; controls, and reuse tape, etc.

executes and records monthly cost performance of approximately four l hundred R&D tasks throughout the budget and financial plan cycles.

38. Research Request Log System System maintains a data base as a Retain until it has been central source of the status of determined by a competent requests for research being processed NRC Official that data are by the Office of Research. Items of no longer needed; erase and interest are basis of need, status, reuse tape, etc.

date received, date needed, and cogn.izant personnel.

l 1.7-9

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES h ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

39. Research Results Transfer and Organization Information System The system maintains a data base Retain until it has been which provides a central source of determined by a competent information regarding Research Infor- NRC Official that data are mation Letters. These letters con- no longer needed; erase cern the transfer of research project and reuse tape, etc.

results to the requesting and/or using NRC program offices.

40- Standards Committee Participation System (SOCOM)

The system maintains a computer file Retain until it hap been of NRC personnel involved in the determined by a competent development of nuclear standards. NRC Official that data A Nuclear Standards Directory is are no longer needed; erase produced which associates corpora- and reuse tape, etc.

tions, committee members and particular standards activities.

41. Comments and Proposed Rule Changes Published in the Federal Register (CPRC) i The System maintains data and Retain until it has been information on letters received by determined by a competent

! the NRC commenting on proposed rule NRC Official that data are l changes for licensing procedures no longer needed; erase l published by the NRC in the Federal and reuse tape, etc.

Register.

l 42. IEEE Component Failure Rates (IEEE)

The system assists the Probabilisitic Retain until it has been Analysis Staff to upgrade failure determined by a competent rates of electrical, electronic and NRC Official that data are no sensing components as published longer needed; erase and in the IEEE Document STD 500-197. reuse tape, etc.

l

43. Standards Project Control System (SPCS1 This system provides RES management Retain until it has been with an information source to assist determined by a competent in planning, scheduling and budgeting NRC Official that data are j projects. no longer needed; erase

and reuse tape etc.

1 I.7-10

NRC SCHEDULE I gs i l RECORDS COMMON TO MOST OFFICES V

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

44. Resource Allocation Systems For Standards (RASS)

The system provides information for Retain until it has been RES management to assign, coordinate- determined by a competent and budget for the development of NRC Official that data are no guides and regulations. longer needed; erase and reuse tape, etc.

45. Standards Accountability Management System (SAMS)

This system consolidates / integrates Retain until.it has been three automated systems (MPS, TACS, determined by a competent Project Control) which provides NRC Official that data are management with an information source no longer needed; erase and to assist in planning, scheduling and reuse tape, etc.

budgeting office resources.

(O } OFFICE OF RESOURCE MANAGEMENT

46. Technical Assignment and Control System (TACS)

A computer data base containing items Retain until it has been of information identifying, des- determined by a competent cribing, documenting, and accounting NRC Official that data are for the recording and status report- no longer needed; erase and ing of all non-case related work in reuse tape, etc.

l an office. TACS is a tool which allows for the systematic control of the total office work effort. (Both case and non-case work).

47. Work Item Tracking System (WITS-II)

The system, an upgrade of the current Retain until it has been i

operating WITS, provides a common determined by a competent data base for Commission Action Items NRC Official that data are no which can be shared by all NRC longer needed; erase and

! offices. reuse tape, etc.

I.7-11

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES h ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

48. Manpower Accountability Tracking System (MATS)

MATS is an integration of two Retain until it has been computer systems (TACS, MPS) which determined by a competent are updated weekly. Data within the NRC Official that data a.re system are retained by staff member, no longer needed; erase and and technical / staff assignments. The reuse tape, etc.

system retains current and historical data on project schedules and staff resources.

49. Statistical Information System For Operating Reactors (SISOR)

The system maintains records of Retain until it has been monthly operating data for each determined by a competent nuclear power plant in commercial NRC Official that data are operation. no longer needed; erase and reuse tape, etc.

50. Radiation Exposure Information System (REIRS)

The system maintains radiation Retain until it has been exposure data reported by NRC licen- determined by a competent sees according to category such as: NRC Official that data are commercial reactors, industrial no longer needed; erase and radiographers, fuel fabricators and reuse tape, etc.

processors and commercial distributors of specified quantities of by product material. Such data assist in the evaluation of the effectiveness of NRC's regulatory program.

51. Nuclear Plant Reliability Data System (NPRDS)

An industry-sponsored computer data Retain until it has been base managed by the ANSI N18-20 sub- determined by a competent committee, maintains engineering and NRC Official that data failure information on all safety- are no longer needed; erase related systems and components at and reuse tape, etc.

participating nuclear plants in commercial operation. The data base is maintained by South-West Research I.7-12

cs 4

i , \,

NRC SCHEDULE I A

RECORDS COMMON TO MOST OFFICES

(_) .~

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

51. (Cont.) .

Institute but is available for special-report generation by the NRC. SWRI submits reports on a quarterly basis.

52. Manpower System (MPS1 The system maintains a data base of Retain until it has been manhours charged against projects and determined by a competent programs, providing management with NRC Official that data are data for manpower analysis, realloca- no longer needed; erase and tion, planning, budget validation and reuse tape, etc.

license-fee purposes.

53. ADP Contractor Cost Tracking System (ACTS)

The system provides MPA management Retain until it has been

('~'T s / with data and information on ADP con- determined by a competent

NRC Official that data tractor expenditures by system,. task order, and planned accomplishment are no longer needed; erase number. and reuse tape, etc.

54. NIH Computer Timesharing System (NIH)

This system provides detailed cost Retain until it has been data on computer timesharing determined ~by a competent expenditures at NIH/DCRT. NRC Official th'at data are no longer needed; erase' and reuse tape, etc.

l

55. Automated Information Documentation System (AIDS)

This system utilizes data sets which Retain until it has been

! are created and maintained via determined by a' competent

! WYLBUR to produce various printouts NRC Official that data'are l

needed to document the programs, no longer needed; erase and l data files and data elements reuse tape, etc.

comprising a given system.

I.7-13 e

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES.

ITEM-NO. DESCRIPTION OF RECORDS AUTHORIZE 0 OISPOSITION

56. Congressional Information Retrieval System (CIRS)

This system maintains a comprehensive Retain until it has been index and a brief description of determined by a competent information sent to Congress in NRC Official that data letters and questions and answers. are no longer needed; erase The information is retrievable by and reuse tape, etc.

subject category, date, recipient, congressional committee or author.

57: ADP Project Management System The system will maintain data and Retain until it has been information to monitor and inter- determined by a competent relate ADPS efforts on contracts, NRC Official that data purchase orders, projects, tasks or are no longer needed; erase subtasks, work orders and invoices. and reuse tape, etc.

l

58. ADP/ Management Information System Computer cards are prepared presenting Retain until it has been l data and information regarding determined by a competent automatic data processing equipment NRC Official that data leased or owned by the NRC for use are no longer needed; erase by the NRC or a contractor supporting and reuse tape, etc.

the NRC. The cards and listing reflect unit identification, ADPS inventory, systems utilization, functional use and summary ADP manpower cost data.

59. Tape Library System Maintains records of computer Retain until it has been magnetic tape usage by ADPS retaining determined by a competent data such as: reel number, creation NRC Official that data are date, program number, classification no longer needed; erase and l code, name of user, location code, reuse tape, etc.

retention period, tracks, density and function.

O I.7-14

NRC SCHEDULE I  !

RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

60. ' Integrated Financial Management Information System (IFMIS)

The system maintains data and Retain until it has been information integrating accounting determined by a competent l

' functions such as: general ledger, NRC Official that data funds control, travel, accounts are no longer needed; erase receivable, accounts payable, plant and reuse tape, etc.  !

i and capital equipment, and appropria-tion and funds.

61. Travel Authorization and Voucher System (TRAVEL)

The system maintains data and Retain until it has been information for processing travel determined by a competent authorizations and travel vouchers. NRC Official that data are no longer needed; erase and reuse tape, etc.

62. Payroll (PAY)

Time and attendance cards are pro- Retain until it has been cessed to determine leave status and determined by a competent deductions such as: health and life NRC Offical that data are no insurance, credit union, Federal and longer needed; erase and State taxes, bonds, pension, depen- reuse tape, etc.

! dencies (per W-4 form) and CFF contri-l butions. The system prepares a check tape, prints bonds and time and attendance slips.

63. Accounting (CAB)

This syctem maintains data and Retain until it has been information regarding NRC's financial determined by a competent transactions such as: collections NRC Official that data are and disbursements, unexpended allot- no longer needed; erase ments, obligations, payments, costs, and reuse tape, etc.

appropriation and cash accounting balance. Produces reports such as:  ;

debits and credits, monthly trans-actions, trial balance and license O fee invoices.

I.7-15 +

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

64. Budget Financial Analysis System (BFAS)

The system maintains data and Retain until it has been information to enable the Controller determined by a competent to forecast budgets. NRC Official that data are no longer needed; erase and reuse tape, etc.

65. Staff Year Analysis System (SAS)

The system will provide management Retain until it has been with information and statistical determined by a competent reports regarding: contractor staff NRC Official that data are years purchased and a forecast of no longer needed; erase and staff years to be purchased; in-house reuse tape, etc.

hours devoted to associated contracts by RESEARCH program monitors; monies committed to each contract and any changes to such contracts; authorized staffing levels and technical onboard skills by decision unit.

66. Controller Budget System (CBS)

This system comprises two modules, Retain until it has been the Financial Plan and Zero Base determined by a competent Budgeting. The Financial Plan Module: NRC Official that data are (1) establishes financial control no longer needed; erase and levels for NRC organizations within reuse tape, etc.

t funds available to NRC, (2) serves as l a budgetary guide below activi.ty level (decision unit) or other levels that may be identified by OMB/ CONGRESS,

, and (3) provides the obligational

! authority for carrying out NRC programs

! and reimbursable work for other Federal agencies.

The Zero Base Budget Module facilitates the maintenance of an historical, automated statistical data base which generates statistical reports in su,pport of NRC's budget request to OMB. The system also generates historical reports for internal use.

I.7-16

_. ~ . _ __ _ ~ . _ _ . . ..

1 NRC SCHEDULE I i

'N RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

67. Licensing and Inspection Planning Profile System (LIPP)

The Licensing and Inspection Planning Retain until it has been Profile System is used as an analytic determined by a competent tool to model and NRC Light Water NRC Official that data Reactor Licensing Process. Based on are no longer needed; erase typical manpower requirements per and reuse tape, etc.

plant type and with a variable number of plant models, the system produces information of manpower requirements

for the licensing process by time dependency and by milestone. System requires licensing manpower require-ments from Nuclear Reactor Regulation

(NRR), Executive Legal Director (ELD),

Inspection and Reinforcement (I&E),

Advisory Committee for Reactor Safe -

guards (ACRS) and Atomic Safety and Licensing Board Panel (ASLBP).

l 0FFICE OF STATE PROGRAMS

68. Radiological Emergency Response-Plan (RERP) ,

The system provides the Office of Retain until it has been l State Programs with information determined by a competent required to develop and evaluate NRC Official that data state and local government radio- are no longer needed; erase logical emergency response plans in and reuse tape, etc.

support of fixed nuclear facilities.

69. Peacetime Radiological Emergency Response Analysis Device (PRERAD)

The system maintains a data base of Retain until it has been criteria to evaluate emergency pre- determined by a competent paredness aspects of local and state NRC Official that data are radiological emergency _ response plans. no longer needed; erase-The data base also contains informa- and reuse tape, etc.

tion regarding nuclear plant speci-Qics,suchas: location, license 1ssuance, name, project manager,' reactor '

type and utility name; planning objec-tives and guidance subjects; and key ,

review elements contained in State Programs Emergency Response Plans.

I.7-17

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECCRDS AUTHORIZED DISPOSITION

70. State Legislation This is a data bank to which NRC Retain until it has been purchases access. The system tracks determined by a competent bills, initiatives, and referendums NRC Official that data of State Legislatures. The NRC uses are no longer needed; erase it to track nuclear legislation. and reuse tape etc.

71. State Agreements Tracking and Updating System (STATUS)

This system maintains the status of Retain until it has been the state agreement process as it determined by a competent progresses between the NRC and a NRC Official that data given state. are no longer needed; erase and reuse tape, etc.

OFFICE OF INTERNATIONAL PROGRAMS

72. International Programs Export / Import License Tracking System (IPELTS)

The system maintains a contralized Retain until it has been collection of data necessary to track determined by a competent and monitor all applications for NRC Official that data are no nuclear material for export to longer needed; erase and foreign countries. U.S. import of reuse tape, etc.

nuclear material is also monitored.

OFFICE OF ANALYSIS AND EVALUATION OF OPERATIONAL DATA

73. Licensee Event Reporting (LER)

The system maintains a data base that Retain until it has been provides data and information determined by a competent on qualitative analysis concerning NRC Official that data are the nature and extent of off-normal no longer needed; erase and events in the nuclear industry. reuse tape, etc.

O I 7-18

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES 1

)

i ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l

~74. Analysis & Evaluation Tracking System (ANETS)

This system consolidates / integrates Retain until it has been two automated systems which provide determined by a competent AE00 management with an information NRC Official that data are no source to assist in planning, longer needed; erase and scheduling and budgeting office reuse tape, etc.

resources.

75. Coordination of Licensee Events Analysis i i and Review (CLEAR)

This system supports AE00 mission for Retain until it has been analysis and evaluation of opera- determined by a competent tional data. It maintains information NRC Official that data are concerning the analyses and evalua- no longer needed; erase tions of operational experience being and reuse tape, etc.

conducted in other NRC Offices.

O OFFICE OF ADMINISTRATION

76. Central Personnel Clearance Index (CPCI)

This batch-mode system maintains Retain until it has been

data and information on the security determined by a competent

! clearance status of NRC and NRC NRC Official that data contractor personnel. This system _ are no longer needed; erase  ;

will be replaced by a redesigned and and reuse tape, etc.

upgraded online system. ,

77. Central Personnel Security Clearance Index-(CPSCI)

The system will maintain data'and Retain until it has been  ;

information on the security clearance ~ determined by a competent status of NRC and contractor person- NRC Official that data are nel. _The online system will replace no longer needed; erase and the batch processed Central Personnel reuse tape, etc.

Clearance Index System (CPCI).

i i

i i

I.7-19 l

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

78. Classified Document Control System (CDCS)

The system maintains data and Retain until it has been information for the review of docu- determined by a competent ment classification for the determina- NRC Official that data are tion of declassification or continued no longer needed; erase classification of national security and reuse tape, etc.

information and material according to established criteria.

79. Administrative Budget Control (ABC)

This system is a budget and funds Retain until it has been control and management information determined by a competent system for items of concern for the NRC Official that data Office of Administration. are no longer needed; erase and reuse tape, etc.

80. Contracts System The system maintains data and infor- Retain until it has been mation on contract pre-award, post- determined by a competent award and status, such as: action NRC Official that data are requested, date RFP issued, estimated no longer needed; erase and cost, dollar value, award date, reuse tape, etc.

expiration date, contract type number, contractor name, contract title and program office contact.

81. Telephone Billing and Certification System (TELE)

System maintains assignment of NRC Retain until it has been telephone lines to users (employees) determined by a competent and identity of retired phone lines NRC Official that data are and changes; ensures rapid certifica- no longer needed; erase and tion and payment of all long distance reuse tape, etc.

toll charges.

82. Property and Supply System (PASS) i

The Property and Supply System main- Retain until it has been tains records of all NRC actions determined by a competent concerning property and supplies, NRC Official that data are examples such as

property and no longer needed; erase supply transactions, maintenance and reuse tape, etc.

I.7-20

NRC SCHEDULE I

/^\ i t

RECORDS COMMON TO MOST OFFICES b

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

82. (Cont.)

transactions, warehouse inventory, consumable usage, stockage reorder points, NRC item identification catalog, abnormal maintenance incident rates, fiscal data for contract renewal and suspense items overdue return from vendor.

83. Personnel (PARIS)

The Personnel System maintains Retain until it has been records on NRC personnel regarding determined by a competent previous employment, history of NRC NRC Official that data are employment and present status. no longer needed; erase and Information and data regarding reuse tape, etc.

various employee actions are input

-~ to the system. These actions are:

/ s) accessions, transfers, terminations;

\s_ / and/or regular reports such as:

notice of in grade. step, employment trends, minority employment, skills and levels, grades by sex or minority and anticipated retirement levels.

84. Serial Information Control System (SICS)

The Serial Information Control System Retain until it has been provides operational assistance to. determined by a competent the Library Branch by performing NRC Official that data are the following on library journal no longer needed; erase material: control of distribution and reuse tape, etc.

lists, ordering and reviewing subscriptions, projection of issues l to be received and receipt control.

85. Information Requirements Control Automated System (IRCAS)

The system, as an information locator, Retain until it has.been is used to plan and control NRC determined by a competent reporting requirements and forms. NRC Official that data are O\s_/

Information is controlled at the subject or title level which includes no longer needed; erase and reuse tape, etc.

I.7-21

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES l ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

85. (Cont.)

cost, number of respondents, originator, prescribing authority, staffhour burden, and whatever other administrative information is required.

86. Personnel Education and Training Information System (PETIS)

The system maintains data and Retain until it has been information pertaining to NRC per- determined by a competent sonnel education and training as NRC Official that data obtained from NRC Form 369, "NRC are no longer needed; erase Employee Career Record Education and reuse tape, etc.

and Training."

87. DOE / RECON RECON (Remote Console) is a Retain until it has been computerized on-line interactive determined by a competent storage and retrieval system designed NRC Official that data are to give users direct and fast access no longer needed; erase to data bases stored in large and reuse tape, etc.

automated files at Oak Ridge.

88. Holding Action System (HAS)

! This system maintains locator Retain until it has been l information on all documents in the determined by a competent printing and distribution cycle. NRC Official that dats are no longer needed; erase and reuse tape, etc.

89. Machine Readable Cataloging System (MARC) l The Machine Readable Cataloging Retain until it has been System enables the NRC library to determined by a competent establish and maintain readable file NRC Official that data are of bibliographic information and to no longer needed; erase produce a variety of useful biblio- and reuse tape, etc.

graphic tools such as: card, book and/or microfilm catalogs; catalog card sets; and keyword lists, book control lists and subject area bibliographies.

I.7-22

NRC SCHEDULE I

, RECORDS COMMON TO MOST OFFICES

! ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

-90. Personnel

.The Personnel SystemLeaintains Retain uritil it has been records on NRC personnel regarding determined by a competent previous employment, history of NRC NRC Official that data employment and present status. are no longer needed; erase

' Information and data regarding and reuse tape, etc.

various-' employee actions are input to the system. These actions are:

accessions, transfers, terminations; and/or regular reports such as: notice of in grade step, employment trends, minority employment, skills and levels, grades by sex or minority and antici-pated retirement levels. This system will replace the present Personnel System which operates on the NIH

• computer facility.

O i

i t

t l

--I . 7- 23 l

- _ ~ _ . ,

NRC SCHEDULE I

()

,m RECORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1

PART 8. AUDIOVISUAL RECORDS

1. Still Photography Files a) Portraits of NRC Chairman and Commissioners, maintained by the Printing and Graphics Branch, Office of Administration, and photographs of reactor sites and noteworthy NRC-related activities.

Arranged by name or subject.

1. The original negative and Permanent. Break file every captioned print or contact five years. Offer to NARS sheet, and internegative, five years after file break, if one exists.

2. Duplicate prints maintained Destroy when no longer needed.

fsg in any NRC office.

t 4

\'- s' b) 35mm color slides of reactor sites, maintained by Printing and Graphics Branch, Office of Administration, arranged by reactor name.

1. The original transparency Permanent. Break file every and one duplicate, if one five years Offer to NARS exists. five years after file break.

2. Duplicate copies maintained Destroy when no longer by any NRC office. needed.

c) Portraits of NRC officials Destroy when no longer l below the Commissioner Level, needed.

and photographs of routine activities such as awards, retirements, and administrative functions, maintained by the Printing and Graphics Branch, Office of Administration.

v)

I.8-1

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES 1

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION d) Aerial and oblique photo- Permanent. Break file every graphy of facilities maintained 10 years and offer to NARS by the Office of Inspection and 10 years after file break.

Enforcement in connection with emergency response. Prints and some negatives are maintained in NRC and remaining negatives are maintained by contractor.

Photographs cover approximately 70 sites and are arranged alphabetically by name of site.

e) Still photographs of instruments, Permanent. Break file every facilities, procedures and five years. Offer negative special visits associated with and print to NARS five years the LOFT reactor. Prints are after file break.

maintained in the Office of Nuclear Regulatory Research, Division of Accident Evaluation, Experimental Programs Branch and negatives are maintained by the research contractor. Arranged by subject.

2. Graphic Arts Files a) Original artwork line and half- Destroy when no longer needed tone negatives, and other camera- for publication or reprinting.

ready copy prepared for bro-chures, posters and other NRC publications by the Graphics Section, Office of Administration.

b) Record set of posters distri- Offer to NARS when 10 years buted agency-wide or to the old.

public and maintained by the Graphics Section, Office of Administration. Arranged chronologically.

c) Vu graphs maintained in any Destroy when no longer l NRC office. needed. '

O I.8-2

NRC SCHEDULE I RECORDS COMMON TO MOST OFFICES L

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

3. Video Recording Files .

a) NRC-sponsored.3/4-inch video Permanent. Offer master and productions intended for' -one dubbing to NARS when no j public distribution. These longer in current distribu-include educational programs pro . tion.

-duced by Los Alamos Scientific Laboratory and distributed by the National Audiovisual Center.

b)- Off-the-air recordings of media Erase and reuse when no coverage of NRC-related activi- longer needed.

ties and events, or appearances of NRC officials.

c) Original 3/4-inch video Permanent. Break file every recordings of public meetings, five years. Offer master speeches, conferences, testimony and one dubbing to NARS .

of NRC officials before Congress. five years after file break. i and other hearings made and .

maintained by the Printing and Graphics Branch, Office of f Administration.

d) Video productions purchased Destroy and. reuse when no from outside sources for tech- longer needed.

nical' training of NRC staff and  ;

maintained in the Printing and I Graphics Branch,-Office of ,

I Administration.

e) Duplicate dubbings of.any Erase and reuse when no '

recording described in a, b, c, longer needed.

or d above maintained by any NRC office.

f) Experiment and Test records for research projects, as follows:

t_-

s I

I.8-3 i

-,-v .--,--n<--,,,,_-.. . . ~ . . , - . . - - , , - , , , . , - - . - , . - -

NRC SCHEDULE I RJCORDS COMMON TO MOST OFFICES ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Edited, educational motion Permanent. Offer original, picture films or video- intermediate copy and print recordings on the LOFT or dubbing to the National program. Originals may be Archives when five years old.

maintained by contractors and prints or dubbings main-tained in the Office of Nuclear Regulatory Research, Division of Accident Evalua-tion, Experimental Programs Branch.

2. Unedited documentary motion Destroy when no longer picture film or video needed.

recordings resulting from LOFT experiments and tests.

4. Sound Recording Files (NOTE: Printing and Graphics does not maintain any original sound recordings as originally indicated in item a.)

a) Audiocassettes purchased from Erase and reuse when no outside sources for technical longer needed.

training of NRC staff and main-tained in the Printing and Graphics Branch, Office of Administration.

b) Oral history sound recordings of Erase and reuse when NRC officials maintained by the no longer needed.

Chief Historian, Office of the Secretary.

O I.8-4

I NRC SCHEDULE'II

( RECORDS OF THE COMMISSION "The' Commission:is responsible 7for licensing and regulating nuclear facilities and materials, and for conducting research in support of-the licensing and regulatory process, as mandated by the Atomic Energy Act~of 1.954, as amended, the Energy Reorganization Act of.1974, as amended, and the Nuclear Nonprolifera- ,

t L tion Act of 1978;'and in accordance with the National-Environmental Policy Act of 1969, as amended, and other applicable' statutes. These responsibilities include protecting public health and safety, protecting the environment, pro-i- tecting and safeguarding materials and plants-in the interest of national security, and assuring conformity with antitrust laws. Agency functions are

. performed through: standards-setting and rulemaking;. technical reviews and .

I i studies; conduct of public hearings; issuance of authorizations, permits and

licenses; inspection, investigation and enforcement; evaluation of. operating

+

experience, and'research. .The Commissiori is composed of five members, appointed -

i by the President and confirmed by the Senate, one of whom is designated by the '

President as Chairman. The Chairman is the principal executive officer and the official spokesman of the Commission.

I I

ITEM i- 1K). DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

, l l PART 1. RECORDS OF THE COMMISSIONERS

1. Commissioners' Chronological Files 4

Copies of all outgoing correspond- Permanent. Offer to NARS ence and reports prepared by the when 10 years old.

! individual commissioners.  :

Arranged chronologically. l I

I t

\

11.1-1

NRC SCHEDULE II f% i (N

RECORDS OF THE COMMISSION ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 2. RECORDS OF BOARDS AND PANELS Atomic Safety and Licensing Board Panel (ASLBP)

~

The Atomic Safety and Licensing Board Panel develops procedures applicable to activities of hearing boards and makes appropriate recommendations to the Commission relating to the conduct of hearings, and hearing procedures for the guidance of the boards. Atomic Safety and Licensing Board conducts such hearings as the Commission may authorize or direct; make such intermediate or final decisions as the Commission may authorize in proceedings to grant, suspend, revoke, or amend licenses or authorizations; and perform such other regulatory functions as the Commission deems appropriate.

1. Memoranda to Panel Board Members Memoranda of an informational nature on technical matters of use to full-gs time and part-time panel members.

g ) Arranged numerically by memorandum N' numbers within fiscal years.

a) Legal memos Permanent. Offer to NARS when 20 years old.

b) Technical memos Permanent. Offer to NARS when 20 years old.

j

2. Panel Board's Monthly Status Report to Commissioners Reports from the Chairman of the Destroy when 10 years old.

Panel to the Commission summarizing Cut off files annually.

the activities of the Board.

l 3. Transcripts of ASLBP Hearings Verbatim transcripts of the formal Destroy when no longer needed ASLBP hearings. These transcripts for reference.

are filed in the Commission's Official Decisional Docket File (NRC Schedule I, Part 3, Item 1).

l

V i II.2-1

NRC SCHEDULE II RECORDS OF THE COMMISSION ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Minutes of Advisory Screening Committees Minutes of each advisory screening Retain for life of committee committee and copies of other documents related to the minutes.

5. Advisory Screening Committee Consultant Personnel Files Correspondence, reports, and Destroy ten years after other records pertaining to the termination of contract.

qualifications and employment' of outside technical advisors or consultants under contract with the Committees.

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II.2-2

NRC SCHEDULE II RECORDS OF THE COMMISSION

?s\

U ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 3. RECORDS OF THE OFFICE OF THE SECRETARY The Office of the Secretary of the Commission develops policies and procedures for the provision of complete recretariat services required for the discharge of Commission business and imple:1entation of Commission decisions. The Secretary advises and assists; the Commission, offices reporting directly to the Commission, and the Executive Director for Operations'and his subordinate offices on the scheduling and conduct of Commission business. The Assistant Secretary performs functions of the Federal Advisory Committee Management _0fficer; maintains liaison with certain boards and advisory committees; and acts as FOIA coordinator for Commission documents.

1. Commission (SECY) Paper Files Commission Papers, generally referred to as SECY Papers, are formal docu-ments prepared by NRC staff offices, Commission staff offices, ACRS and Boards and Panels as the principal g instrument by which the Commission

( receives recommendations for

( decision and information on signifi-cant matters. Copies of all Secy papers are filed subjectively in the Secretariat subject file (NRC Schedule I Part 2, Item la).

a) Commission (Secy) Paper Comment Permanent. Offer to NARS Folders which are case files- when 20 years old.

l comprising the official record l

of the Commissioners' voting and

their comments. Folders include a I copy of the Secy Paper, vote sheets, and related comments and correspondence. Arranged numerically by Secy Paper Number.

b) Other copies of Commission Destroy when no longer needed (Secy) Papers for reference.

1 x

II.3-1

NRC SCHEDULE II RECORDS OF THE COMMISSION ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Transcripts of Commission Meetings Verbatim transcripts of open and Permanent. Offer to NARS closed meetings of the Commission. when 20 years old.

Arranged chronologically by date of meeting.

3. Stenographic Tapes of Commission Meetings a) Tapes of open meetings Destroy when transcribed.

b) Tapes of closed meetings Destroy when two years old or later when a complete j transcript has been disclosed, except that all tapes of TMI are to be retained until disposal has been authorized by the Office of General Counsel.

4. Rulemaking Docket Files Copies of rulemaking documents Destroy 5 years after the sent to the Office of the Federal completion (through adoption l Register for publication, and or withdrawal) or rulemaking related correspondence and other proceedings noticed in the documentation. Federal Register.

l l

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II.3-2

.NRC SCHEDULE II RECORDS OF THE COMMISSION ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 4. RECORDS OF THE OFFICE OF THE GENERAL COUNSEL The Office of the General Counsel directs matters of law and legal policy, providing advice and assistance to the Commission and to the Offices reporting to the Commission with respect to all activities of the NRC; reviews and prepares appropriate decisions on ASLAP decisions and rulings, public petitions seeking direct-Comission action, and rulemaking proceedings involving hearings; represents and protects the interests of the NRC in court proceedings, and in relation to other government agencies, Committees of Congress, foreign governments, and members of the public.

1. Litigation Case Files Correspondence and copies of all Permanent. Transfer closed papers filed in actions brought files to WNRC 7 years after by or against the NRC. Arranged cases are closed. Offer to alphabetically by the name of the NARS 20 years after cases party involved in the suit. are-closed.

, 2. Commission Memorandum File ,

Copies of memoranda to Commissioners containing legal opinions on a variety of subjects. Memoranda are numbered sequentially within years.

a) Record set consisting of one Permanent. Transfer to WNRC 4 copy of each memorandum when 10 years old. Offer to NARS when 20 years old.

b) Other copies Destroy when no longer needed.

3. Legislative Files Case files of legislation proposed Permanent. Transfer to by NRC consisting of proposals, WNRC when 10 years old.

staff comments, internal memos, Offer to NARS when 20 years correspondence with OMB, testimony, old.

and draft bills. Arranged numer-ically by bill number or by subject if more than one bill is involved.

II.4-1

NRC SCHEDULE II RECORDS OF THE COMMISSION w,

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 5. OFFICE OF CONGRESSIONAL AFFAIRS RECORDS The Office of Congressional Affairs provides advice and assistance to the Commission and NRC staff on all NRC relations with Congress and views of Congress toward NRC policies, plans, and activities; maintains liaison with Congressional Committees and members of Congress on matters of interest to NRC; serves as primary contact point for all NRC communications with Congress, reviewing and concurring _in all outgoing correspondence to members of Congress; participates in planning and developing NRC's legislative programs.

1. Congressional Correspondence Files

. Correspondence with individual Cut off file every 2 years.

congressmen, chairmen of congres- Transfer to WNRC 2 years sional committees, and their staffs after file break.

relating to the activities and Destroy when 10 years old.

programs of the agency.

2. Senate and House Members Profile Files Files containing biographical Destroy when 5 years old or information on members of the U.S. sooner if purpose has been Congress. served.

3. Legislative Files Copies of proposed House and Senate Destroy when legislation is bills relating to NRC operation passed or when no longer needed, and related correspondence.

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11.5-1

NRC SCHEDULE-II Q RECORDS OF THE COMMISSION

-ITEM NO. DESCRIPTION OF RECORDS ' AUTHORIZED DISPOSITION PART 6. RECORDS OF THE OFFICE OF INSPECTOR AND AUDITOR

!' The_0ffice of Inspector and Auditor conducts investigations and inspections to ascertain and verify the integrity of all NRC operations;_ investigates allega-l tions of NRC employee misconduct, equal employment opportunity and civil

! rights complaints; develops policies and standards. governing the Commission's l

financial and management audit program, and administers Commission's day-to-day audit activities; serves as point of contact with the GAO on matters affecting NRC's financial and management audit function; makes such reports to the

~

Commission as necessary to keep the Commission fully informed on its financial management responsibilities, and on the results of investigations and inspec-tions; hears individual employee concerns regarding NRC operations and activities;-refers criminal matters to the Dept. of Justice and maintains liaison j' with the Dept. of Justice and other law enforcement agencies.

1. Audit and Inspection Files Case files of internal audits and Hold closed cases in office L inspections and special projects of 1 year after closing, then an audit or inspection nature transfer to WNRC. -Destroy initiated by the Office of Inspec-- 5 years after cases are i tion and Auditor or requested by closed.

) NRC management covering all aspects

of agency operations both financial l and programmatic. Included are audit and inspection reports and related records.

2. Investigation Files Case files containing reports and related records on investigations of irregularities, the integrity of all NRC operations, employee misconduct, EE0 and civil rights complaints, tort

~

and personal property loss claims, and possible criminal activities, including the review of the Office of Inspection and Enforcement inspections and investi-l gations for possible c,riminality. Also j included are special investigations done at the request of NRC management i

officials.

!O

! 11.6-1 l

NRC SCHEDULE II RECORDS OF THE COMMISSION ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION a) EE0 Cases. See GRS 1, Item 26 for authorized disposition b) Cases relating to licensees, Disposition is to be made applicants, and their in accordance with the contractors and suppliers. authorized disposition for Item 2.a) of Part 4, NRCS IV.

For those cases where Item 2.a) does not apply, destroy 10 years after case is closed.

c) Other cases See NRCS I, Part 5, Item 11 for authorized disposition.

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II.6-2

I NRC SCHEDULE II' t

RECORDS OF THE COMMISSION-

.( _,7

l. -ITEM NO. -DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 7. OFFICE OF POLICY EVALUATION i:

The Office of. Policy Evaluation provides overall planning and management of-activities involved in performance of an independent review of positions developed  :

by the NRC' staff which require policy determinations by the Commission; conducts-analyses and projects either self generated or requested by the Commission.

'l. ~ Evaluation Background Files Destroy when no longer needed.

Correspondence, working papers and

' reference files pertaining to the' Office's evaluation of NRC staff positions preparatory to submission i of final paper or product to the Commission. Final papert on products are filed in the program correspondence files of the  ;

Secretariat (NRC Schedule I, Part 2, Item 1.a)).

e l >

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l 11.7-1 r

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1 NRC SCHEDULE II

,,s

\ RECORDS OF THE COMMISSION ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 8. RECORDS OF THE OFFICE OF-INVESTIGATIONS

! The Office of Investigations conducts investigations of licensees, applicants contractors or vendors and all allegations of wrongdoing by individuals other than NRC employees and NRC' contractors; supervision and quality control of all investigative functions; develops policy, procedures and quality control standards for the conduct of OI investigations; ensures that all OI investigators-are L properly trained;. keeps abreast of inquiries and of NRC licensee, applicant,  !

contractor.or vendor operations and ' advises the Commission, the' Executive Director of Operations, and Administrators on the need of formal investigations;. keeps L _the rest of the Agency informed of matters un d er investigation as they affect safety matters; advise and assist the Office of Inspector and Auditor in appropriate referrals to the Department of Justice.

1. Allegation and Inquiry Files Official case files located at NRC Hold closed allegation' case Headquarters documenting allegations files in office 2 years then L of possible wrongdoing by licensees, retire to WNRC. Destroy 10 applicants, contractors or vendors. years after cases are closed.

Contains statements, interviews, _ -i summary reports, reports of inquiry, l recommendations and other related material.

2. Investiaation Case Files Case files documenting investigations of licensees, applicants, contractors or vendors and any wrongdoing by indi-

viduals other than NRC employees and l- NRC contractors. Files include state-ments, interviews, support information i relating to the investigation, interum l

reports and the report of investigation.

Offer to NARS a) Official case files located at PERMANENT.

Headquarters determined by the 10 years after closing the i

NRC or NARS to have exceptional investigation.

1 value because of the highly

, significant nature of their contents of their uniqueness.

1 O

!. II.8-1 C-- .. _ _ ,-- _ -._. ~

NRC SCHEDULE II RECORDS OF THE COMMISSION ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b) Other official case files at Hold in office 2 years after NRC Headquarters. closing then retire to WNRC.

Destroy 10 years after cases are closed.

c) Regional office or Destroy 2 years after the investigators copy. cases are closed.

3. Investigation Procedure Memos (IPM'S)

OI official record set of formal PERMANENT. Offer to NARS issuances maintained at NRC when 20 years old.

Headquarters.

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II.8-2

l NRC SCHEDULE III-f\

RECORDS OF THE ADVISORY COMMITTEE ON REACTOR SAFEGUARDS

'(]

Tne Advisory Committee on Reactor Safeguardc' reviews safety studies and applications for construction permits and facility operating licenses, and makes reports thereon; advises the Commission with regard to hazards of proposed or existing reactor facilities and the adequacy of proposed reactor safety standards; upon request of the Department of Energy (DOE), reviews and advises with regard to the hazards of DOE nuclear activities and facilities; reviews any generic. issues or other matters referred to it by the Commission for advice. On its own initiative may conduct reviews of' specific generic' matters or nuclear facility safety-related-items. Conducts studies of reactor safety research, prepares, and submits annually to the U.S. Congress a report containing the results of such study.

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. General Program Correspondence Apply the applicable disposition Files standards contained in NRCS #I, Part 2, subject to the record-keeping requirements imposed.

by the Federal Advisory Committee Act (PL-92-463).

t O 2. ACRS Members Personnel Files l Records pertaining to the background Retain for life of committee, of individual members of the Committee then destroy immediately.

and containing information on their l

i activities during their membership with the Committee.

l

3. Minutes of the Committee a) Complete set of formal minutes Permanent. Offer to NARS of general and subcommittee when 20 years old.

meetings with all attachments.

- Arranged chronologically.

b) Silver master of microfiche Destroy when no longer needed.

minutes prepared (without all attachments and containing some deletions) for Public Document Room use.

c) Reference copies of Destroy when no longer microfiche. needed.

III.1-1

NRC SCHEDULE III RECORDS OF THE ADVISORY COMMITTEE ON RFACTOR SAFEGUARDS 4

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Transcripts of ACRS Meetings Transcripts of verbatim accounts of all general and subcommittee meetings.

a) Paper copies of transcripts Dastroy when microfiche copies have been determined to be an adequate substitute for original records.

b) Silver master and diazo dupli- Pe rman 3 nt'. Offer to NARS cate of microfiche copies of when two years old.

transcripts c) Reference copies of microfiche Destroy when no longer needed.

5. Committee Files on Regulation Guidelines Correspondence, memoranda, and reports Pernianent. Offer to NARS pertaining to committee and public when 20 years old.

comments on the formulation of all NRC regulations relating to nuclear operating standards. Arranged numerically by NRC Regulatory i

Guide number.

6. Consultant Personnel Files

, Correspondence, reports, and other Destroy 10 years after i records pertaining to the qualifi- termination of contract.

cations and employment of outside -

technical advisors or consultants under contract with ACRS.

7. Reports of Consultants Reports submitted by advisory consultants, pertaining to various aspects of nuclear reactor safety.

a) Silver master and one diazo Permanent. Offer to NARS copy for each formal report when 20 years old.

b) Extra copies of reports in Destroy when no lo79er i paper or microfilm form. needed for reference.

! III.1-2

i NRC SCHEDULE III l 1

/'~'s -

( ,)_

RECORDS OF THE ADVISORY COMMITTEE ON REACTOR SAFEGUARDS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

8. Annual Reports of the ACRS to the

.U.S. Congress Reports pertaining'to ACRS evaluation of the effectiveness of NRC effort in

$/ reactor safety research issued as NUREG documents and retained permanently in microfiche form (See NRCS I, Part 5, Item 9a2).

a) Paper copies of annual reports Destroy when microfiche copies have been determined to be an

< adequate substitute for original a

records 1.

b) reference copies of microfiche Retain for life of Committee 1

9. Nuclear Reactor Project Files

' ;<G

'1 Case files on individual nuclear Permanent. Offer to NARS

\ reactors including correspondence 10 years after termination memoranda, studies, reports, and of license.

analyses pertaining to nuclear safety-related matters. Arranged alphabetically by name of reactor.

10. Nuclear Power Plant Docket Files Official records documenting Maintain for life of Committee.

l licensing of the corstruction and operation of commercial nuclear reactors for power generation -

l pursuant to Parts 2, 20, 50, 100 and 140 of. Title 10, Code of Federal Regulations. Material consists of individual applicant

! case files, identified by assigned docket numbers, containing copies of all documents received or generated in the review, evaluation, and authorizat'en stages of the licensing pre;g.s. Sources of documents included in case files are:

~s applicant utility organization; NRC/

[\s i Regulatory Offices; Federal and State

, / agencies; safety boards and committees; i

> III.1-3

i NRC SCHEDULE III RECORDS OF THE ADVISORY COMMITTEE ON REACTOR SAFEGUARDS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION private organizations and parties; intervenors, and individuals commenting on licensing actions.

11. Classified Defense Information File Reports, correspondence and other Permanent. Offer to NARS records pertaining to D00 reactors when 20 years old.

ind to DOE production facilities.

Arranged by subject.

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III.1-4

I NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS The operational activities of NRC carried out by several program and staff offices, are supervised and coordinated by the Executive Director for Operations (EDO). The EDO is also responsible for implementation of Commission policy directives pertaining to all program and staff offices reporting to him.

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 1. RECORDS OF THE OFFICE FOR ANALYSIS AND EVALUATION OF OPERATIONAL DATA The Office for Analysis and Evaluation of Operational Data is responsible for assuring the proper analysis of operational data associated with all NRC-licensed activities and the feedback of such analyses to improve safety.

This office identifies key analyses to be conducted, taking into account such factors as postulated accident sequences and data availability; selects-appropriate analytical techniques and propose data gathering mechanisms for data not currently available; conducts systematic safety analyses and evaluations of operational data to seek trends that would forecast a potential problem; develops recommendations to resolve problems revealed by operational data analyses and '

evaluations; provides analytical guidance to, accept technical input from, and coordinate efforts of, operational data analysis groups in other NRC offices; n reviews overall NRC and industry response to assess implementation of recommended

) actions; and serves as focal point for interaction with ACRS and industry groups (V involved in operational data analysis and evaluation.

1. Operational Data and Information Screening Files Files consist of document control Destroy when five years old sheets describing AE0D's review or one year after completion

! of Licensee Event Reports (LERs) of formal case study, whichever and other operational data and occurs first.

information submitted for final review.

2. Case Study Report Files l

l Copies of reports with all Permanent. Offer to NARS when i background documentation providing 20 years old.

detailed information on i formal evaluations of events i with the highest potential I risk to the public as identified by prior screening of LERs by AEOD engineers. Arra'nged

merically by case study number.

l IV.1-1 l

l

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 2. RECORDS OF THE OFFICE OF THE EXECUTIVE LEGAL DIRECTOR The Office of the Executive Legal Director provides the Executive Director for Operations and Offices reporting to the EDO with legal opinions and advice with respect to all activities of the NRC; provides interpretation of laws, regulations and other sources of authority, and the legal form and content of proposed official actions; represents and protects the interests of NRC in administrative proceedings before other administrative bodies; prepares or concurs in all contractual documents, interagency agreements, delegations of authority, regulations, orders, licenses, and other legal documents, and prepares legal interpretations thereof; reviews and directs patent work;' represents the NRC in legal matters with government agencies, foreign governments, or the public, except for those matters specifically delegated to the General Counsel.

1. Patent and Technical Data Files a) Invention dockets containing Destroy 10 years after file is copy of invention disclosure closed.

and pertinent correspondence.

( ,, / b) Case files of U.S. patent applications containing record of invention disclosure, record of invention, draft of patent application with inventor's notes, copy of patent application as filed in Patent Office, pertinent correspondence, amendments, reports, and references as

follows.

l 1) Abandoned patent Destroy 10 years after applications application is abandoned

2) . Issued patents Destroy 25 years after patent is issued.

c) Files on contracts, subcon- Destroy 10 years after patent tracts, and purchase orders clearance.

containing miscellaneous correspondence and related papers 1

f" .

k

, IV.2-1

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS ITEM N0. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION pertaining to negotiation of contract patent provisions, inventions or discoveries conceived under contract, reports and papers reviewed for patent clearance, and patent clearance of terminated contracts.

d) License agreement and assignment Destroy 25 years after files containing license agree- issuance of patent.

ments and assignments in U.S.

patents and pertinent corres-pondence regarding execution of license agreements and royalty payments.

e) Patent Agreement Forms, Destroy when 56 years old.

" Agreement Covering Discoveries, Inventions, and Improvements,"

signed by all employees at time of employment.

f) Docket files containing findings Destroy when 25 years old.

determinations, and statements of reason, decisions, backup material, and correspondence with the Patent Compensation Board, U.S. Court of Appeals, and U.S. Court of Claims.

g) Infringement files containing Destroy when 30 years old.

copies of patents which have been l or possibly might be infringed; l pertinent correspondence regard-I ing use of patented process, l device, or material; copies of l purchase orders and other backup material; Court of Claims petitions and actions.

h) Case files containing correspondence with contractors regarding U.S. patent applications referred for review under sections 151 and 152 of the Atomic Energy Act.

IV.2-2

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS

~

ITEM -

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1) 151 "C" Reports and Destroy 25 years after date Applications _of last action.

2) 152 Applications Destroy 10 years after patent expires.

i) Ledgers and log record showing Destroy.10 years after invention disclosures reportej last entry.

date, disposition, and U.S.

office actions.

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IV.2-3

NRC SCHEDULE IV

-s

' \g) RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 3. RECORDS OF THE OFFICE OF SMALL AND DISADVANTAGED BUSINESS UTILIZATION AND CIVIL RIGHTS The Office of Small and Disadvantaged Business Utilization and Civil Rights develops _and implements, in cooperation with the Director, Division of Contracts and Directors of other affected Offices, specific policies and procedures to carry out the functions and duties of Sections 8 and 15 of the Small Business Act and Executive Order 12138, as they relate to the NRC. Provides focus for NRC efforts to assist small businesses, small businesses owned by socially or economically disadvantaged individuals, women-owned businesses, and firms in labor surp,lus areas.

1. General Files General correspondence, memoranda, Destroy when 5 years old.

reports, and other records pertain- Cut off file annually, ing to the implementation of the office's program of assisting small and disadvantaged businesses

) or required by amendments to the

> Small Business Act of 1958.

O IV.3-1 l

NRC SCHEDULE IV

,y

() RECORDS OF EXECUTIVE OPERATIONS ITEM

.NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 4. INSPECTION AND ENFORCEMENT RECORDS The records described in this schedule document-the development of policies and implementation of programs for inspection and investigation of licensees, applicants, and their contractors and suppliers to: ascertain whether they are complying with NRC regulations, rules, orders and license conditions; identify conditions that may adversely affect public health and safety, the environment, or the safeguarding of nuclear materials and facilities; provide a basis for recommending issuance or denial of an authorization, permit or license; determine whether quality assurance programs meet NRC criteria; and recommend or take appropriate action regarding incidents or accidents. The records also document the development of policies and implementation of a program of enforcement action through IE and EDO Regional offices.

1. IE Issuance Files a) IE official or record set of Permanent. Offer to NARS when formal issuances prepared by 20 years old.

eN IE staff consisting of IE I

('- Circulars, Bulletins, and Information Notices.

b) Regional office copies and Destroy when no longer other copies of issuances. needed.

2. Inspection and Enforcement Case Files Files documenting the inspection activity and action relating to power reactors, byproduct, source and special nuclear material licensees, including copy of license, inspection and followup reports, inspectors' notes, enforcement ac'. ion documents, final certification that premises are free of radiological contami-nation, and related documentation.

a) Official Case Files located in Permanent. Offer to NARS Regional Office determined 20 years after termination by the NRC or the NARS to of license.

have exceptional value because s

of the highly significant nature of their contents or their uniqueness. Included are those IV.4-1

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS lf ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION inspection files that relate to the docket records to be retained as archives identified in NRC Schedule I, Part 3, Item 5.a) 1.e., those files that:

1. result in judicial decisions or legislation that affect the functions and activities of NRC;

2. result in significant changes in regulatory activities and procedures; or

3. were the subject of Congres-sional investigation or were of great public interest.

b) Other case files in Regional Retire to WNRC after final Offices except those described certification. Destroy in 1) through 4) below. 10 years after final certification.

1) Inspection Case Files of Destroy 3 years after final licenses under NRC juris- certification.

diction whicn are allowed to expire or are terminated or superseded and not covered by 2.b,2) below.

2) Unique or special cases Destroy 20 years after and/or cases where licensees final certification.

are required to make exten-sive decontamination efforts as a result of IE clearance survey.

3) Case files of both IE Destroy 1 year after official and Regional offices, file is transferred consisting of material remaining after files are transferred to a State under agreement covering transfer of regulatory function.

IV.4-2

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS ITEM

• N0. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4) All other inspection case Destroy 1 year after files final certification.

c) Copies of case files located Destroy 1 year after final in IE Offices. certification.

d) All other copies in IE, NMSS Nonrecord. Destroy when 1 year and Regional Offices: old or earlier if no longer needed.

3. Preliminary Notification of Event or Unusual Occurrence FNO, PNS Files Copies of preliminary reports Destroy when 4 years old.

constituting early notice of any significant event of possible safety or public interest. The information contained in reports is h

d as initially received by telephone or other informal notification without verification of evaluation.

4. IE Manual Record copy of the IE Manual Permanent. Offer to NARS including all changes thereto. at periodic intervals when superseded or obsolete.

5. Safeguard Status Reports Monthly computer printouts containing Destroy when superseded by an inventory of all nuclear material new report.

located in NRC licensed facilities throughout the United States.

Reports are derived from information furnished by regional inspectors.

IV.4-3

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

6. Reports of Defects or Non-Compliance (Part 21 Reports)

Numbered reports pertaining to non- Destroy two years after matters compliance of law and regulations reported have been resolved.

or defect made by a director or responsible officer of a firm con-structing, owning, operating or sup-plying the components of any facility which is licensed or regulated by law.

Reports are required by 10 CFR Part 21.

7. IE Morning Reports Reports containing items of interest Destroy when 6 months old.

distributed at both headquarters and Regional offices, containing management information of interest to staff. Report is required by IE Manual.

8. Nuclear Material Accountability Worksheets Worksheets maintained by regional Destroy when superseded inspectors in accounting for or no longer needed.

nuclear materials located at NRC licensed facilities.

l l

l t

O IV.4-4

l 1

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS h

[G ITEM .

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 5. INTERNATIONAL PROGRAM RECORDS The records described in this schedule document the planning, development, and implementation of programs of international cooperation and licensing of nuclear exports and imports, and the formulation of policies co'ncerning nuclear exports and imports, international safeguards, and nonproliferation matters.

EXPORT / IMPORT AND INTERNATIONAL SAFEGUARDS RECORDS

1. Country Files Files on individual foreign Permanent. Offer to NARS countries, including correspon- when 20 years old.

dence and other documents pertain-ing to international safeguards in handling nuclear materials, components and facilities, gnalyses of physical security, and agreements for coopera-tion. Filed alphabetically by name of O country.

INTERNATIONAL ARRANGEMENTS RECORDS

2. Country Files Case files containing correspondence, Permanent. Offer to NARS studies, analyses, and copies of 10 years after file becomes formal bi-lateral arrangements inactive.

documents pertaining to NRC formal arrangements. Program to exchange nuclear regulatory and safety information and to cooperate on the development of regulatory and safety standards. Also included are copies of research agreements and related correspondence.

3. Formal Arrangement and Agreement Files Signed bi-lateral arrangement docu- Permanent. Cut off file when ments and original research agreements arrangement expires. Offer to with foreign governments. Arranged NARS 10 years after alphabetically by name of foreign expiration of arrangement.

O country.

IV.5-1

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Foreign Visitor Files Correspondence, memoranda, reports, program curricula, biographical data pertaining to the visit to NRC of foreign nationals for the purpose of exchanging information on nuclear safety and safeguards.

a) Files on incidental visitors Destroy when 5 years old.

Cut off files annually.

b) Files on visitors who have Destroy 10 years after long term (3 to 6 months or termination of assignment.

longer) assignments working with NRC.

5. International Organization Files Correspondence, memoranda, reports, Permanent. Cut off file and other records pertaining to NRC when NRC involvement with involvement with international organization terminates.

organizations regarding nuclear Offer to NARS 10 years safeguards. Arranged alphabetically later or sooner if purpose by name of organization. has been served.

6. Files of Department of State Cables and Atomic International Forum Wires Copies of State Department cables Detroy when 1 year old.

and AIF wires relating to nuclear Cut off files annually.

regulations and safeguards sent to NRC for information.

O IV.5-2

NRC SCHEDULE IV

(

n\ RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 6. NUCLEAR MATERIAL AND SAFEGUARDS RECORDS The records described in this schedule document NRC responsibility for ensuring public health and safety,. protection of the national security, and protection of environmental values in the licensing and regulation of all facilities and materials licensed under the Atomic Energy Act of 1954, as amended, associated with the processing, transport and handling of nuclear materials, including the review and assessment of their safeguards against potential threats, thefts and sabotage.

1. Process Operator License Files Case files documenting the licensing of process operators in reprocessing plants including new and/or renewal applications, medical certificates, licenses and amendments, examinations and results, and related correspondence, including denial information.

O, a) Latest applications and related Destroy 4 years after expiration or termination of correspondence, license, exami-nations and results; all medical license or issuance of denial certificates and data; and all letter.

examiners reports.

b) Superseded applications and Destroy when 2 years old or related correspondence, when superseded, whichever is licenses, examinations and later.

results; denial letters.

2. Certificate of Compliance Files Original of NRC Certificates of Retain current certificates Compliance documenting approval in notebook. Destroy when of licensee transportation of certificates are revised.

radioactive materials package design under 10 CFR Part 71.

These certificates are published by NRC and a copy of all certif-icates are filed in applicable docket file.

O IV.6-1 l

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

3. Quality Assurance Files Originals of NRC 311 or its equiva- Retain on current basis.

lent documenting NRC determination Destroy when obsolete or that licensee meets requirements superseded.

of Sec. 71.51 of 10 CFR (Quality Assurance Program on Radioactive Material Packages). Record copy is in Docket File NRC Schedule I-3-7.

4. Safety Evaluation Reports NRC narrative reports and Destroy in accordance with the revisions describing actions taken authorized disposition for i

by applicants and NRC an individual Item 7.a) and b) of Part 3,

! aspects of radioactive material NRC Schedule I.

package design under the require-ment of 10 CFR Part 71.

i S. Sealed Source and Device Review Files l Case files which document NRC review Destroy in accordance with l and approval of the design'of sealed authorized disposition for i

sources and/or devices containing Item 7.a) and b) of Part 3, i

licensed radioactive materials. NRC Schedule I.

A certificate or registration for l sealed sources and/cr devices is l issued when the design is con-sidered acceptable for licensing.

Included are copies of applications, Certificates of Registration, l safety analysis summaries and l related correspondence.

6. International Safeguards Program Office l

l ISP0 Files Copies of reports Permanent. Offer to NARS developed by U.S. contractors when 20 years old.

under the Program for Technical Assistance to IAEA Safeguards l (P0TAS). The ISP0 is a part of i, the Brookhaven National Laboratory

and is responsible for coordinating the comments and development process IV.6-2

NRC SCHEDULE IV (p} RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION of the POTAS reports. Also included in the files are correspondence between ISP0 and NRC, DOE and DOJ and NRC response to ISP0 requests for comments on draft reports and copies of final reports.

7. Source and Special (SS) Material Accountability System Files a) SS Transfer Journals maintained Destroy 3 years after date of by accountability stations as a last entry.

continuing control record of contractor's inventories, to which are posted receipts and shipments of SS materials.

b) SS Material Transfer Files Destroy when 3 years old.

(inter.and intraplant transfers),

consisting of records utilized

' to account for transfers from one unit to another within production plants or facilities, or between such plants.

c) SS Material Shipoing Form Files Destroy when 3 fiscal years old.

consisting of DOE /NRC Forms DP-741 or equivalent, used in the transfer of source and special nuclear materials, or other special nuclear materials, or other material controlled by the SS Materials Accountability System at Oak Ridge National Laboratory.

IV.6-3

l l

NRC SCHEDULE IV I RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 7. NUCLEAR REACTOR REGULATION RECORDS The records described in this schedule document the NRC licensing functions associated with construction and operation of nuclear reactors and with receipt, ,

possession, ownership, and use of special nuclear and byproduct material used '

at reactor facilities; the review of applications and issue of licenses for reactor facilities required to be licensed under the Atomic Energy Act of 1954, as amended, and the evaluation of health, safety, and environmental aspects of facilities and the development of sites; regulations; the analysis of reactor design concepts; the evaluation of methods of transporting nuclear materials and radioactive wastes on reactor sites; and the monitoring and testing of operating reactors, recommending upgrading of facilities and modification of regulations, as appropriate.

1. Antitrust Case Files Files consist of copies of Destroy 20 years after license licensee applications with is approved.

antitrust information on applicant, correspondence with

, the Office of the Executive

\m)j Legal Director and Department of Justice relating to findings on the applicant's financial background.

2. Reactor Operator and Senior Operator Docket Files Case files documenting the licensing of reactor operators and senior reactor operators including new and/

or renewal applications, medical certificates, licenses and amend-ments, examination and results, related correspondence, including denial information.

a) Latest applications and related Destroy 4 years after expiration correspondence, license, examina- or termination of license or tions and results, all medical issuance of denial letter.

certificates and data; and all examiners reports.

x b) Superseded applications and Destroy when 2 years or when

[ }

related correspondence. superseded, whichever is later.

\d licenses, examinations and results; denial letters.

IV.7-1

NRC SCHEDULE IV U RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 8. RESEARCH RECORDS The records on this schedule document the planning &ad implementation of the programs of nuclear regulatory research which the Commission deems necessary for the performance of its licensing and related regulatory functions.

1. Scientific and Technical Reports These are published and unpublished scientific and technical reports, as defined in NRC Manual Chapter 3202.

a) Record copy officially desig-nated by the originating NRC office or contractor.

1) published reports See NCRS I, Part 5, Item 9a for authorized disposition

2) unpublished reports Permanent. Offer to NARS in annual blocks when 20 years old.

b) All other copies Destroy when no longer needed for reference.

l 2. Field Test Files Records that are accumulated at test sites and consists of various types of motion picture films, oscillograms, magnetic tapes, etc., on which are recorded l raw or unevaluated data; and I evaluation data resulting from l study of above material, including i memoranda, graphs, tabulations, reports, and related papers referred to collectively as " Reduced Data."

a) Raw test data, consisting Destroy when 5 years old or of Mitchell camera film, 1 year after completion of Askania phototheodolite film, t'inal evaluation report of test Cj and Fastex film; trajectory project, whichever ccc;:; first.

IV.8-1 i

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION data oscillograms, telemetry oscillograms, and magnetic tapes.

b) Reduced data as described Destroy when no longer above. needed

3. Rejected Research Project Proposals Rejected proposals for research Destroy 2 years after rejection projects consisting of unsolicited contract proposals from individuals and organizations which on evalua-tion by NRC were determined to be unacceptable and were subsequently rejected. )

4. Research Program Files Program files consisting of various Permanent offer to NARS when documents, data, and correspondence 20 years old.

accumulated by divisions and offices responsible for the formulation, planning, direction, review, and evaluation of research and develop-ment in assigned areas.

5. Research Project Case Files Project Case Files reflecting the history of a project from initiation l to completion, including research, design, and test results. Included l are records such as: project proposal; review memoranda and comments; project authorizat. ions and directives; copies of unpublished manuscripts, journal articles, and conference papers; progress reports; correspondence influencing the direction of the project; and lists of publications and films resulting from the project.

O IV.8-2

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS 7-s U ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION a) Case files deemed by the NRC, Permanent. Off,er to NARS in contractor, or the National annual blocks when'20 years Archives and Records Service old.

to have exceptional value because of the highly signif-icant nature of the research involved or uniqueness of the case file. Included are files that:

1. show development of new and significant techniques.

2. relate to new and significant methodology and materials.

3. were the subject of Congressional investi-gation or came under O intensive public scrutiny.

4. result in judicial decisions or legislative activities affecting the functions and activities of the NRC.

5. result in significant changes in regulatory activities and functions of the NRC.

b) All other case files. Destroy when 15 years old.

6. Experiment and Test Files Experiment and test records for research projects, as follows:

a) Record print of edited Permanent. Offer to NARS still and motion picture when 20 years old.

film resulting from experiments and tests.

IV.8-3

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b) Raw test data consisting of '

Destroy when 5 years old instrumentation material such as film recorded charts, graphs, tapes, etc.

c) Plans and procedures for Destroy when 5 years old.

conducting the experiment or test.

7. Laboratory Notebooks Scientists' notebooks containing scientific and technical data resulting from research work, as follows:

a) Notebooks containing data Destroy 6 months after determined by competent completion or termination of scientific or technical the related project (s).

personnel either to be duplicated in technical reports or elsewhere in project case files, or to be of such a routine or fragmentary nature that their retention would not add significantly to the project file except those described in 1) below.

1) Notebooks containing data Destroy when 25 years old or es'sential in establishing 6 months after completion or patent or invention rights. termination of the related project (s) whichever is later.

b) All other notebooks. Permanent. Offer to NARS 10 years after completion or termination of the related project (s).

8. Research Background Files Records which are background papers and data which serve as backup to laboratory notebooks and scientific and technical reports.

IV.8-4

l NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION a) Source data files, punch cards Destroy when_the program magnetic tapes, computer print- manager determines that outs, recorder charts, pre- the records have no probable liminary drawings, film, value.

questionnaires, surveys, etc.,

used to collect and assemble data of a preliminary or intermediate character generated from such processes as experiments or observations of a routine, repetitive nature and used for reference in arriving at determinations in the conduct of research projects, b) Summary data, and/or records Destroy when 7 years old.

reflecting significant findings or containing scientific data not duplicated elsewhere which serve as backup for notebook entries and/or reports.

9. Original tracinas of diawings, Permanent. Offer to NARS specifications, and photopraphs in annual blocks when 20 years of completed product or apparatus old.

l O

IV.8-5 l

NRC SCHEDULE IV s y RECORDS OF EXECUTIVE OPERATIONS v

ITEM 4

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 9. STANDARDS AND POLICY DEVELOPMENT RECORDS The records in this schedule document the development and recommendation of rules, regulations and standards, and guides pertaining to: (a) radiological health, nuclear safety, and environmental protection related to licensed activities in siting, design, construction, and operation of nuclear reactors, other production and utilization facilities, and storage, processing, transfer and use of nuclear materials; and (b) physical protection of production and utilization facilities and nuclear materials subject to licensing, and safeguarding of nuclear materials held by NRC licensees. The records also pertain to the technical advice and assistance provided to the Commission and NRC Offices by the Office of Research on matters concerning public health and safety related to facilities and nuclear materials subject to licensing; environmental impact of construction and opera-tion of facilities subject to licensing and of other licensed activities; and safeguarding and security of facilities and nuclear materials; and the coordi-nation of the Commission's participation in IAEA standards-related activities.

The Office of Research also serves as the principal point of contact for the Commission with the American National Standards Institute and other organizations on matters concerning nuclear standards.

1. Nuclear Safety Standards Program Files Records accumulated in connection Destroy when 20 years old.

with the development of nuclear safety standards and guides pertaining to the siting of suitable location, design of nuclear power plants, etc. Included are draft j standards and guides, comments from I staff offices and the public and related records. Standards are formally published as NRC Regula-tions NUREGS, Guides or Technical Specifications, which are retained permanently in microfiche form (See NRCS I, Part 5, Item 9a2).

O IV.9-1

NRC SCHEDULE IV RECORDS OF Ey.iCUTIVE OPERATIONS ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION PART 10. STATE PROGRAM RECORDS The records in this schedule document the review and direction of NRC programs of cooperation and liaison with States, local governments, and interstate organizations and the administration of'the State Agreements program; NRC guidance and assistance to State and local governments in radiological emergency response planning and operations and training for State and local government personnel in radiation control and radiological emergency response programs; The records also pertain to the coordination of the development of NRC national emergency preparedness program and cooperation with other U.S. Government agencies having State and interstate responsibilities in this area.

1. Agreement State Files a) Copies of State enabling Permanent. Offer to NARS 5 years legislation cooperative agree- after any revocations or ments between NRC and State termination of agreement.

government agencies, and Com-O mission papers on the Agreements.

b) Review meeting reports and Permanent. Offer to NARS correspondence with individual when 5 years old.

Agreement States.

2. Non-Agreement State Files Copies of State Acts pertaining to Destroy when 10 years old.

nuclear regulatory matters and related correspondence with individual non-Agreement States.

3. Health Training Files Correspondence and reports Destroy when 3 years old or pertaining to the presentation of sooner if purpose has been and attendance at individual NRC- served.

sponsored training courses for l Agreement State personnel. Courses pertain to radiation control and radiological response programs.

4. State Legislation Files I

(s

\ I Copies of proposed State legislation relating to nuclear control and Destroy when no longer needed for reference.

V regulations obtained for NRC by IV.10-1

NRC SCHEDULE IV RECORDS OF EXECUTIVE OPERATIONS

~

ITEM  !

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION I l

contractor. Information is used in the preparation of the Information Report and State Legislation (Item 5 below)

5. Information Report on State Legislation Summary report published bimonthly ,

reflecting individual States' I legislation pertaining to nuclear regulatory matters.

a) Record set of each Permanent. Offer to NARS report maintained by in biannual blocks when Office of State Programs. 5 years old.

b) Other copi'es Destroy when no longer needed.

t IV.10-2

i

? . .

' INTRODUCTION TO THE GENERAL RECORDS SCHEDULES i

General ~ Records Schedu'les.(GRS) are issued by the Administrator, General.  ;

Services Administration,.to provide disposition standards for records common to several or all. agencies of the Federal Government. They include records  !

. relating to civilian personnel, fiscal functions, accounting, procurement, communications, printing, security,'and other common or housekeeping functions; and certain non-textual records.

t j These schedules, as issued by GSA, have been modified or tailored for use  ;

. throughout NRC while observing the basic format and mandatory legal require-

ments of the General Records Schedules. In those instances-where NRC has

, special records-retention requirements for certain common-type records, users will be referred to disposition instructions contained in the applicable NRC Schedules (NRCS). Any records series described in the GRS which are not to be

. found in the NRCS^are noted "Not Applicable to NRC" in the Authorized '

Disposition column.

The General Records Schedules are intended to cover only record copies. Extra  !

. copies of documents used solely for reference are non-record and may be i destroyed at the discretion of the users.

f i If copies:of documents covered by these schedules are part of a subject or case file which documents 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 as covered by applicable NRCS.

', e i

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._ - _ - . _ . . - - . - . -. . -. - . - - . - . ~ _

TABLE OF CONTENTS PAGE NO.

s GENERAL RECORDS SCHEDULE 1..................................... 1-1 Civilian Personnel Records................................ 1-1 Item 1 Official Personnel Folders................. 1-1  ;

Item 2 Service Record Cards....................... 1-2 i Item 3 Personnel Correspondence and Subject Files. 1-2 Item 4 Offers of Employment Files................. 1-2 Item 5- Certificates of Eligibles Files............ 1-3 Item 6 Employee Record Cards...................... 1-3 ,

Item 7 Position Classification Files.............. 1-3 i Item 8 Interview Records.......................... 1-4 Item 9 Performance _ Rating Board Case Files........ 1-4 Item 10 Temporary Individual Employee Records...... 1-4 Item 11 Position-Identification Strips............. 1-4 Item 12- Employee Awards Files...................... 1-5 Item 13 Incentive Awards Program Reports........... 1-6 Item 14 Notifications of Personnel Action.......... 1-6 Item 15 Employment Applications.................... 1-6 Item 16 PersonnelLOperations Statistical Reports... 1-6 Item 17 Correspondence and Forms Files............. 1-6 Item 18 Duplicate Documentation and Personnel Files Maintained Outside Personnel l' Item 19 0ffices..................................

Individual Health Record Files.............

1-7 1-7 i Item 20 Health Unit Control Files.................. 1-7 Item 21 Individual Employee Health Case Files...... 1-8 Item 22 Statistical Summaries...................... 1-8 Item 23 Performance Rating Records................. 1-8 Item 24 Motor Vehicle Operation Files.............. 1-9 Item 25 Financial Disclosure Report Files.......... 1-9 Item 26 Equal Employment Opportunity Records....... 1-10 l Item 27 Personnel Counseling Records............... 1-12 I Item 28 Standards of Conduct Files................. 1-12 Item 29 Labor Management Relations Records......... 1-12 Item 30 Training Records........................... 1-13  :

Item 31 Grievance, Disciplinary and Adverse Action Files.................................... 1-14 Item 32 Personal Injury Files...................... 1-14 Item 33 Merit Promotion Case Files.................. 1-15

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TABLE OF CONTENTS (Continusd)

PAGE NO.

GENERAL RECORDS SCHEDULE 2..................................... 2-1 Payrolling and Pay Administration Records. . . . . . . . . . . . . . . . . 2-1 Item 1 Individual Accounts Files.................. 2-1 Item 2 Payroll Correspondence Files./..... ....... 2-1 Item 3 Time and Attendance Report Files .......... 2-2 Item 4 Individual Authorized A110tnients Files. . . . . 2-2 Item 5 Bond Registration Files.................... 2-3 Item 6 Bond Receipt and Transmittal Files......... 2-3 Item 7 Bond Purchase Files........ ............... 2-3 Item 8 Leave Application Files.................... 2-3 Item 9 Leave Record Cards......................... 2-3 Item 10 Leave Data Fi1es........................... 2-4 Item 11 Notification of Personnel Action Files..... 2-4 Item 12 Budget Authorization Reference Files....... 2-4' Item 13 Payroll Files.............................. 2-4 Item 14 Payroll Control Files........... .......... 2-5 Item 15 Payroll Change Files....................... 2-5 Item 16 Fiscal Schedules Files..................... 2-5 Item 17 Administrative Payroll Report Files........ 2-6 Item 18 Tax Files.................................. 2-6 Item 19 Income Tax Return Files.................... 2-6 Item 20 Tax Report Files........................... 2-6 Item 21 Retirement Fi1es........................... 2-6 Item 22 Insurance Deduction Files.................. 2-7 Item 23 Levy and Garnishment Files................. 2-7 Item 24 Wage Survey Ft1es.......................... 2-7 GENERAL RECORDS SCHEDULE 3..................................... 3-1 Procurement, Supply, and Grant Records.................... 3-1 Item 1 Unique Procurement Files................... 3-1 Item 2 Real Property F11es........................ 3-1 Item 3 General Correspondence Files. . . . . . . . . . . . . . . 3-1 Item 4 Routine Pr*.c twent Files.................. 3-1 Item 5 S upply Ps* 19 a tnt Fi l e s . . . . . . . . . . . . . . . . . . . . 3-2 Item 6 Solic t > ao" snsolicited Bids a nc R opp .

. Files....................... 3-3 Item 7 Public Printer files....................... 3-3 Item 8 Nonpersonsi Requisition Files. . . . . . . . . . . . . . 3-4 Item 9 Inventory Requisition Files................ 3-4 Item 10 Inventory Files............................ 3-4 Item 11 Telephone Records.......................... 3-4 O

TABLE OF CONTENTS (Continued)

PAGE NO.

Item 12 Contractors' Payroll Files................. 3-5 Item 13 Tax Exemption Files........................ 3-5 Item 14 Grant Application Files. . . . . . . . . . . . . . . . . . . . 3-5

~'

Item 15 Grant Case Files........................... 3-5 Item 16 Grant Control Files........................ 3-5 Item 17 Grant Correspondence and Subject Files..... 3-6 i-Item 18 Final Product Files........................ 3-6

'~ Item 19 Contract Appeals Case Files................ 3-6

, Item 20 Contractor's Statement of Contingent or Other Fees............................ 3-6

- GENERAL RECORDS SCHEDULE 4..................................... '4-1 Property Disposal Records................................. 4-1 g Item 1 Surplus Property Precedential Case Files... 4-1 Item 2 Property Disposal Case Files............... 4-1 Excess Real Property Reports............... 4-1 Item 3 Item 4 Property Disposal Correspondence Files..... 4-1 Item 5 Excess Personal Property Reports........... 4-1 y Item 6 Surplus Property Case Files................ 4-2 Item 7 Real Property Files........................ 4-2 GENERAL RECORDS SCHEDULE 5..................................... 5-1 Budget Preparation, Presentation, and Apportionment

_ Records................................................. 5-1 Item 1 Budget Policy Files........................ 5-1 Item 2 Budget Estimates and Justifications Files.. 5-1 Item 3 Budget Correspondence Files................ 5-1 Item 4 Budget Background Records.................. 5-1 Item 5 Budget Reports Files....................... 5-2 Item 6 Budget Apportionment Files................. 5-2 GENERAL RECORDS SCHEDULE 6..................................... 6-1 Accountable Officers' Accounts Records.................... 6-1 h

i Item 1 Accountable Officers' Files................ 6-2 l Item 2 GAO Exceptions Files....................... 6-3 Item 3 Certificates Settlement Files.............. 6-4 f Item 4 General Fund Files......................... 6-4 y Item 5 Accounting Administrative Files............ 6-4 1- Item 6 Federal Personnel Surety Bond Files........ 6-4

- Item 7 Gasoline Sales Tickets..................... 6-5 Item 8 Telephone Toll Tickets..................... 6-5 e Item 9 Telegrams.................................. 6-5

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TABLE OF CONTENTS (Continued)

PAGE NO.

GENERAL RECORDS SCHEDULE 7..................................... 7-1 Expenditure Accounting Records............................ 7-1 Item 1 Expenditures Accounting General Correspondence and Subject Files......... 7-2 Item 2 General Accounting Ledgers................. 7-2 Item 3 Appropriation Allotment Files.............. 7-2 Item 4 Expenditure Accounting Posting and Control Files.................................... 7-2 GENERAL RECORDS SCHEDULE 8..................................... 8-1 Stores, Plant, and Cost Accounting Records................ 8-1 Item 1 Plant Accounting Files..................... 8-1 Item 2 Plant, Cost and Stores General Correspondence Files..................... 8-1 Item 3 Stores Invoice Files....................... 8-1 Item 4 Stores Accounting Files.................... 8-2 Item 5 Stores Accounting Work Papers.............. 8-2 Item 6 Plant Accounting Files..................... 8-2 Item 7 Cost Accounting Reports.................... 8-2 Iter. 8 Cost Rpart Data Files...................... 8-2 GENERAL RECORDS SCHEDULE 9..................................... 9-1 Travel and Transportation Records......................... 9-1 Item 1 Freight Fi1es.............................. 9-1 Item 2 Lost or Damaged Shipments Files............ 9-2 Item 3 Passenger Transportation Files............. 9-2 Item 4 Passenger Reimbursement Files.............. 9-2 Item 5 General Travel and Transportation Files.... 9-3 GENERAL RECORDS SCHEDULE 10.................................... 10-1 Motor Vehicle Maintenance and Operation Records........... 10-1 Item 1 Motor Vehicle Correspondence Files......... 10-1 Item 2 Motor Vehicle Operating and Maintenance Files.................................... 10-1 Item 3 Motor Vehicle Cost Files................... 10-1 Item 4 Motor Vehicle Report Files................. 10-2 Item 5 Motor Vehicle Accidents Files.............. 10-2 Item 6 Motor Vehicle Release Files................ 10-2 Item 7 Motor Vehicle Operation.................... 10-2 0

TABLE OF CONTENTS (Continued)

PAGE NO.

GENERAL RECORDS SCHEDULE 11.................................... 11-1 Space and Maintenance Records............................. 11-1 Item 1 Space and Maintenance General Correspondence Files..................... 11-1 Item 2 Agency Space Files......................... 11-1 Item 3 Directory Service Files.................... 11-2 Item 4 Credentials Files.......................... 11-2 Item 5 Building and Equipment Service Files....... 11-2 GENERAL RECORDS SCHEDULE 12.................................... 12-1 Communications Records.................................... 12-1 Item 1 Messenger Service Files.................... 12-1 Item 2 Communication Correspondence, Reports, and Reference Files.......................... 12-1 Item 3 Telecommunications Operational Files....... 12-2 Item 4 Telephone Summaries........................ 12-2 Item 5 Postal Records............................. 12-2 Item 6 Mail and Delivery Service Control Files.... 12-2 Item 7 Penalty Mail Report Files.................. 12-3 Item 8 Postal Irregularities Files................ 12-4 GENERAL RECORDS SCHEDULE 13.................................... 13-1 Printing, Binding, Duplication, and Distribution Records.. 13-1 Item 1 Publications Files......................... 13-1 Item 2 Administrative Correspondence Files........ 13-1 Item 3 Project Files.............................. 13-1 Item 4 Control Files.............................. 13-2 Item 5 Mailing Lists.............................. 13-2 Item 6 JCP Reports Files.......................... 13-2 Item 7 Internal Management Files.................. 13-3 GENERAL RECORDS SCHEDULE 14.................................... 14-1 Informational Services Records............................ 14-1 Item 1 Public Relations Files..................... 14-1 Item 2 Information Subject Files................. 14-2 Item 3 Information Requests Files................. 14-2 Item 4 Acknowledgement Files...................... 14-2 Item 5 Press Service Files........................ 14-2 Item 6 Information Project Files.................. 14-2 O

TABLE OF CONTENTS (Continued)

Item 7 Commendation / Complaint Correspondence Files.................................... 14-2 Item 8 Indexes and Check Lists.................... 14-2 Item 9 (Items 9 through 15 are Reserved).......... 14-3 Item 16 Freedom of Information Act (FOIA) Requests Fi1es.................................... 14-3 Item 17 FOIA Appeals Fi1es......................... 14-4 Item 18 FOIA Control Files......................... 14-4 Item 19 FOIA Reports Files......................... 14-4 Item 20 FOIA Administrative Files.................. 14-5 Item 21 (Items 21 through 24 are Reserved)......... 14-5 Item 25 Privacy Act Requests Files................. 14-5 Item 26 Privacy Act Amendment Case Files........... 14-6 Item 27 Privacy Act Accounting of Disclosure Files. 14-7 Item 28 Privacy Act Control Files.................. 14-7 Item 29 Privacy Act Reports Files.................. 14-8 Item 30 Privacy Act General Administrative Files... 14-8 GENERAL RECORDS SCHEDULE 15.................................... 15-1 Housing Records........................................... 15-1

GENERAL RECORDS SCHEDULE 16.................................... 16-1 Administrative Management Records......................... 16-1 i Item 1 Formal Directives, Procedural and l Operating Manuals........................ 16-1 i

Item 2 Publications............................... 16-2 l Item 3 Records Disposition Files.................. 16-2 Item 4 Forms Files................................ 16-3

! Item 5 Management Improvement Reports............. 16-3 l Item 6 Records Holdings Files..................... 16-3 l Item 7 Project Control Files...................... 16-3 l

Item 8 Reports Control Files...................... 16-3 Item 10 Working Papers............................. 16-4 Item 11 Records Management Files................... 16-4 Item 12 Committee and Conference Records........... 16-4 Item 13 Organizational Fi1ec....................... 16-4 Item 14 Feasibility Studies........................ 16-5 GENERAL RECORDS SCHEDULE 17.................................... 17-1 Cartographic, Remote Sensing Imagery, and Related Records. 17-1 0

~ TABLE'0F CONTENTS (Continued)

~ PAGE NO.

d GENERAL RECORDS SCHEDULE 18................ ................... 18-1 Security and Protective Services Records.................. 18-1 Item 1 Security Policy Files...................... 18-1 Item 2 Classified Documents Administrative Correspondence Files..................... 18-1 Item 3 . Document Receipt Files..................... 18-2 Item 4 Destruction Certificates Files............. 18-2 Item 5 Classified Document Inventory Files........ 18-2 Item 6 Top Secret Accounting and Control Files.... 18-2 Item 7 Access Request Files....................... 18-2 Item 8 Classified Document Container Security Fi1es.................................... 18-3 Item 9 Security and Protective Services Administrative Correspondence Files...... 13-3 Item 10 Survey and Inspection Files................ 18-3 Item 11 Survey and Inspection Files................ 18-3 Item 12 Investigative Files........................ 18-3 Item 13 Property Pass Files........................ 18-4 Item:14 Guard Assignment Files..................... 18-4 Item 15 Police Functions Files..................... 18-4 Item 16 Personal Property Accountability Files..... 18-4 Item 17- Key Accountability Files................... 18-5 Item 18 Visitor Control Records.................... 18-5 c \s.

Item 19 Facilities Checks Files.................... 18-5 Item 20 Guard Service Control Files................ 18-6 Item 21 Logs and Registers......................... 18-6 Item 22 Security Clearance Administrative Subject Fi1es............................ 18-6 Item 23 Personnel Security Clearance Files......... 18-7 Item 24 Personnel Security Clearance Status Files.. 18-7 Item 25 Security Violations Files.................. 18-8 Item 26 Reserved...................................

18-8 Item 27 Emergency Planning Administrative Correspondence Files..................... 18-8 Item 28 Emergency Planning Case Files.............. 18-8 Item 29 Emergency Directives Reference Files....... 18-9 Item 30 Emergency Planning Reports................. 18-9 Item 31 Emergency Operations Tests Files. . . . . . . . . . . 18-9 GENERAL RECORDS SCHEDULE 19............................... .... 19-1 Research and Development Records.......................... 19-1 l

l

TABLE OF. CONTENTS (Continued)

PAGE NO.

GENERAL RECORDS SCHEDULE 20.................................... 20-1 Machine - Readable Records................................ 20-1 GENERAL RECORDS SCHEDULE 21.................................... 21-1 Audiovisual Records....................................... 21-1 GENERAL RECORDS SCHEDULE 22.................................... 22-1 Design and Construction Drawings and Related Records...... 22-1 GENERAL RECORDS SCHEDULE 23.................................... 23-1 Records Comon to Most 0ffices. . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-1 GENERAL RECORDS SCHEDULE 24.................................... 24-1 Temporary Comissions, Comittees, and Board Records. . . . . . 24-1 O

O

GENERAL RECORDS SCHEDULE 1 Civilian Personnel Records

' Civilian personnel records relate to the supervision over and management of Federal Civilian Employees. This schedule covers the disposition of all official personnel folders of civilian employees and all other records relating to civilian personnel, wherever located in the Agency.

~ The most important types of records, the Official Personnel Folders and Service Record Cards, are maintained according to the Office of Personnel Management's Federal Personnel Manual Supplement 293-31, which prescribes a system of record- e keeping for all Federal personnel offices.

ITEM 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 disposal of papers on the left or " temporary" side of the OPF.)

a. Folders covering periods of Not applicable to NRC employment terminated prior to January 1,1921.

b. Folders covering periods of employ-ment terminated af ter December 31, 1920, excluding those selected by the National Archives and Records Service for permanent retention.

(1) Transferred employees See Federal Personnel Manual for instructions relating to folders of employees transferred to another agency.

(2) Separated employees. Transfer folder to National Personnel Records Center (CPR) St. Louis, Missouri, 30 days after separation. NPRC will destroy 75 years after 1-1

GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION birth date of employee or 60 years after the date of the earliest document in the folder if the date of birth cannot be ascertained, provided the employee has been separated for at least 5 years.

2. Service Record Cards.

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

a. Cards for employees separated or Transfer to NPRC (CPR) transferred on or before St. Louis, Missouri.

December 31, 1947. Destroy 60 years after earliest personnel action date.

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

3. Personnel Correspondence and Files.

Correspondence, reports, memoranda, Destroy when 3 years old.

and other records 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.

4. Offers of Employment Files.

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

a. Accepted offers. Destroy immediately.

b. Declined offers.

(1) Temporary or excepted File inside application appointment. (see item 15 of this schedule).

(2) All others. Destroy immediately.

1-2

GENERAL RECORDS SCHEDULE 1 L

,,_s ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

5. Certificates of Eligibles Files.

Certificates of eligibles with Destroy when 2 years old.

related requests, forms, vacancy announcements', correspondence, and statement of reasons for passing over.a preference eligible and selecting a nonpreference eligible.

6. Employee Racord Cards.

Employee record cards used for infor- Destroy on separation or mational purposes outside personnel transfer of employee.

offices-(such as SF 7-B).

7. Position Classification Files,

a. Position Classification Standards Files.

(1) Standards. OPM standards Destroy 5 years after determining title, series, position is abolished and grade based on duties, or description is responsibilities, and superseded.

\ qualifications requirements.

(2) Development. Memoranda,.

correspondence and other records relating to the development of standards for classification of positions peculiar to the NRC.

(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.

Files describing established positions including information on title, series, grade, duties and responsibilities. ,

(1) Record copy. Destroy 5 years after position is abolished or description superseded.

1-3

l GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (2) All other copies. Destroy when position is abolished or description superseded.

c. Survey Files.

(1) Classification Survey Reports. Destroy when 3 years Survey reports on various old or 2 years after positions prepared by classi- regular inspection fication specialist, including whichever is sooner.

periodic reports.

(2) Inspection, Audit and Destroy when obsolete Survey Files. Corres- or superseded.

pondence, memoranda, reports and other records relating to inspections, surveys, desk audits and evaluations,

d. Appeals Files.

Case files relating to classifi- Destroy 3 years after cation appeals. case is closed.

8. Interview Records.

Correspondence, reports and other Destroy 6 months after records relating to interviews with transfer or separation employees. or employee.

9. Performance Ratina Board Case Files.

Copies of case files forwarded to OPM Destroy 1 year after relating to performance rating board case is closed.

reviews.

10. Temporary Individual Employee Records.

All copies of correspondence and forms Destroy upon separation maintained of the left side of the or transfer of employee Official Personnel Folder in accord- or when 1 year old, which-ance with Federal Personnel Manual, ever is sooner.

Chapter 293, and Supplement 293-31.

11. Position Identification Strips.

Strips such as Standard Form 7D, Destroy when position used to provide summary data on each is cancelled or new position occupied. strip is prepared.

1-4

GENERAL RECORDS SCHEDULE 1 ITEM

'~'\ NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

[G 12. Employee Awards Files.

a. General awards records.

(1) Case files including Destroy 2 years after recommendations, approved -approval or disapproval.

nominations, memoranda, correspondence,-reports and related handbooks pertaining to agency-sponsored cash and

• non-cash awards such as incen-tive awards, within grade merit increases, suggestions, and outstanding performance.

(2) Correspondence or memoranda Destroy when 2 years old.

pertaining to awards from other government agencies or private organizations.

b. Length of Service and Sick Leave Awards File.

Records including correspondence, Destroy when 1 year old.

[\s,/'} memoranda, reports, computations of service and sick leave, and l list of awardees.

l

c. Letters of Commendation and Appreciation.

Copie; of letters recognizing Destroy when 2. years old.

length of service and retirement and letters of appreciation and commendation for performance, l

EXCLUDING copies filed in the i Official Personnel Folder.

d. Lists of Indexes to Commission Award Nominations.

Lists of nominees and winners, Destroy when superseded and indexes of nominations. or obsolete.

e. Commission Level Awards Files. See NRCS #I, Part 5, Item l'for authorized disposition.

v 1-5

GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

13. Incentive Awards Program Reports.

Reports pertaining to the operation Destroy when 3 years old.

of the Incentive Awards Program.

14. Notifications of Personnel Action.

Standard Form 50 documenting initial employment, promotions, transfers, in or out, separation, and all other individual personnel actions, exclusive of those in Official Personnel Folders.

a. Chronological file copies, in- Destroy when 2 years old.

cluding fact sheets, maintained in personnel offices.

b. All other copies maintained in Destroy when 1 year old.

personnel offices.

15. Employment Applications.

Applications (Standard Form 171) and Destroy when 2 years related records, EXCLUDING records old, providing the relating to appointments requiring requirements of the Senatorial ccnfirmation and applica- Federal Personnel Manual, tions resulting in appointment which Chapter 333, Section A-4 are filed in the Official Personnel are observed.

Folder (see item 1 of this schedule).

16. Personnel Operations Statistical Reports.

Statistical reports in the operating Destroy when 2 years old.

personnel office and subordinate units relating to personnel.

17. Correspondence and Forms Files.

Operating personnel office records relating to -individual employees not maintained in Official Personnel Folders and not provided for elsewhere in this schedule.

a. Correspondence and forms relating Destroy when action is to pending personnel actions, completed.

O l-6

GENERAL RECORDS SCHEDULE 1

'~'s ITEM (g ) NO. ' DESCRIPTION OF RECORDS AUTHORIZED DISDOSITION

b. Retention Registers.

(1) Registers from which Destroy when 2 years old.

reduction-in-force actions have been taken.

(2) Registers from which no Destroy when superseded reduction-in-force actions or obsolete.

have been taken.

c. All other correspondence and Destroy when_6 months old.

forms.

18. Duplicate Documentation and Personnel

~

Files Maintained Outside Personnel Offices.

a. Supervisor's Personnel Files.

Correspondence, memoranda, forms Review annually and and other records relating to destroy superseded positions, authorizations, pending or obsolete documents; actions; copies of position de- or destroy all documents f'~' scriptions; requests for personnel relating to an< individual

(' j action, and records on individual employee 1 year after employees duplicated in or not separation or transfer, appropriate for the Official Personnel Folder.

b. Duplicate Documentation.

Other copies of documents Destroy when 6 months old.

l duplicated in Official Personnel Folders not provided for elsewhere in this schedule.

19. Individual Health Record Files.

Cards which contain such information Destroy 6 years after as date of employee's visit, diagnosis date of last entry.

and treatment.

20. Health Unit Control Files.

Logs or registers reflecting daily number of visits to dispensaries, first aid rooms and health units.

a. If information is summarized Destroy 3 months after C) on statistical reports. last entry.

1-7

GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. If information is not summarized. Destroy 2 years after last entry.

21. Individual Employee Health Case File.

Forms, correspondence and other In compliance with NARS records relating -to an employee's Bulletin FPMR B-112 medical history, occupational injuries suspend destruction of or diseases, physical examinations, and these records until all treatment received in the Health further notice.

Unit, ,FXCLUDING pre-employment physical examinations and disability retirement and fittess for duty examinations which are filed in the Official Personnel Folder (0PF) upon separation of employee (Ref: FPMS 293-31). Those records not required for filing in the OPF, if not retained by the agency, may be transferred to the local Federal Records Center. Under no circumstances should these files be sent to the National Personnel Records Center (CPR). Note:

see NRCS I, Part 4 for other NRC health and medical files.

22. Statistical Summaries.

Copies of statistical. summaries and Destroy 2 years after reports with related papers per- date of summary or taining to employee health, retained report.

by the reporting unit.

23. Employee Performance File System Records.

a. Non-SES appointees (as defined in 5 USC 4301(2)).

(1) Appraisals of unacceptable Destroy after the employee performance, where a notice completes 1 year of of proposed demotion or acceptable performance removal is issued but not from the date of the effected, and all related written advance notice of documents. proposed removal or reduc-tion in grade notice.

(2) Performance records superseded Destroy upon supersession.

through an administrative, judicial, or quasi-judicir.1 procedure.

1-8

GENERAL RECORDS SCHEDULE 1 ITEM

)- NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION g

(3) Performance-related records Destroy when 3 years old pertaining to a former employee. or when no longer needed, whichever is sooner.

(4) All other summary performance Destroy 3 years after appraisals records, including date of appraisal.

performance appraisals and job elements and standards upon which they are based.

(5) Supporting documents. Destroy 3 years after date of appraisal or when no longer needed, whichever is sooner.

b. SES appointees (as defined in 5 USC 3132a(2)).

(1) Performance records superseded Destroy upon supersession.

through an administrative, judicial, or quasi-judicial procedure.

h Q (2) Performance-related records Disposition pending pertaining to a former SES appointee.

(3) All other performance appraisals, Destroy 5 years after along with job elements and date of appraisal, exclu-standards (job expectations) sive of any interim upon which they are based. service as a Presidential appointee.

(4) Supporting documents. Destroy 5 years after date of appraisal or when no longer needed, whichever is sooner,

c. Presidential appointees. Disposition pending.

24. Motor Vehicle Operation Files. See GRS 10, Item 7.

25. Financial Disclosure Reports.

a. Reports and related documents submitted by individuals as required under the Ethics in Q Government Act of 1978 (P.L.95-521).

)

1-9

GENERAL RECORDS SCHEDULE 1 1

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (1) Records including SF 278A for Destroy 1 year after individuals filing according nominee ceases to be to Section 20lb of the Act, under consideration for and not subsequently confirmed appointment; EXCEPT that by the U.S. Senate. documents needed in an ongoing investigation will be retained until no longer needed in the investigation.

(2) All other records including Destroy when 6 years old; SF 278. EXCEPT that documents needed in an on going investigation will be retained until no longer needed in the investi-gation.

b. All other statements of employment Destroy 2 years after and financial interests and related separation of employee records, or 2 years after the employee leaves the position for which the statement is required.

26. Equal Employment Opportunity Records.

a. Official Discrimination Complaint Case Files.

Originating agency file containing Destroy 4 years after complaints with related corre- resolution of case.

spondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearings and meetings, and other records as described by 29 CFR 1613.222.

Cases resolved with the Commission by EE0C or by a U.S. Court.

O 1-10

GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. . Copies of Complaint Case Files.

Duplicate case files or documents Destroy 1 year after pertaining to case files retained resolution of case.

in Official File Discrimination Complaint Case File.

c. Background Files.

Background records not filed in the Destroy 2 years after Official Discrimination Com- final resolution of plaint Case Files. case.

d. Compliance Records.

(1) Compliance Review Files Destroy when 7 years old.

Reviews, background papers and correspondence relating to contractor employment practices.

(2) EE0 Compliance Reports Destroy when 3 years old.

e. Employee Housing Requests.

Forms requesting agency assist- Destroy when 1 year old.

ance in housing matters, such as rental or purchase.

f. Employment Statistics Files.

Employment statistics relating Destroy when 5 years old.

to race and sex.

g. EE0 General Files.

General Correspondence and copies Destroy when 3 years old, of regulations with related records or when superseded or pertaining to the Civil Rights Act obsolete, whichever is of 1964, the EE0 Act of 1972, and applicable.

any pertinent future legislation; and Commission EE0 Committee meeting and records including minutes and reports.

.f' 1-11

GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

h. EE0 Affirmative Action Plans (AAP).

(1) Commission copy of con- Destroy 5 years from solidated AAP(s), date of plan.

(2) Commission feeder plan to Destroy 5 years from consolidated AAP(s). date of feeder plan or when administrative purposes have been served, whichever is sooner.

27. Personnel Counseling Records

a. Counseling files.

Reports of interviews, analyses Destroy 3 years after and related records. termination of counseling.

b. Alcohol and Drug Abuse Program.

Records created in planning, Destroy when 3 years old.

coordinating and directing an alcohol and drug abuse program.

28. Standards of Conduct Files.

Correspondence, memoranda and other Destroy when obsolete records relating to codes of ethics or superseded.

and standards of conduct.

29. Labor Management Relations Records.

a. Labor Management Relations General and Case Files.

Correspondence, memoranda, reports and other records relating to the relationship between management and employee unions or other aroups:

(1) Office negotiating agreement. Destroy when 5 years old.

(2) Other offices. Destroy when superseded or obsolete.

O 1-12

GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Labor Arbitration General and Case Files.

Correspondence, forms, and Destroy 5 years after background papers relating to final resolution of case.

labor arbitration cases.

30. Training Records.

a. Training Aids. See NRCS #I, Part 5, Item 13 for authorized disposition.

b. General file of agency-sponsored training.

(1) Correspondence, memoranda, Destroy when 5 years old agreements, authorizations, or 5 years after comple-reports, requirement reviews, tion of'a specific plans, and objectives relat- training program.

ing to the establishment and o'peration of training, courses and conferences.

(2) Background and workpapers. Destroy when 3 years old.

c. Employee training.

Correspondence, memoranda, reports Destroy when 5 years old and other records relating to the or when superseded or availability of training and obsolete, whichever is employee participation in training sooner.

programs sponsored by other govern-ment agencies or non government institutions.

d. Course Announcement Files.

Reference file of pamphlets, Destroy when superseded notices, catalogs and other or obsolete.

records which provide information on courses or programs offered by government or non government organizations.

O v

1-13

GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

31. Grievance, Disciplinary and Adverse Action Files,

a. Grievance, Appeals Files (5 CFR 771).

Records originating in the review Destroy 3 years after of grievance and appeals raised case is closed.

by agency employees, except EE0 complaints. These case files include statements of witnesses, reports of interviews and hearings, examiner's findings and recommendations, a copy of the original decision, related correspondence and exhibits, and records relating to a reconsideration request.

b. Adverse Action Files (5 CFR 752).

Case files and related records Destroy 4 years after created in reviewing an adverse case is closed.

action (disciplinary or non-disciplinary removal, suspension, leave without pay, reduction-in-force) against an employee. The file includes a copy of the pro-posed adverse action with supporting papers; statements of witnesses; employee's reply; hearing notices, reports and decisions; reversal of action; and appeal records, EXCLUDING 1etters of reprimand.

32. Personal Injury Files.

Forms, reports, correspondence and Destroy when 5 years related medical and investigatory old.

records relating to on-the-job injuries, whether or not a claim for compensation was made, EXCLUDING copies filed in the Official Personnel Folder and copies submitted to the Department of Labor.

O 1-14

I GENERAL RECORDS SCHEDULE 1 O ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

33. Merit Promotion Case Files.

Records relating to the promotion of Destroy 2 years -

an individual that document qualification after the personnel standards, evaluation methods, selection action or after the '

procedures, and evaluations of candidates, action has been EXCLUDING any records that duplicate audited by OPM, information in the promotion plan, in the whichever is sooner.

Official Personnel Folders, or in other personnel records.

4 1-15

GENERAL RECORDS SCHEDULE 2 Payrolling and Pay Administration Records Payrolling and pay administration records pertain to disbursements to civilian employees of the Government for personal services. This schedule applies to the pay records that are common to all agencies, but it excludes (a) retirement records (Form 2806 or equivalent) that are maintained during employee duty and then transferred to the Bureau of Retirement, Insurance, and Occupational Health of the OPM; (b) files physically transmitted to the General Accuunting Office or maintained in Commission space for audit under section 117(b) of'the Budget and Accounting Procedures Act of 1950; (c) records relating to tax withholding, savings bonds, or fidelity bonds, or other records held by the appropriate units of the Treasury Department responsible for the related Government-wide programs; (d) or to Office of Management and Budget files reflecting agency personnel needs and problems.

Papers required by the Comptroller General to be maintained for site audit are segments of accountable officer's accounts. In no event may disposal be made of records pertaining to accounts, claims or demands involving the Government of the United States which have not been settled or adjusted by the General Accounting Office without the written approval of the Comptroller General, as required by 82 Stat.1301 (44 U.S.C. 3309). NRC pay accounts are prepared and maintained in accordance with Title 6--Pay, leave, and Allowances and incorporated in the GA0 Manual for Guidance of Federal agencies.

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Individual Accounts Files.

Individual earning and service Transfer to the cards, such as Stancard Form 1127 National Personnel or equivalent. Records Center (NPRC),

St. Louis, Missouri.

(a) If filed in official personnel folder (OPF) or in individual pay folder adjacent to the OPF, destroy with the OPF. (See GRS 1, Item 1.)

(b) If not in or filed adjacent to the OPF, destroy 56 years after the date of the last entry on the card.

2. Payroll Correspondence Files.

General correspondence files maintained Destroy when 2 years old.

by payroll units pertaining to payroll O preparation and processing.

2-1

GENERAL RECORDS SCHEDULE 2 XTEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

3. Time and Attendance Report Files.

a. Form such as Standard Form 1130 or equivalent.

(1) Payroll preparation and Destroy after GA0 audit processing copies. or when 3 years old, whichever is sooner.

(2) All other copies. Destroy 6 months after the end of the pay period.

b. Flexitime Attendance Records.

Supplemental time and attendance Destroy after GA0 audit records, such as sign-in/ sign-out or when 3 years old, sheets and work reports, used for whichever is sooner.

time accounting under Flexitime systems.

4. Individual Authorized Allotments Files.

a. U.S. Savings Bond Authorization, Standard Form 1192 or equivalent, and authorization for individual allotment to the Combined Federal Campaigns.

(1) If record is maintained on Destroy when superseded or earning record card. after separation of employee. If employee transfers within the Comis-sion or between agencies, these authorizations must also be transferred. See Treasury Fiscal Require-ments Manual, para. 6020.20e for instructions relating to savings bonds authoriza-tions, and FPM Chapter 550, Subchapter 3, Part 8, for instructions relating to CFC authorizations.

(2) If record is not maintained Destroy 3 years after elsewhere. supersession or 3 years after separation of employee. See (1) above for transfer instructions.

2-2

GENERAL RECORDS SCHEDULE 2 ITEM

\ NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. All other authorizations, including union dues and savings.

(1) If record is maintained on Destroy when superseded earning record card. or after transfer or separation of employee.

(2) If record is not maintained Destroy 3 years after elsewhere. supersession or 3 years after transfer or separation of employee.

5. Bond Registration Files.

Issuing agent's copies of bond Destroy when 2 years registration stubs. old.

6. Bond Receipt and Transmittal Files.

Receipts for and transmittals of Destroy 3 months after U.S. Saving Bonds and checks. date of receipt.

7. Bond Purchase Files.

Forms and reports with related papers Destroy when 3 years pertaining to deposits and purchases old.

of bonds.

8. Leave Application Files.

Application for Leave, SF 71, or equiva-lent, and supporting papers relating to requests for and approval of taking leave.

a. If the timecard has been Destroy at the end of

, initialed by the employee. the applicable pay period.

l l

b. If the timecard has not been Destroy after GA0 audit or

, initialed by the employee. when 3 years old, which-l ever is sooner.

9. Leave Record Cards.

l l

Such as 0F 1137 or equivalent t

maintained separately from pay and earnings records, and 0F 1130 when used as a leave record.

a. Pay or fiscal copies. Destroy when 3 years old.

2-3

GENERAL RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Other copies. Destroy 3 months after the end of the period covered.

10. Leave Data Files.

Records of leave data, such as SF 1150, prepared except as noted in the Federal Personnel Manual, 293-A-3.

a. Original copy of SF 1150. File on right side of official personnel folder. See GRS 1, item 1.

b. All other copies. Destroy when 3 years old.

11. Notification of Personnel Action Files.

l Copies of SF 50 or equivalent, not filed in the Official Personnel Folder.

a. Pay or fiscal copy. Destroy when related pay records are audited by GA0 or when 3 years old, whichever is sooner.

b. All other copies. See GRS 1, item 14.

l

, 12. Budget Authorization Reference Files.

l l Copies of budget authorizations in Destroy when superseded.

! operating payroll units used to control personnel ceilings and l

personnel actions.

13. Payroll files.

Memorandum copies of payrolls, check lists, and related certification sheets, such as SF 1013, SF 1128A, or equivalents.

a. Security copies of documents Destroy when Federal prepared or used for disbursement Records Center receives by Treasury disbursing offices, second subsequent payroll with related papers. or checklist covering the same payroll unit.

2-4

GENERAL RECORDS SCHEDULE'2 O ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. All other copies.

(1) If earning record card is Destroy after GA0 audit maintained. or when 3 years old, whichever is earlier.

(2) If earning record card is Transfer to NPRC, St.

not maintained. Louis, Missouri when 3 years old. Destroy when 10 years old.

14. Payroll Control Files.

Payroll control registers. Destroy after GA0 audit or when 3 years old, whichever is sooner.

15. Payroll Change Files.

Payroll change slips, exclusive of those of the OPF, such as SF 1126.

s_, a. Copy used in GA0 audit. Destroy when related pay records are audited by GAO or when 3 years old, whichever is sooner.

b. Disbursing officer copy used Destroy after preparation in preparing checks. of check.

c. All other copies. Destroy 1 month after the end of the pay period.

16. Fiscal Schedules Files.

Memorandum copies of fiscal schedules used in the payroll process.

a. Copy used in GA0 audit. Destroy after GAO audit or when 3 years old, whichever is sooner.

b. All other copies. Destroy 1 month after the end of the pay period.

2-5 l

GENERAL RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

17. Administrative Payroll Report Files.

Reports, statistics, with supporting and related records pertaining to pay-roll operations and pay administration.

a. Reports and data used for workload Destroy when 2 years old.

and personnel management purposes.

! b. All other reports and data. Destroy when 3 years old.

18. Tax Filas.

a. Withholding tax exemption certifi- Destroy 4 years after cates, such as IRS Form W-4, and form is superseded or similar state tax exemption forms. obsolete,

b. Returns on income taxes such as Destroy when 4 years old.

IRS Form W-2.

c. Reports of withheld Federal Destroy when 4 years old.

taxes, such as IRS Form W-3, with related papers, including reports relating to income and social security taxes.

19. Income Tax Return Files. See Item 18b of this 1

schedule.

l

20. Tax Report Files. See Item 18c of this schedule.

l

21. Retirement Files.

a. Reports and registers.

Reports, registers or other Destroy when 3 years old.

control documents, and other records relating to retire-l ment, such as SF 2807 or equivalent.

1

b. Assistance Files.

Correspondence, memoranda, annuity Destroy when 1 year old.

estimates, and other records used to assist retiring employees or survivors claim insurance or j retirement benefits.

2-6

s i

GENERAL RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(s

22. Insurance Deduction Files.

Reports and related papers including Destroy when 3 years old.

copies of vouchers and schedules of payments pertaining to insurance deductions.

23. Levy and Garnishment Files.

Official Notice of Levy or Garnish- Destroy when 3 years old. .

ment (IRS Form 668A or equivalent),

change slip, workpapers, correspondence, release and other forms, and other records relating to charge against retirement funds or attachment of salary for payment of back income taxes or other debts of Federal employees.

24. Wage Survey Files.

Wage survey reports and data, working Destroy after completion papers and related correspondence of second succeeding pertaining to area wages paid for each wage survey. -

/'~' employee class; background papers

( )g establishing need, authorization, direction,.and analysis of wage surveys; development and implementation of wage schedules; and request for and authorization of specific rates (excluding authorized wage schedules and wage survey recapitulation sheets).

h

' s P

\j 2-7 l

Z GENERAL RECORDS SCHEDULE 3 Procurement, Supply, and Grant Records

- Procurement and supply records document the acquisition of goods and non personal a services, controlling the volume of stock on hand, reporting procurement needs, and related supply matters which are part of daily procurement operations. The basic procurement files reflect a considerable range of procedure, from simple small purchase to complicated prime contractor and subcontractor operations, w

6 Frequently copies of procurement papers become integral parts of other files in the Commission, such as project files of various types or general subject files g pertaining to program operations; such copies are not covered by this schedule, but rather in NRCS I through IV.

E In no event may disposal be made of records pertaining to accounts, claims or demands involving the Government of the United States which have not yet been l settled or adjusted by the General Accounting Office without written approval of E the Comptroller General, as required by 44 U.S.C. 3309.

i

! Records documenting procurement and supply are largely standardized by various r regulations of the Compt. roller General and the Administrator of General Services.

1

) The key procurement file is the transaction case file containing the formal contract or informal purchase order or lease instruments and all related papers. The documents flowing into the transaction file include, in addition to the purchase document, specifications, bids, schedules of delivery, initiating F-

- O requisition, invoices, and correspondence. Other copies of these documents, made for expediting and other administrative purposes, are scattered throughout the

inspection, shipping, expediting, and other units within the Office of Administration.

ITEM m- NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION r

1. Unique Procurement Files. Not applicable to NRC.

2. Real Property Files. Not applicable to NRC.

3. General Correspondence Files.

e Correspondence files of operating Destroy when 2 years old.

procurement units concerning internal I~ operation and administration matters 5 not covered elsewhere in this schedule.

4. Routine Procurement Files.

- Contract, requisition, purchase order, lease, and bond and surety records, including correspondence and related

~

3-1 l

\

GENERAL RECORDS SCHEDULE 3 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION papers pertaining to award, administration, receipt, inspection and payment (other than those covered in Items 1, 2, 13, and 15).

a. Procurement or purchase organization copy, and related papers.

(1) Transactions of more than Destroy 6 years and

$10,000 and all construction 3 months after final contracts exceeding $2,000. payment.

(2) Transactions of $10,000 or Destroy 3 years after ler,s and construction con- final payment. (Close tracts under $2,000. file at the end of the fiscal year, retain 3 years and destroy, except that files on which actions are pending shall be brought forward to the next fiscal year's files for destruction there-with.)

b. Obligation copy. Destroy when funds are obligated.

c. Other copies of records described Destroy when termination above used by component elements or completion.

of a procurement office for administrative purposes.

S. Supply Management Files.

Files of reports on supply requirements and procurement matters submitted for supply management purposes (other than those incorporated in case files or other files of a general nature),

a. Copies received from other units Destroy when 2 years old.

for internal purposes or for transmission to staff agencies.

b. Copies in other reporting units, Destroy when 1 year old, and related work papers.

O 3-2

GENERAL RECORDS SCHEDULE 3

/N ITEM

( ) NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

6. Solicited and Unsolicited Bids and Proposals Files,

a. Successful bids and proposals. Destroy with related contract case files (see item 4 of this schedule).

b. Solicited and unsolicited unsuccessful bids and proposals.

(1) When filed separately from Destroy when related contract case files. contract is completed.

(2) When filed with contract Destroy with related case files. contract case fles (see item 4 of this scheule).

c. Cancelled Solicitations Files.

(1) Formal solicitations of offers Destroy 5 years after date to provide products or services of cancellation.

(e.g. , Invitations for Bids,

'g Requests for Proposals, Requests for Quotations) which were can-celled prior to award of a contract. The files include pre-solicitation documentation on the requirement, any offers which were opened prior to the cancella-tion, documentation on any government action up to the time of cancellation, and evidence of the cancellation.

(2) Unopened Bids. Return to bidder

d. Lists or Card Files of Acceptable Destroy when superseded Bidders. or obsolete.

7. Public Printer Files.

Records relating to requisitions on the Printer, and all supporting papers.

a. Printer procurement unit copy of Destroy 3 years after requisition, invoice, specifications, completion or cancella-and reldted papers. tion of requisition.

) b. Accounting copy of requisition. Destroy 3 years after period covered by related account.

3-3

GENERAL RECORDS SCHEDULE 3 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

8. Nonpersonal Requisition File.

Requisitions for nonpersonal services, Destroy when 1 year old.

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

9. Inventory Requisition File.

Requisitions for supplies and equipment for current inventory.

a. Stockroom copy Destroy 2 years after completion or cancella-tion of requisition.

l b. All other copies. Destroy when 6 months old.

10. Inventory Files.

I

a. Inventory lists. Destroy 2 years from date of list.

l

b. Inventory cards. Destroy 2 years after discontinuance of item or 2 years after stock balance is transferred to new card or recorded under a new classification, i or 2 years after equip-ment is removed from agency control.

c. Report of survey files and other Destroy 2 years after papers used as evidence for ad- date of survey action or justment of inventory records, date of posting medium.

not otherwise covered in the GRS.

11. Telephone Records.

Telephone statements and toll slips. Destroy 3 years after period covered by related account.

O 3-4

GENERAL RECORDS SCHEDULE 3 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

12. Contractors' Payroll Files.

Contractors' payroll (construction Destroy 3 years after contracts) submitted in accordance date of completion of with Labor Department regulations, contract unless contract with related certifications, anti- performance is. subject of kickback affidavits, and other related enforcement action on papers. such date.

13. Tax Exemption Files.

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

14. Grant Application Files.

Applications, memoranda, correspondence and other records relating to the decision to accept or reject grant applications.

a. Unsuccessful (rejected or with- Destroy 3 years after drawn) applications. refection or withdrawal.

b. Accepted applications. Dispose of with related grant case file (see item 15 of.this schedule).

15. Grant Case Files.

Proposals or applications, contracts, See NRCS I, Part 5, project reports, studies, certificates, Item 6 for authorized agreements, memoranda, correspondence, disposition.

and other records relating to receipt, review, award, evaluation, status and monitoring of grants; allocation of funds, and project budgets.

16. Grant Control Files.

Indexes, registers, logs or other Destroy when superseded records relating to control or or obsolete.

assigning numbers or identifying projects, applications and grants.

O 3-5

l l

GENERAL RECORDS SCHEDULE 3 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

17. Grant Correspondence and Subject Files,

a. Correspondence and/or subject See NRCS I, Part 2, files including memoranda, studies, Item 1 for authorized reports, forms and other records disposition.

relating to the legal establishment of the grant program, its policies and basic procedures, and the management and evaluation of grants.

b. Correspondence and/or subject files See NRCS I, Part 2, relating to routine operations and Item 1 for authorized daily activities in administration disposition.

of the grant program.

18. Final Product Files.

Published reports, books, studies, See NRCS I, Part 5, audiovisual materials, or any other Item 9 for authorized final grant product and related disposition.

records in textual or machine-readable form.

19. Contract Appeals Case File _s.

Contract appeals case files consisting Destroy 10 years after of notices of appeal and acknowledge- final action or decision.

ments thereof; correspondence between parties; copies of contracts, plans, specifications, exhibits, change orders, and amendments; transcripts of hearings; documents received from parties concerned; final decisions; and all other'related papers.

20. Contractor's Statement of Contingent or Other Fees.

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

case file and maintained for enforce-ment or report purposes.

O 3-6

GENERAL RECORDS SCHEDULE 4 Prooerty Disposal Records These records pertain to the sales by agencies'oflreal and personal property surplus.to the needs of the Government. The act creating the General Services Administration transferred to the new agency the functions of the former War Assets Administration relating to property disposition.

In no event may disposal be made of records pertaining to accounts, claims',

or destinds involving-the Government of. the- United. States which have not been. settled or_ adjusted by the General Accounting Office without written approval of the Comptroller General, as required'by 44 U.S.C. 3309.

Three forms are prescribed for use by an agency selling surplus' personal property under 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, consist of correspondence, bids, and other notices of sale, invoices, and sales slips.

b. Standard Forms 120, Report on Excess Personal Property and 121, Quarterly Report of Utilization and Disposal of Excess and Surplus Personal Property. Form 120 reports personal property which is excess to the agency reporting to the regional General Services Administration O offices, which initiate screening action. The quarterly reports are submitted to the Office of Personal Property, Utilization and Disposal Service, General Services Administration, which consolidates the data.

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Surplus Property Precedential Case Not applicable to NRC.

Files.

2. Property Disposal Case Files.

Case files on disposal'of surplus. Not applicable to NRC.

real and related personal property.

3. Excess Real Property Reports. Not applicable to NRC.

4. Property Disposal Correspondence Files.

Correspondence files-maintained by Destroy when 2 years old.

units responsible for property disposal, pertaining to their opera-tion'and administration, and not other-wise provided'for.

5. Excess Personal Property Reports. Destroy when 3 years old.

4-1

GENERAL RECORDS SCHEDULE 4 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

6. Surplus Property Case Files.

Case files on sales of surplus personal property, comprising invitations, bids, acceptances, lists of materials, evidence of sales, and related correspondence (other than those covered in items 1 and 2).

a. Transactions subsequent to July 25, Destroy 6 years after 1974, of more than $10,000; and final payment. (Place in transactions prior to July 26, inactive file on final final 1974, of more than $2,500. payment and transfer to Federal Records Center 2 years thereafter.)

b. Transactions subsequent to July 25, Destroy 3 years after 1974, of $10,000 or less; and final payment. (Close transactions prior to July 26, file at the end of each 1974, of $2,500 or less. fiscal year, retain 3 years, and destroy except that files on which actions are pend-ing will be brought to the next fiscal year's files for disposal therewith.)

7. Real Property Files. Not applicable to NRC.

l i

O 4-2 w _ _ _ _ _ _ _ _

GENERAL RECORDS SCHEDULE 5

• -. Budget Preparation, Presentation, and Apportionment Records Budget and apportionment records include the various files accumulated in NRC  :

in the course of formulating its budget for submission to the Office of Manage-ment and Budget 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 the Office of Management and Budget (OMB), usually in quarterly portions, and the agencies must indicate and justify 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' account (Schedule 6).

Budget records are normally created at many levels within the NRC organization.

They show proposals from all operating levels as well as the agency-wide coordinating work done by the Division of Budget, Office of the Controller.

Therefore the records consist of detailed work papers and budgetary statements developed by single operating units, the more significant budget statements and related papers representing consolidated submissions prepared and forwarded to the Division of Budget, and the records of the Division of Budget pertaining to the budget submission for the entire Commission.

ITEM O NO.

1.

DESCRIPTION OF RECORDS Budget Policy Files.

AUTHORIZED DISPOSITION See NRCS I, Part 5, Item 1 for authorized disposition.

2. Budget Estimates and Justifications Files. See NRCS I, Part 5, Item 1 for authorized disposition.

3. Budget Correspondence Files.

Correspondence files in formally Destroy when 2 years organized budget offices pertaining to routine administration, internal procedures, and other matters not covered elsewhere in this schedule, or in Item 1, Part 5 of NRCS I.

4. Budget Background Records.

Working papers, cost statements, and Destroy 1 year after the rough data accumulated in the prepara- close of the fiscal year tion of annual budget estimates, including covered by the budget.

duplicates of papers described in item 2.

O 5-1

GENERAL RECORDS SCHEDULE 5 i

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

5. Budget Reports Files.

Periodic reports on the status of appropriation accounts and apportion-ment.

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.

6. Budget Apportionment Files.

Apportionment and reapportionment Destroy 2 years after the schedules, proposing quarterly obliga- close of the fiscal year.

tions under each authorized appropriation.

O 1

0 5-2

'E =l' un GENERAL RECORDS SCHEDULE 6 O Accountable Officers' Accounts Records This general schedule covers accountable officers' returns and related records, including records under the cognizance of the General Accounting Office.

Accountable officers' accounts include record copies of all records concerned with the accounting for, availability, and status uf public funds. There are several types of " accountable officers," such as: (a) the collecting officer, who receives monies owed to the Federal Government and ensures that it is credited to the proper account; (b) the disbursing officer who is responsible for providing documentation to the General Accounting Office since he accomplishes the actual payment of public monies to proper Federal creditors; and (c) the certifying officer, whose signature on a summary attests to authenticity of vouchers listed on the schedule.

Disbursements for NRC are made by the Chief Disbursing Office of the Treasury, who heads the Division of Disbursement of the Bureau of Government Financial Operations within the Treasury Department. Since July,1949, disbursements have been made for most agencies on the basis of certified schedules, with the detailed vouchers held in agency space for site audit by the General Accounting Office. This procedure was extended and confirmed by General Accounting Office General Regulations No.115, issued January 29, 1952, which promulgated a standard form voucher and schedule of payments (Standard Forms 1166 and 1167) for use by all agencies effective July 1, 1952, and formally eliminated the transfer to vouchers of the Chief Disbursing Officer.

This schedule includes records held for onsite audit by the General Accounting Office, as described in Item la below. Under onsite audit, vouchers, contracts, schedules, statements of transactions and accountability and other related supporting documents are etained in agency space for the General Accounting Office auditors. Section 5 of the Post Office Department Financial Control Act of 1950 and Section 117(b) of the Budget and Accounting Procedures Act of 1950 (whenever the Comptroller General determines that audit shall be conducted at the site) require agencies to retain these records, which are under General Accounting Office cognizance. The General Accounting Office has given general authority to all agencies, if the records are no longer required for administra-tive purposes, to transfer all audited records and any unaudited records more than one full fiscal year old to Federal Archives and Records Centers. However, to transfer unaudited accountable officers' accounts less than one year old, permission must be obtained from the Director, Office of Administrative Services, GA0.

Records relating to the availability, collection, and custody of funds include (1) the appropriation warrants, (2) other documents which deposit funds into the Treasury, and (3) documents which provide accountable officers with status reports on funds in their custody, such as the proofs of depository account and statements of funds to their credit. Commission copies of these deposit and status documents are so intimately related to the accounts of these officers that they are included in this schedule.

6-1

GENERAL RECORDS SCHEDULE 6 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Accountable Officers' Files.

a. Original or ribbon copy of Destroy 6 years, accountable officers' accounts 3 months after maintained in the Commission for period covered by site audit by GA0 auditors, con- account.

sisting of statements of transactions, statements of accountability, collec-tion schedules, collection vouchers, disbursement schedules, disbursement l vouchers, and all other schedules and i vouchers or documents used as schedules I or vouchers, exclusive of freight records and payroll records. If an agency is operating under an inte-grated accounting system approved by GAO, certain required documents, i supporting vouchers and/or schedules are included in the site audit records. These records document only the basic financial transaction, l money received and money paid out

! or deposited, in the course of operation l of the agency. All copies except the

! certified payment or collection copy, usually the original or ribbon copy, and all additional or supporting documentation I not involved in an integrated system are l covered by succeeding items in this l schedule.

Site audit records include, but are not limited to, the Standard Forms listed below.

Also included are equivalent agency forms which document the basic financial transaction as described above.

SF 224, Statement of Transactions SF 1034, Public Voucher for Purchases and Services Other Than Personal SF 1036, Statement of Certificate and Award SF 1047, Public Voucher for Refunds SF 1069, Voucher for Allowance at Foreign Posts of Duty SF 1080, Voucher for Transfer Between Appropriations and/or Funds SF 1081, Voucher and Schedule of Withdrawals and Credits l

SF 1096, Schedule of Voucher Deductions l

1 6-2 l

l l

l GENERAL RECORDS SCHEDULE 6 j s

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION SF 1097, Voucher,and Schedule to Effect l Correction of Errors SF 1098, Schedule of Cancelled Checks SF_1113, Public Voucher for Transportation Chargers SF 1114, Bill of Collection SF 1114A, Official Receipt SF 1114B, Collection Voucher SF 1129, Reimbursement Voucher SF 1143, Advertising Order SF 1145, Voucher for Payment Under Federal Tort Claims Act SF 1154, Public Voucher for Unpaid Compen-sation Due a Deceased Civilian Employee SF 1156, 'Public Voucher for Fees and Mileage of Witness SF 1166, Voucher and Schedule of Payments SF 1185, Schedule of Undeliverable Checks for Credit to Government Agencies SF 1218, Statement of Accountability (Foreign Service Account)

SF 1219, Statement of Accountability

'O SF 1220, Statement of Transactions According to Appropriation, Funds and Receipt Accounts l SF 1221, Statement of Transactions According to Appropriation, Funds, and Receipt Accounts (Foreign Service Account)

b. Memorandum or extra copies of Destroy 3 years after accountable officers' returns the period of the account.

including statements of trans-actions and accountability, all supporting vouchers, schedules, j and related papers not covered elsewhere in this schedule, and excluding freight records covered by Schedule 9 and payroll records covered by Schedule 2.

2. GA0 Exceptions Files.

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

correspondence.

6-3

GENERAL RECORDS SCHEDULE 6 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

3. Certificates Settlement Files.

Copies of certificates of settlement of accounts of accountable officers, state-ments of differences, and related records.

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

settlements, and final balance settlements,

b. Certificates covering periodic Destroy when subsequent settlements. certificate of settlement is received.

4. General Fund Files.

Records relating to availability, Destroy when 3 years old.

collection, custody and deposit of funds including appropriation warrants and certificates of deposit (SF 215,),

other than those records covered by Item 1 of this schedule.

5. Accounting Administrative Files.

Correspondence, reports and data

, relatng to voucher preparation,

! administrative audit, and other accounting and disbursing operations.

1

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

i personnel management purposes.

b. All other files. Destroy when 3 years old.

6. Federal Personnel Surety Bond Files,

a. Official copies of the bond and attached powers of attorney.

(1) Bonds purchased prior to Destroy 15 years after January 1, 1956. ~ bond becomes inactive.

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

O

, 6-4 l

GENERAL RECORDS SCHEDULE 6 g- s ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

( )

b. Other bond files, including Destroy when bond other copies of bonds and becomes inactive or-related papers, after the'end of the bond premium period.

7. Gasoline Sales Tickets.

Hard copies of sales tickets filed Destroy after GA0 audit in support of paid invoices for credit or when 3 years old, card purchases of gasoline. whichever is sooner.

8. Telephone Toll Tickets Originals and copies of toll tickets Destroy after GA0 audit filed in support of telephone toll or when 3 years old, call payments. whichever is sooner.

9. Telegrams.

Originals and copies of telegrams Destroy after GA0 audit filed in support of telegraph bills. or when 3 years old, whichever is sooner.

e l

{

l l

l J

6-5

a O

GENERAL RECORDS SCHEDULE 7 Expenditure Accounting Records Expenditure accounting records are the ledgers and related documents maintained by agencies to show in summary fashion how their funds, appropriated and non-appropriated, are spent after allotment by the Office of Management and Budget (OMB), and the sources and nature of any receipts. The key records are the general ledger accounts, which constitute, as a unit, the heart of the accounting systems. These ledgers summarize the financial status and financial transactions of the NRC, showing the current status of funds available for expenditure, the amounts due and collected for the account of the Government, accumulated expenditures and liabilities, and the values of stock, equipment, and other property in Commission custody. They are controls that serve not only as central fiscal records, but also a primary source of data for top management concerned with NRC solvency, with expenditures and with program costs.

The general ledgers are subdivided into arbitrarily created account titles, which are based on programs, projects, costs, and funds. Supporting them are a group of subsidiary ledgers and papers further detailing the information in the general ledgers or serving as posting media to the ledgers themselves. To the extent that they reflect appropriation expenditures, the general ledgers are supported by allotment ledgers, which at all times show the corrent unobligated balance of funds allotted for NRC purposes and thereby provide a safeguard against over expenditure by operating officials. The allotment ledgers are general controls over expenditures, and they in turn summarize and O are supported by more detailed controls that normally take the form of project or job orders which authorize exact and specific expenditure.

The sources of data that are posted to the ledger files are somewhat diverse, but they fall into two general groups:

a. Copies of various obligation or expenditure documents, such as vouchers and schedules, which flow through the ledger unit for posting.

b. Journal vouchers and similar internal control documents created to authorize and convey entires to the general ledger.

As the centralized fiscal record, the genera'l 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 for the data included in the basic apportionment reports to the OMB and the Treasury Department, and overall reports of Commission fiscal condition which may be required by the General Accounting Officer (Schedules 6 and 8). The adequacy for audit purposes of the general ledger accounts is normally considered by General Accounting Officer auditors to be indicative of the su.itability of the Commission's entire accounting system and the reliability of its financial data.

In no event may disposal be made of records pertaining to accounts, claims, or demands involving the Government of the United States which have not been settled or adjusted by the General Accounting Office without written approval of the Comptroller General, as required by Section 9 of the Records Disposal Act of July 7, 1943, as amended (44 U.S.C. 372) 7-1

GENERAL RECORDS SCHEDULE 7 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Expenditures Accounting General Correspondence and Subject Files.

Correspondence or subject files main- Destroy when 2 years old.

tained by operating units responsible for expenditures accounting, pertain-ing to their internal operations and administration.

2. General Accounting Ledgers.

General accounts ledgers, showing Destroy 10 years after the debit and credit entries, and re- close of the fiscal year flecting expenditures in summary. involved.

3. Appropriation Allotment Files.

Allotment records showing status of Destroy 10 years after the obligations and allotments under each close of the fiscal year authorized appropriation. (NRC involved.

Form 101)

4. Expenditure Accounting Posting and Control Files.

Records used as posting and control media, subsidiary to the general and allotment ledgers, and not elsewhere covered in this schedule.

a. Original records. Destroy when 3 years old.

j b. Copies. Destroy when 2 years old.

I O

7-2

GENERAL RECORDS SCHEDULE 8 Stores, Plant, and Cost Accounting Records Specialized stores, plant, and cost accounting records are maintained by most agencies, particularly those with extensive plant and stock inventories.

These records, which essentially reflect the net monetary worth of an agency and its assets, are periodically reconciled with the supply data reflected in stock inventory records, but are not procurement papers.

a. ' Stores Accountina. These records are maintained to provide personal accountability for the receipt and custody of materials and to provide informa-tion as to the monetary worth of such materials. Custody is established by accomplished copies of material movement documents, and stores accounting.

information data'are normally reviewed and consolidated by means of records and returns submitted to agency headquarters, where the information is used for procurement planning, budget, and other management. purposes. These records do not include papers reflecting the physical movements of material to and from storage points, although they may be involved in posting. Summary data on plant value is also available in pertinent general ledger accounts.

b. Cost Accountina. These records are designed to accumulate and show 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 posted to the accounts in the agency general ledgers concerned with operating and program costs.

. . . Material costs 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 utilized in evaluating economy of agency operation and in preparing budget estimates. ,

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Plant Accountina Files.

Plant account cards and ledgers per- Not applicable to NRC taining to structures.

2. Plant, Cost and Stores General Correspondence Files.

Correspondence files of units respon- Destroy when 3 years old.

sible for plant, cost and stores accounting operations.

3. Stores Invoice Files.

Invoices.or equivalent papers used Destroy when 3 years old, for stores accounting purposes.

8-1

GENERAL RECORDS SCHEDULE 8 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Stores Accounting Files.

Stores accounting returns and reports. Destroy when 3 years old.

5. Stores Accounting Work Papers.

Work papers used in accumulating Destroy when 2 years old.

stores accounting data.

6. Plant Accounting Files.

Plant account cards and ledgers, Not applicable to NRC.

other than those described in item 1.

7. Cost Accounting Reports.

a. Copies in units receiving reports. Destroy when 3 years old.

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

related work papers.

8. Cost Report Data Files.

Ledgers, forms and machine-records used to accumulate data for use in cost reports.

a. Ledgers and forms. Destroy when 3 years old.

b. Machine-records.

(1) Detail cards. Destroy when 6 months old.

(2) Summary cards. Destroy when 6 months old.

(3) Tabulations. Destroy when 1 year old.

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Ol 8-2

GENERAL RECORDS SCHEDULE 9 0 Travel and Transportation Records Q

This schedule covers records pertaining to the movement of goods and persons under Government orders. The record keeping involved in the movements centers

, around bills of lading, transportation requests, vouchers, and associated records, including those prescribed by Title 5 of the General Aqcounting

.0ffice Policy and Procedures Manual. Copies.of some records used to support payments become part of the accountable officers' accounts, or are accounting posting media. Their disposition may be covered by General Records Schedule 6, item 1; General Records Schedule 7, item 4; or items 1 and 3 of this schedule.

i t

a. Movement of goods. The key record is the bill of lading, of which '

there are copies for consignors, consignees, and the carriers themselves. The papers related to and normally filed with the bill .of lading itself are varied and often voluminous. These may consist of shortage and der.urrage reports, invoices, and other descriptive data which document the transaction. Included are records relating to the shipment of household effects, authorized by law and regulations for military personnel and for civilian employees of the ,

Government. Agencies shipping certain vouchers under the Government Losses in Shipment Act, which insures against loss, retain copies of schedules of material shipped, papers relating to claims which may ensue, and other pertinent documents,

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

L ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION ,

1. Freight Files.

Records relating to freight consisting of export certificates, transit certificates, demurrage car record books, shipping docu-ments pertinent to freight classification, ,

memorandum copies of government or commercial bills of lading, shortage and demurrage reports, and all supporting documents; and 11ncluding records relating to the shipment of household goods.

a. Issuing office memorandum Destroy 3 years after copies other than those the period of the identified in 1.d. account.

b. All other copies. Destroy when 1 year old.

O 9-1

GENERAL RECORDS SCHEDULE 9 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

c. Registers and control records. Destroy when 3 years old.

d. Records on international Destroy 6 years after the shipments of household period of the account.

goods moved by freight forwarders.

2. Lost or Damaged Shipments Files.

Schedules of valuables shipped, Destroy when 3 years old.

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

3. Passenger Transportation Files.

Memorandum copies of vouchers (SF 1113A), memorandum copies of transportation requests (SF 1169),

travel authorizations, transpor-tation request registers, and all supporting papers.

a. Issuing office memorandum copy. Destroy when 3 years old,

b. Obligation copy. Destroy when funds are obligated.

c. Unused ticket redemption Destroy when no longer forms, such ds SF 1170. needed for administrative use.

4. Passenger Reimbursement Files.

l l

l Records relating to reimbursing l individuals, such as travel orders.

per diem vouchers, transportation requests, hotel reservations, and all supporting papers documenting official travel by officers, employees, dependents, or others authorized by law to travel.

a. Travel administrative office Destroy when 3 years l files. old.

b. Obligation copies. Destroy when funds are obligated. {j 9-2

_ - _ -. .= .. .~ _. ._ . . ._. __ ~ .-. _ . . . - - -

GENERAL RECORDS SCHEDULE 9 i

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

5. General-Travel and Transportation.

Files.

a. Correspondence, forms, and Destroy when 2 years i related records pertaining to old.  :

agency travel and transporta-tion functions,'not covered elsewhere in this schedule. ,

, b. Accountability records Destroy 1 year after all entries are cleared.

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9-3

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

Personal Property Management Regulation No. 24 prescribes policies and procedures.

Standard Form No. 82, which is an annual motor vehicle report required by the Federal Supply Service, General Services Administration, is the only standardized record. Certain cost and inventory control forms 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 Federal Supply Service (Standard Form No. 82, Annual Motor Vehicle Report); (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 repair and maintenance check-nff sheets, cost ledgers, and claims correspondence and forms.

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 vehic1.es not otherwise covered in this schedule.

2. Motor Vehicle Operating and Main-tenance Files.

a. Operating records including Destroy when 3 months old.

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

b. Maintenance records, including Destroy when 1 year old.

those relating to service and repair.

3. Motor Vehicle Cost Files.

Motor vehicle ledger and work Destroy 2 years after sheets providing cost and discontinuance of ledger expense data. or date of work sheet.

10-1

GENERAL RECORDS SCHEDULE 10 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Motor Vehicle Report Files.

Reports on motor vehicles (other Destroy 3 years after than accident, operating and date of report.

maintenance reports).

5. Motor Vehicle Accidents Files.

Records relating to motor vehicle Destroy 6 years after accidents, maintained by transpor- case is closed.

tation offices.

6. Motor Vehicle Release Files.

Records relating to transfer, sale, Destroy 4 years after donation or exchange of vehicles, vehicle leaves Commission custody.

7. _ Motor Vehicle Operation Files.

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

O 10-2

GENERAL RECORDS SCHEDULE 11 Space and Maintenance Records "lhis schedule provides for the disposal of all copies, wherever located in the NRC, 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 Government-wide responsibilities) as directed by law and by regulation (60 Stat. 257 and GSA Real Property Management Regulation No. 3);

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 officer's accounts (Schedule 6); (b) records of procurement and supply (Schedule 3).

ITEM NO. DESCRIPTION OF RECORDS AUTHdRIZED DISPOSITION

1. Space and Maintenance General Correspondence Files.

Correspondence files of the Destroy when 2 years old.

unit responsible for space and maintenance matters, pertaining to its own admin-istration and operation, and related papers.

2. Agency Space Files.

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

a. Building plan files and related Destroy 2 years after termi-agency records utilized in space nation of assignment, or when planning, assignment, and lease is cancelled, or when adjustment. plans are superseded or obsolete.

b. Correspondence with and reports to staff agencies relating to the NRC space holdings and requirements.

11-1

GENERAL RECORDS SCHEDULE 11 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (1) Agency records to General Destroy when 2 years old.

Services Administration regarding space occupied in " Metropolitan Washington" and "Outside the District of Columbia", and related papers.

(2) Copies in subordinate report- Destroy when 1 year old, ing units and related work papers.

3. Directory Service Files.

Correspondence, forms, and other Destroy 2 months after issuance records relating to the compila- of listing, tion of directory service listings.

4. Credentials Files.

Identification credentials and related papers.

a. Identification credentie.ls Destroy credentials 3 months including cards, badges, after return to issuing office.

parking permits, photographs, agency permits to operate motor vehicies, and property, dining room and visitors passes, and other identification credentials.

b. Receipts, indices, listings Destroy after all listed l and accountable records. credentials are accounted for.

5. Building and Equipment Service Files.

1 Requests for building and equipment Destroy 3 months after work i

maintenance services, excluding performed or requisition l

fiscal copies. cancelled.

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11-2

GENERAL RECORDS SCHEDULE 12 Communications Records The principal records documenting communication functions include messenger service data, telecommunications service control and operational records; summary of long distance telephone reports; postal records, consisting of post office forms and supporting papers; mail control records and supporting and related papers; Commis-sion copies of penalty mail reports; and records relating to private delivery services (such as United Parcel Service).

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Messenger Service Files.

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

instructions, dispatch records, delivery receipts, route schedules, and related records,

2. , Communication Correspondence, Reports, and Reference Files.

~

a. Correspondence and related Destroy when 2 years old.

O records pertaining to internal administration and operation.

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 Destroy when 1 year old.

reports including cost and volume data.

d. Telecommunications reference voucher files.

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

vouchers, uills, invoices, and related records.

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

of equipment.

e. Copies of agreements with back- Destroy 2 years after expiration ground data and other records or cancellation of agreement.

relating to agreements for telecommunications services.

12-1

y GENERAL . RECORDS SCHE.0VLE 12 i '

ITEM NO. DESCRIPTION OF RECORDS AITh0RIZED_ DISPOSITION

3. Telecommunications Operational Files / ' . /

).

a. Message registers, legs, per- ~ Dsstroy when 6~ months old.

formance reports, daily load reports, and related anct similar records. _ , ,

b. Copies of incoming 'and original Destroy when 2 months old.

copies of outgoing messages, i.ncluding SF.14, Telegraphic <,

Message.

c. Machine copies (hard copies), Destroy after transmission.

discs, and tapes of outgoing messages.

4. Telephone Summaries.

Summaries of long distance telephone Destroy after the close of the report used to indicate authorized ,

fiscal year 'n which audited.

use of telephone service as well'"as, to audit expense vouchers.

5. Postal Records. >

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

a. Records relating to incoming or Destroy when 1 year old.'

outgoing registered mail pouches, registered, certified, insured, and special delivery mail including receipts and retura receipts.

b. Application for postal regis- Destroy ~when 1 year old.

tration and certificates of declared value of matter subject to postal surcharge.

c. Report of loss, rifling, delay, Destroy whea 1 year old.

wrong delivery, cr- other improper -

treatment of mail matter.

6. Mail and Delivery Service Control Files.

a. Records of receipt ar.d routing Destroy when 1 year old.

of incoming and~ outgoing mail ,

12.- 2

GENERAL RECORDS SCHEDULE 12 ITEM

.HO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 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 Destroy when 6 months old.

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

c. Requisition for stamps (exclu- Destroy when 6 months old.

sive of copies used as supporting documents to payment vouchers).

d. Statistical reports and data Destroy when 1 year old.

relating to handling of mail and volume of work performed.

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

O stamps, money orders or any other valuables remitted to the Commis-sion by mail.

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

mail and packages received through the Official Mail and Messenger Service.

g. General files including corres- Destroy when 1 year old or when pondence, memoranda, directives, superseded or obsolete, which-and guides relating to the admin- ever is applicable.

istration of mail room operations.

h. Locator cards, directories, Destroy 5 months after indexes, and other records separation or transfer of relating to mail delivery to individual or when obsolete, individuals. whichever is applicable.

7. Penalty Mail Report Files.

Official penalty mail reports Destroy when 6 years old.

and all related papers.

O 12-3

GENERAL RECORDS SCHEDULE 12 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

8. Postal Irregularities File.

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

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

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GENERAL RECORDS SCHEDULE 13 Printing, Binding, Duplication, and Distribution Records This schedule provides for the retention or disposal of all copies, wherever located in the NRC, or records relating to printing, binding, duplicating, and distribution. 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) cor-respondence and report files reflecting the activities of the unit responsible for handling, printing, binding, and duplication and distribution matters within the NRC.

This schedule does not cover (a) records retained for onsite audit by the General Accounting Office, and memorandum copies which are part of the accountable officers' accounts (Schedule 6).

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Publications Files.

a. Record copy if maintained in Not applicable to NRC.

duplicating or distribution unit, of each publication, poster, chart, directive, regulation, booklet, speech, form, press release, and similar material. (This item does not cover copies and related program material retained in originating office.)

b. All other copies. Destroy when superseded, obsolete or no longer needed.

2. 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, g

and related papers.

3. Project Files.

Job or proj'ect records containing all papers and data pertaining to the plan-ning and execution of printing, binding, O duplication, and distribution jobs.

13-1

GENERAL RECORDS SCHEDULE 13 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

a. Files pertaining to the accomplish- Destroy 1 year after ment of the job, containing completion of job.

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

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

other technical matters.

4. Control Files.

Control registers pertaining to Destroy 1 year after close requisitions and work orders. of fiscal year in which compiled or 1 year after filling of register, which-ever is applicable.

5. Mailing Lists.

a. Correspondence, request forms and Destroy after appropriate other records relating to changes revision of mailing list in~ mailing lists. or after 3 months, which-ever is earlier.

b. Card lists. Destroy individual cards when cancelled or revised.

c. Plate or stencil mailing lists. Destroy plates or stencils when cancelled or revised.

6. JCP Reports Files.

Reports to Congress and related records.

a. NRC reports to Joint Commit- Destroy when 3 years old.

tee on Printing regarding operation of Class A and B Plants and inven-tories of printing, binding, and related equipment in Class A and B Plants or in storage.

b. Copies in subordinate reporting Destroy 1 year after date units and related work papers. of report.

O 13-2

i-GENERAL RECORDS SCHEDULE 13 O ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

7. Internal Management Files.

Records relating to internal' manage- Destroy when 2 years old.

ment and operation of the unit.

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13-3

GENERAL RECORDS SCHEDULE 14 Informational Services Records This schedule covers certain records pertaining to informational services performed by NRC Offices in their day-to-day affairs and in their relations with the public; including reports created in administering Freedom of Information Act and Privacy Act programs. Except as otherwise specified in individual items, it applies to copies of these records wherever located in the agency. Items 2 and 6 apply only to files n,aintained in the office responsible for the operation of the informational activities of thc agency or subdivision thereof. Items 16 through 20 describe the files accumulated in carrying out the provisions of the Freedom of Information Act, and items 25 through 30 describe the files created in administering the provisions of the Privacy Act.

These records consist of inquiries, replies, and related correspondence; and in the case of FOIA and Privacy Act files, reports and appeal case files; and administrative background material for formal informational releases. Closely related records such as certain records relating to budget presentation, and printing, dup 1'cating and distribution are covered by other general records schedules.

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Public Relations Files O' a. Speeches, addresses, and comments. See NRCS I, Part 5, Item 7 for authorized Remarks made at formal ceremonies and during interviews by commis- disposition.

sioners or their senior assis-tants concerning the programs of NRC. The speeches and addresses may be presented to executives from other Federal agencies, representatives of State and local governments, or private groups, such as college and university students, business asso-

-ciations, and cultural news media commentators. The format selected may be paper, audio or video tape or motion picture film.

b. News releases. One copy of each pre-pared statement or announcement issued for distribution to the news media.

News releases announce events such as the adoption of new agency programs, termination of old programs, major shifts in policy, and changes in l

l 0

14-1

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Information Subject Files.

Subject files of formally designated See NRCS I, Part 2, informational offices, not covered Item 1 for authorized elsewhere in this schedule. disposition.

3. Information Requests Files.

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

decisions, and no special compilations or research and requests for and transmittals of publications, photo-graphs and other informational literature.

4. Acknowledgement Files.

Acknowledgement and transmittals of Destroy 3 months after inquiries and requests that have been acknowledgement and referred elsewhere for reply. referral.

5. Press Service Files.

Press service teletype news and Destrcy when 3 months old.

similar materials.

6. Information Project Files.

Informational services project case Destroy 1 year efter close files maintained in formally desig- of file or 1 year after nated informational offices. completion of project.

7. Commendation / Complaint Correspondence Files.

Anonymous letters, letters of commenda- Destroy when 3 months old.

tion, complaint, criticism and suggestion, and replies thereto, excluding those on the basis of which investigations were made or administra-tive action taken and those incorporated into individual personnel records.

8. Indexes and Check Lists.

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

except those used as indexes to formal informational releases (see item 1).

14-2

- -. _______________________.__________.____________________________________________________________________J

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION s 9 through 15 Reserved.

16. 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 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 requested records. date of reply.

-(2) Responding to requests for nonexistent records; to i requestors who provide d inadequate descriptions; and to those who fail to pay Com-mission reproduction fees.

(a) Request not appealed. Destroy 2 years after date of reply.

(b) Request appealed Destroy as authorized under item 17.

(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 17.

b. Official file copy of requested Dispose of in accordance records. with approved NRC disposition instruction for the related records, or with the related FOIA

< request, whichever is later.

14-3

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

17. 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 4 years after documents (EXCLUDING the official final determination by file copy of the records under NRC or 3 years after appeal if filed herein). final adjudication by courts, whichever is later.

b. Official file copy of records Dispose of in accordance under appeal. with approved NRC dis-position instructions for the related record, or with the related F0IA requests, whichever is '

later.

18. 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 requestor.

a. Registers or listing. Destroy 5 years after date of last entry.

b. Other files. Destroy 5 years after final action or after final adjudication by courts, whichever is later.

19. FOIA Reports Files.

Recurring reports and one-time information requirements relating to the NRC implementation of the '

Freedom of Information Act, including annual reports to the Congress.

14-4

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

}

a. Annual reports Permanent. Offer to NARS with related records approved for permanent retention in NRC records control +

schedule or when 15 years old, whichever is sooner.

b. Other reports. Destroy when 2 years old or sooner if no longer needed for administrative use.

20. FOIA Administrative Files.

Records relating to the general Destroy when 2' years old

~

NRC's implementation of the FOIA, or sooner if no longer-including notices, memoranda, needed for administrative routine correspondence, and related use.

records.

21 through 24. Reserved.

25. Privacy Act Requests 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 re-quested 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 requested records. date of reply.

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

14-5

l ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (a) Requests not appealed. Destroy 2 years after date of reply.

(b) Requests appealed. Destroy as authorized under item 26.

(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 26.

b. Official file copy of requested Dispose of in accordance records. with approved NRC disposition instructions for the related records, or with the related Privacy Act request, whichever is later.

26. Privacy Act Amendment Case Files.

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 the Commission'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 NRC as provided under 5 U.S.C. 552a(g).

a. Requests to amend agreed to by Dispose of in accordance NRC. Includes individual's with the approved dis-requests to amend and/or review position instructions refusal to amend, copies of for the related subject NRC's replies thereto, and individual's record or related materials. 4 years after NRC's agreement to amend, whichever is later.

O 14-6

l ITEM

,_s, NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

\s b. Requests to amend refused by Dispose of in accordance the NRC. Includes individual's .with the approved dis-requests to amend and to review position instructions refusal to amend, copies of for the related subject NRC's replies thereto, state- individual's record; ment of disagreement, NRC's 4 years after final justification for refusal to amend determination by NRC; a record, and related materials. or 3 years after-final adjudication by courts, whichever is later.

c. Appealed requests to amend. Dispose of in accordance Includes all files created in with the approved dis-responding to appeals under the position instructions Privacy Act for refusal by the for related subject individual's record or NRC to amend a record.

3 years after final adjudication by courts, whichever is later.

27. Privacy Act Accounting of Disclosure Files.

Files maintained under the provisions Dispose of in accordance

()

\s_,/

of 5 U.S.C. 552a(c) for an accurate accounting of the date, nature, and with the approved dis-position instructions purpose of each disclosure of a record for the related subject to any person or to another agency, individual's records, or including forms for showing the subject 5 years after the dis-individual's name, requestor's name closure for which the and address, purpose and date of dis- accountability was made, closure, and proof of subject individ- whichever is later.

l ual's consent when applicable.

28. 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 and address of requestor.

a. Registers or listings. Destroy 5 years after date of last entry,

b. Other files. Destroy 5 years after

! final action by the NRC or final adjudication by courts, whichever is later.

[/)

\s 14-7 T "

e - _ - - _ _ _ _ - - - - - - - - _ - _ - - - _ _ _ - - _ - _ _ _ - - - - _ . - - . - - _ . . - - - - -

l ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

29. Privacy Act Reports Files.

Recurring reports and one-time infor-mation requirement relating to NRC's implementation, including annual reports to the Congress of the United States, the Office of Management and Budget, and the Report on New Systems.

a. Annual reports Permanent. Offer to NARS with related NRC records approved for permanent retention in NRC's records control schedule or when 15 years old, whichever is sooner.

b. Other reports. Destroy when 2 years old.

30. Privacy Act General Administrative Files.

Records relating to the NRC's Destroy when 2 years implementation of the Privacy old or sooner if no Act, including notices, memoranda, longer needed for routine correspondence, and administrative use.

related records.

O 14-8

GENERAL RF"0RDS SCHEDULE 15 Housing Records D-(Not applicable to NRC)

I 15-1

GENERAL RECORDS SCHEDULE 16 L

Administrative Management Records This schedule provides"for the retention or disposal of.certain records relating co ' administrative management activities in the NRC. :These activities ~

involve the direction and control of those staff and management improvement programs not under line personnel directing and controlling substantive. operations and programs. They exclude records of operating personnel, budget, accounting, and printing functions, which are covered by other General-Records Schedules, but include records of related ipecialized procedural and management staffs.

Included within the scope of the schedule are the most frequently found files which are created in the course of organizational planning, development 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 improvement _ programs.

Because of the nature of the activities documented by administrative management records, a relatively large proportion of them are of continuing value. Files pertaining to a management' program in a well defined' area such as reports management, consist primarily of detailed case files on each form or report and for a limited period of time are of administrative importance. Files of programs covering broader and more diverse fields, such as organizational-planning studies, normally consist largely of project files, which are established for each separate problem assigned for investigation; the 'resulting case file is usually of continuing value in documenting the history of how the agency conducted its business. In either event there is a' residue of ephemeral materials. 'These may include working papers that do not have a direct bearing on the transaction, preliminary or intermediate drafts of documents and prelim-inary work sheets that do not represent significant basic steps in'the preparation of final drafts, letters or memoranda of transmittal and acknowledgement, routing slips,.and extra copies of documents.

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Formal Directives, Procedural and Operating Manuals.

Formal directives distributed as orders', circulars, or in loose-leaf manual form announcing major changes in the agency's policies and procedures.

a. Issuances related to NRC See NRCS I, Part 5, Item 4 program functions. for authorized disposition,

b. Case files related to (a) See NRCS I, Part 5, Item 4 above which document important for authorized disposition.

O aspects of the development of the issuance.

16-1

l l

GENERAL RECORDS SCHEDULE 16 ITEM i NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

c. Issuances related to routine Destroy when superseded administrative functions or obsolete.

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

d. Case files related to (c) above Destroy when ' issuance is which document aspects of the destroyed.

issuance.

2. Publications.

Pamphlets, reports, leaflets, file manuals, or other published or processed documents, or the last manuscript report if not published, relating to management projects.

a. Record copy with the supporting See NRCS I, Part 5, Item 9 papers which document the incep- for authorized disposition.

tion, scope and purpose of the project.

b. Working papers and background See item 10 of this schedule.

materials.

3. Records Disposition Files.

Descriptive inventories, disposal authorizations, schedules and reports.

a. Basic documentation of records See NRCS I, Part 1, Item 1 description and disposition for authorized disposition.

programs, including Standard ,

Form 115, Request for Records Disposition Authority; Standard Form 135, Records Transmittal and. Receipt and related documentation.

b. Extra copies and routine corres- Destroy when no longer needed pondence and memoranda. for reference.

c. Working papers and background See item 10 of this schedule.

material.

O 16-2

GENERAL RECORDS SCHEDULE 16 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Forms Files,

a. One record copy of each form See NRCS I, Part 5, Item 5 with related instructions and for authorized disposition.

documentation showing inception, scope, and purpose of the form.

b. Working papers, background Destroy when related form is materials, requisitions, speci- discontinued, superseded, or fications, processing data, and cancelled.

control records.

5. Management Improvement Reports.

Copies of reports submitted to the Not applicable to NRC.

Office of Management and Budget and related analyses and feeder reports.

6. Records Holdings Files.

Statistical reports of agency hold-ings (including SF 136) required by the General Services Administration, including feeder reports from all Oy offices and data on the volume of records disposed of by destruction or transfer.

a. Records held by offices which Destroy when 3 years old.

prepare reports on agency-wide records holdings for submission to the General Services Administration.

b. Records held by other offices. Destroy when 1 year old.

7. Project Control Files.

Memoranda, reports and other records Destroy 1 year after the year documenting assignments, progress in which the project is closed.

and completion of projects.

8. Reports Control Files.

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

including public use reports.

Included are clearance forms, includ-O ing SF 83; copies of pertinent forms or descriptions of format; copies of 16-3

GENERAL RECORDS SCHEDULE 16 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION authorizing directives; preparation instructions; and documents relating to the evaluation, continuation, revision, and discontinuance of report-ing requirements.

9. Superseded by item 4b of this schedule.

10. Working Papers.

Project background records such Destroy 6 months after final as studies, analyses, notes, drafts, action on project report or and interim reports. 3 years after completion of report if no final action is taken.

11. Records Management Files.

Correspondence, reports, Destroy when 6 years old.

authorizations, and other records Earlier disposal is authorized that relate to the management of if records are superseded, agency records, including such obsolete, or no longer needed matters as forms, correspondence, for reference.

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

12. Committee and Conference Records. See NRCS I, Part 5, Item 3 for authorized disposition.

13. Organizational Files.

a. Organizational charts and See NRCS I, Part 5, Item 8 reorganization studies. for authorized disposition.

Graphic illustrations which provide a detailed description of the arrangement and adminis-trative structure of the func-tional units of the NRC.

Reorganization studies are con-ducted to design an efficient organizational framework most suited to carrying out the agency's programs and include materials such 16-4

GENERAL RECORDS SCHEDULE 16 ITEM g NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

\

as final recommendations, proposals, and staff evaluations. These files also contain administrative maps that show regional boundaries and headquarters of decentralized agencies or that show the geographic extent or limits of an agency's programs and projects,

b. Functional statements. Formally prepared descriptions of the responsibilities assigned to the senior executive officers of an agency at the division level and above. If the func-tional statements are printed in the Code of Federal Regula-tions (CFR), they are not designated for preservation as a separate series.

c. Agency histories and selected g background materials. Narrative

( agency histories including oral

\. history projects prepared by l

agency historians or public affairs officers or by private historians under contract to l the agency. Some background materials (such as interviews with past and present personnel) generated during the research stage may also be selected for permanent retention. Excluded are electrostatic copies of agency documents made for con-venient reference.

14. Feasibility Studies.

Studies conducted before the %stroy when the completed installation of any technology study is 5 years old.

or equipment associated with 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 v

5

GENERAL RECORDS SCHEDULE 16 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION typically include a consideration of the alternatives to the proposed system and a cost / benefit analysis, including an analysis of the improved effic.iency and effectiveness to be expected from the proposed system.

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16-6

. - . - . . -. _. .. . - . . - - - _ - _ . . _ . - - . - _ . . _ _ - - . _ _ = . - - . _ .

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i GENERAL RECORDS SCHEDULE 17 I

Cartographic, Remote Sensing Imagery and Related Records  ;

i (See Part 6 of NRCS I)  ;

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GENERAL RECORDS SCHEDULE 18 Security and Protective Services Records (Also see NRCS I, Part 4)

! Security and protective services records include the various files created by E agencies to control and protect classified information; to protect Government facilities from unauthorized entry, sabotage, or loss; to insure 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 files of offices having Government-wide or agency-wide responsibilities for security and protective services programs. Also included are files of security units, guard forces, and other organizational elements documenting :

L

.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 Government-wide or agency-wide security and protective services planning and programming, reflecting basic overall policies and determinations (Item 1), are not authorized for disposal by ,

this schedule. (See NRCS'I, Part 5, Item 10)

Security and Protective Services Program Records Records accumulated by the Division of Security Office of Administration. They relate to classified information acccunting and control, facilities security and protective services, personnel security clearance, and emergency planning.

ITEM NO DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Security Policy Files.

Manuals, directives,-plans, reports, See NRCS I, Part 5, Item 10 and correspondence reflecting policies for authorized disposition.

and procedures developed in the admin-istration and direction of security and protective services programs.

Classified Information Accounting and Control Records Records accumulating from measures taken by agencies to protect classified infor-mation from unauthorized disclosure in accordance with Executive Order 10501, other Executive-Orders, or statutory or regulatory requirements.

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Classified Documents Administrative Correspondence Files.

J Correspondence files pertaining to Destroy when 2 years old.

the administration of security 18-1

GENERAL RECORDS SCHEDULE 18 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION classification, control and account-ing for classified documents, not covered in Item 1 or elsewhere in this schedule.

3. Document Receipt Files.

Classified documents receipts, relat- Destroy when 2 years old.

ing to the receipt and issue of classified documents.

4. Destruction Certificates Files.

Classified documents destruction Destroy when 2 years old.

certificates relating to the destruction of classifed documents.

5. Classified bocument Inventory Files.

Forms, ledgers, or registers used to Destroy when 2 years old.

show identity, internal routing, and final disposition made of classified documents, but exclusive of classified document receipts and destruction cer-tificates and documents relating to Top Secret material covered elsewhere in this schedule.

6. Top Secret Accounting and Control Files,

a. Registers maintained at control Destroy 5 years after documents points to indicate accountability shown on forms are downgraded, over Top Secret documents, re- transferred, or destroyed.

flecting the receipt, dispatch, or destruction of the documents.

b. Forms accompanying documents to Destroy when related document insure continuing control, show- is downgraded, transferred, or ing names of persons handling destroyed.

the documents, intra-office routing, and comparable data.

7. Access Request Files.

Request and authorization for Destroy 2 years after authoriza-individuals to have access to tion expires.

classified files.

18-2

GENERAL RECORDS SCHEDULE 18 ITEM

('~'s AUTHORIZED DISPOSITION

( ) NO DESCRIPTION OF RECORDS

8. Classified Document Container Security Files.

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

and comparable data used to control access into classified document containers.

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 lost.

9. Security and Protective Services Administrative Correspondence Files.

Correspondence files relating to Destroy when 2 years old.

administration and operation of the facilities security and

/'~'s protective services programs, not covered by Item 1 or elsewhere in

(]

\ this schedule.

10. Survey and Inspection Files.

(Government-owned facilities)

Reports of surveys and inspections Destroy when 3 years old, or of Government-owned facilities con- upon discontinuance of facility, ducted to insure adequacy of protec- whichever is sooner.

tive and preventive measures taken against hazards of fire, explosion, and accidents, and to safeguard infor .

mation and facilities against sabotage and unauthorized entry.

11. Survey and Inspection Files.

(Privately owned facilities)

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

agencies, and related papers.

12. Investicative Files.

O Investigative files accumulating from investigations of fires, Destroy when 2 year old.

18-3

GENERAL RECORDS SCHEDULE 18 ITEM NO DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION explosions, and accidents, con-sisting of retained copies of reports and related papers when the original reports are submitted for review and filing in other agencies or organi-zational elements, and reports and related papers concerning occurrences of such a minor nature that they are settled locally without referral to other organizational elements.

13. Property Pass Files.

Property pass files, authorizing Destroy 3 months after expira-removal of property or materials. tion or revocation.

.14. Guard Assignment Files.

Files relating to guard assign-ments and strength,

a. Ledger records. Destroy 3 years after final entry.

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

change notices, and other papers relating to post assign-ments and strength requirements.

15. Police Functions Files.

Files relating to exercise of police functions.

a. Ledger records of arrest, cars Destroy 3 years after final ticketed, and outside police entry.

contracts.

b. Reports, statements of witness- Destroy when 2 years old.

es, warning notices, and other case papers relating to arrest, commitments, and traffic violations.

c. Reports on contact of outside Destroy when 1 year old.

police with building occupants.

16. Personal Property Accountability Files.

Files relating to accountability for personal property lost or stolen.

18-4 l

GENERAL RECORDS SCHEDULE 18 p) g v

ITEM NO DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

a. Ledger files. Destroy 0 years after final entry.

b. Reports, loss statements, Destroy when 1 year old.

receipts and other papers relating.to lost and found articles.

17. Key Accountability Files.

Files relating to accountability

'for keys issued.

a. For areas under maximum Destroy 3 years after turn-in security. of key.

b. For other areas. Destroy 6 months after turn-in key.

18. Visitor Control Files.

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

a. For areas under maximum Destroy 5 years after final security. entry or 5 years after date of document, as appropriate.

b. For other areas. Destroy 2 years after final entry or 2 years after date of document, as appropriate.

! 19. Facilities Checks Files.

Filts relating to periodic guard force facility checks.

a. Data sheets, door slip sum- Destroy when 1 year old.

maries, check sheets, and guard l reports on security violations

[ (except copies in files of Com-l mission security offices covered by Item 25 of this schedule).

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( 18-5

GENERAL RECORDS SCHEDULE 18 ITEM NO DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

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

security checks which either do not reflect security violations, or for which the information con-tained therein is documented in the files defined in Item 25 of this schedule.

20. Guard Service Control Files.

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

and building record and employee identification cards.

b. Round reports, service reports Destroy when 1 year old.

on interruptions and tests, and punch clock dial sheets.

c. Automatic machine patrol charts Destroy when 1 year old.

and registers of patrol and alarm services.

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

21. Logs and Registers.

Guard logs and registers not covered elsewhere in this schedule.

a. Central guard office paster Destroy 2 years after final logs. entry.

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

master logs.

Personnel Security Clearance Records Records accumulating from investigations of personnel conducted under Executive Orders and statutory or regulatory requirements.

22. Security Clearance Administrative Subject Files.

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

records relating to the administra-tion and operation of the personnel 18-6

E GENERAL RECORDS. SCHEDULE 18

, i

] ITEM (Q NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION security program, not covered by" '

item 1 or elsewhere in this /

schedule. , , -

Personnel Security Clearance Files. '

23. -

Personnel security clearance case / D-files and related indexes maintained /

' by the personnel security office. ,

, /

a. Case Files documenting the ~ Destroy upon notification processing of investigations of death or not later than on Federal employees or- 5 years after separation or applicants for Federal employ- transfer of employee or no ment, whether'or not a security later than 5 years after clearance is granted, and other contract clationship persons, such as those performing expirc:;, whichever is work for the Commission under appligable.

contract, who require an approval before having access to Govern-ment facilities or to sensitive data. These files include -

questionnaires, summaries of O]

\ reports prepared by the investi-gating agency, and other records reflecting the processing of j, the investigation and the status of the clearances exclusive of copies of investigative reports furnished by the investigating , .

agency. ,

b. Investigative repIorts and 3estroy;in accordance with the related papers furnished to investigating agency instruc-agencies by investigative tions.

organizations for use in making security / suitability

~

determinstions.

c. Inder to the Personnel Security Destroy with related case l

Case File, file.

^

24. Personnel Securitv Clearance Status Files.

Lists or rosters showing the Destroy when superseded or current security clearance obsolete.

status of individuals.

v ,

18-7

GENERAL RECORDS SCHEDULE 18 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

25. Securi y 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 Destroy 5 years after close of violations of a sufficiently case.

serious nature that they are referred to the Departments 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 Destroy 2 years after papers placed in official completion of final action personnel folders. or when no longer needed, whichever is sooner.

26. Reserved.

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

27. Emergency Planning Administrative

, Correspondence Files.

1 Correspondence files relating to Destroy when 2 vaars old.

! administration and operation of the emergency planning program, not covered by item 1 or elsewhere in this schedule.

28. Emergency Planning Case Files.

Case files accumulated by offices responsible for the preparation and issuance of plans and directives, consisting of a copy of each plan or directive issued, with related background papers.

18-8

GENERAL RECORDS SCHEDULE 18 ITEM

[^ NO. DESCRIPTION OF-RECORDS AUTHORIZED DISPOSITION

a. One record copy of each plan or See NRCS I, Part 4, Item 7 directive issued, if not for authorized disposition.

included in the agency's per-manent set of master directives files.

b. Case file copy of plan or Destroy 3 years after issuance directive if agency record of a new plan or directive.

copy is maintained in a master directives file and all related background materials.

29. Emergency Directives Reference Files.

Copies of directives and plans Destroy when obsolete or issued by the agency (other than superseded.

those maintained in case files described in item 28 above), as well as those issued by FEMA, other Federal agencies, State and local governments, and the private sector.

30. Emergency Planning Reports.

N ,,/ Agency reports of operations tests, See NRCS I, Part 4, Item 7 consisting of consolidated or com- for authorized disposition.

prehensive reports reflecting agency-wide results of tests con-ducted under emergency plans.

31. Emergency Operations Tests Files.

Files accumulating from tests Destroy when 3 years old.

conducted under 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 under Item 30 above),

a 18-9

~- -_- __._.- __-_ - -..-. . . - . - . . . - _ _ _ . _ _ - _ . . - - _ - - . . . - - . . - . _ _ . . _ _ _ _

i GENERAL RECORDS SCHEDULE 19 r

Research and Development Records (See Part 8 of NRCS IV)  ;

i l Since research is an important program of NRC, disposition instruction for

, records accumulated in this' functional area are contained in Part 8 of NRCS 4.

. The record series described in that schedule include all research records

! created or received by NRC in the performance of its licensing and related regulatory functions.

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GENERAL RECORDS SCHEDULE 20 Machine-Readable Records O (See Part 7 of NRCS I)

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20-1

GENERAL RECORDS SCHEDULE 21 O Audiovisual Records (See Part 8 of NRCS I)

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21-1

GENERAL RECORDS SCHEDULE 22 Desian and Construction Drawings and Related Records

@ (Not Applicable to NRC) e 22-1

GENE %L RECOROS SCHEDULE 23 Records Cosmon to Most Offices l (See Part 1 of NRCS) 1 i

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GENERAL RECORDS SCHEDULE 24 l

Temporary Commissions, Committees, and Boards Records i

(Not applicable to NRC) i i

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,, , , , , U.S. NUCLEAD 0.E ULATORY COMMI3SION BIBLIOGRAPHIC DATA SHEET

4. TlTLE AND SUBTETLE (Aad Volume No, tf wprmnate) iiUREG-0910 Revision 1

2. (Leave blank)

3. RE iPiENT S ACCESSION NO.

, Comprehensive Records Disposition Schedule

7. AUTHORtSI

5. DATE REPORT COMPLETED M ON TH l YEAR May 1983

9. PERFORMING ORGANIZATION NAME AND MAILING ADDRESS (Include 2,p Codel DATE REPORT ISSUED Division of Technical Information and Document Control =~m Ivtaa Office of Administration May 19M U. S. Nuclear Regulatory Commission 6 It'*** *'*a * /

Washington, D. C. 20555

8. (Leave blank)

12. SPONSORING ORGANIZATION N AME AND M AILING ADDRESS (include 2,0 Codel p

Same as 9 above. 11. FIN NO.

13/ TYPE OF REPORT PE RIOD COVE RE D (/nclus,ve dates /

NRC'0fficial Records Disposition Schedules

15. SUPPLEMENTARY NOTES 14. (Leave otan*J

16. ABSTR ACT #00 words or less/

In compliance with statutory requirements set forth in Title 44 U.S.

{ ) Code, "Public Printing and Documents," and in the applicable regulations cited in Title 41 Code of Federal Regulations, "Public Contracts and Property Management," Chapter 101, Subchapter B," Archives and Records,"

the U. S. Nuclear Regulatory Commission submitted to the General Services Administration, National Archives and Records Services, and to the Comptroller General a schedule (commonly referred to as a disposition or retention schedule) proposing the appropriate duration of retention and the final disposition for records created or maintained by the NRC.

17. KE Y WORDS AND DOCUME NT AN ALYSIS 17a DESCRIPTORS 17b. IDENTIFIE RS OPEN ENDE D TERMS V AIL ABILITY STATE MENT 19 SE CURITY CLASS (This reporr/ 21 NO. OF PAGE S Unclassified Unlimited 2o Sguggg(gh,s oagei 22 price NRC F ORM 335 ett sie

l NUREG-0910, Revision 1 NRC COMPREHENSIVE RECORDS DISPOSITION SCHEDULE MAY 1983

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~ NUCLEAR REGULAT0ftY COAAAAISSION . Pos,. . c_,i at,a a se ts Paio WASHINGTON, D.C. 20E86 ,ossng g

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. i OFFCAL SUS #sESS '

PtpsALTV FOR PRIVATE USE,8310

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1205550f8877 1 1AN l' *i US NRC l ADM OIV 0F TIOC POLICY C PUB PGT BR-PDR NUREG W-501 i WASHINGTON DC 20555 l

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