ML20216F964

NRC Comprehensive Records Disposition Schedule

ML20216F964
Person / Time
Issue date:	02/28/1998
From:	NRC
To:
References
NUREG-0910, NUREG-0910-R03, NUREG-910, NUREG-910-R3, NUDOCS 9803190155
Download: ML20216F964 (380)

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NRC Comprehensive Records Disposition Schedule NUREG-0910, "NRC Comprehensive Records Disposition Schedule", Revision 3 dated January, 1998, replaces NUREG-0910 Revision 2 in it's entirety. This revision contains several key changes to the previous schedule. These changes are listed below.

• The NRR, NMSS and the Regional records schedules pertaining to power plant and materials licensing docket files and their related inspection and enforcement files were revised to make decommissioning records permanent.

e The NMSS and Regional materiallicensing records schedules were changed to increase the retention period foi non-permanent case files.

• The Office of the Commission records schedules were revised to add the schedule Office Files of the Chairman and Commissioners.

• Uranium Recovery Field Office (URFO) records schedules were transferred to NMOS as a result of the abolishment of the URFO office.

• The Office of the Secretary records schedules were changed to reflect the transfer of the Public Document Room to the Office of the Chief Information Officer.

e The Office of Administration records schedules were changed to reflect transfer of printing and graphic functions to the Office cf the Chief Information Officer.

• The Office of Human Resources record schedule for Health Records Files was deleted.

Health Records Files are covered by the General Records Schedules..

e Several Office of Nuclear Reactor Research records schedules were changed to replace schedules rescinded by NARA Bulletin 88-2. This bulletin required agencies to submit new schedules for research and development records that were scheduled using earlier NARA general records schedules.

e Recent organizational changes have been reflected in this revision.

NUREG-0910 Revision 3 1

NRC Comprehensive Records Disposition Schedule I

I Manuscript Completed: January 1998 Date Published: February 1998 l

O Information Management Division Omce of the ChiefInformation Omcer U.S. Nuclear Regulatory Commission Washington, DC 20555-0001

• l

I AVAILABILITY NOTICE Availability of Reference Materials Cited in NRC Publications Most documents cited in NRC publications will be available from one of the following sources:

1. The NRC Public Document Room, 2120 L Street, NW., Lower Lovel, Washington, DC 20555-0001

2. The Superintendent of Documents, U.S. Government Printing Office, P. O. Box 37082, Washington, DC 20402-9328

3. The National Technical Information Service, Springfield, VA 22161-0002 Although the listing that follows represents the majority of documents cited in NRC publica-tions, it is not intended to be exhaustive.

Referenced documents available for inspection and copying for a fee from the NRC Public Document Room include NRC correspondence and internal NRC memoranda; NRC bulletins, circulars, information notices, inspection and investigation notices; licensee event reports; vendor reports and correspondence; Commission papers; and applicant and licensee docu-ments and correspondence.

The following documents in the NUREG series are available for purchase from the Government Printing Office: formal NRC staff and contractor reports, NRC-spGn:.ored conference pro-ceedings, international agreement reports, grantee reports, and NRC booklets and bro-chures. Also available are regulatory guides, NRC regulations in the Code of Federal Regula-tions, and Nuclear Rogulatory Commission Issuances.

Documents available from the National Technical Information Service include NUREG-series I reports and technical reports prepared by other Federal agencies and reports prepared by the l Atomic Energy Commission, forerunner agency to the Nue' ear Regulatory Commission. ,

1 Documents available from public and special technical libraries include all open literature items, such as books, journal 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 con-ference proceedings are available for purchase from the organization sponsoring the publica-tion cited.

Single copies of NRC draft reports are available free, to the extent of supply, upon written request to the Office of Administration, Distribution and Mail Services Section, U.S. Nuclear Regulatory Commission, Washington DC 20555-0001.

Copies of industry codes and standards used in a substantwo manner in the NRC regulatory process are maintained at the NRC Library, Two White Flint North,11545 Rockville Pike, Rock-ville, MD 20852-2738, for use by the public. 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 l 10018-3308.

l O

N INTRODUCTION TO THE NRC COMPREHENSIVE RECORDS DISPOSITION SCHEDULE The NRC Comprehensive Records Disposition Schedule (CRDS) provides the authorized l

disposition for all NRC records. Each record schedule has been approved by the appropriate NRC

[ officials, and the General Accounting Office, when appropriate, and is authorized by the Archivist -

( of the United States. Application of the disposition schedules is mandatory and is in accord with i the National Archives and Records Administration's regulations provided in 36 CFR Part 1228,

" Disposition of Federal Records" and statutory requirements set forth in Title 44 U.S. Code,

" Pub'ic Printing and Documents." NRC's implementing policies are contained in NRC L Management Directive 3.53, "NRC Records Management Program".

l The CRDS is comprised of NRC Schedules (NRCS) 1 and 2 that apply to NRC's unique administrative and programmatic records, and General Records Schedules (GRS) 1-23 that apply to administrative records that are common to most agencies. NRCS I applies to records common

( to all or most NRC offices, NRCS 2 applies to the records unique to each NRC office. Records l that do not have an applicable disposition schedule must be retained until disposition authority is l obtained. Procedures for establishing n schedules or revising the retention period for existing i schedules are provided in NRC Management Directive 3.53.

3 Official records are retained in a network of official file stations that are managed by File Custodians. Each official file station has a " Files Maintenance and Disposition Plan" (NRC Form 306) that correlates the record schedule with each record collection retained at the file location.

Records Liaison Officers retain a collection of these plans to ensure availability to staff.

Procedures for the retirement or disposal of NRC records are issued from the Information and Records Management Br.ach, Office of Chief Information Officer. Comments or questions l regarding the Comprehensive Records Disposition Schedule or its application may be directed to l the Chief, Information and Records Management Branch.

L

i TABLE OF CONTENTS q.

PAGE NO.

NRC Schedule 1 RECORDS COMMON TO MOST OFFICES ............ 1.1.1 Part 1 A,dministrative Files Common to Most Offices . . . . . . . . . . . . 1.1.1 Item 1 Employee Travel Files . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1.1 Item 2 Office General Personnel Files . . . . . . . . . . . . . . . . . . . . . . 1.1.1 Item 3 Office Organization Reference Files . . . . . . . . . . . . . . . . . . . 1.1.1 Item 4 Policy and Precedent Reference Files' ................. 1.1.2 )

Item 5 Reading or Chronological Files ...................... 1.1.3 )

Item 6 Reference Publication Files ......................... 1.1.3 )

Item 7 Reimbursable Agreements and Contract Files . . . . . . . . . . . . . . 1.1.4 Item 8 Staff Working File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1.4 Item 9 Technical Reference Files ......................... 1.1.4 Item 10 Vu-graphs .................................. 1.1.5 Item 11 Weekly Status Reports .......................... 1.1.5 Part 2 Programmatic Files Common to Most Offices ............ 1.2.1 Item 1 Committee and Conference Records . . . . . . . . . . . . . . . . . . . 1.2.1 Item 2 General Program Correspondence Files ................ 1.2.2

(

liem 3 Regulatory History Case Files for Proposed and Final Rulemaking . . . . . . . . . . . . . . . . . . . 1.2.3 NRC Schedule 2 RECORDS OF NRC OFFICES . . . . . . . . . . . . . . . . . . . . . . 2.1.1 Part 1 Records of the Office ct Administration (ADid) . . . . . . . . . . . 2.1.1 Item 1 Administrative Budget Control System (ABC) ............ 2.1.1 Item 2 Central Personnel Clearance Index (CPCI) . . . . . . . . . . . . . . . 2.1.1 Item 3 Classified Document Control System (CDCS) ............ 2.1.2 Item 4 Contracts System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.2 Item 5 Directives Case Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.2 Item 6 Drug Testing Program Files ....................... 2.1.3 Item 7 Grants Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.3 Item 8 Holding Action System (HAS) ...................... 2.1.3 Item 9 Orga lizational Records .......................... 2.1.4 Item 10 Property and Supply System (PASS) . . . . . . . . . . . . . . . . . . . 2.1.4 Item 11 Security Policy Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.5 Item 12 Security Violations (Felonies) Files . . . . . . . . . . . . . . . . . . 2.1.5 Item 13 Still Photography Files . . . . . . . . . . . . . , . . . . . . . . . . . . 2.1.5 2.1.7 f Item 14 Systems Security Recordt ........................

i NUREG-0910, Rev. 3 January 1998 l

I l Item 15 Video Recording Files . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.10 Part 2 Records of the Advisory Committee on Nuclear Waste (ACNW) 2.2.1 Item 1 Advisory Committee on Nuclear Waste Project Case Files ............................ 2.2.1 Item 2 Consultants' Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.2 Item 3 Minutes of the Committee . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.2 Item 4 Program Correspondence Files . . . . . . . . . . . . . . . . . . . . . . 2.2.2 Item 5 Waste Management Licensing Files . . . . . . . . . . . . . . . . . . . 2.2.3 Part 3 Records of the Advisory Committee on Reactor Safeguards (ACRS) 2.3.1 Item 1 ACRS Members' Personnel Files .................... 2.3.1 Item 2 Annual Reports of the ACRS to the U.S. Congress . . . . . . . . . 2.3.1 Item 3 Classified Defense Information Files .................. 2.3.2 Item 4 Committee Files on Regulation Guidelines .............. 2.3.2 Item 5 Consultant Personnel Files ........................ 2.3.2 Item 6 General Program Correspondence Files ................ 2.3.3 Item 7 Keyword Index (KWIC/KWOC) . . . . . . . . . . . . . . . . . . . . . 2.3.3 Item 8 Minutes of the Committee . . . . . . . . . . .............. 2.3.3 Item 9 Nuclear Power Plant Docket Files . . . . . . . . . . . . . . . . . . . . 2.3.4 Item 10 Nuclear Reactor Project Files . . . . . . . . . . . . . . . . . . . . . . 2.3.4 Item 11 Reports of Consultants ..................... ..... 2.3.5 Item 12 'Iranscripts of ACRS Meetings . . . . . . . . . . . . . . . . . . . . . 2.3.5 Part 4 Records of the Office for Analysis and Evaluation of Operational Data (AEOD) . . . . . . . . . . . . . . .......... 2.4.1 Item 1 Abnormal Occurrence Case Files . . . . . . . . . . . . . . . . . . . . 2.4.1 Item 2 Aerial Photography of Facilities ..................... 2.4.2 Item 3 Audio Cassettes for Technical Training . . . . . . . . . . . . . . . . . 2.4.2 Item 4 Case Study Report Files .......................... 2.4.2 Item 5 Emergency Planning Files . . . . . . . . . . . . . . . . . . . . . . . . . 2.4.3 Item 6 Emergency Planning Maps .............. ......... 2.4.3 Item 7 Operational Data and Information Screening Files . . . . . . . . . . 2.4.4 Item 8 Regulatory Information Tracking System (AEOD-RITS) . . . . . . 2.4.4 Item 9 Telephone Recordings Alerting the NRC Duty Officer . . . . . . . 2.4.5 Item 10 Training Aids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4.5 NUREG-0910. Rev. 3 ii O

January 1998

Part 5 Reccrds of the Atomic Safety and Licensing Board Panel (ASLBP) 2.5.1 .

l Item 1 Advisory Screening Conunittee Consultant Personnel Files ............................. 2.5.1 Item 2 Memoranda to Panel Board Members ................. 2.5.1 Item 3 Minutes of Advisory Screening Committees ............. 2.5.2 Item 4 Panel Board's Monthly Status Report to_ ,

Commissioners . . . . . . . . . . , . . . . . . . . . . . . . . . . . . . 2.5.2 Item 5 Power Reactor Docket Files of the ASLBP . . . . . . . . . . . . . . 2.5.2 Item 6 Transcripts of ASLBP Hearings ..................... 2.5.2 Part 6 Records of the Office of the Commission (OCM) .......... 2.6.1 Item 1 Commissioners' Chronological Files .................. 2.6.1 Item 2 Office Files of the Chairman and Commissioners . . . . . . . . . . . 2.6.2 Part 7 Records of the Office of Commission Appellate Adjudication (OCAA) ........................... 2.7.1 Part 8 Records of the Office of Congressional Affairs (OCA). ...... 2.8.1 Item 1 Congressional Correspondence Files ................. 2.8.1 Item 2 Congressional Correspondence System ................ 2.8.1 Item 3 Legislative Files ............................... 2.8.2 Item 4 Senate and House Members Profile Files ............... 2.8.2 1 I

Part 9 Records of the Office of Consolidation (CONS) . . . . . . . . . . . 2.9.1 Part 10 Records of the Office of the Chief Financial Officer (CFO) ............................... 2.10.1 Item 1 Accounting System (CAB) ........................ 2.10.1 2.10.2 I Item 2 Budget Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Item 3 License Fee Reporting System (FEES) . . . . . . . . . . . . . . . . . 2.10.2 Item 4 Integrated Financial Management Information System (IFMIS) ............................. 2.10.3 Item 5 Payroll (PAY) ................................ 2.10.3 l

Part 11 Records of the Office of Enforcement (OE) . . . . . . . . . . . . . . 2.11.1 Part 12 Records of the Office of the Executive Director for Operations (EDO) ........................... 2.12.1 Item 1 Work Item Tracking System (WITS-II) .... ........... 2.12.1 January 1998 iii NUREG-0910. Rev. 3

Part 13 Records of the Office of the General Counsel (OGC) . . . . . . . . 2.13.1 Item 1 Commission Memorandum Files .................... 2.13.1 Item 2 Legislative Files .............................. 2.13.2 Item 3 Licensing Docket FormalIIearing Files ................ 2.13.2 Item 4 Litigation Case Files ............................ 2.13.3 Item 5 Patent and Technical Data Files ..................... 2.13.3 Part 14 Records of the Office of the ChiefInformation Officer (CIO) ............................... 2.14.1 Item 1 Automated Information Documentation System (AIDS) ...... 2.14.1 Item 2 Forms Files ................................. 2.14.1 Item 3 Graphic Arts Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.14.2 Item 4 Information Requirements Control Automated System (IRCAS) . ....... ................... 2.14.2 Item 5 Regulatory Information Tracking System (IRM-RITS) ................................ 2.14.3 Item 6 Manpower System (MPS) .. ...................... 2.14.3 Item 7 Project Management System (PMS) . . . . . . . . . . . . . . . . . . . 2.14.3 Item 8 Publications . . . . . . . . . . . . ..................... 2.14.4 Item 9 Records Retirement Lists .. ...................... 2.14.5 Item 10 Statistical Information System for Operating Reactors (SISOR) ............................ 2.14.5 Item 11 Technical Assignment Contial System (TACS) .......... 2.14.5 Item 12 Telephone Directory System (TEL) . . . . . . . . . . . . . . . . . . 2.14.6 Item 13 Timesharing Accounts Management System (TAMS) ...... 2.14.6 Item 14 Bibliographic Retrieval System . . . . . . . . . . . . . . . . . . . . . 2.14.6 Item 15 Duplicate Nuclear Power Plant Docket Files o f the PDR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.14.6 Part 15 Records of the Office of the Inspector General (OIG) . . ..... 2.15.1 Part 16 Records of the Office ofInternational Programs (OIP) ...... 2.16.1 Item 1 Country Files, Export / Import and International Safeguards Reords ............... ............ 2.16.1 Item 2 Country Files, International Arrangements .............. 2.16.2 Item 3 Export / Import License Docket Files .................. 2.16.2 Item 4 Files of Department of State Cables and Atomic International Forum Wires ................. 2.16.3 Item 5 Foreign Visitor Files ............................ 2.16.3 Item 6 Formal Arrangement and Agreement Fi es .............. 2.16.4 Item 7 International Organization Files ..... ............... 2.16.4 NUREG-0910, Rev. 3 iv O

January 1998

Item 8 International Programs Export / Import License

.' Tracking System (IPELTS) ...................... 2.16.4 Part 17 Records of the Office of Investigations (OI) . . . . . . . . . . . . . . 2.I7.1 Item 1 Allegation and Inquiry Files ......... ........... 2.17.1 Item 2 Investigation Case Files .......................... 2.17.1 Item 3 Investigation Procedure Memoranda (IPM) . . . . . . . . . . . . . .. 2.17.3 Part 18 Records of the Office of the Licensing Support System Administrator (OLSSA) . . . . . . . . . . . . . . . . . . . 2.18.1 Part 19 Records of the Office of Nuclear Material Safety and Safeguards (NMSS) ........................... 2.19.1 Item 1 Certificate of Compliance Files ..................... 2.19.1 Item 2 Docket Files for the Disposal of High-Level Radioactive Wastes in Geologic Repositories . . . . . . . . . . . 2.19.1 Item 3 Docket Files for Land Disposal of Radioactive Wastes . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.19.2 Item 4 Fuel Facilities, Transportation, Byproduct, Source, and Special Nuclear Material Docket Files ............ 2.19.3 g Item 5 Independent Spent Fuel Storage Installation Docket Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.19.8 Item 6 International Safeguards Program Office ................ 2.19.9 Item 7 Licensee Mismanagement Files ..................... 2.19.10 Item 8 NMSS Case Work System (CASE) ................... 2.19.10 Item 9 Nuclear Material Management and Safeguards System (NMMSS) ............................. 2.19.11 Item 10 Process Operator License Files . . . . . . . . . . . . . . . . . . . . . 2.19.11 Item 11 Quality Assurance Files ........................ 2.19.12 Item 12 Regulatory Information Tracking System (NMSS-RITS) .... 2.19.12 Item 13 Safety Evaluation Reports . . . . . . . . . . . . . . . . . . . . . . . . 2.19.13 Item 14 Scaled Source and Device Review Files ............... 2.19.13 Item 15 -Source and Special (SS) Nuclear Accountability System Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.19.13 Item 16 Transport Approval Package Information System  !

(TAPIS) .................................. 2.19.14 l

l Item 17 UMTRAP Project Licensing Case Files ............... 2.19.14  !

Item 18 High-Level, Low-Level, and Uranium Recovery Docket Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.19.15  ;

Item 19 NMSS Contract File Management System (FILNET)(operational) system B0011 ............... 2.19.16 January 1998 v NUREG-0910, Rev. 3

Part 20 Records of the Office of Nuclear Reactor Regulation (NRR) ... 2.20.1 Item 1 Antitrust Case Files . . ..... . ...... .... ...... 2.20.1 Item 2 E-2 System (IRMS) ............ ................ 2.20.2 Item 3 Emergency Planning Files . . . . . . . . . . . . . . . . . . . . . . . . . . 2.20.2 Item 4 Licensir:p Project Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.20.3 Item 5 Morning Reports ............................... 2.20.3 Item 6 Non-Licensing Project Files ........................ 2.20.3 Item 7 NRC Inspection Manual .......................... 2.20.3 Item 8 NRC Issuance Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.20.4 Item 9 Nuclear Power Plant Docket Files .................. 2.20.4 Item 10 Preliminary Notification of Event or Unusual Occurrence (PNO), Preliminary Notification of Safeguards Event (PNS) Files ..................... 2.20.9 Item 11 Regulatory Effectiveness Reviews .. .............. 2.20.10 Item 12 Regulatory Information Tracking System (NRR-RITS) ..... 2.20.11 Item 13 Reports of Defects or Non-Compliance (Part 21 Reports) . . . . . .................... . 2.20.11 Item 14 Safeguards Status Reports ....................... 2.20.12 Item 15 Seismic Qualification (SEISMIC) ............. ..... 2.20.12 Item 16 Statistical and Enforcement Test System (766) . . . . . . . . . . . 2.20.12 i Item 17 Steam Generators ............................. 2.20.13 Item 18 Vendor Topical Reports ......................... 2.20.15 Part 21 Records of the Office of Nuclear Regulatory Research (RES) . . . 2.21.1 Item l Budget System, Research ...... ................ . 2.21.1 Item 2 Experiment and Test Files . . .................... 2.21.1 l Item 3 Grants Files . . . ... .......................... 2.21.5 Item 4 Laboratory Notebooks .......................... 2.21.6 Item 5 National Standards Committee Participation System (SDCOM) . 2.21.7 Item 6 Nuclear Safety Research Review Committee Records ....... 2.21.8 Item 7 Nuclear Safety Standards Program Files . . . . . . . . . . . . . . . . 2.21.9 Item 8 Personnel Monitoring Reports Files .................. 2.21.9 Item 9 Plans and Systems Design Descriptions ................ 2.21.10 Item 10 Radiation Exposure Information Systein (REIRS) . ....... 2.21.11 Item 11 Rejected Research Project Proposals .... ............ 2.21.11

! Item 12 Research Program Files ............... ... ... . 2.21.11 Item 13 Research Project Case Files ... .... ............. 2.21.12 Item 14 Scientific and Technical Reports .. .. ............. 2.21.13 Item 15 Still Photographs Associated With Loss of Fluid Transfer (LOFT) . . . . ... ................... 2.21.14 Item 16 Video Recordings for Research Projects . . . . . . . . . . . . . . . 2.21.14 O

NUREG-0910. Rev. 3 vi January 1998

Part 22 Records of the Office of Human Resources (HR) . . . . . . . . . . . 2.22.1 Item 1 Audio Cassettes for Technical Training ................ 2.22.1 Item 2 Automated Personnel System (APS) .................. 2.22.2 Item 3 Awards Files ................................. 2.22.2 Item 4 Personnel Exposure Files ......................... 2.22.3 Item 5 Training Aids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.22.3 Part 23 Records of the Office of Public Affairs (OPA) . . . . . . . . . . . . 2.23.1 Item 1 Information Files ...............,.............. 2.23 1 Part 24 Records of the Regional Offices .................... 2.24.1 Item 1 Action Item Tracking System (AITS) . ............... 2.24.1 Item 2 Duplicate Nuclear Power Plant Docket Files . . . . . . . . . . . . . 2.24.1 Item 3 Emergency Planning Files . . . . . . . . . . . . . . . . . . . . . . . . . 2.24.2 Item 4 Fuel Facilities, Transportation, Byproduct, Source, I and Special Nuclear Material Docket Files ............ 2.24.2 Item 5 Health Records Files ............................ 2.24.8 Item 6 Information Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.24.8 Item 7 Inspection and Enforcement Case Files ................ 2.24.9 Item 8 Licensee Mismanagement Files ..................... 2.24.15 I- '

Item 9 Module Status Report System ....................... 2.24.15 Item 10 Nuclear Material Accountability Worksheets . . . . . . . . . . . . 2.24.15 Item 11 Outstanding Item System (OIS) .................... 2.24.16 Item 12 Personnel Exposure Files ........................ 2.24.16  ;

Item 13 Reactor Operator and Senior Operator Docket Files ....... 2.24.16 l i

l Part 25 Records of the Office of the Secretary (SECY) ............ 2.25.1 Item 1 Commission (SECY) Paper Files .................. . 2.25.1 Item 2 Commission Tracking System ...................... 2.25.2 Item 3 Commission's Decisional License Docket Files . . . . . . . . . . . . 2.25.2 1 Item 4 Narrative Histories ................ .. ......... 2.25.3 Item 5 Oral History Sound Recordings ..................... 2.25.3 Item 6 Rulemaking Docket Files .. ...................... 2.25.3 Item 7 Stenographic Tapes of Commission Meetings ............ 2.25.4 Item 8 Transcripts of Commission Meetings . . . . . . . . . . . . . .... 2.25.4 Part 26 Records of the Office of Small Business and Civil Rights (SBCR) . . . . . . . . . . . . . . . . . . . . . . . . 2.26.1 l 1

Item 1 General Files ..... .......................... 2.26.1 l l

January 1998 Vii NUREG-0910. Rev. 3

l Part 27 Records of the Office of State Programs (OSP) ........... 2.27.1 Item 1 Agreement State Files ........................... 2.27.1 Item 2 Health Training Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.27.2 Item 3 Information Report on State Legislation ................ 2.27.2 Item 4 Non-Agreement State Files ........................ 2.27.2 Item 5 State Legislation Files ........................... 2.27.3 Part 28 . Records of the Uranium Recovery Field Office (URFO) ..... 2.28.1 Part 29 Records of the Office of Policy Planning (OPP) . . . . . . . . . . . 2.29.1 1 l

l 1

01 O

NUREG-0910. Rev. 3 viii January 1998 1

1

NRC SCHEDULE 1 RECORDS COMMON TO MOST OFFICES PART 1. ADMINISTRATIVE FIIR9 COMMON TO MOST OFFICES NARA ITEM APPROVED h[Q,,, DESCRIPTION OF RF'"aRDS AUTHORI7Fh DISPOSITION CITATION l

1. Emnlovee Travel Files Correspondence, requests, Cut off at close of fiscal year. NCl-431-81-5 l travel authorizations and orders, Destroy when 1 year old. Item 1.1.6 l itineraries, travel vouchers, and similar papers pertaining to employee travel exclusive of records maintained in the Office of the ChiefInformation Officer.

2. Office General Personnel l

Documents that relate to the Cut off at close of fiscal year. NCI-431-81-5 day-to-day administration of Destroy when 2 years old. Item 1.17 personnel in individual offices.

Included are notices of holidays and hours worked; notices and lists of persons to attend i training sessions; papers i concerning participation in l employee and community affairs; campaigns and drives; and comparable or related I papers arranged as appropriate.

l

3. Office Organintion Reference Eiles Documents relating to the Destroy when superseded, NCl-431-81-5  ;

organization and function of an obsolete, or no longer needed for Item 1.1.4 office. Included are copies of reference.

organization and functional

(

January 1998 1.1.1 NUREG@l0, Rev. 3

NRC SCHEDULE 1 RECORDS COMMON TO MOST OFFICES NARA ITEM APPROVED HQ._ DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION charts and statements; docements relating to office staffing; and documents concerning functional assignments and changes. Also included are documents reflecting minor changes iri 'Se office organization or functional assignments which are made by the office chief.

4. Policy and Precedent l Reference Files Copies of documents estab- Destroy when organizational unit NCl-431-81-5 lishing policy or precedents is discontinued or when Item 1.1.12 pertinent to futt.re. and con- documents become obsolete or tinuing actions. Normally, are no longer needed for policy and precedent files are operating or reference purposes.

maintained at operating 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.

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.

O l NUREG-0910. Rev. 3 1.1.2 January 1998 l i

t 1

NRC SCHEDULE 1

n. -

RECORDS COMMON TO MOST OFFICES NARA ITEM APPROVED

& DESCRIPTION OF RECORDS AUTHORi7Fn DISPOSI710E CITATION

5. Reading or Chronological Elles Extra copies of correspondence Cut off at close of fiscal year. NC1-431-81-5 prepared and maintained by the Destroy when 1 year old or when Item 1.1.11 originating office, used solely reference value has been as a reading or reference file exhausted, whichever is sooner.

for the convenience of personnel.

Exception Applicable to the Commissioners' chronological file of outgoing correspondence O- comprised of letters signed by the Commissioners. See NRC Schedule 2, Part 6, Item 1.

6. Reference Publication Files Copies of NRC internal and/or Destroy when superseded, NCl-431-81-5 external directives, and obsolete, or no longer needed for Item 1.1.14 publications issued by other reference purposes.

Government agencies and non-governmental organizations maintained for reference within an office. i k

January 1998 1.1.3 NUREG-0910, Rev. 3

I i

NRC SCHEDULE 1  !

RECORDS COMMON TO MOST OFFICES 1

NARA ITEM APPROVED H(L. DESCRIPTION OF RECORDS AUTHORI7ED DISPOSITION CITATION

7. Reimbursable Agreements and Contract Files Includes all contractual and NC1-431-81-5 reimbursable agreement files Item 1.1.9 (under Memorandum of Understanding - DOE /NRC) pertaining to work done for NRC by any outside source.

a. Transactions of more than Destroy 6 years and 3 months

$25,000 and all construction after final payment.

contracts exceeding $2,000.

b. Transactions of $25,000 or Destroy 3 years after final less and construction payment.

contracts under $2,000.

8. Staff Working File Reference files maintained for Destroy at the same time the NC1-431-81-5 convenience by individual staff related subject file is destroyed, Item 1.1.13 members. Includes copies of or earlier if no longer needed for docket material and other reference purposes.

records maintained in official NRC files.

9. Technical Reference Files Copies of documents retained Review annually and destroy Nonrecord strictly for reference and material of no further reference (GRS-23-6 informational purposes and value. Oct.1982) which are not part of the official files. Include copies of reports, studies, special i

compilations of data, drawings:

periodicals, books, clippings, NUREG-0910, Rev. 3 1.1.4 January 1998

NRC SCHEDULE I RFCORDS COMMON TO MOST OFFICES NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION 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 NARA.

10. Vu-franhs Vu-graphs maintained in any Destroy when no longer needed. NCI-431-81-4 NRC office. Item 2.c

11. Weekly Status Renorts Files consist ofinternal Destroy when one year old. NCl-431-81-5 narrative reports containing Ite m 1.1.8 items ofinterest on program activities submitted by NRC offices weekly to the Commission, i

January 1998 1.1.5 NUREO-0910, Rev. 3

NRC SCHEDULE 1

\

RFCORDS COMMON TO MOST OFFICFS PART 2. PROGRAMMATIC FILES COMMON TO MOST OFFICES NARA ITEM APPROVED E DESCRIPTION OF RFrORDS AUTHORI7Rn DISPOSITION CITATION l 1. Cnmmittee and Cnnference l a. Records relating to NCl-431-81-5 l establishment, organization, Item 1.5.30 membership and policy.

(1) Interagency and Permanent. Offer to NARA international 10 years after NRC committees. involvement terminates.

(2) Internal committees. Destroy 2 years after

! termination of committee.

b. Records created by committees.

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

l (a) Records created Permanent. Offer to NARA l

when NRC is the 20 years after NRC sponsor agency, involvement terminates, t

( (b) All other copies. Destroy when 3 years old or

when no longer needed for

! reference.

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

January 1998 1.2.1 NUREG&l0, Rev. 3

i i

NRC SCHEDULE I 1

RECORDS COMMON TO MOST OFFICES i

NARA

! ITEM APPROVED l

E DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION 1

2. General Program Corresnondence Files (Subject Files)

Letters, memoranda, messages, NC1-431-81-5 studies, reports, forms, and other Item 1.2.15 data documenting and/or implementing plans, policies, l procedures, accomplishments, opinions, and decisions pertaining to NRC program and staff l activities.

l

a. Program Corresnondence Permanent. Cut off at close Files at the office level of fiscal year. Hold 2 years or above. These files and retire to WNRC. Offer document policymaking to NARA when 20 years decisions or significant NRC old.

program management functions. They are accu-mulated by the Advisory Committee or Reactor Safe-guards (ACRS), the Secretary of the Commission, Office Directors reporting to the Commission, and those reporting to the Office of the Executive Director for Operations and are filed in either large central collections or in decentralized locations.

Excluded is that program correspondence which documents routine transactions and covered by item 2.c.

below.

O NUREO-0910. Rev. 3 1.2.2 January 1998

l i

NRC SCHEDULE 1

)

RFCORDS COMMON TO MOST OFFICES l

NARA ITEM APPROVED

& DESCRIPTION OF RFCORDS AUTHORI7Fn DISPOSITION CITATION

b. Proeram Cmi-g ndence Cut off at close of fiscal Filec maintained at the year. Hold 2 years and divicinn level and below retire to FARC/WNRC as  !

in NRC Hendnuarters appropriate. Destroy 10 Officee and in Reeinnn1 years after cutoff.

Offices

c. Routine Proeram Corresron- Destroy when two years old l dence Filen maintained at or sooner if purpose has orennintinnni levels, been served.

l FiIes documenting program transactions of a routine l

or recurring nature, the l record content of which is ,

t summarized or duplicated in l i

O Item 2.a. or b. above.

i

3. Reenintnrv Historv Filec for Pronoced and Final Rulemakine Case files documenting proposed and final rulemakings. Contents include interoffice correspondence, all source documents relied upon in preparing proposed and final rules, public comments, Committee For Review Of Generic l Requirements (CRGR) minutes and recommendations, ACRS comments, Commission papers, transcripts, indexes, and Federal <

Register Notices.

1 I

s l

January 1998 1.2.3 NUREG-0910, Rev. 3

NRC SCHEDULE 1 ,

RECORDS COMMON TO MOST OFFICES NARA O ITEM APPROVED N(L DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

a. Official case files located in Permanent. Transfer to NRC NC1-431-85-1 originating offices of NRC. Archive Facility Item 1 (ORAF) 2 years after issuance. Offer to Nara in 5-year blocks when 20 years old.

b. Indexes to official case files Permanent. Offer to NARA maintained by the Regulatory in 5-year blocks when 20 Publications Branch, Office of years old.

Administration.

O l

l l

l l

l NUREG-0910, Rev. 3 1.2.4 January 1998 O

NRC SCHEDULE 2 RECORDS OF NRC OFFICES PART 1. RECORrW OF THE OFFICE OF ADMINISTRATION The Office of Administration (ADM) is responsible for providing centralized administrative services in the are >f procurement, property management, facilities support, transportation, rulemaking support, Freedom ofInformation Act requests, publications services, local public document rooms, and security.

The following record schedules were developed for records unique to ADM. Reference NRC Schedule 1, " Records Common To Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED E, DESCRIPTION OF RFCORDS AUTHORIZED DISPOSITION CITATION

1. Administrative n'=8aat cantr '

(ABQ This system is a budget a Retain until it has been NCI-431-81-2

< funds control and management determined by a competent Item 13.I.1

-information system for items of NRC Official that data concern for the Office of are no longer needed; Administration. erase and reuse tape, etc.

2. Central Personnel Clanrance Indar (CPCI)

This batch-mode system maintains Retain until it has been NCl-431-81-2 data and information on the determined by a compeant Item 12.J.2 security clearance status of NRC NRC Official that data 1 and NRC contractor personnel. m no longer needed; This system will be replaced by erase and reuse tape, a redesigned and upgraded online etc.

system.

January 1998 2.1.1 NUREG-0910, Rev. 3 I

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED AUTHORI7FD DISPOSITION CITATION N1_ DESCRIPTION OF RECORDS

3. Chesified Document Control System (CDCS)

The system maintains data and Reiain until it has been NCl-431-81-2 information for the review of determined by a competent Item 12.J.4 document classification for NRC Official that data the determination of declas- are no longer needed; sification or continued clas- erase and reuse tape, sification of national security etc.

information and material accord-ing to established criteria.

4. Contracts System The system maintains data and Retain until it has been NCl-431-81-2 information on contract pre- determined by a competent Item 13.I.2 award, post-award and status, NRC Official that data such as: action requested, are no longer needed; date RFP issued, estimated cost, erase and reuse tape, dollar value, award date, expi- etc.

ration date, contract type number, contractor name, con-tract title, and program office contact.

5. Directives Case Files Internal directives issued at the Commission level, main-tained in the Office of Administration.

a. Record copy documenting Permanent. Offer to NARA NCl-431-81-5 important aspects of the when 10 yens old. Item 1.5.31 development of the issuance.

2.1.2 January 1998 G-NUREG 0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICF3 ITEM APPROVED HQ._ DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION l b. Working papers and - Destroy 6 months after background material, directive is issued.

c. Other copies of directives. Destroy when superseded.

6. Drug Testing Program Filec Superseded by GRS 1-36.

7. Grants Files (Also reference GRS 3-14, " Grant Administrative Files.")

a. Case files of contracts, Destroy 6 years and NCl-431-81-5 reports, studies, agree- three months after case Item 1.5.33 ments, correspondence, and is closed, other records relating i to receipt, award, and monitoring of grants,

b. Reports, books, studies, or Permanent. Offer to NARA any other final grant pro- when 10 years old.

duct and related records accumulated in the Division of Contracts and Property Management.

8. Holding Action System (HAS)

This system maintains locator Retain until it has been NCl-431-81-2 information on all documents in determined by a competent Item 13.I.9 the printing and distribution NRC Official that data are cycle. no longer needed; erase and  ;

reuse tape, etc.  !

l l

January 1998 2.1.3 NUREG-0910, Rev. 3 j i

i

_n._ .-

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED

& DESCRIPTION OF RECORDS AUTHOR 17Fn DISPOSITION CITATION

9. Organintional Records Official organization charts, telephone books and related records which document the organization and functions of the agency.

a. Record copy maintained Permanent. Offer to NARA NC1-431-81-5 by the Office of when 10 years old. Item 1.5.35

, Administration.

b. All other copies. Destroy when superseded or obsolete.

10. Pronerty and Supply System (PASS)

The Property and Supply System Retain until it has been NCl-431-81-2 maintains records of all NRC determined by a competent Item 13.I.4 actions concerning property and NRC Official that data j supplies. Examples such as: are no longer needed; l property and supply transactions, erase and reuse tape, etc.

maintenance tranactions, ware-house inventory, consumable usage, stockage reorder points, NRC item identification catalog, abnormal maintenance incident rates, fiscal data for contract renewal, and suspense items over-due returned from vendor.

NUREG-0910, Rev. 3 2.1.4 January 1998 O

NRC SCHEDULE 2 C\

RECORDS OF NRC OFFICES ITEM APPROVED l NQ DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION l

l i1. Security Policy Files 1 Manuals, directives, plans, Permanent. Offer to NARA NCl-431-81-5 reports, and correspondence when 10 years old. Item 1.5.37 reflecting policies and proce-dures developed by Division of Security, Office of Administra-t tion in the administration and j

direction of security and l

protective services programs.

12. Security Violations (Felonies) Files 1

Case files relating to inves. Permanent. Offer to NARA NCl-431-81-5 tigations of alleged security when 10 years old. Item 1.5.38 I

O violations of exceptional his-torical and evidential value.

Maintained by Division of Secu-rity, Office of Administration.

13. Still Photogranhv Files

a. Portraits of NRC Chairman and Commissioners, maintained by the Audiovisual Support Services, Management Support Staff, Office of Administration, and photographs of reactor sites and noteworthy NRC-related activities.

Arranged by name or subject.

(1) The original negative Permanent. Break file NCl-431-81-4 and captioned print or every five years. Offer Item 1.a contact sheet, and to NARA five years after inter-negative, if one file break, exists.

l January 1998 2.1.5 NUREG-0910 Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED NO._ DESCRIPTION OF RECORDS AUTHORI7ED DISPOSITION CITATION (2) Duplicate prints main- Destroy when no longer tained in any NRC needed office.

b. 35mm color slides of reactor sites, maintained by Audio-visual Support Services, Manage-ment Support Staff, Office of Administration, arranged by reactor name.

(1) The original trans- Permanent. Break file NCl-431-81-4 parency and one dupli- every five years. Offer Item 1.b cate, if one exists. to NARA five years after file break.

(2) Duplicate copies main- Destroy when no longer tained by any NRC needed.

office.

c. Portraits of NRC officials Destroy when no longer below the Commissioner needed.

level, and photographs of routine activities such as awards, retirements, and administrative functions, maintained by the Audiovisual Support Services, Management Support Staff, Office of Administration.

January 1998 O

NUREG@l0, Rev. 3 2.1.6

NRC SCHEDULE 2 ry RECORDS OF NRC OFFICES ITEM APPROVED NQ_ DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

14. Systems Security Records

a. Access Reauest Files Requests and authorization Destroy 2 years after NCl-431-81-5 for individuals to have authorization expires. Item 1.5.39 access to communication security (COMSEC) information.

b. Document and Material Transfer Records COMSEC document and material Destroy 2 years after NCl-431-81-5 transfer records, package completion of transaction. Item 1.5.39 receipts and COMSEC material reports, SF-153.

c. Inventory of COMSEC Documents and Material (1) Periodic inventories of Destroy after the suc- NCl-431-81-5 COMSEC documents and ceeding inventory is sub- Item 1.5.39 material in cases where mitted and verified.

no discrepancies exist.

(2) Periodic inventories of Destroy after the suc-COMSEC documents and ceeding inventory is sub-material where dis- mitted and verified and crepancies exist. all discrepancies resolved.

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

O Jmiary 1998 2.1.7 NUREG@l0, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES 1 TEM APPROVED R DESCRINION OF RECORDS AUTHORI7FD DISPOSITION CITATION I

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

change or absence of COMSEC custodian where irregularities exist or have existed.

d. Loss or Comnromise of Accountable COMSEC Documents or Material Message reports, letter Destroy only after NCl-431-81-5 reports, or other documents accountability estab- Item 1.5.39 relating to loss or compro- lished or evidence of mise of accountable COMSEC compromise negated.

documents or material.

e. Document and Material O

Destruction Key card disposition record, Destroy when 2 years old. NCl-431-81-5 key list disposition record, Item 1.5.39 and other records of destruction of accountable COMSEC documents or material.

f. Reoortable Telecommunica-tions Insecurities Reports of any deviation or Destroy 5 years after NCl-431-81-5 incident which could all action has been Item 1.5.39 adversely affect the completed.

security of a tele-

! communication system.

January 1998 O

NUREG-0910, Rev. 3 2.1.8

NRC SCHEDULE 2 RFI'ORDS OF NRC OFFICFS ITEM APPROVED h DESCRIPTION OF RFf'ORDS AlflRORI7FD DISPOSITION CITAILON

g. Security Pronosale for the Fetahlishment of Centers and Use of Enninment Security proposals for the Destroy 2 years after the NCl-431-81-5 establishment of secure center is deactivated, Item 1.5.39 communications centers, equipment has been installation of equipment, replaced or system is or systems. changed.

h. Equipment List of equipment comprising Destroy when no longer NCI-431-81-5 a secure telecommunications appli.mble. Item 1.5.39 system (e.g., terminal equipment, cryptographic equipment and modems),

i. Floor Plans Floor plans of secure Destroy when secure NCl-431-81-5 communications centers communications centers Item 1.5.39 showing the location of have been relocated.

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

j. Inctn112 tion Drawings Installation drawings, e.g., Destroy when equipment NCl-431-81-5 wiring diagrams and conduit has been replaced. Item 1.5.39 l

plans for the secure tele-communications equipment.

I January 1998 2.1.9 NUREG-0910. Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED NO _ DESCRIFI' ION OF RECORDS AUTHORI7FD DISPOSITION CC'ATION

k. Standard Ooerating Instructions Standard operating Destroy when secure NCl-431-81-5 instructions for secure communications center is Item 1.5.39 communications centers. no longer operable.

1. Temoest and Acoustic Tests Documents relating to Destroy after subsequent NCl-431-81-5 Tempest tests or tests con- tests have been conducted Item 1.5.39 ducted of secure communica- and results approved.

tions centers.

m. Audio Countermeasure Insoection Files Records of sweep requests Destroy after the suc- NCl-431-81-5 (NRC Form 337) and sweep ceeding inspection is Item 1.5.39 reports (NRC Form 336) conducted.

relating to the examina-tion and inspection using sophisticated electronic equipment.

15. Video Recording Files

a. NRC-sponsored 3/4-inch video Permanent. Offer master NCl-431-81-4 product ons intended for i

and one dubbing to NARA Item 3 public distribution. These when no longer in current include educational programs distribution.

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

January 1998 O

NUREG-0910. Rev. 3 2.1.10

f l NRC SCHEDULE 2 l'IO RECORDS OF NRC OFFICF3 ITEM APPROVED

( R DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION 1

l l b. Off-the-air recordings of Erase and reuse when no media coverage of NRC- longer needed, related activities and

events, or appearances of NRC officials.

c. Original 3/4-inch video Permanent. Break file recordings of public meet- every five years. Offer ings, speeches, conferences, master and one dubbing to testimony of NRC officials NARA five years after file before Congress and other break.

hearings made and maintained by the Audiovisual Support Services, Management Support I Staff, Office of Administration.

,p d. Video productions purchased Destroy and reuse when no

( from outsiJe sources for technical training of NRC longer needed.

staff and maintained in the Audiovisual Support Services, Management Support Staff, Office I of Administration.

e. Duplicate dubbings of any Erase and reuse when no recording described in a, b, longer needed.

c, or d above maintained by l any NRC office. l I

l lO Jammy 1998 2.1.11 NUREG-0910, Rev. 3

NRC SCHEDULE 2 A

RECORDS OF NRC OFFICES PART 2. RECORDS OF THE ADVISORY COMMITTEE ON NUCI FAR WASTE The Advisory Committee on Nuclear Waste (ACNW) shall report to and advise the Nuclear Regulatory Commission (NRC) on all aspects of nuclear waste management, as appropriate, within the purview of NRC's regulatory responsibilities. The primary emphasis will be on disposal but will also include other aspects such as handling, processing, transporting, storing, and safeguarding nuclear wastes including spent fuel, nuclear wastes mixed with other hazardous substances, and uranium mill tailings. In performmg its work, the Committee will examine and report on specific areas of concern referred to it by the Commission or designated representatives of the Commission. The Committee is authorized to undertakather studies and activities on its own initiative, as appropriate, to carry out its responsibilities.

The following record schedules were developed for records unique to the ACNW. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Appiicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA p ITEM APPROVED NQ,_ DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

1. Advisory Committee on Nuclear Waste (ACNW) Proiect Cnw Files

a. Official project case files Permanent. Cut off files N1-431-88-1 l containing records generated annually and retire to Item 1 or received by ACNW that re- IRMB when 2 years old. l flect the committee's anal- Offer to NARA when 20 yses and recommendations on years old.

specific activities relating to the regulation and licen-sing of high-level waste re- '

positories and low-level waste disposal facilities.

Such activities include handling, processing, trans-porting, storing and safe-guarding nuclear waste, including but not limited to O January 1998 2.2.1 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES spent fuel, nuclear waste mixed with other hazardous substances, and uranium mill tailings.

3. All other copies Destroy when 2 years old or when no longer needed for reference.

2. Corsultants' Reoorts Reports prepared by advisory Permanent. Cut off files N1-431-88-1 committee consultants specific annually and retire to Item 3 to studies /special projects that IRMB when 2 years old.

are maintained by ACNW and used Offer to NARA when 20 to aid the ACNW in making recom- years old.

mendations to the Commission and to aid the Commission in decision-making that pertains to all aspects of nuclear waste.

3. Minutes of_ttig committee Files maintained by the Secre- Permanent. Cut off files N1-431-88-1 tary of ACNW containing certi- annually and retire to Item 4 fled minutes of the general and IRMB when 2 years old.

subcommittee meetings with Offer to NARA when 20 appropriate enclosures arranged years old, chronologically.

4. Program Corresnondence Files

a. Records generated or re- Permanent. Cut off files N1-431-88-1 ceived by ACNW in the con- annually and retire to Item 2 duct of business that are IRMB when 2 years old.

used as bases for advising Offer to NARA when 20 the Commission on all as- years old. (See NRC pects of the nuclear waste Schedule 1-2,2.a) i management program; e.g.,

its direction and imple-NUREG-0910. Rev. 3 2.2.2 January 1998 O

a___--_--_______________-____________________-__

NRC SCHEDULE 2 l pn RECORDS OF NRC OFFICES NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION mentation, and resulting documentation that reflects Commission policy making decisions.

b. All other copies Destroy when 2 years old or no longer needed for reference.

I

5. Waste Management Licensing f

Elles l

l

a. Copies of Waste Management Maintain for life of NI-431-88-1 Licensing Files maintained committee. Item 5 by ACNW and used for its j review and analysis of waste management issues and the l s formulation of recommenda-l tions to the Commission on i the licensing of waste man-agement activities. These files reflect the issuance

! of construction permits and I the licensing of the U.S.

Department of Energy to receive and possess bypro-duct, source, and special i nuclear material at a geo-logic repository and the licensing of companies, l institutions, and facilities to receive, possess, and dis-pose oflow-level radioactive ,

wastes containing byproduct, source, and special nuclear material at a land disposal facility pur suant to Parts 60 m and 61, Title 10, Code of Federal Regulations. Documents January 1998 2.2.3 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION include applications site characterizations, li;enses, license amendments, and related documentation. The official record copy is retained in NRC's File Center and is scheduled under NRCS 2-19.2 and 2-19.3.

b. All other copies. Destroy when 2 years old or when no longer needed for reference.

O l

l NUREG-0910, Rev. 3 2.2.4 O

January 1998

NRC SCHEDULE 2' r

RECORDS OF NRC OFFICES PART 3. RECORDS OF THE ADVISORY COMMITTEE ON REACTOR SAFEGUARDS The Advisory Committee on Reactor Safeguards (ACRS) 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.

The following record schedules were developed for records unique to the ACRS. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules I through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED s NQ DESCRIPTION OF RECORDS AUTHOR 17Fn DISPOSITION CITATION

1. ACRS Members' Personnel Files Records pertaining to the Retain for life of com- NCl-431-81-5 background ofindividual mem- mittee, then destroy Item 3.2 bers of the Comrsittee and con- immediately, taining information on their activities during their member-ship'with the Committee.

2. Annual Reoorts of the ACRS to the U.S. Congress Reports pertaining to ACRS eval- NCl-431-81-5 uation of the effectiveness of Item 3.8 NRC effort in reactor safety ,

research issued as NUREG docu- I ments and retained permanently in microfiche form (See NRCS 2, Part 14, Item 8.a.2). ,

i

\

January 1998 2,3.1 NURE04)910, Rev. 3 l l

l l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED NCL DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

a. Paper copies of annual Destroy when microfiche reports. copies have been deter-mined to be an adequate substitute for original records.

b. Reference copies of Retain for life of microfiche. Committee.

3. Classified Defense Information Eile Reports, correspondence, and Permanent. Offer to NARA NCl-431-81-5 other records pertaining to DOD when 20 years old. Item 3.11 reactors and to DOE production facilities, arranged by subject.

4. Committee Files on Regulation Guidelines Correspondence, memoranda, and Permanent. Offer to NARA NCl-431-81-5 reports pertaining to committee when 20 years old. Item 3.5 and public comments on the for-mulation of all NRC regulations relating to nuclear operating standards, arranged numerically by NRC Regulatory Guide number.

l 5. Consultant Personnel Files l

Correspondence, reports, and Destroy 10 years after NCl-431-81-5 other records pertaining to the termination of contract. Item 3.6 qualifications and employment of outside technical advisors or consultants under contract with ACRS.

O NUREG-0910, Rev. 3 2.3.2 January 1998

l NRC SCHEDULE 2

/m l RECORDS OF NRC OFFICES ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

6. General Program Corresnondence Apply the applicable dis- NCl-431-81-5 Elles position standards con- Item 3.1 tained in NRCS #1, Part 2, Item 2, subject to the record-keeping require-l ments imposed by the i Federal Advisory Commit-tee Act (PL-92-463).

7. Keyword In Context /Out of Context i Index (KWIC/KWOC)

The ACRS Keyword Index provides Retain until it has been NCl-431-81-2 a means to identify and physi- determined by a competent Item 13.K l cally locate any document that NRC Official that data has been received or generated are no longer needed; by the ACRS. In addition, the erase and reuse tape, l system can track any action etc.

required by an ACRS member,

staff, fellow, or consultant in response to incoming documents.

4 i 8. Minutes of the Committee

a. Complete set of formal Permanent. Offer to NARA NCl-431-81-5 minutes of general and when 20 years old. Item 3.3 subcommittee meetings with l all attachments. Arranged chronologically.

i

b. Silver master of microfiche Destroy when no longer minutes prepared (without needed.

all attachments and contain-ing some deletions) for Public Document Room use.

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

January 1998 2.3.3 NUREG-0910, Rev. 3 l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED N[L DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

9. Nuclear Power Plant Docket Files Official records documenting Maintain for life of NCl-431-81-5 licensing of the construction and Committee. Item 3.10 operation of commercial nuclear reactors for power generation 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 l of all documents received or l generated in the review, evaluation, l and authorization stages of the l licensing process. Scarces of I

documents included in case files are: applicant utility organization; NRC/ Regulatory Offices; Federal and State agencies; safety boards and committees; private organizations and parties; intervenors; and individuals commenting on licensing actions.

10. Nuclear Reactor Project Files Case files on individual nuclear Permanent. Offer to NARA NCl-431-81-5 reactors including correspon- 10 years after termination Item 3.9 dence memoranda, studies, of license, reports, and analyses pertaining to nuclear safety-related matters.

Arranged alphabetically by name of reactor.

NUREG-0910, Rev. 3 O

2.3.4 January 1998

NRC SCHEDULE 2 V RECORDS OF NRC OFFICES NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

11. Renorts of Consultants

(

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

l I

a. Silver master and one diazo Permanent. Offer to NARA NCl-431-81-5 l copy for each formal report. when 20 years old. Item 3.7 j b. Extra copies of reports in Destroy when no longer i paper or microfilm form, needed for reference. I i

12. Transcrints of ACRS Meetings l Transcripts of verbatim accounts l of all general and subcommittee i ( meetings.

, N l a. Paper copies of transcripts. Destroy when microfiche NCl-431-81-5 l copies have been deter- Item 3.4 mined to be an adequate substitute for original records.

l b. Silver master and diazo Permanent. Offer to NARA duplicate of microfiche when two years old.

copies of transcripts.

c. Reference copier of Destroy when no longer microfiche, needed.

January 1998 2.3.5 NUREG-0910. Rev. 3 l

l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES PART 4. RECORDS OF THE OFFICE FOR ANALYSIS AND EVALUATION OF OPERATIONAL DATA The Office for Analysis and Evaluation of Operational Data (AEOD) 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 proposes data gathering mechanisms fer data not currently available; conducts systematic safety analyses and evaluations of operational data to seek trends that would forecast a potential pmblem; 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; reviews overall NRC and industry response to assess implementation of recommended actions; and serves as focal point for interaction with ACRS and industry groups involved in operational data analysis )

and evaluation. /

l The following record schedules were developed for records unique to AEOD. Reference NRC Q Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through

! ) 23 for other applicable schedules. Applicable schedules have been identified on the " Files j

Maintenance and Disposition Plans" retained by the office Records Liaison Officer. )

NARA 1 ITEM APPROVED I H&_ DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

1. Abnormal Occurrence Case Files All formal correspondence with Permanent. Cut off files NCI-431-87-1 detailed background documenta- every 3 years and transfer Item 1 tion relating to preparation of to FRC. Offer to NARA when abnormal occurrence reports sub- 20 years old. i mitted quarterly to Congress.

1 O

b January 1998 2.4.1 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED Nfl DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

2. Aerial Photography of Facilities Aerial and oblique photography Permanent. Break file NCl-431-81-4 of facilities maintained by AEOD every 10 years and offer Item 1.d in conn tion with emergency to NARA 10 years after response. Prints and some file break.

negatives are maintained in NRC and remaining negatives are maintained by contractor.

Photographs cover approximately 70 sites and are arranged alpha-betically by name of site.

3. Audio Cassettes for Technical Training Audio Cassettes purchased from Erase and reuse when no NCl-431-81-4 outside sources for technical longer needed. Item 4.a training of NRC Staff. l l

4. Case Study Reoort Files Copies of reports with all back- Permanent. Offer to NCl-431-81-5 ground documentation providing NARA when 20 years old. Item 4.1.2 detailed information on formal evaluations of events with the highest potential risk to the public as identified by prior screening of Licensee Event Reports (LERs) by AEOD engineers.

Arranged numerically by case l study number.

NUREG-0910, Rev. 3 2.4.2 January 1998 O

j l

NRC SCHEDULE 2

\ RECORDS OF NRC OFFICES NARA ITEM -APPROVED M DESCRIPTION OF RFCORDS AUTHORI7Fn DISPOSITION CITATION 5.- Emergency Planning Files l a. Case files accumulated in Permanent. Offer to NARA NC1-431-81-1 AEOD, consisting of a when 20 years old. Item 3.a ,

record copy of each plan or directive issued, with

)

i i

- related background papers.

! b. Record set of NRC reports Permanent. Offer to NARA NCl-431-81-1 of operation tests accu- when 20 years old. Item 3.b mulated in AEOD, consisting of consolidated or compre-hensive reports reflecting l

NRC-wide results of tests conducted under emergency plans.

V c. Copies of records Destroy when superseded NCl-431-81-1 pertaining to office or obsolete. Item 3.c participation in emer-gency planning exercises and tests maintained in the various offices throughout NRC.

6. Emergency Planning Mans Maps are used in NRC's emergency preparedness program,

a. Record set maps, developed Permanent. Offer to NARA NCl-431-81-3 from U.S. Geologic Survey when 10 years old. Item 1 (USGS) 7.5 minute series topographical maps depicting  ;

a 10 mile radius of each '

nuclear power plant.  !

O January 1998 2.4.3 NUREO#)10, Rev. 3 i

I NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

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

planning zone depicting a 50-mile radius of each power plant. Maps are developed from USGS 1:250.000 scale series topogo, Sic maps,

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

7. Operational Data and Information Screening Files Files consist of document con- Destroy when five years NCl-431-81-5 trol sheets describing AEOD's old or one year after Item 4.1.1 review of LERs and other oper- completion of formal case ational data and information study, whichever occurs submitted for final review. first.

8. Regulatorv Information Tracking System - AEOD (AEOD-RITS)

AEOD-RITS is an integration of Retain until it has been NCl-431-81-2 two computer systems (Technical determined by a competent Item 12.I.1 Assignment Control System [TACS] NRC Official that data and Manpower System [MPS]) which are no longer needed; are updated weekly. Data within erase and reuse tape, the system are retained by staff etc.

member, licensee, and technical assignments. The system retains current and historical data on project schedules and staff resources.

NUREG4910. Rev. 3 2.4.4 January 1998 O

NRC SCHEDULE 2

) G RECORDS OF NRC OFFICES NARA ITEM APPROVED N(1 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION I

9. Telenhone Recordings Alerting the NRC Duty Officer

a. Telephone recording from NRC Permanent. Offer to NARA NC1-431-83-5 Licensees (Nuclear Power when 5 years old or when Ite m 1 Plants) alerting the NRC no longer needed, both duty officer of unusual multichannel original occurrences or events as tapes and re-recordings required by 10 CFR 50.72. done on standard 1/4-inch Recordings that result in audio tape, full-track, significant changes in at 1-7/8 IPF or higher.

regulatory activities and Available transcripts procedures and are the should accompany the ,

subject of Congressional recordings.

investigations or hearings, l

p or will be of great interest 3

Q to public.

b. Those recordings that have Retain for 3 years, erase significant value but not and reuse tape.

the magnitude of I above.

c. Those recordings that are of Erase and reuse tape, routine nature day-to-day.

10. Traininy Aids

a. One copy of each manual, Permanent. Offer to NARA NC1-431-81-5 syllabus, textbook, and when 10 years old. Item 1.5.40

! other training aid for man-agement and technical sub-l jects developed by the Com-mission and maintained by the Human Resources Develop-ment staff, Office of Human Resources and the AEOD Training officers, both Headquarters and

['. Chattanooga, Tennessee.

\

January 1998 2.4.5 NUREG-0910, Rev. 3

NRC SCHEDUI.E 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION f.he AEOD Training officers, both Headquarters and Chattanooga, Tennessee.

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

institutions.

O I

i January 1998 O

NUREG-0910, Rev. 3 2.4.6

NRC SCHEDULE 2

) p RECORDS OF NRC OFFICES PART 5. RECORDS OF THE ATOMIC SAFETY AND LICENSING BOARD PANEL The Atomic Safety and Licensing Board Panel (ASLBP) 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. ASLBP conducts

, such hearings as the Commission may authorize or direct; make such intermediate or final l decisions as the Commission may authorize in proceedings to grant, suspend, revoke, or amend l- licenses or authorizations; and perform such other regulatory functions as the Commission deems l appropnate.

l The following record schedules were developed for records unique to the ASLBP. Reference

! NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules I through 23 for other applicable schedules. Applicable schedules have been identified on the " Files

{

Maintenance and Disposition Plans" retained by the office Records Liaison Officer. '

NARA ITEM APPROVED

! NQ DESCRIPTION OF RECORDS AUTHOR 17FD DISPOSITION CITATION h

C/ 1. Advisory Screenine Committee Consultant Personnel Files l

j Correspondence, reports, and Destroy ten years after NCl-431-81-5 other records pertaining to termination of contract. Item 2.2.6 I

the qualifications and employ-ment of outside technical l

advisors or consultants under  !

l contract with the Committees.  !

l l

l 2. Memoranda to Pane! Board Members  ;

l Memoranda of an informational nature on technical matters of use to full-time and part-time panel members, arranged numeri-cally by memorandum numbers within fiscal years.

a. Legal memos. Permanent. Offer to NARA NCl-431-81-5 when 20 years old. Item 2.2.2

j. January 1998 2.5.1 NUR5G-0910. Rev. 3 m

i

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED RCL DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

b. Technical memos. Permanent. Offer to NARA when 20 years old.

3. Minutes of Advisory Screening Committees Minutes of each advisory Retain for life of NCl-431-81-5 screening committee and copies committee item 2.2.5 of other documents related to the minutes.

4. Panel Board's Monthly Status Reoort to Commissioners Reports from the Chairman of the Destroy when 10 years old. NCl-341-81-5 Panel to the Commission summa- Cut off files annually. Item 2.2.3 rizing the activities of the Board.

5. Power Reactor License Docket Files of the ASLBP Case files containing copies Cut off files upon com- N1-431-89-3 oflicense applications, staff pletion of ASLBP action. Item 1 papers, letters of intervenors, Retire inactive files in letters from the Board, I&E annual blocks. Destroy Reports, Commissioners' Reports, inactive files when 4 and other docket-related years old.

documentation.

6. Transcriots of ASLBP Hearings Verbatim transcripts of the Destroy when no longer NCl-431-81-5 formal ASLBP hearings. These needed for reference. Item 2.2.4 transcripts are filed in the Commission's Official Decisional Docket File (NRC Schedule 2, Part 25, Item 4).

NUREG-0910, Rev. 3 2.5.2 January 1998 1

1 1

NRC SCHEDULE 2

(( %v) RECORDS OF NRC OFFICES PART 6. RECORDS OF THE OFFICE OF THE COMMISSION The Commission is responsible for 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 1954, as amended, the Energy Reorganization Act of 1974, as amended, and the Nuclear Nonproliferation Act of 1978; and in accordance with the National Environmental Policy Act of 1969, as amended, and other applicable statutes. These responsibilities include pro-tecting public health and safety, protecting the environment, protecting and safeguarding materials and plants in the interest of national security, and assuring conforraity with antitrust laws. Agency functions are performed through: standards-setting and rulemaking; technical reviews and studies; conduct of public hearings; issuance of authorizations, permits, and licenses; inspection, investigation, and enforcement; evaluation of operating experience; and research. The Commission is composed of five members, appointed 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.

The following record schedules v/ere developed for records unique to the Commission. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 O through 23 for other applicable schedules. Applicable schedules have been identified on the " Files

( Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED NQ._ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Commissioners' Chronological Elles Copies of all outgoing Permanent. Offer to NARA NCl-431 31-5 correspondence and reports when 10 years old. Item 2.1.1 prepared by the individual commissioners, arranged chronologically.

l J

January 1998 2.6.1 NUREG-0910 Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES

2. Office Files of the Chairman and Commissioners Notes, memoranda, correspondence, Permanent. Retire to WNRC N1-431-97-1 copies of e-mail, and other papers through OCIO at end of Item 1.

accumulated in the offices of the Commissioners' term.

Chairman or the Commissioners Transfer to NARA when 12 that are written by or exchanged years old.

between a Commissioner and members of his/her personal staff or written by or exchanged between members of the Commissioner's staff, received by the Commissioner or his/her staff from another Com-missioner or member of his/her staff that were not circulated to other Commissioner offices, received from any other NRC source, frons Congress, from other government agencies, or from members of the public that were not circulated to other Commissioner offices, and transcripts of telephone conversa-tions relating to agency business, and copies of agency records on which Commissioners make their own notations. Office files may also contain copies of records maintained by the Office of the Secretary of the Commission.

January 1998 O

NUREG-0910. Rev. 3 2.6.2

1 NRC SCHEDULE 2 RECORDS OF NRC OFFICES l

i l- PART 7. RFr'ORDS OF THE OFFICE OF COMMISSION APPFI T ATE ADJUDICATION 1

The Office of Commission Appellate Adjudication is responsible. for monitoring cases pending before presiding officers; providing the Commission with analyses of any adjudicatory matter requiring a Commission decision (e.g., petitions for review of initial licensing board decisions, .

. certified questions, Interlocutory referrals, stay requests) including available options; drafting any necessary decisions pursuant to the Commission's guidance after presentation of options; and consulting with the Office of the General Counsel in identifying options to be presented to the Commission and in drafting the final decision to be presented to the Commission.

Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules are identified on the

" Files Maintenance and Disposition Plans" retained by the office Recceds Liaison Officet.

i January 1998 2.7.1 NUREG-0910, Rev. 3

NRC SCHEDULE 2

[ ,

) RECORDS OF NRC OFFICES PART 8. RECORDS OF THE OFFICE OF CONGRESSIONAL AFFAIRS The Office of Congressional Affairs (OCA) provides advice and assistance to the Chairman, 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 ofinterest to NRC; serves as primary contact point for all NRC communications with Congress, reviewing and concurring in all outgoing correspondence to members of Congress; coordinates NRC internal activities with Congress; participates in plarming and developing NRC's legislative program; and monitors legislative proposals, bills, and hearings.

The following record schedules were developed for records unique to OCA. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED NO DESCRIPTION OF RECORDS AUTHORI7ED DISPOSITION CITATION Q / 1. Concressional Corresnondenz Eiks Correspondence with individual Cut off file every 2 NCl-431-81-5 congressmen, chairmen of con- years. Transfer to WNRC Item 2.5.14 gressional committees, and their 2 years after file break.

staff relating to the activities Destroy when 10 years old.

and programs of the agency.

2. Coneressional Corresoondence System This system maintains a compre- Retain until it has been NCl-431-81-2 hensive index and a brief determined by a competent Item 13.F.5 description of information NRC Official that data sent to Congress in letters, are no longer needed; and questions and answers. erase and reuse tape, etc.

The information is retrievable i by subject category, date, l recipient, congressional i

p committee, or author.

l k January 1998 2.8.1 NUREG-0910, Rev. 3 l

l l

l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED IKL DESCRIPTION OF RECORDS AUTHORI7ED DISPOSITION CITATION

3. Ircislative Files Copics of proposed House and Destroy when legislation NCl-431-81-5 Senate bills relating to NRC is passed or when no Item 2.5.16 operation and related longer needed.

correspondence.

4. Senate and House Members Profile Files Files containing biographical Destroy when 5 years old NCl-431-81-5 information on members of or sooner if purpose has Item 2.5.15 the U.S. Congress. been served.

O O

NUREG-0910. Rev. 3 2.8.2 January 1998

l NRC SCHEDULE 2 (a

w )'

I RECORDS OF NRC OFFICES I

PART 9. RECORDS OF THE OFFICE OF CONSOLIDATION The Office of Consolidation was created in 1987 to develop overall housing plans, space, design and workstation standards for the two-building complex; develop and justify budget estimates for consolidation costs; implement plans and concepts approved by the Chairman, the Exe..utive Director, and the Deputy Executive Director for Nuclear Materials Safety, Safeguards and Operatens Support (DEDS); coordinate NRC interaction with the General Services Administration (GSA), its contractors, and consultants; review and approve planning documents developed by GSA, the design architect, interior space planners, construction contractor, and its subcontractors and vendors; coordinate and direct activities of NRC consultants and contractors; coordinate NRC interaction with local government authorities; assure that critical milestones were I identified and scheduled activities accomplished as planned; coordinate move planning and implementation related to consolidation; provide overall coordination for the procurement of l

goods and services required for consolidation; and provide regular briefings to the Executive i Director, the DEDS, Office Directors, and employees on the progress of consolidation.

The office was abolished effective July 15,1994, and its duties and functions were transferred to I the Office of Administration.

C\

Q' No schedules were developed for material unique to this office. Reference NRC Schedule 1,

" Records Common To Most Offices," and the General RecorJs Schedules 1 through 23 for applicable schedules.

l l

m (G

January 1998 2.9.1 NUREG-0910, Rev. 3 I

l i

l

NRC SCHEDULE 2 kECORDS OF NRC OFFICES PART 10. RECORDS OF THE OFFICE OF THE CHIEF IINANCI AL OFFICER The Office of the Chief Financial Officer (CFO) oversees all financial management activities relating to NRC's programs and operations and provides advice to the Chairman on financial management matters. In accordance with the Chief Financial Officers Act of 1990, as amended, the CFO develops and maintains an integrated agency accounting and financial management system, including financial reporting and internal controls; directs, manages, and provides policy guidance and oversight of agency financial management personnel, activities,'and operations; prepares and transmits an annual report to the Chairman and the Director, Office of Management

and Budget; monitors the financial execution of NRC's budget in relation to actual expenditures, and prepares and submits to the Chairman timely cost and performance reports; and reviews, on a periodic basis, fees and other charges imposed by NRC for services provided and makes recommendations for revising those charges as appropriate. The CFO also establishes financial management policy for the agency and provides policy guidance to senior managers on the budget and all other financial management activities; and provides an agency-wide management control program for financial and program managers that establishes internal control processes and provides for timely corrective actions regarding material weaknesses that are disclosed to comply with the Federal Manager's Financial Integrity Act of 1982.

The following record schedule was developed for records unique to the CFO. Reference NRC Schedule 1, " Records Common to Most Offices", and the Genetal Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Di: cition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED NQ_ DESCRIPTION OF RECORDS AUTHORI7ED DISPOSITION CITATION

1. Accountiny S,vstem (CAB) l This system maintains data and Retain until it has been NC? -431-81-2 information regarding NRC's determined by a competent Item 13.H.4 l financial transactions such as: NRC Official that data are l collections and disbursements, no longer needed; emse unexpended allotments, obliga- and reuse tape, etc.

tions, payments, costs, appro-priation, and cash accounting balance. Produces reports such as: debits and credits, monthly transactions, trial balance, and license fee invoices.

Jamuiry 1998 2.10.1 NUREG-0910, Rev. 3 I

i

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED NR DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

2. Budget Files

a. Correspondence or subject Permanent. Offer to NARA NCl-431-81-5 files in the Office of the when 10 years old, item 1.5.29 Chief Financial Officer documenting Commission policy and procedures governing budget adminis-tration, and relecting policy decisions affecting expenditures for agency programs.

b. Copies of budget estimates Permanent. Offer to NARA and justifications prepared when 10 years old.

and maintained by the Divi-sion of Budget and Analysis.

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

c. Worling papers and Destroy 1 year after the background materials close of the fiscal year inaintained at all covered by the budget.

organizational levels.

3. License Fee Branch Reoorting System (FEES)

The system maintains data and Retain until it has been NCl-431-81-2 information on inspections con- determined by a competent Item 13.C.2 ducted for safety / safeguards, NRC Official that data materials, test, research or are no longer needed; commercial reactors, and fuel erase and reuse tape, facilities and is used to estab- etc.

lish a basis for determining license fees.

NUREO.0910, Rev. 3 2.10.2 January 1998

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM - APPROVED R DESCRINION OF RECORDS AUTHORI7FD DISPOSITION CITATION

4. Integrated Financial Management Information System (IFMIS)

The system maintains data and Retain until it has been NCl-431-81-2 information integrating account- determined by a competent Item 13.H.1 ing functions such as: general NRC Official that data ledger, funds control, travel, are no longer needed; accounts receivable, accounts erase and reuse tape, etc.

payable, plant and capital equipment, and appropriation and funds.

5. Payroll System (PAY)

Time and attendance cards are Retain until it has been NCl-431-81-2 processed to determine leave determined by a competent Item 13.H.3 status and deductions such as: NRC Official that data are health and life insurance, no longer needed; erase credit tmion, Federal and State and reuse tape, etc.

taxes, bonds, pension, dependen-cies (per W-4 form), and CFC contributions. The system prepares a check tape, prints bonds, and time and attendance slips.

January 1998 2.10.3 NUREG-0910, Rev. 3

l NRC SCHEDULE 2 l

RECORDS OF NRC OFFICES

\ NJ l

PART 11. RECORDS OF THE OFFICE OF ENFORCEMENT The Office of Enforcement develops policies and programs for enforcement of NRC requirements, manages major enforcement actions, and assesses effectiveness and uniformity of Regional enforcement actions.

No schedules have been developed for material unique to this office. Reference NRC Schedule 1,

" Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

O l

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Jamry 1998 2.11.1 NUREGO)l0, Rev. 3 I l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES PART 12. RECORDS OF THE OFFICE OF THE EXECUTIVE DIRECTOR FOR 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 the EDO.

The following record schedule was developed for records unique to the EDO. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED NQ_ DESCRIPTION OF RECORDS AIJ.IHORI7FD DISPOSITION CITATION

1. Work Item Trackina System (WITS-II)

The system provides a common Retain until it has been NCl-431-81-2 data base for Commission determined by a competent Item 12.F.3 action items which can be NRC Official that data shared by all NRC offices. are no longer needed; erase and reuse tape, etc. 1 l

O Jannan 1998 2.12.1 NUREG-0910, Rev. 3 ,

NRC SCHEDULE 2 i f I

i RECORDS OF NRC OFFICES PART 13. RECORDS OF THE OFFICE OF THE GENERAL COUNSEI l The Office of the General Counsel (OGC) directs matters of law and legal policy, providini; opinions, advice, and assistance to the agency with respect to all of its activities; reviews and prepares appropriate draft Commission decisions on decisions and rulings, public petitions seeking direct Commission action, and rulemaking proceedings involving hearings; provides interpretation of laws, regulations, and other sources of authority, and the legal form and content of proposed official actions; prepares or concurs in all contractual documents, interagency agreements, i delegations of authority, regulations, orders, licenses, and other legal documents and prepares i I

legal interpretations thereof; reviews and directs intellectual property work; represents and protects the interests of the NRC in legal matters and in court proceedings, and in relation to other government agencies, administrative bodies, Committees of Congress, foreign governments, and l

members of the public.

The following record schedules were developed for records unique to OGC. Reference NRC l

Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through l

23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

ITEM APPROVED HQ DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

1. Commission Memorandum File Copies of memoranda to Commissioners containing legal opinions on a variety of subjects.

Memoranda are numbered sequentially within years. I

a. Record set consisting of Permanent. Transfer to NCl-431-81-5 one copy of each memorandum. WNRC when 10 years old. Item 2.4.12 ,

Offer to NAP.A when 20 )

years old. I

b. Other copies. D stroy when no longer needed.

\

January 1998 2.13.1 NUREG-0910, Rev. 3 i

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED H(L DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

2. Ergislative Files Case files of legislation pro- Permanent. Transfer to NCl-431-81-5 posed by NRC consisting of pro- WNRC when 10 years old. Item 2.4.13 posals, staff comments, internal Offer to NARA when 20 memos, correspondence with the years old.

Office of Management and Budget (OMB), testimony, and draft bills.

Arranged numerically by bill number or by subject if more than one bill is involved.

3. Licensing Docket Formal Hearing Elles Case files maStained by the NC1-431-81-5 Office of the General Counsel Item 1.3.19 on hearings before the Commis-sion, Boards and Panels relating to antitrust actions, and appli-cations for construction permits lhd operating licenses for indi-vidual nuclear facilities. Files consist of correspondence, briefs, pleadings, hearing transcripts, and related records on cases and are used by OGC staff in arguing Cases,

a. Paper records. Destroy after verifica-tion that microfiche copies are adequate sub-stitutes for original records.

NUREG&l0. Rev. 3 2.13.2 January 1998 O

NRC SCHEDULE 2 i

RECORDS OF NRC OFFICES ITEM APPROVED N1 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Silver master and one diazo Offer to NARA. If not copy of microfiche. accepted by the National Archives, maintain until j no longer needed by j agency.  !

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

4. Litigation Cace Files Correspondence and copies of Permanent. Transfer NC1-431-81-5 all papers filed in actions closed files to WNRC 7 Item 2.4.11 )

brought by or against the NRC. years after cases are Arranged alphabetically by the closed. Offer to NARA i

name of the party involved in 20 years after cases the suit. are closed.

5. Patent and Technical Data Files

a. Invention dockets containing Destroy 10 years after NC1-431-81-5 copy of invention disclosure file is closed. Item 4.2.3 and pertinent correspondence.

b. Case files of U.S. patent applications containing record of invention disclo-sure, record of invention, draft of patent application

.with inventor's notes, copy I

of patent application as j filed in Patent Office, perti-nent correspondence, ,

amendments, reports, and l i

references as follows.

i January 1998 2.13.3 NUREG-0910, Rev. 3 ;

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED N1 DESCRIPTION OF RECORDS AUTHORI7ED DISPOSITION CITATION (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 trects, and purchase orders patent clearance.

containing miscellaneous correspondence and related papers pertaining to negoti-ation of contract patent provisions, inventions, or discoveries conceived unde r contract, reports and papers reviewed for patent cleararce, and patent clearance of terminated contracts.

d. License agreement and Destroy 25 years after assignment files containing issuance of patent.

license agreements and assignments in U.S. patents and pertinent correspondence regarding execution of license agreements and royalty payments.

e. Patent Agreement Forms, Destroy when 56 years old. NCl-431-81-5

" Agreement Covering Dis- Item 4.2.3 coveries, Inventions, and Improvements," signed by all employees at time of employment.

NUREG-0910, Rev. 3 2.13.4 January 1998

l- NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED E ' DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION t

! f. Docket files containing Destroy when 25 years old.

findings determinations, and statements of reason, deci-sions, backup material, and

{

correspondence with the '

L Patent Compensation Board, l

U.S. Court of Appeals, and U.S. Court of Claims. -

g. Infringement files contain-- Destroy when 30 years ing copies of patents which old.

have been or possibly might be infringed; pertinent cor-respondence regarding use of patented process, device, or material; copies of purchase orders and other backup material; and Court of Claims petitions and actions.

h. Case files containing cor-respondence with contractors

, regarding U.S. patent appli-cations referred for review under sections 151 and 152 of the Atomic Energy Act. 1 (1) 151 "C" Reports and Destroy 25 years after Applications. date of last action.

i

! (2) 152 Applications. Destroy 10 years after patent expires.

I

i. Iedgers and log record Destroy 10 years after showing invention disclo- last entry. l L sures reported date, dis-position, and U.S. office  !

actions.-

January 1998 2.13.5 NUREG-0910, Rev. 3 i

L

NRC SCHEDULE 2 RECORDS OF NRC OFFICES PART 14. RFfGRDS OF THE OFFICE OF THE CHIFF INFORMATION OFFICER

, The Office of the Chief Information Officer (CIO) plans, directs, and oversees the NRC's l information resources, including information technology infrastructure and delivery ofinformation management services, to meet the mission and goals'of the agency. Provides principal advice to l the Chairman to ensure that information technology (IT) is acquired and information resources l across the agency are managed in a manner consistent with Federal information resources management (IRM) laws and regulations. Assists senior management in recognizing where information technology can add value while improving NRC operations and services deliver.

Directs the implementation of a sound and integrated IT architecture to achieve NRC's strategic and IRM goals. Monitors and evaluates the performance of information technology and

information management programs based on applicable performance measures and assesses the adequacy ofIRM skills of the agency. Provides guidance and oversight for the selection, control, and evaluation of information technology investments.

' The following record schedules were developed for records unique to the CIO. Reference NRC

Schedule 1, " Records Common to Most Offices," and the General Records Schedules 1 through i

23 for other applicable schedules. Applicable schedules have been identified on the " Files l Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED

& DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CIIATION

1. Automated Information Document %1iDD System (AIDS)

This system utilizes data sets which Retain until it has been NCl-431-81-2 are created and maintained via determined by a competent Item 13.F.4 WYLBUR to produce various print- NRC Official that data outs needed to document the pro- are no longer needed; grams data files, and data elements erase and reuse tape, comprising a given system. etc.

2. Forms Files

a. . One record copy of each NRC Permanent. Offer to NARA NCl-431-81-5 form created that is maintained when 10 years old. Item 1.5.32 by the Information and Records Management Branch (IRMB) with i related instructions. l January 1998 2.14.1 NUREG-0910, Rev. 3 l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI7ED DISPOSITION CITATION

b. Working papers, background Destroy when related form materials, requisitions, is discontinued, super-specifications, processing seded, or cancelled.

data, and control records maintained at all organiza-tional levels.

3. Granhic Arts Files

a. Original artwork line and Destroy when no longer NC1-431-81-4 half-tone negatives, and needed for publication Item 2 other camera-ready copy pre- or reprinting.

pared for brochures, posters, and other NRC publications by the Printing Graphics and Distribution Branch.

b. Record set of posters dis- Permanent. Offer to NARA tributed agency-wide or to when 10 years old.

the public and maintained by the Printing Graphics and Distribution Branch.

Arranged chronologically.

c. Vu-graphs maintained in any Destroy when no longer NRC office. needed.

4. Information Recuirements Control Automated System (IRCAS)

The system, as an information Retain until it has been NCl-431-81-2 locator, is used to plan and determined by a competent Item 13.I.13 control NRC information collec- NRC Official that data tion requirements. Information are no longer needed; is controlled at the subject or erase and reuse tape, title level which includes cost, etc.

number of respondents, origina-tor, prescribing authority, staff-hours, and whatever other NUREG-0910. Rev. 3 2.14.2 January 1998

I i

NRC SCHEDULE 2 m

RECORDS OF NRC OFFICES NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION administrative information is required.

5. Regulatory Information Tracking Systems - CIO (IRM-RITS)

IRM-RITS is an integration of Retain until it has been NCl-431-81-2 two computer systems (Technical determined by a competent Item 12.F.H Assignment Control System [TACS] NRC Official that data and Manpower System [MPS]) which are no longer needed; are updated weekly. Data within erase and reuse tape, 1 the system are retained by staff etc.

member, licensee, and technical assignments. The system retains current and historical data on project schedules and staff resources.

7

6. Mannower System (MPS)

The system maintains a data base Retain until it has been NCl-431-81-2 of staff-hours charged against pro- determined by a competent Item 13.F.1 jects and programs, providing NRC Official that data are management with data for man- no longer needed; erase power analysis, reallocation, and reuse tape, etc.

planning, budget validation, and license-fee purposes.

7. Project Management System (PMS)

The system will maintain data Retain until it has been NCl-431-81-2 and information to monitor and determined by a competent Item 12.J.1 interrelate End-User Support NRC Official that data Services Branch efforts on are no longer needed; contracts, purchase orders, pro- erase and reuse tape, jects, tasks or subtasks, work etc.

orders, and invoices.

i January 1998 2.14.3 NUREG-0910, Rev. 3 ,

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

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

a. Record copy maintained in the Information and Records Management Branch.

(1) Publication in paper Permanent. Offer to NARA NCl-431 81-5 form only, when 10 years old. Item 1.5.36 (2) Publication in Permanent. Offer to microform - silver NARA when 2 years old.

master and one diazo Destroy paper records copy. when it has been deter-mined that microform copies are adequate sub-stitutes for original records.

b. Work papers and background Destroy 6 months after materials. publication.

c. Other copies. Destroy when no longer needed.

January 1998 O

NUREO-0910. Rev. 3 2.14.4

{

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED M DESCRIPTION OF RECORDS AUTHOR 17FD DISPOSITION CITATION

9. Records Retirement Lists Copies of documents located in Retain in active files NCl-431-81-5 the IRMB created to retire until all records listed Item 1.1.1 files to Federal Archives and thereon have been de-Records Centers or similar stroyed, maintain list records storage areas. Included in headquarters for per-are NRC Form 35, Standard Form manent reference.

135, or similar lists, and related papers.

10. Statistical Information System For Goerating Renctors (SISOR)

The system maintains records of Retain until it has been NCl-431-81-2 monthly operating data for each determined by a competent Item 11.E.1 {

nuclear power plant in NRC Official that data are l

commercial operation. no longer needed; erase '

and reuse tape, etc.

I1. Technical Assignment Control System (TACS)

A computer data base containing Retain untilit has been NCl-431-81-2 items ofinformation identifying, determined by a competent Item 12.F.1 describing, documenting, NRC Of6cial that data and accounting for the recording are no longer needed;

{

and status reporting of all non- erase and reuse tape,  !

case related work in an office, etc.

TACS is a tool which allows for the systematic control of the I total of6ce work effort. (Both case and non-case work). l O

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January 1998 2.14.5 NUREG-0910, Rev. 3

J NRC SCHEDULE 2 RECORDS OF NRC OFFICES f ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

12. Telenhone Directory System (TEL)

System maintains assignment of Retain until it has been NCl-431-81-2 NRC telephone lines to users determined by a competent Item 13.I.3 (employees) and identity of NRC Official that data retired phone lines and changes; are no longer needed; ensures rapid certification and erase and reuse tape, payment of all long distance etc.

toll charges.

13. Timesharing Accounts Management System (TAMS)

This system provides detailed Retain until it has been NCl-431-81-2 cost data on computer timeshar- determined by a competent Item 13.F.3 ing expenditures at NIH/DCRT. NRC Official that data are no longer needed; erase and reuse tape, etc.

14. Bibliograohic Retrieval System (BRS)

The system provides access to Retain until it has been NCl-431-81-2 bibliographic data on NRC determined by a competent Item 13.J.2 records maintained in the NRC NRC Official that data Public Document Room. are no longer needed; erase and reuse tape, etc.

15. Duplicate NPP Docket Files of The PDR Duplicate Nuclear Power Plant Destroy when 5 years old NCl-431-81-5 docket files located in the or sooner if purpose has Item 1.3.20.d PDR. been served.

NUREO-0910, Rev. 3 2.14.6 January 1998 O

NRC SCHEDULE 2 REf'ORDS OF NRC OFFICES PART 15 RECORDS OF THE OFFICE OF THE INSPECTOR GENERAL The Office of the Inspector General (OIG) conducts investigations and inspections to ascertain and verify the integrity of all NRC operations; investigates allegations of NRC employee misconduct,

- equal employment opportunity, and civil rights complaints; develops policies and standards governing the Commission's financial and management audit program, and administers Commission's day-to-day audit activities; serves as point of contact with the General Accounting Office (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 inspections; hears individual employee concerns regarding NRC operations and activities; refers criminal matters to the Department of Justice (DOJ) and maintains liaison with DOJ and other law enforcement agencies.

i Reference General Records Schedule (GRS) 22, " Inspector General Records," for schedules specific to the OIG. Also, reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

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I January 1998 2.15.1 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES PART 16. RFf0RDS OF THE OFFICE OF INTERNATIONAL PROGRAMS The Office of International Programs (OIP) formulates and recommends policies concerning nuclear exports and imports, international safeguards, international physical security, nonproliferation matters, and international cooperation and assistance in nuclear safety and radiation protection. Plans, develops, and implements programs to carry out policies established in these areas. Plans, develops, and manages international nuclear safety information exchange q programs and coordinates international research agreements. Obtains, evaluates, and uses pertinent information from other NRC and U.S. Government offices in processing nuclear export and import license applications.

OIP also establishes and maintains working relationships with individual countries and international nuclear organizations, as well as other involved U.S. Government agencies. Assures that all international activities carried out by the Commission and staff are well coordinated internally and Government-wide and are consistent with NRC and U.S. policies.

The following record schedules were developed for records unique to OIP. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 3 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORi7FD DISPOSITION CITATION

1. Country Files Exnort/Imnort and International Safeguards Records Files on individual foreign Permanent. Offer to NARA NCl-431-81-5 countries, including corre- when 20 years old. Item 4.5.13 spondence and other documents pertaining to international safeguards in handling nuclear materials, components and facil-ities, analyses of physical security, and agreements for

{

cooperation. Filed alphabeti-  !

cally by name of country. l l

January 1998 2.16.1 NUREG-0910, Rev. 3 1

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED N{L DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

2. ' Country Files. International Arrangements Case files containing correspon- Permanent. Offer to NARA NC1-431-81-5 dence, studies, analyses, and 10 years after file Item 4.5.14 copies of formal bi-lateral becomes inactive.

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

3. Exoort/Imoort License Docket NCl-431-81-5 Eile Item 1.3.21

.se files and related control logs pertaining to the licensing of companies and individuals pursuant to 10 CFR Part 110 to export or import nuclear mate-rial, equipment, nuclear components, and facilities.

Included are license applica-tions, a copy of the license, and all other documentation pertaining to the licensing process arranged numerically by license number.

NUREG-0910, Rev. 3 2.16.2 January 1998 O

F t

( NRC SCHEDULE 2 i (V RECORDS OF KRC OFFICES NARA I ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION f

a. Official files maintained Permanent. Retire to in the Office of Inter- WNRC whe.n 10 years old.

l national Programs. Offer to NARA 10 years after license has expired.

b. Other copics throughout Destroy when no longer NRC. needed.

4. Files of Denartment of State Cables and Atomic International Eorum Wires (AIF)

Copies of State Department Destroy when 1 year old. NCl-431-81-5 cables and AIF wires relating Cut off files annually. Item 4.5.18 to nuclear regulations and

,o safeguards sent to NRC for

( information.

5. Foreign Visitor Files Corresponden2, memoranda, NCl-431-81-5 reports, program curricula, Item 4.5.16 l biographical data pertaining to the visit to NRC of foreign nationals for the purpose of l exchanging information on nuclear safety and safeguards,

a. Files on incidental Destroy when 5 years old.

visitors. 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.

O Jamiary 1998 2.16.3 NUREG4910, Rev. 3 l

l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED l M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION j

)

6. Formal Arrangement and Agreement Files ,

1 Signed bi-lateral arrangement Permanent. Cut off file NCl-431-81-5 documents and original research when arrangement expires. Item 4.5.15 agreements with foreign govern- Offer to NARA 10 years ments. Arranged alphabetically after expiration of by name of foreign country, arrangement.

7. International Organintion Files Correspondence, memoranda, Permanent. Cut off file NCl-431-81-5 reports, and other records per- when NRC involvement with Item 4.5.17 taining to NRC involvement with organization terminates.

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

of organization.

8. International Programs Exnort/

Imnort License Tracking Sysigm (IPFI TS)

The system maintains a central- Retain until it has been NCl-431-81-2 ized collection of data neces- determined by a competent Item 12.G.1 sary to track and monitor all NRC Official that data applications for nuclear mate- are no longer needed, rial for export to foreign coun- erase and reuse tape, tries. U.S. import of nuclear etc.

material is also monitored.

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1 NUREG-0910, Rev. 3 2.16.4 January 1998 O

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i NRC SCHEDULE 2 RFf0RDS OF NRC OFFICF3 i

PART 17. RFf0RDS OF THE OFFICE OF INVESTIGATIONS l

The Office of Investigations (OI) conducts investigations of licensees, applicants, their contractors or vendors and all allegttions 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 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 the Agency informed of matters under investigation as they affect safety matters; and advises and assists the Office of the Inspector General in appropriate referrals to the Department of Justice.

The following record schedules were developed for records unique to the OI. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules I through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED HQ DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

1. Alleontion and inauirv Filec Official case files located at Hold closed allegation NCl-431-83-6 NRC Headquarters documenting case files in office 2 Item 1 allegations of possible wrong- years then retire to doing by licensees, applicants, WNRC. Destroy 10 years contractors or vendors. Con- after cases are closed, tains statements, interviews, summary reports, reports of inquiry, recommendations, and other related material.

l 2. Investiention race Files Case files documenting investi-gations oflicensees, appli-cants, contractors, or vendors and any wrongdoing by indivi-duals other than NRC employees and NRC contractors. Files January 1996 2.17.1 NUREG-0910, Rev. 3

I NRC SCHEDULE 2 1

RECORDS OF NRC OFFICES NARA ITEM APPROVED >

N1 DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION f include statements, interviews, support information relating to the investigation, interim reports, and the report of investigation,

a. Official ase files located Permanent. Hold in of- NCl-431-83-6 at Headquarters selected by fice for two years after Item 2 NRC because they meet one closing. NRC will select or more of the following cases for archival reten-criteria: tion before retiring records to WNRC, using cri-(1) Received wide attention teria listed above. The from the news media; cases selected between 1984 and 1992 will be (2) Was of significant offered to NARA in 2002 interest to Congress, and subsequent 10 year the White House, c- blocks will be offered at NRC commissioners; 10 year intervals thereafter.

(3) Was involved in extensive lidgation; (4) Was involved in a major policy discussion and/

or change in the Office of Investigations or in the Nuclear Regulatory l

Commission as a whole; and (5) Prompted significant changes in designs or procedures by or relating to the nuclear industry.

NUREG-0910, Rev. 3 2.17.2 January 1998 O

j NRC SCHEDULE 2 i

l O

e ITEM RECORDS OF NRC OFFICES NARA APPROVED l NQ, DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

b. Other official case files Hold in office 2 years at NRC Headquarters, after closing then re: ire to WNRC Destroy 10 years after :ae2 c: <?ased.

c. Regional office or Destroy4 ye.as 4ter i investigators copy. the cases are closed.

3. Invectiantinn Prncedure Memoranda (IPM)

OI official record set of formal Permanent. Offer a NCl-431-83-6 issuances maintained at NRC complete set to NARA in Item 3 Headquarters. 2002 and at ten year intervals thereafter. '

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l O Jamnary 1998 2.17.3 NUREG-0910, Rev. 3 l

h

_ NRC SCHEDULE 2 i

RFrORDS OF NRC OFFICES PART 1R. RFCORDS OF THE OFFICE OF THE LICENSING SUPPORT SYSTEM L ADMINISTRATOR The Office of the Licensing Support System Administrator (OLSSA) ensured that the Agency i Licensing Support System (LSS) met 10 CFR Part 2 requirements related to the use of the LSS in the Commission's high-level waste licen:ing proceedings; advised DOE on the design, development, and testing of the LSS; provided for the operation and maintenance of the LSS including the entry of documentary material and access to the system by participants and the public; maintained the integrity and security of the LSS database; and reviewed participant

l. compliance with applicable rules including DOE compliance with document submission l requirements in 10 CFR 2.1003.

l As a result of a realignment of functions within the agency, the OLSSA was incorporated into the

! Office of Information Resources Management effective November 1992.

No schedules were developed for material unique to this office. Reference NRC Schedule 1,

" Records Common to Most Offices", and the General Records Schedules 1 through 23 for

, applicable schedules.

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I Lt January 1998 2.18.1 NUREG4610, Rev. 3 I

NRC SCHEDULE 2 RFCORDS OF NRC OFFICFS 1

i l PART 19. RFCORDS OF THE OFFICE OF NUCI RAR MATERIAL SAFETY AND j SAFFEUARDS (NMSS)

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.

l The following record schedules were developed for records unique to NMSS. Reference NRC l Schedule 1, " Records Common to Most Offices", and the General Records Schedules I through l 23 for other applicable schedules. Applicable schedules have been identified on the " Files j Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA

! ITEM APPROVED HQ, DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

1. Certificate of Comnliance Fi3CS Original of NRC Certificates of Retain current certifi- NCl-431-81-5 Compliance documenting approval cates in notebook. Item 4.6.20

oflicensee transportation of Destroy when. certificates radioactive materials package are revised.

design under 10 CFR Past 71.

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

2. Docket Files for the Disnosal of High-12 vel Radinactive Wactec in Gmingic Rennsitories L

Case files documenting the li- NCl-431-83-2 censing'of the U.S. Department Item 1 of Energy to receive and possess ,

source, special nuclear, and by- l t . product material at a Geologic I Repository Operations Area pur- j suant to 10 CFR Part 60.' '

I' January 1998 2.19.1 NUREG-0910, Rev. 3 I

4

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED E DESCRINION OF RECORDS AITTHORI7FD DISPOSITION CITATION Included are license applica-tion, site characterization, environmental report, license, amendments, and all other related documentation.

a. Official case files located Permanent. Retire to WWRC in the Office of Nuclear 10 years after expiration Material Safety & Safe- or termination of license.

guards. Offer to NARA in 5-year blocks after license expi-ration or termination.

b. All other copies. Destroy 1 year after ter-mination or expiration of license or sooner if no longer needed for reference.

3. Docket Files for the I2nd Disonsal of Radioactive Wastes Case files documenting the li- NCl-431-83-3 censing of persons, companies, Ite m I institutions, and facilities to receive, possess, and dispose of low-level radioactive wastes containing byproduct, source, and special nuclear material at a land disposal facility. Records include application, environ-mental report, license and license amendments, and all other related documentation.

O NUREG-0910, Rev. 3 2.19.2 January 1998

NRC SCHEDULE 2 i

V RECORDS OF NRC OFFICES NARA ITEM APPROVED E DESCRIIrrION OF RECORDS AUTHORI7Fn DISPOSITION CITATION l

a. Official case files located Permanent. Retire to WNRC in the Office of Informa- 10 years after expiration tion Resources Management or termation of license.

for the Office of Nuclear Offer L UARA in 5-year Material Safety & blocks after license expi-Safeguards. ration or termination,

b. All other copies. Destroy 1 year after terni-nation or expiration of license or sooner if no longer needed for reference.

4. Fuel Facilities. Transnortation.

Byoroduct. Source. and Snecial Nuctent Material Docket Files Case files documenting the licensing of persons, institutions, facilities, or companies to use byproduct, source, and special nuclear material, and to transport nuclear material as definalin 10 CFR Parts 30,40,50,70, and 71.

Included are the application, license and amendments, and all related licensing documentation.

Decommissioning records for these licenses are permanent and require maintenance as a subset of each case file as specified in SECY 90-316. Reference Item c. below for authorized disposition. Excluded are case files (under 10 CFR Part

40) with license prefix of "SUA" .

which are covered by the High-l Level, low-Level, and Uranium Recovery Docket File schedule v

January 1998 2.19.3 NUREG&l0, Rev. 3

i NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED  !

M DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION  !

(NRCS 2-19.18). Post 1983  ;

Regional case files include the Inspection and Enforcement Ca2 File documentation described in the Inspection and Enforcement Case File schedule (N1-431-92-1, Items 1.b., c, and d.), and are retained as one case file under this schedule. For the purposes of applying the authorized disposition instructions, a withdrawn or denied license application is considered terminated on the date of withdrawal or denial.

a. The Office of Nuclear Material Permanent. Transfer to N1-431-92-3 Safety and Safeguard's NARA at end of FY Item 1.a (NMSS) terminated official 1996.

licensing case files consisting of NRC Archival Facilityjob numbers 1700,1708-1710, and 1722, (originally 379-383),

that were reviewed by the Oak Ridge National laboratory during 1977 through 1980 to ensure properly documented license terminations.

b. Case Files covering licensee or Transfer to Agreement NCl-431-81-5 which licensing jurisdiction is states. Item 1.3.22.b transferred to the State under agreement covering transfer of function.

c. All copies in NMSS and Destroy when 1 year old NCl-431-81-5 Regional Offices. or earlier if purpose has Item 1.3.22.c been served.

January 1998 O

NUREG-0910, Rev. 3 2.19.4

l l

NRC SCHEDULE 2

/ RECORDS OF NRC OFFICES V NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

d. Official case files of the NMSS Permanent. Cut off N1-431-92-3 and the Regional offices upon license termina- Item 1.b including the decommissioning tion, following com-segment, except fo-I' ose pletion of decommis-described in item - riove, sioning procedure.

determined by th sC to Retire to WNRC have exceptional .ue because through IRM at end of of the historical significance of fiscal year. Transfer to their contents or their NARA 20 years after j uniqueness. Included are files termination oflicense. '

that:

(1) result in judicial decisions or legislation that affect the functions and activities of NRC,

\s (2) result in significant changes in regulatory activities and procedures, or (3) were the subject of Con-gressional investigation or were of great public interest.

e. Decommissioning records Permanent. Cut off N1-431-92-3 segment of cisposable licensing upon license termination Item 1.c case files located at the File following completion of Center and Regional offices, decommissioning ,

consisting of the following procedure. Retire to types of documents: {

WNRC through IRM at '

end of fiscal year.

l (1) All license applications, Transfer to NARA 20 '

amendment requests, and years after termination.

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renewal requests.

January 1998 2.19.5 NUREO-0910, Rev. 3 I

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION H[L (2) Complete license, '

including all amendments.

(3) Termination amendment.

(4) Licensee request for license termination and all supporting documentation including plans for completion of decommissioning.

(5) Forms dealing with disposition of material (NRC/AEC form 314, AEC Form HQ-277, and other forms) and/or letters from licensees dealing with disposition and status of material.

(6) Reports of NRC closcout inspections.

(7) Letter of certification from NRC official stating that license can be terminated.

(8) Any closecut survey by NRC, the licensee, or a contractor working for either NRC or the licensee.

2.19.6 January 1998 NUREG 0910, Rev. 3

l l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED R DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION (9) Any additional l documents dealing with disposition of waste or l other material or residual

contamination on the

! site, including records of

! on-site burials.

(10) All documents related to financial assurance for decommissioning, including decommission-ing finding plans, certifications of financial assurance for decommis-sioning, related cost

.(.

estimates, and records of funding methods.

(11) Records of spills and other unusual occur-rences involving the spread of contamination in and around the facility, equipment, or site.

(12) As-built drawings and modifications of struc-tures and equipment in restricted areas where radioactive materials were used or stored and locations of possible inaccessible contamination.

i January 1998 2.19.7 NUREG&l0, Rev. 3 l

l l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI7ED DISPOSITION CITATION (13) Any additional documents which refer to decommissioning, decontamination, er termination of the license, including interim or partial decommissioning or specific facilities at any time during the history of licensed operations.

(14) Any enforcement docu-ments related to decommissioning and decontamination activities.

f. Other case files, excluding the Cut off upon license N1-431-92-3 decommissioning segment, that termination, following Item 1.d do not meet the criteria for completion of decom-permanent retention. missioning procedure.

Retire to WNRC through IRM at end of fiscal year. Destroy 20 years after termination of license.

5. Indeoendent Soent Fuel Storage Installr:p i Docket Files (ISFSI)

Case files documenting the N1-431-89-4 1

licensing to possess power reac- Ite m 1 tor spent fuel and other radio-active materials associated with spent fuel storage, in an Inde-pendent Spent Fuel Storage Installation (ISFSI) as defined NUREG-0910, Rev. 3 2.19.8 January 1998

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED M DESCRIPTION OF RECORDS AUTHOR 17Fn DISPOSITION CITATION in 10 CFR Part 72. Each license issued is for a period of 20 years. Records consist of all i required licensing documents including license application, license, and amendments; all required periodic reports; and all other related documentation.

a. Official ISFSI Docket files Permanent. Cut off files corresponding to Nuclear upon termination of Power Plant Docket files license. Retire files to selected for permanent IRMB 1 year after cut retention schedule 2-20.9.a. off. Transfer to the j National Archives 20

]

years after termination of license.

b. Official ISFSI Docket files Cut off files upon ter-not selected for permanent mination oflicense.

retention. Retire files to IRMB 1 year after cut off.

Destroy 20 years after termination oflicense. J

c. All other copies in NMSS, Destroy 1 year after i NRR, and regional offices. license terminates or earlier if no longer '

needed for reference l purposes.

6. Internatinnni Rnfeguards Program Office (ISPO) i ISPO files copies of reports Permanent. Offer to NARA NCl-431-81-5 developed by U.S. contractors when 20 years old. Item 4.6.24 under the Program for Technical

[ Assistance to the International

(

January 1998 2.19.9 NUREG-0910, Rev. 3

1 I

NRC SCHEDULE 2 I RECORDS OF NRC OFFICES ITEM APPROVED l M DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION Atomic Energy Agency (IAEA)

Safeguards (POTAS). The ISPO ,

ia a part of the Brookhaven I National Laboratory and is l responsible for coordinating the comments and development process or the POTAS reports. Also included in the Sles are corres-pondence between ISPO and NRC, DOE, and DOJ and NRC response to ISPO requests for comments on draft reports and copies of final reports.

7. Licensee Mismanagement Files Licensee reports and other Files to be maintained by NCl-431-81-5 records relating to incidents licensee or State of5ce Item 1.4.26 of the mismanagement of radia- of radiological safety tion administered to individuals for 75 years from date of by licensees (primarily doctors report. If records are or other medical facilities) deposited with NRC, containing name ofindividuals destroy 75 years from date and other data pertaining to the of report.

mismanagement.

8. NMSS Case Work System (CASE)

System provides management with Retain until it has been NCl-431-81-2 a means to identify and track determined by a competent Item 12.B.4 the status of all case work NRC Official that data items relative to licensing are no longer needed; nuclear fuel facilities and erase and reuse tape, materials. etc.

(

}

NUREG&l0, Rev. 3 January 1998 O

2.19.10

NRC SCHEDULE 2

/3 i i

RECORDS OF NRC OFFICES sV NA>M ITEM APPROVED NCL DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION i 9. Nuclear Material Management and Safeguards System (NMMSS)

The NMMSS is a national nuclear Retain until it has been NCl-431-81-2 material accounting system. It determined by a competent Item 11.B.2 provides information needed to NRC Official 'Aat data j track and regulate production, are no longer needed; l transfer, possession, use, erase and reuse tape, import, and export of nuclear etc.

materials. The system maintains information on the location and quantities of special nuclear materials, in possession of DOE and NRC licensees. The sys-tem is operated by Union Carbide 0, Corp. at the Gaseous Diffusion Plant in Oak Ridge, Tenn.

10. Process Ooerator License Files l Case files documenting the li- NCl-431-81-5 censing of process operators in Item 4.6.19 reprocessing plants including new and/or renewal applications, medical certificates, licenses and amendments, examinations and results, and related correspon-dence, including denial information.

j a. Latest applications and Destroy 4 years after l related correspondence, expiration or termination license, examinations, and oflicense or issuance of results; all medical cer- denial letter.

tificates and data; and all examiners reports.

l O Jamsary 1998 2.19.11 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED NCA DESCRITYTION OF RECORDS AUTHORI7FD DISPOSITION CITAT.IQH

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

results; denial letters.

11. Onnlity Assurance Files Originals of NRC 311 or its Destroy 5 years after NCl-431-81-5 equivalent documenting NRC termination of license. Item 4.6.21 determination that licensee meets requirements of Sec. 71.51 of 10 CFR Part 71 (Quality Assurance Program on Radioactive Material Packages). Record copy is in Docket File.

12. Reguintory Information Tracking System - NMSS (NMSS-RITS)

NMSS-RITS is an integration of Retain until it has been NCl-431-81-2 three computer systems (Technical determined by a competent Item 12.B.3 Assignment Control System [TACS], NRC Official that data Manpower System [MPS), and Pro- are no longer needed; gram Operating Plan System [ POPS]) erase and reuse tape, etc.

which are updated weekly. Data within the system are retained by staff member, licensee, and technical assignments. The sys-tem retains current and histori-cal data on project schedules and staff resources.

O NUREG-0910, Rev. 3 2,19.12 January 1998

I NRC SCHEDULE 2 l

p) t V RECORDS OF NRC OFFICES NARA ITEM APPROVED  !

NQ DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION l

13. Safety Evaluntion Reoorts NRC narrative reports and revi- Destroy in accordance NCl-431-81-5 sions describing actions taken with the authorized dis- Item 4.6.22 l by applicants and NRC, and indi- position for schedule vidual aspects of radioactive 2-19.4.a. and b.

material package design under the requirements of 10 CFR Part 71.

14. Sealed Source and Device Review Files Case files which document NRC Destroy in accordance NCl-431-81-5 review and approval of the de- with authorized disposi- Item 4.6.23

sign of sealed sources and/or tion for schedule I devices containing licensed 2-19.4.a and b.

~'

radioactive materials. A cer-tificate or registration for sealed sources and/or devices is issued when the design is con-sidered acceptable for licensing.

Included are copies of applica-tions, Certificates of Registra- i tion, safety analysis summaries, ,

and related correspondence. j 1

15. Source and Snecial (SS) Material  !

Accountability System Files i

a. SS Material Shioping Form Destroy when 3 fiscal NCl-431-81-5 Elles consisting of DOE /NRC years old. Item 4.6.25.c j l

Forms DP-741 or equivalent, used in the transfer of source and special nuclear l materials, or other special nuclear materials, or other material controlled by the January 1998 2.19.13 NUREG-0910, Rev. 3 l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED AUTHORIZED DISPOSITION CITATION M DESCRIPTION OF RECORDS SS Materials Accountability System at Oak Ridge National Laboratory.

16. Transnort Anoroval Package Information System (fAPIS)

The system maintains data and Retain until it has been NCl-431-81-2 information regarding all pack- determined by a competent Item 11.B.1 ages approved by NRC for use in NRC Official that data the transportation of radioac- are no longer needed; tive material. Included are erase and reuse tape, description of package, approval etc.

particulars, and all licensed users.

17. Uranium Mill Tailings Remedial Action Program .GMTRAP) Project Licensing Case Files Project files documenting the concurrence and licensing activities for UMTRAP, pursuant to the Uranium Mill Tailings Radiation Control Act of 1978.

a. Official project files Permanent. Cut off files in NCl-431-89-1 located in the NRC File 1995 and retire in 5 year Item 1 Center. blocks thereafter. Retire to WNRC 1 year after cutoff.

Case files are to remain in NRC custody until licenses are terminated, expired, or 75 years old, whichever is earlier. Review and offer terminated or expired licenses and material more than 75 years old to NARA NUREG-0910. Rev. 3 2.19.14 January 1998 l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED HQ, DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION at 20 year intervals beginning year 2020.

(Note: Transfer textual finding aid to NARA at the time of transfer of official files corresponding to finding aid).

b. All other copies. Destroy one year after Nonrecord termination or expiration of license or sooner if no longer needed for reference.  !

18. High-Level. Imw-Level and Uranium Recoverv Docket Files J '

Case Files documenting the Permanent. Offer to NARA NCl-431-81-5 licensing of high-level, or low- when 10 years old.

Item 1.3.23 level and uranium recovery oper-ations 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 appli-cations, licenses and amendments, and other related material. The files are arranged by docket number.

l l

O January 1998 2.19.15 NUREG-0910 Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED NCL DESCRIPTION OF RECORDS AUTHORT7FD DISPOSITION CITATION

19. NMSS Contract File Management System (FII NET)(onerational) system B0011

a. DOE Contracts more than $25,000 Destroy 6 years and 3 months GRS 3-3.a(1)

(NMSS maintains the records) after final payment.

including the unscanned records in hard copy only that supplement the electronic records,

b. Commercial Contracts (Division of Destroy upon termination or Nonrecord Contracts, ADM, maintains the completion.

records.)

O O

NUREG-0910, Rev. 3 2.19.16 January 1998

NRC SCHEDULE 2 g RECORDS OF NRC OFFICES PART 20. RECORDS OF THE OFFICE OF NUCI FAR REACTOR REGULATION (NRR)

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 l issue oflicenses 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.

The following record schedules were developed for records unique to NRR. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the "F les Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NK tA ITEM APPROVED NO. DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

1. Antitrust Cnce Files Files consist of copies of Destroy 20 years after NCl-431-81-5 licensee applications with license is approved. Item 4.7.26 antitrust information on applicant, correspondence  ;

i with the Office of the '

l General Counsel, and Depart-i ment of Justice relating to l findings on the applicant's l financial background.

l I

s January 1998 2.20.1 NUREG-0910, Rev. 3

1 1

I NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED N1 DESCRIPTION OF RECORDS AIITHORIZED DISPOSITION CITATION

2. E-2 System (IRMS)

The system produces manpower Retain until it has been NCl-431-81-2 computational tables (E-2) and determined by a competent Item 13.C.4 budget estimate tables (E-3A, NRC Official that data E-3, and E-4). These tables are no longer needed; reflect manpower requirements erase and reuse tape, for inspections of facilities by etc.

type, phase of construction, or operation and age.

3. Emergency Planning Files

a. Case files accumulated in Permanent. Offer to NARA NCl-431-81-1 NRR, consisting of a record when 20 years old. Item 3.a copy of each plan or directive issued, with related background papers,

b. Record set of NRC reports Permanent. Offer to NARA NCl-431-81-1 of operation tests accumu- when 20 years old. Item 3.b lated in NRR, consisting of consolidated or comprehensive reports reflecting NRC-wide results of tests conducted under emergency plans,

c. Copies of records pertain- Destroy when superseded NCl-431-81-1 ing to office participation of obsolete. Item 3.c in emergency planning exercises and tests main-tained in the various offices throughout NRC.

2.20.2 January 1998 O

NUREG#)l0. Rev. 3

NRC SCHEDULE 2

\

RECORDS OF NRC OFFICES NARA 1 ITEM APPROVED NQ DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

4. Licensing Project Files Applications for construction NCl-431-81-1 permits and/or licensing and Ite m I 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 withdrawal parts of 10 CFR. or cancellation.

5. Morning Reoorts 3 Reports containing items of Destroy when 6 months NCl-431-81-5 j interest distributed at both old. Item 4.4.11 v headquarters and Regional offices, containing management information of interest to staff. Report is required by NRC Inspection Manual.

6. Non-licensing Project Files Reports and correspondence Destroy 20 years after NCl-431-81-1 relating to specific DOE devel- completion of project. Item 2 i i opmental projects involving use of nuclear materials

7. NRC Insnection Manual Record copy of the NRC Inspec- Permanent. Offer to NARA NCl-431-81-5 tion Manual including all at periodic intervals Item 4.4.8 changes thereto. when superseded or obsolete.

O January 1998 2,20.3 NUREG-0910, Rev. 3 l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA APPROVED ITEM M(1 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION (

8. NRC Issuance Files

a. NRC official or record set Permanent. Offer to NCl-431-81-5 of formal issuances NARA when 20 years old. Item 4.4.5 prepared by NRR staff consisting of NRC Circulars, Bulletins, and Information Notices.

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

9. Nuclear Power Plant Docket Files Records documenting licensing of the construction and operation of commercial nuclear reactors for power generation and non-power reactors 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 review, evaluation, and author-ization stages of the licensing process. Each operating license issued is for a fixed time period specified in the license document but in no case exceeds 40 years.

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

l Decommissioning records for these licenses are permanent and require maintenance as a subset of each case 2.20.4 January 1998 NUREG-0910 Rev. 3

NRC SCHEDULE 2 (m) w/ RECORDS OF NRC OFFICES NARA ITEM APPROVED HQ DESCRIPTION OF RECORDS AUTHORf7FD DISPOSITION CITATION file as specified in SECY 90-316.

Reference item b. below for authorized disposition.

a. Official docket files of the Permanent. Retain cur- N1-431-92-2 Office of Nuclear Reactor rent fiscal year and last Item 1.a Regulation, including the four years in NRC File decommissioning segment, Center. Retire, by facil-located at the NRC File Center, ity, to WNRC through determined by the NRC to have IRM annually if the exceptional value because of the records consist of at least historical significance of their one cubic foot and are contents or their uniqueness. over five years old.

Included are files that: Closing date is the termination date following g (1) result in judicial decisions completion of decommis-or legislation that affect sioning procedure (which i the functions and activi- is the license date plus 40 ties of NRC, e.g., Enrico years). Transfer to NARA Fermi No.1 (Power 20 years after termination Reactor Demonstration of license.

Co. Reactor),  !

(2) result in significant changes in regulatory activities and procedures,

{

e.g., Brown's Ferry, or (3) were the subject of Con-gressionalinvestigation or were of great public interest e.g., TMI.

i

(

Jmtary 1998 2.20.5 NUREG&l0. Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED HQ, DESCRIPTION OF RECORDS AllTHORI7FD DISPOSITION CITATION

b. Decommissioning records Permanent. Retain cur- N1-431-92-2 segment of disposal licensing rent fiscal year and last Item 1.b case files located at NRC File four years in NRC File Center consisting of the Center. Retire, by facil-following types of records: ity, to WNRC through IRM annually if the (1) Application for records consist of at least Possession-Only license. one cubic foot and are over five years old.

(2) Possession-Only license Closing date is the termi-amendment and any asso- nation date following ciated technical specifi- completion of decommis-cations (TS). sioning procedure (which is the license date plus 40 (3) Decommissioning or years). Transfer to NARA Dismantling Plan and 20 years after termination associated TS changes. of license.

(4) Requests for additional information on applica-tions for Possession-Only licenses, Decommission-ing and Dismantling Plans, and responses from licensee.

(5) Federal Register Notices for applications for Possession-Only licenses and Decommissioning and Dismantling Plans.

(6) Decommissioning and Dismantling Orders.

(7) Final site sun'eys by licensee.

2.20.6 Jamary 1998 O

NtJREG-0910. Rev. 3

NRC SCHEDULE 2 k RECORDS OF NRC OFFICES NARA ITEM APPROVED I E DESCRIPTION OF RECORDS .AUTHORI7FD DISPOSITION CITATION l

l (8) Final site surveys by regional inspectors.

(9) All license amendments l

and associated TS changes following the initial l application by the licensee for Possession-Only license.

l (10) All documents related to l financial assurance for decommission, including decommissioning funding plans, certifications of financial assurance for g decommissioning, related cost estimates, and records of funding methods.

(11) Records of spills and other unusual occurrences involving the spread of contamination in and around the facility, equipment, or site.

(12) License termination orders and associated safety evaluations.

N Jamsary 1998 2.20.7 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION (13) As-built drawings and modifications of structures and equipment in-restricted areas where radioactive materials were used or stored and loca-tions of possible inacces-sible contamination.

(14) Any additional documents which refer to decom-missioning, decontam-ination, or termination of the license, including interim or partial decom-missioning of specific facilities at any time during the history of licensed operations.

(15) Any enforcement documents related to decommissioning and decontamination activities.

c. Hearing and intervention corres- Destroy when 5 years old. NCl-431-81-5 pondence and information; hear- Item 1.3.20.c ing transcripts of boards and panels; inspection reports and related correspondence; and any other documentation duplicated in the permanent file described in a. above and NRC Senedule 2, Part 25, Item 3 and NRC Schedule 2, Part 24, Item 7.b.

NUREG-0910, Rev. 3 January 1998 O

2.20.8 I

l l

NRC SCHEDULE 2 O RECORDS OF NRC OFFICES NARA ITEtt APPROVED-M DESCRIIrrION OF RECORDS AUTHOR 17Fn DISPOSITION CITATION

d. Duplicate docket files located in Destroy when 5 years old NC1-431-81-5 the PDR, and Regional offices or sooner if purpose has Item 1.3.20.d except for documentation been served.

described in NRC Schedule 2, Part 24, Item 7.b.

e. Other docket files of NRR, Retain current fiscal year N1-431-92-2 excluding the decommissioning and last four years in NRC Item 1.c.

segment, that do not meet the File Center. Retire, by criteria for permanent retention. facility, to WNRC through IRM annually if the records consist of at least one cubic foot and are over five years old.

Closing date is the p termination date following

( completion of decommis-sioning procedure (which is the license date plus 40 years). Destroy 20 years after termination of license.

10. Preliminnry Notification of Event or Unnunt Occurrence (PNO). Preliminarv Notification of Enfeguards Event (PNS) Filec Copies of preliminary reports Destroy when 4 years old. NCl-431-81-5 constituting early notice of any Item 4.4.7 l significant event of possible l safety or public interest. The l information contained in reports

! is as initially received by telephone or other informal notification without verifica-tion or evaluation.

January 1998 2.20.9 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED E DESCRIlrTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

11. Regulatory Effectiveness Reviews (RER)

Case files documenting the eval- N1-431-88-5 uations of the overall effec- It:m 1 tiveness of regulations under which a Nuclear Power Plant operates. Included are team inspections comprising " Vital Area Analyses," " Facility Sys-tems Analysis Reports," internal memoranda, Regulatory Effective-ness Review Reports, and related correspondence.

a. Official records retained Cut off when all RER in the NRC File Center. findings are closed (nor-mally 1-5 years). Retire to the Archival Facility one year after cut off.

Destroy 10 years after cut off.

b. Extra copies of records Destroy when no longer used for working or reference. needed for reference purposes.

O NUREO@l0, Rev. 3 2.20.10 January 1998 1

l l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

12. Regulatnry Information Tracking System - NRP (NRR-RITS)

NRR-RITS is an integration of Retain until it has been NCl-431-81-2 three systems (Technical Assign- determined by a competent Item 12.A.4 ment Control System [TACS], NRC official that data Inspection Report Tracking Sys- are no longer needed;

, tem [IRTS), and Manpower System erase and reuse tape, etc.

[MPS]) which are updated weekly.

Data within the system are retained by staff member, licensee, and technical assignments. The system retains current and historical data on project schedules and staff resources.

13. Renorts of Defects or Non-Comnliance (Part 21 Renorts)

Numbered reports pertaining to Nstroy two years after NCl-431-81-5 noncompliance oflaw and regu-

• tters reported have been Item 4.4.10 lations or defect made by a r d ved.

director or responsible officer of a firm constructing, owning, operating, or supplying the com-ponents of any facility which is licensed or regulated by law.

Reports are required by 10 CFR Part 21.

O January 1998 2.20. I I NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED flCL DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

14. Safeguard Status Reoorts Monthly computer printouts con- Destroy when superseded by NCl-431-81-5 taining an inventory of all new repon. Item 4.4.9 nuclear material located in NRC licensed facilities throughout the United States. Reports are derived from information fur-nished by regional inspectors.

15. Seismic Onnlification (SEISMIC)

The system maintains data and Retain until it has been NCl-431-81-2 information regarding seismic determined by a competent Item II. A.2 equipment qealifications for NRC NRC Official that data staff review and evaluation. are no longer needed; erase and reuse tape, etc.

16. Statistical and Enforcement Text System (766)

The system maintains data and Retain until it has been NCl-431-81-2 information regarding inspec- determined by a competent Item 13.C.1 tion, investigation, inquiry NRC Official that data activities, and associated are no longer needed; enforcement actions. Textual erase and reuse tape, infermation concern items of etc.

noncompliance, licensee iden-tified item, and deviation identified during an inspection activity.

O NUREG 0910, Rev. 3 2.20.12 January 1998

l

[

t NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA i ITEM APPROVED N1 DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION Cn ATION l

l 17. Steam Generators i

The system maintains a data - Retain until it has been NCl-431-81-2 base of engineering information determined by a competent Item II.A.3 regarding reactor power plant NRC Official that data steam generator operating expe- are no longer needed; rience. It is used to evaluate erase and reuse tape, etc.

the qualitative and quantitative aspects of steam generator operating experience.

18. Vendor Tonical Reoorts 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 NARA when 20 years NCl-431-81-5 copy of microfiche. old. If the National Archives Item 1.1.10 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.

I l

l l

t January :198 2.20.13 NUREG-0910, Rev. 3 i

O i

n O

O

NRC SCHEDULE 2 RECORDS OF NRC OFFICES PART 21. RFI'ORDS OF THE OFFICE OF NUCI FAR REGULATORY RPREARCH (RFR)

The records in this schedule document the planning and implementation of the programs of nuclear regulatory research which the Commission deems necessary for the performance of its licensing and related regulatory functions.

The following record schedules were developed for records unique to RES. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED NR DESCRIIrrION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

1. Budeet System. Recentch An automated budget, contract, Retain until it has been NCl-4.41-81-2 and financial plan system, main- determined by a competent Item 13.D.3 tains data and information NRC Official that data regarding laboratory contract are no longer needed; proposals,189's, of the Office erase and reuse tape, of Research; controls, executes, etc.

and records monthly cost perfor-mance of approximately four hun-dred R&D tasks throughout the budget and financial plan cycles.

2. Erneriment and Test Filec Experiment and test records that consist of various types of motion picture films, oscillograms, magnetic tapes, etc., on which are recorded raw or unevaluated data; and evaluation data resulting from .

study of above material, including memoranda, graphs, tabulations, reports, and related papers referred to collectively as " Reduced Data."

Janunty 1998 2.21.1 NUREG-0910, Rev. 3

f l

[ NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED l M DESCRIPTION OF RECORDS AUTHORI7FD D:SPOSITION CITATION l

a. Plans and procedures for Destroy when 5 years N1-431-89-5 conducting the experiment or old. Item 1.a test.

b. Record print of edited still and motion picture film resulting from experiments and tests.

(1) Still Photography.

(a) Photographs corres- Permanent. Transfer to N1-431-89-5 ponding to case files NARA when 20 years old. Item 1.b.(1)(a) which have exceptional For black and white value because of the photography, transfer an highly significant original negative and nature of the research captioned work print when involved, or the feasible. For color uniqueness of the case photography, transfer files and images. whenever feasible any existing finding aids, the original color transparency or color negative, a cap-tioned print, and an inter-negative if one exists.

Existing finding aids should l

be included in the transfer.

(NOTE: During archival processmg, the NARA Still Picture Branch (NNSP) may destroy without further agency concurrence i any material found to be l

lacking in permanent value.)

NUREG-0910, Rev. 3 O

2.21.2 January 1998

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORJ7Fn DISPOSITION CITATION (b) Photographs corres- Destroy after 20 years. N1-431-89-5 ponding to case files Item 1.b.(1)(b) which lack permanent value.

(2) Motion Picture and Video-tape records.

(a) Records corresponding Permanent. Transfer to N1-431-89-5 to case files which have NARA when 20 years old. Item 1.b.(2)(a) exceptional value For motion pictures, because of the highly transfer an original significant nature of the negative or color original research involved, or plus sound and projection the uniqueness of the print whenever feasible.

case files and images. For video recordings, transfer the onginal or earliest generation of the recording and a dubbing whenever feasible.

Existing finding aids should be included in the transfer.

(NOTE: During archival processing, the NARA Motion Picture, Sound Recording and Video

' Branch (NNSM) may destroy without further agency concurrence any material found to be lacking in permanent vaJue.)

(b) Records corresponding Destroy after 20 years. N1-431-89-5 to case fines which lack Item 1.b.(2)(b) permanent value.

January 1998 2.21.3 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED NO. DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

c. Summary Data and related records.

(1) Summary data, and/or Destroy when 7 years old. N1-431-89-5 records reflecting significant Item 1.c.(1) findings or containing scientific data not duplicated 1 elsewhere which serve as backup for notebock entries and/or reports.

I (2) Summary data, and/or Destroy when 2 years old N1-431-89-5 records that do not reflect or sooner, if no longer Item 1.c.(2) significant findings, that are needed.

routine or duplicative in nature, or those that do not serve as backup for notebook entries and/or reports,

d. Source data files, punch cards, magnetic tapes, recorder charts, preliminary drawings, film questionnaires, survey 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. Reduced data as described above.

O NUREO&l0, Rev. 3 2.21.4 January 1998

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED NQ. DESCRIPTION OF RECORDS AUTHORI71:n DISPOSITION CITATION (1) Textual records. Destroy when the program N1-431-89-5 manager determines that Item 1.d.(1) the records have no probable value.

(2) Electronic record files. Destroy when Program N1-431-89-5 Manager determines that Item 1.d.(2) the records have no probable value, erase, and reuse tapes.

(3) Raw test data, consisting of Destroy when 5 years old N1-431-89-5 Mitchell camera film, or 1 year after completion Item 1.d.(3)

Askania Phototheodilite of final evaluation report of film, and Fastex film; film test project, whichever recorded charts, graphs, comes first.

trajectory data oscillograms, d and telemetry oscillograms.

e. Raw data, summary data, and Permanent. Cut off files upon N1-431-89-5 other background materials completion of the project and Item 1.e recommended by the Project retire to IRMB when 2 years Manager for permanent retention old. Transfer to NARA when due to its continuing research 20 years oli (NOTE: During and background value. archival processing, NARA may destroy without further agency concurrence any mate-rial found to be lacking in permanent value.)

3. Grants Files

a. Case files of contracts, reports, Destroy 6 years and three NCl-431-81-5 studies, agreements, correspond- months after case is Item 1.5.33.a ence, and other records relating to closed.

receipt, award, and monitoring of grants.

\

V January 1998 2.21.5 NUREG&10. Rev. 3

NRC SCHEDULE 2 EECORDS OF NRC OFFICES NARA ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

b. Reports, books, studies, or any ppmanent. Offer to NARA NCl-431-81-5 other final grant product and when 10 years old. Item 1.5.33.b related records.

c. Unsuccessful grant applica- Destroy 3 years after GRS 3-13 tion files consisting of rejection or withdrawal.

applications, correspon-dence, and other reco:rds relating to unsuccessful (rejected or withdrawn) applications.

d. Grant administrative iiles Destroy when 2 years old. GRS 3-14 consisting of correspondence and/or subject files relat-ing to routine operations and daily activities in administration of the grant program.

4. I nhoratory Notebooks Scientists' notebooks containing scientific and technical data resulting from research work, as follows

a. Notebooks containing data Cut off files upon completion N1-431-89-5 essential in establishing patent or of project. Destroy 6 years Item 5.a invention rights excluding those and 3 months after completion retained permanently under Item or termination of the related 5.b. below. project (s), or one year after final patent action, whichever is later.

NUREG-0910, Rev. 3 2.21.6 January 1998 O

f.

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED M DESCRIPTION OF RFf0RDS AUTHORI7Fn DISPOSITION CITATION

b. Notebooks corresponding to Permanent. Cut off upon- N1-431-89-5 permanent Research Project completion of project. Retire Item 5.b l Case Files and containing to IRMB 1 year after comple-l significant scientific and tion or 1 year after technical data required for approval / disapproval of the l complete documentation of patent office, whichever is exp:riments some of which may later. Transfer to NARA when contain patent and invention 20 years old.

rights data.

c. Notebooks containing data Destroy when 5 years old or 1 N1-431-89-5 determined by competent year after completion of final Item 5.b scientific or technical personnel report, whichever is sooner.

either to be duplicated in technical reports or elsewhere in project case files, or to be of such routine or fragmentary b nature that their retention would not add significantly to the project file.

5. National Standards Committee Panicination System (SDCOM)

The system maintains a computer Retain until it has been NCl-431-81-2 file of NRC personnel involved determined by a competent Item 13.E.1 in the development of nuclear NRC Official that data standards. A Nuclear Standards are no longer needed; Directory is produced which erase and reuse tape, associates corporations, com- etc.

mittee members, and particular standards activities.

i p,

l January 1996 2.21.7 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

6. Nuclear Safety Rewarch Review Committee Records (NSRRC)

a. Records of the NSRRC I

Records of the NSRRC consist- Cut offin 5 year blocks N1-431-90-3 ing of agendas, minutes, brief- and retire to the NRC Item I ing materials, transcripts Archival Facility /

of full committee and sub- Washington National committee meetings, reports Records Center. Offer in describing committee and 5 year blocks to the subcommittee findings and National Archives and recommendations, subject Records Administration files consisting of internal when 20 years old, memorandum, incoming and outgoing correspondence, special studies project files on topics requested by the Office Director or the Commission, and all other documents pertaining to the functions, policies, and program responsibilities of the committee.

b. General Administration Files General administrative files Cut off at close of GRS 23-1 pertaining to the routine fiscal year. Destroy internal management or gen- when 2 years old or eral administration of the sooner if purpose has NSRRC such as budget, been served.

travel, procurement, etc.

rather than the function for which the NSRRC exists.

NUREG-0910, Rr 3 January 1998 O

2.21.8

t NRC SCHEDULE 2 RFf0RDS OF NRC OFFICFR NARA ITEM- APPROVED m _ DFSCRIPTION OF RFCORDS AUTHORI7Rn DISPOSITION CITATION 7.. Nelaar Rnfety Standards Procram Edst Records accumulated in connec- Destroy when 20 years old.' NCl-431-81-5 tion with the development of Item 4.9.37 nuclear safety standards and guides pertaining to the siting i of suitable location, design of nuclear power plants, etc.

Included are draft standards and guides, comments from staff offices and the public, and i related records. Standards are formally published as NRC Regu-lations, NUREGS, Guides, or Tech-nical Specifications, which are retained permanently in micro-fiche form. See NRCS 2, Part

14. Item 8.a.(2).

8. Personnel Monitorine Renort Files Personnel monitoring reports and l

related information consisting of reports of individual moni-toring from licensees required under 10 CFR Part 20. Documents consist of annual personnel monitoring reports and periodic reports of overexposures includ-ing NRC Form 5, the information fmm which is maintained on mag- 1 netic tapes accessed using the l Radiation Exposure Information i

Reporting System (REIRS) at Oak Ridge National Lab. l l

January 1998 2.21.9 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED NCL DESCRIPTION OF RECORDS AUTHORI7ED DISPOSITION CITATION

a. Personnel monitoring reports Destroy 2 years after data N1-431-89-6 and personnel overexposure are input into REIRS. Ite m 1.a reports submitted by licens-ees, from which all data are entered into REIRS.

b. Personnel monitoring reports Permanent. Retire to N1-431-89-6 and personnel overexposure NRC/IRMB in 5 year Item 1.b reports that are not placed blocks. Transfer to the in the REIRS or of which National Archives in 5 only zlected data are year blocks when 20 years entered into REIRS. old.

c. Electronic records of per- Permanent. Transfer data N1-431-89-6 sonnel monitoring report copy immediately on mag- Item 1.c data,1978-present (main- netic tape according to tained at Oak Ridge National NARA technical require-Laboratory). (Reference NRCS ments. Transfer revised 2-21.12 "REIRS System.") data copies to the National Archives every 5 years.

d. REIRS system programming and Permanent. Transfer to N1-431-89-6 documentation. the National Archives on Item 1.d an ongoing basis in con-junction with item 10c.

e. Computer printouts produced Destroy when superseded NCl-431-81-5 by any organizational level. or obsolete. Item 1.4.27(c)

9. Plans and Systems Design.DCScrintions Permanent. Offer to NARA NCl-431-81-3 when 20 years old. Item 2 Drawings and plans of 64 systems associated with the LOFT

• reac-tor. Maintained by the research contractor at the facility.

• Loss of fluid test.

NURE04)910, Rev. 3 2.21.10 January 1998 O

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED R DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

10. RMintinn Ernosure Information System (RFIRS)

The system maintains radiation Permanent. Transfer data N1-431-89-6 exposure data reported by NRC copy immediately on mag- Item 1.c licensec according to category netic tape according to such as: commercial reactors, NARA technical require-  !

industrial radiographers, fuel ments. Transfer revised fabricators and processors, and - data copies to the National commercial distributors of Archives every 5 years.

specified quantities of by- (Initial transfer occurred )

product material. Such data 8/24/90.) I assist in the evaluation of the eticciiveness of NRC's regula-tory program.

\ l1. Reiected Recenrch Proiect Prono<nic All proposals for research Destroy 2 years after N1-431-89-5 projects consisting of unsoli- disapproval of funding. Item 2 cited contract proposals from individuals and organi-zations which were not funded by NRC.

12. Recentch Program Filex Records consisting of documents, data, and correspondence relating to ,

the formulation, planning, direction, j review, and evaluation of research l in major program areas.  !

l 1

January 1998 2.21.11 NUREG-0910, Rev. 3 l l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED N(L DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

a. Documents generated, received, Permanent. Cut off files N1-431-89-5 signed, or maintained at the annually and retire to IRMB Item 3.a Office Director level, when 2 years old. Transfer to NARA when 20 years old.

(Reference NRC schedule 1-2.2.a.).

b. Documentation at the division Cut off files annual. Destroy N1-431-89-5 level and below. when 10 years old. (Refer- Item 3.b ence NRC schedule 1-2.2.b.).

13. Research Project Case Files Technical documents, memoranda, monthly or quarterly highlight reports, program reports, status reports, management letters, original of tracings of drawings, specifications, and duplicate photographs of completed products, or apparatus, and references pertinent to a project maintained by the Project Manager.

a. Car.e files deemed by the NRC Permanent Cut off files after N1-431-89-5 or NARA to have exceptional completion or termination of Item 4.a value because of the highly the project and retire to IRMB significant nature of the research when 2 years old. Transfer to involved or uniqueness of the NARA in annual blocks when case file. Included are files that: 20 years old.

(1) Show development of new and significant techniques.

(2) Relate to new and signif-icant methodology and materials.

O NUREO-0910, Rev. 3 2.21.12 January 1998

NRC SCHEDULE 2

( RFrORDS OF NRC OFFICES NARA

! ITEM APPROVED l g DESCRIsrrION OF RECORDS AUTHOR 17FD DISPOSITION CITATION (3) Were the subject of Con-gressional investigation or came under intensive public scrutiny.

(4) Resultinjudicialdecisions 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 20 years old. N1-431-89-5 Item 4.b

14. Scientific and Technical Renorts These are published and unpub- NCl-431-81-5 lished scientific and technical Item 4.8.28 reports, as defined in NRC Management Directive 3.8.

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

(1) Published reports. See NCRS 2, Part 14, Item 8.a. for authorized disposition.

(2) Unpublished reports. Permanent. Offer to NARA in annual blocks when i 20 years old.

l i

i January 1996 2.21.13 NUREG&lo, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORi7FD DISPOSITION CITATION

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

15. Still Photograohs Associatexi with Imss of Fluid Transfer (LOFT)

Still photographs of instru- Permanent. Break file NCl-431-81-4 ments, facilities, procedures, every five years. Offer Item 1.e and special visits associated negative and print to with the LOFT reactor. Prints NARA five years after are maintained in the Office of file break.

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

16. Video Recordings For Research Projects Experiment and Test reco:ds for research projects, as follows:

a. Edited, educational motion Permanent. Offer origi- NCl-431-81-4 picture film or video- nal, intermediate copy Item 3.F recordings on the LOFT pro- and print or dubbing to gram. Originals may be the National Archives maintained by contractors when five years old.

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

NUREG-0910, Rev. 3 Jamary 1998 O

2.21.14

NRC SCHEDULE 2 RECORDS OF NRC OFFICFR NARA ITEM APPROVED HQ DESCRIPTION OF RECORDS AUTHOR 17Fn DISPOSITION CITATION

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

recordings resulting from LOFT experiments and tests.

l i

O January 1998 2.21.15 NUREG&l0, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES PART 22. RECORDS OF THE OFFICE OF HUMAN RPROURCES The Office of Human Resources (HR) provides overall leadership and management of human resources policy and program development and human resources services delivery. Plans and implements NRC policies, programs, and services to provide for employment services and operations, labor relations, organizational development, training, and human resources information and analysis. Administers and manages the NRC occupational safety and health j programs including oversight of the workers' compensation and employee assistance programs; j and the headquarters child care facility, health unit, and fitness center. Provides advice and

{

support for the planning, development, implementation, oversight, and evaluation of HR

{

information systems. Conducts HR budget formulation, justification, and execution; manages the {

development and implementation of HR accounting systems and carries out financial management coordination. Develops and implements the HR strategic plan; devises both short and long-range plan consistent with agency wide programmatic goals and objectives; assists and advises NRC management in the planning and implementation of HR goals consistent with agency policies and mission.

The following record schedules were developed for records unique to HR. Reference NRC Schedule 1, " Records Common To Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

1. Audio Cauettes for Technical Training Audio Cassettes purchased from Erase and reuse when no NCl-431-81-4 outside sources for technical longer needed. Ite m 4 training of NRC Staff.

I v

January 1998 2.22.1 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED E DESCRIIrrION OF RECORDS AUTHOR 17ED DISPOSITION CITATION l

2. Automated Personnel System (APS)

The Automated Personnel System Retain until it has been NCl-431-81-2 ,

maintains records on NRC person- determined by a competent Item 13.I.6 nel regarding previous employ- NRC Official that data ment, history of NRC employment, are no longer needed; and present status. Information erase and reuse tape, and data regarding various etc.  ;

employee actions are input to j the system. These actions are:

accessions, transfers, termina-tions; and/or regular reports such as: notice of in-grade step, employment trends, minor-ity employment, skills and levels, grades by sex or minor-ity and anticipated retirement levels.

3. Awards Files

a. Records relating to meritor- Permanent. Offer to NARA NCl-431-81-5 ious and distinguished when 10 years old. Item 1.5.28 service awards made at the Commission level and main-tained by the Office of Personnel.

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

exclusive of those filed in Official Personnel Folders.

O NUREO-0910. Rev. 3 2.22.2 January 1998

i NRC SCHEDULE 2 l b~ RECORDS OF NRC OFFICES NARA

l. ITEM APPROVED i

El DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION l

4. Personnel Exoosure Files Records accumulated to measure the degree of radiation exposure of individuals to external radi-ation and internally deposited isotopes.

a. Individual NRC personnel Destroy 75 years from NC1-431-81-5 folders containing data and the date of the creation Item 1.4.25 radiation exposure.- of the record.

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

( 5. Training Aids

a. One copy of each manual, Permanent. Offer to NARA NCl-431-81-5 syllabus, textbook, and when 10 years old. Item 1.5.40 other training aid for man-agement and technical sub- l jects developed by the Com-mission and maintained by the Human Resources Develop-ment staff, Office of Human Resources and the AEOD Training officers, both Headquarters and Chattanooga, Tennessee.

l

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

institutions. '

I s

- January 1998 2.22.3 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RFCORDS OF NRC OFFICES PART 23. RFCORDS OF THE OFFICE OF PURI.IC AFFAIRE The Office of Public Affairs (OPA) develops policies, programs, and procedures for the Chairman's approval for informing the public of NRC activities. Prepares, clears, and disseminates information to the public and the news media concerning NRC policies, programs, and activities; keeps NRC management informed on media coverage of activities ofinterest to the agency; plans, directs, and coordinates the activities of public information staffs located at Regional Offices; conducts a cooperative program with schools; and carries out assigned activities in the area of consumer affairs.

The following record schedules were developed for records ur.ique to OPA. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED NQ_ DESCRIMION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

1. Information Files

a. Complete set of formal Permanent. Offer to NARA NCl-431-81-5 informational releases and when 10 years old. Item 1.5.34 publications, press con-ference transcripts, official speeches, and indexes thereto maintained by the Office of Public Affairs.

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

j l

l l

January 1998 2.23.1 NUREG@l0, Rev. 3

i NRC SCHEDULE 2 RFf0RDS OF NRC OFFICFR l

j PART 24. RFCORDS OF THE REGIONAL OFFICFS The NRC Regional Offices execute established NRC policies and assigned programs relating to inspection, enforcement, licensing, state agreements, state liaison, and emergency response within their Regional boundaries.

The following record schedules were developed for records unique to the Regions. Reference l NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 i

through 23 for other applicable schedules. Applicable schedules have been identified on the " Files l Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

I NARA ITEM APPROVED N(L. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

.l. Actinn item Trackina System (AITS) l The system tracks the status of Retain until it has been NCl-431-81-2

individual work assignments for

~

determined by a competent Item 12.C.1 l inspection and enforcement and NRC Official that data are its principal organizational no longer needed; erase components. and reuse tape, etc.

2. Dnnitene Nuclear Power Plant Docket Files

l. Duplicate copies of NRR's Destroy when 5 years old NC1-431-81-5 nuclear power plant docket files or sooner if purpose has Item 1.3.20.d t located in the regional offices been served.

. except for documentation described in NRC Schedule 2, Part 24, Item 7.b.

January 1998 2.24.1 NUREG&l0, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED M DESCRIPTION OF RECORDS AUTHOR 17FD DISPOSITION CITATION

3. Emercency Planning Files

a. Case files accumulated in Permanent. Offer to NARA NC1-431-81-1 the Regional Offices, con- when 20 years old. Item 3.a sisting of a record copy of each plan or directive issued, and related back-ground papers,

b. Record set of NRC reports of Permanent. Offer to NARA NCl-431-81-1 operation tests accumulated when 20 years old. Item 3.b in the Regional Offices, consisting of consolidated or comprehensive reports reflecting results of tests conducted under emergency plans.

c. Copies of records pertaining Destroy when superseded NCl-431-81-1 to office participation in or obsolete. Item 3.c emergency planning exercises and tests maintained in the various offices throughout NRC.

4. Fuel Facilities. Transoorta-tion. Byoroduct. Source. and Snecial Nuclear Material Docket Files Case files documenting the licen-sing of persons, institutions, facilities, 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 NUREG@l0, Rev. 3 2.24,2 January 1998

NRC SCHEDULE 2 '

RFf0RDS OF NRC OFFICES NARA ITEM APPROVED l jg1 DESCRilrrION OF RFCORDS AUTHOR 17Fn DISPOSITION CITATION and amendments, and all related licensing documentation. Decom-missioning records for these licenses are permanent and require maintenance as a subset of each case file as specified in SECY 90-316.

Reference Item c. below for authorized disposition.

Excluded are case files (under 10 CFR Part 40) with license prefix of "SUA" which are covered by the High-level, Low-12 vel, and Uranium Recovery Docket File schedule (NRCS 2-19.18). Post 1983 Regional case files include the Inspection and Enforcement Case File documentation described in the Inspection and Enforcement Case File schedule (N1-431-92-1, Items 1.b, c, and d.), and are retained as one case file under this schedule.

For the purposes of applying the authorized disposition instructions, a withdrawn or denied license application is considered terminated on the date of withdrawal or denial.

January 1998 2.24.3 NUREG@l0, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED E DESCRIIrrION OF RECORDS AUTHORI7FD DISPOSITION CITATION

a. The Office of Nuclear Material Permanent. Transfer to N1-431-92-3 Safety and Safeguard's (NMSS) NARA at end of FY Item 1.a terminated official licensing case 1996.

files conchting of NRC Archival Facilit: numbers 1700, 1708-17:u, and 1722, (originally 379-383), that were reviewed by the Oak Ridge National Laboratory during 1977 through 1980 to ensure properly documented license terminations.

b. Case Files covering licensee or Transfer to Agreement states. NCl-431-81-5 which licensing jurisdiction is Item 1.3.22.b transferred to the State under agreement covering transfer of function.

c. All copies in NMSS and Destroy when 1 year old or NC1-431-81-5 Regional Offices. earlier if purpose has been Item 1.3.22.c served,

d. Official case files of the NMSS PermanenL Cut off upon N1-431-92-3 and the Regional offices license termination, following Item 1.b including the decommissioning completion of segment, except for those decommissioning procedure.

described in item a. above. Retire to WNRC through determined by the NRC to have IRM at end of fiscal year.

exceptional value because of the Transfer to NARA 20 years historical significance of their after termination of license, contents or their uniqueness.

Included are files that:

NUREG-0910, Rev. 3 O

2.24.4 Jamwy 1998

NRC SCHEDULE'2 -

\ RFf0RDS OF NRC OFFICES NARA ITEM APPROVED '

M DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION l (1) result in judicial decisions or l legislation that affect the 5

functions and activ- ities of NRC, (2) result in significant changes in regulatory activities and procedures, or (3) were the subject of Congressional investi-gation or were of great public interest.

e. Decommissioning records seg- Permanent. Cut off upon N1-431-92-3 O

t ment of disposable licensing case files located at the File license termination following completion of decommission-Item 1.c Center and Regional offices, ing procedure. Retire to consisting of the following types WNRC through IRM at end of documents: of fiscal year. Transfer to NARA 20 years after (1) All license applications, termination.  !

amendment requests, and renewal requests.

(2) Complete license,  !

including all amendments.  !

(3) Termination amendment.

(4) Licensee request for i license termination and all supporting documentation including plans for com-pletion of decommis-sioning, nv January 1998 2.24.5 NUREO/J910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED i HQ. DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION (5) Forms dealing with disposition of material (NRC/AEC Form 314, AEC Form HQ-277, and other forms) and/or letters from licensees dealing with disp &Jtion and status of material.

(6) Reports of NRC closeout inspections.

(7) Letter of certification from NRC official stating that license can be terminated.

(8) Any closeout survey by NRC, the licensee, or a contractor working for either NRC or the licensee.

(9) Any additional documents dealing with disposition of waste or other material or residual contamination on the site, including records of on-site burials.

O NUREG&l0, Rev. 3 2.24.6 January 1998

NRC SC'dAULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION (10) All documents related to financial assurance for decommissioning, including decommission-ing funding plans, certifications of financial assurance for decommis-sioning, related cost estimates, and records of funding methods.

(11) Records of spills and other unusual occurrences involving the spread of contamination in and around the facility, equipment, or site.

-(12) As-built drawings and modifications of structures and equipment in restricted areas where radioactive materials were used or stored and

.ocations of possible inaccessible contam-instion.

(13) Any additional documents which refer to decommis-sioning, decontamination, or termination of the lic-ense, including interim or partial decommissioning or specific facili.ies at any time during the history of licensed operations.

January 1998 2.24.7 NUREG 0910. Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED N(L DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION (14) Any enforcement documents related to decommissioning and decontamination activities.

f. Other case files, excluding the Cut off upon license N1-431-92-3 decommissioning segment, that termination, following Item 1.d do not meet the criteria for completion of decom-permanent retention. missioning procedure. Retire to WNRC through IRM at end of fiscal year. Destroy 20 years after terminatioa of license.

5. Health Record: Files Health case files on NRC See GRS 1, Item 21 for NCl-431-81-5 O employees, exclusive of records authorized disposition Item 1.4.24 relating to unique occupational hazards of the atomic energy program, covered by itein 12 of this schedule, comprising forms and correspondence and related papers documenting medical treatment.

6. Information Files l l

i

a. Complete set of formal 81-5 Permanent. Offer to NARA NCl-431-81-5 l informational releases and when 10 years old. Item 1.5.34 publications, press conference transcripts, official speeches, and indexes thereto maintained by the Regional Offices.

NUREG 0910. Rev. 3 2.24.8 January 1998 O

NRC 3CHEDULE 2 C ITEM RECORDS OF NRC OFFICES NARA APPROVED l NfL DESCRIPTION OF RFf0RDS AUTHORI7Fn DISPOSITION CITATION

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

7. Incnection and Enforcement C2ce Elles Files documenting the inspection activity and enforcement actions relating to power and non-power reactors, byproduct, source, and special nuclear material licenses, including copy of license, inspec-tion and follow-up reports, inspectors' notes, enforcement action documents, final certifi-cation that premises are free of h radiological contamination, and related documentation. Decommis-sioning records for this series are permanent and require maintenance as a subset of each file as speci-fled in SECY-90-316. Reference item c. below for authorized disposition. Post 1983 regional  !

inspection and enforcement docu-mentation for byproduct, source, I and special nuclear material, are retained with the licensing case file and follow the authorized disposi- i tion for material licensing case files (N1-431-92-3, items 1.b, c, and d).

For the purposes of apply-ing the authorized disposition instructions, a withdrawn or denied license application is considered terminated on the date of with-drawal or denial.

O

!V t

' Jamsary 1998 2.24.9 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED E DESCR1IrrlON OF RECORDS AUTHORI7FD DISPOSITION CITATION

a. Regionalinspection and Permanent. Transfer to N1-431-92-1 i enforcement case files for NARA at end of FY 1996. Item 1.a 1 material licenses terminated 1965 and prior,

b. Official case files including the Permanent. Retain current N1-431-92-1 ,

decommissioning segment, except fiscal year and last four p:'i Item 1.b for those described in item a. in Regional file room. Retire, above, located at Regional offices, by facility, to WNRC through determined by the NRC to have IRM annually if the records exceptional value because of the consist of at least one cubic historical significance of their foot and are over five years contents or their uniqueness. old. Closing date is the Included are those inspection and termination date following enforcement case files that relate completion of decommissioning to the docket numbers retained (which is the license date plus permanently under NRC Schedule 40 years). Transfer to NARA N1-431-92-2, Item 1.a., and 20 years after termination of N1-431-92-3, Item 1.b., i.e., license.

those files that:

(1) result in judicial decisions or legblation 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.

NUREG&l0, Rev. 3 Jarmary 1998 O

2.24.10

NRC SCHEDULE 2 O ITEM RFCORDS OF NRC OFFICFR NARA APPROVED M DFXRilrrION OF RFrORDS AUTHORI7Fn DISPOSITION CITATION

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c. Decommissioning records Permanent. Retain current N1-431-92-1 segment of disposable fiscal year and last four years Item 1.c inspection and enforcement case in Regional file room. Retire, files relating to power and non- by facility, to WNRC power reactors located at through IRM annually if the Regional offices consisting of records consist of at least one Regional records relating to the cubic foot and are over five following types of documents: years old. Closing date is termination date following completion of decomissioning procedure (which is the license date plus 40 years).

Transfer to NARA 20 years after termination oflicense.

(1) Application for Possession-Only license.

(2) Possession-Only license amendment and any associated technical specifications (TS).

(3) Decommissioning or Dismantling Plan and associated TS changes.

(4) Requests for additional information on applica-tions for Possession-Only licenses, Decommissioning and Dismantling Plans, and responses from licensee.

\

l January 1998 2.24.11 NUREG&10, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED E DESCRIPTION OF RECORDS AUTHORI71:D DISPOSITION CITATION l

i (5) Federal Register Notices for applications for Possession-Only licenses and Decommissioning and Disniantling Plans.

(6) Decommissioning and Dismantling Orders.

(7) Final site surveys by licensee.

(8) Final site surveys by regional inspectors.

(9) All license amendments

! and associated TS changes following the initial application by the licensee I for Possession-Only license.

(10) All documents related to financial assurance for decommission, including decommissioning funding plans, certifications of financial assurance for decommissioning, related cost estimates, and rec-ords of funding methods.

(11) Records of spills and other unusual occurrences involving the spread of contamination in and around the facility, equipment, or site.

NUREG-0910, Rev. 3 2.24.12 January 1998

NRC SCHEDULE 2

! O (s RFTORDS OF NRC OFFICES NARA ITEM APPROVED NO. DESCRilrrION OF RFf0RDS A1JTHORI7Fn DISPOSITION CITATION (12) License termination orders and associated safety evaluations.

(13) As-built drawings and modification of structures and equipment in re-stricted areas where radioactive materials were used or stored and loca-tions of possible inaccess-ible contamination.

(14) Any additional documents which refer to decommis-sioning, decontamination, or termination of the 3

license, including interim or partial decommission-ing of specific facilities at any time during the history oflicensed operations.

(15) Any enforcement docu-ments related to decommissioning and decontamination activities.

Decommissioning records segment of disposable inspection and enforce-ment case files relating to post 1983 regional fuel facilities, transportation, byproduct, source, and special nuclear material licenses are filed with the related material licensing case files. Reference the j January 1996 2.:u 13 NUREGO910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED NCL DESCRIlvrION OF RECORDS AUTHORIZFl) DISPOSITION CITATION records schedules for the material licensing case files contained in N1-431-92-3, Items 1.b, c, and d, for the material licensing decommissioning records '

types and their authorized disposition.

d. Other case files in Regional Retain current fiscal year and NI-431-92-1 offices that do not meet criteria last four years in Regional Item 1.d for permanent retention, file room. Retire, by facility, excluding the decommissioning to WNRC through IRM segment, annually if the records consist of at least one cubic foot and are over five years old.

Closing date is the termination date following completion of decommission-ing procedure (which is the same as license date plus 40 years). Destroy 20 years after termination oflicense.

e. All other copies in NMSS, Nonrecord. Destroy when 1 NI-431-92-1 NRR, and Regional offices. year old or earlier if no Item 1.e longer needed

f. Case files of both Headquarters Destroy 1 year after official NCl-431-81-5 and Regional Offices, consist- file is transferred to the Item ing of material remaining after Agreement State. 4.4.6.b.(3) files are transferred to a State under agreement covering transfer of regulatory function.

O NUREG4)910, Rev. 3 2.24.14 January 1998

NRC SCHEDULE 2 REPORns OF NRC OFFIPRC NARA ITEM APPROVED hKL DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

8. I icanea Miemann.ement Egg Licensee reports and other Files to be maintained by NCl-431-81-5 records relating to incidents licensee or State office Item 1.4.26 of the mismanagement of radia- of radiological safety tion administered to individuals for 75 years from date of by licensees (primarily doctors report. If records are or other medical facilities) deposited with NRC, containing name ofindividuals destroy 75 years from and other data penaining to the date of report.

mismanagement.

9. Mnani, statum Renart svstem The system maintains the status Retain until it has been NCl-431-81-2 of all modules required to be determined by a competent item 12.C 4 y inspected under various inspec-tion programs. Information NRC Official that data are no longer needed; includes definition ofinspec- erase and reuse tape, etc.

tion program being monitored, facilities selected for review, modules with overdue inspec-tions, inspection profile, ami a transaction listing of all facilities included in the review.

10. Nuclaar Matarial Accanntabilitv Worksheets Worksheets maintained by re- Destroy when superseded NCl-431-81-5 gionalinspectors in accounting or no longer needed. Item 4.4.12 for nuclear materials located at NRC licensed facilities.

O

! January 1998 2.24.15 NUREG&l0, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA ITEM APPROVED AUTHORI7ED DISPOSITION CITATION M DESCRIIrrION OF RECORDS

11. Outstanding item Systems (OIS)

The :ystem tracks all items Retain until it has been NCl-431-81-2 which require follow-up action determined by a competent Item 12.C.3 by Project and Specialist NRC Official that data are Inspectors. no longer needed; erase and reuse tape, etc.

12. Personnel Exoosure Files Records accumulated to measure the degree of radiation expo-sure of individuals to external radiation and internally deposited isotopes.

a. Individual NRC personnel Destroy 75 years from the NCl-431-81-5 folders containing data and date of the creation of the Item 1.4.25 radiation exposure. record.

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

13. Reactor Operator and Senior Onerator Docket Files Case files containing informa- Cutoff files upon latest N1-431-90-4 tion pertaining to 10 CFR Part license expiration / Item 1 55 applicants for a license, termination / revocation, licensed operators, and indivi- application denial or duals who previously held licen- withdrawal, or issuance ses. Documentation includm of denialletter. Retire applications for a license, to FRC when 3 years old.

licenses, denial letters and Destroy when 10 years related licensing correspon- old.

dence, correspondence pertain-ing to actions taken against a NUREG 0910. Rev. 3 2.24.16 Jarn2ary 1998

NRC SCHEDULE 2 RFf0RDS OF NRC OFFICES NARA ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION l

i licensee,10 CFR Part 50.74 notifications, certifications of medical examinations and related medical information, fitness for duty information, examination results, and other docket information.

l f

i l

January 1998 2.24.17 NUREG-0910, Rev. 3

NRC SCHEDULE 2 RFf0RnS OF NRC OFFICES PART 25. RFrORnS OF THE OFFICR OF THE SprRRTARY The Office of the Secretary of the Commission (SECY) develops policies and procedures for the provision of complete secretariat services required for the discharge of Commission business and implementation of Commission decisions. The Secretary adviscs and assists, the Commission, offices reporting directly to the Commission, and staff on the planning, scheduling, and conduct of .

Commission business. The Assistant Secretary performs functions of the Federal Advisory Committee Management Officer, and maintains liaison with certain boards and advisory committees.

The following record schedules were developed for records unique to SECY. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules I through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED HCL DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

( l. Commieelan (SECY) Paner Files Commission Papers, generally referred to as SECY Papers, are '

formal documents prepared by NRC staff offices, Commission staff offices, ACRS, and Boards and Panels as the principal instru-ment by which the Commission receives recommendations for decision and information on significant matters. Copies of all SECY papers are filed subjectively in the Secretariat j

subject file (NRC Schedule 1 Part 1 2, item 2.a).

January 1998 2.25.1 NUREG-0910, Rev. 3

'C SCHEDULE 2 Y NRC OFFICES NARA ITEM APPROVED N{L DESCRIPTIO' AUTHORIZED DISPOSITION CITATION

a. Commission (Secy) Paner Permanent. Offer to NARA NCl-431-81-5 Comment Folders which are when 20 years old. Item 2.3.7 case files comprising the official record of the Com-missioners' voting and their comments. Folders include a 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 (Secy) Papers. needed for reference.

2. Commission Tracking System The system generates reports Retain until it has been NCl-431-81-2 which contain information on all determined by a competent Item 12.K.1 tasks assigned to staff by Com- NRC Official that data mission action; the tasks are are no longer needed; contained in SECY Staff Require- erase and reuse tape, ments Memorandums, SRMs. The etc.

reports list each task according to the office responsibile for the action, and the status of each action (i.e., complete, overdue, or on schedule).

3. Commission's Decisional License Docket Files The officiallicense files of Permanent. Offer to NARA NCl-431-81-5 the Commission maintained in 5 years after expiration Item 1.3.16 the Office of the Secretary or revocation of license, containing copies of Licensing Board and Appeal Panel Orders and transcripts of hearings, NUREO&l0, Rev. 3 2.25.2 January 1998

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED M - DESCRIIrrION OF RECORDS AUTHORIZED DISPOSITION CITATION exhibits consisting of copies of pertinent staff documents, Commission orders and decisions, i I

and filings by various parties and related documentation in all licensing proceedings. The files are arranged numerically by docket number.

4. Narrative Histories Narrative hir. tories of the Commission and its work, including oral history projects.

a. Record copy maintained by Permanent. Offer to NARA NCl-431-81-5 I the NRC Historian. when 10 years old. Item 1.5.35

b. All other copies. Destroy when superseded or obsolete.

5. Oral History Sotind Recordings Oral history sound recordings of Erase and reuse when no NCl-431-81-4 NRC officials maintained by the longer needed. Item 4.b Chief Historian, Office of the Secretary.

6. Rulemnking Docket Files Copies of rulemaking documents Destroy 5 years after the NCl-431-81-5 sent to the Office of the completion (through adop- Item 2.3.10 l Federal Register for publica- tion or withdrawal) or tion, and related correspondence rulemaking proceedings and other documentation. noticed in the Federal Register.

O 2.25.3 NUREG-0910, Rev. 3 January 1998

NRC SCHEDULE 2 RECORDS OF NRC OFFICES gg ITEM APPROVED NQ DESCRIMION OF RECORDS AUTHORIZED DISPOSITION CITATION

7. Stenographic Tanes of Commission Meetings

a. Tapes of open meetings. Destroy when transcribed. NCl-431-81-5 Item 2.3.9

b. Tapes of closed meetings. Destroy when two years old or later when a comolete transcript has been dis-closed, except that all tapes of TMI are to be retained 'ntil disposal has been authorized by the Office of General Counsel.

8. Transcripts of Commission Meetings Verbatim transcripts of open Permanent. Offer to NARA NCl-431-81-5 and closed meetings of the when 20 years old. Item 2.3.8 Commission, arranged chronolog-ically by date of meeting.

O NUREGO910, Rev. 3 2.25.4 January 1998

NRC SCHEDULE 2 RECORDS OF NRC OFFICES PART 26. RFCOnnS OF THE OFFICE OF SMAI.I. BUSINESS AND CIVIL RIGHTS The Office of Small Business and Civil Rights (OSBCR) develops and implements, in cooperation with the Director, Division of Contracts and Property Management, and Directors of other affected Offices, specific policies and procedures to carry out the functions and duties of Sections 8 and 15 of the Snsall 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 surplus areas.

The following record schedule was developed for records unique to the OSBCR. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 23 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED NQ._ DESCRITYrION OF RECORDS AUTHORI7FD DISPOSITION CITATION

1. General Fdes General correspondence, Cut off file annually. NCl-431-81-5 memoranda, reports, and other Destroy when 5 years old. Item 4.3.4 records pertaining to the imple-mentation of the office's program of assisting small and disadvantaged businesses or ruluired by amendments to the Small Bur.iness Act of 1958.

N

)

Jsnuary 1998 2.26.I NUREG-0910, Rev. 3

NRC SCHEDULE 2 RECORDS OF NRC OFFICES PART 27. DFCORDS OF THE OFFICE OF STATE PROGRAMS The Office of State Programs (OSP) plans and directs NRC's program of cooperation and liaison with States, local governments, interstate, and Indian Tribe organizations. Participates in the formulation of policies involving NRC/ State cooperation and liaison; develops and directs administrative and contractual programs for coordinating and integrating Federal and State regulatory activities; maintains liaison between NRC and State, interstate, regional, Indian Tribe, and quasi-governmental organizations on regulatory matters; monitors nuclear-related State legislative activities; and directs regulatory activities of State Liaison Officers located in Regional J Offices. Participates in policy matters on State Public Utility Commissions (PUCs).

OSP also plans, implements, and manages the State Agreements program under the provisions of Section 274 of the Atomic Energy of 1954, as amended. Monitors the State Agreements program to eva:uate its compatibility with the NRC regulatory program and adequacy to protect the public health and safety. Provides and coordinates training and technical assistance to the Agreement States. Recommends and administers policy for the Agreements State programs. Directs regu-latory activities of State Agreement Officers located in Regional Offices. Provides technical 4 support and guidance to other NRC offices whose functional responsibilities require liaison with

( State Agreement operations. Reviews Agreement State materials licensing and inspection programs for technical adequacy and consistency.

The following record schedules were developed for records unique to OSP. Reference NRC Schedule 1, " Records Common to Most Offices", and the General Records Schedules 1 through 28 for other applicable schedules. Applicable schedules have been identified on the " Files Maintenance and Disposition Plans" retained by the office Records Liaison Officer.

NARA ITEM APPROVED Na DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION

1. Agreement State Files

a. Copies of State enabling Permanent. Offer to NCl-431-81-5 legislation, cooperative NARA 5 years after any Item 4.10.38 agreements between NRC and revocations or termina-State government agencies, tion of agreement.

and Commission papers on the Agreements.

January 1996 2.27.1 NUREG.0910, Rev. 3 l

NRC SCHEDULE 2 RECORDS OF NRC OFFICES NARA 4 ITEM APPROVED M DESCRIPTION OF RECORDS AUTHORI7Fn DISPOSITION CITATION

b. Review meeting reports and Perrnanent. Offer to NARA correspondence with indi- when 5 years old. i vidual Agreement States. l

2. Henith Training Files .

i l

Correspondence and reports Destroy when 3 years old NCl-431-81-5 pertaining to the presentation or sooner if purpose has Item 4.10.40 l

of and attendance at individual been served.

NRC-sponsored training courses ,

for Agreement State personnel.

l Courses pertain to radiation J

control and radiological response programs.

3. Information Renort on State Irgislation Summary report published bimonthly reflecting individual States' legislation pertaining to nuclear regulatory matters,

a. Record set of each report Permanent. Offer to NARA NCl-431-81-5 maintained by Office of in biannual blocks when Item 4.10.42 State Programs. 5 years old,

b. Other copies. Destroy when no longer needed.

4. Non-Agreement State Files I

Copies of State Acts pertaining Destroy when 10 years NL; ^ J1-81-5 l

to nuclear regulatory matters old. Item 4.10.39 and related correspondence with individual non-Agreement States.

NUREG-0910 Rev. 3 2.27.2 January 1998 O

NRC SCHEDULE 2 (O

j RECORDS OF NRC OFFICES ITEM APPROVED E DESCRIIrrION OF RECORDS ALTTHORI7Fn DISPOSITION LTATION

5. State Irgislation Filem Copies of proposed State legis- Destroy when no longer NC1-431-81-5 lation relating to nuclear con- needed for reference. Item 4.10.41 trol and regulations obtained for NRC by contractor. Infor-mation is used in the prepara-tion of the Information Report en State legislation (Item 3 above).

O January 1998 2.17.3 NUREG-0910. Rev. 3

NRC SCHEDULE 2 I RECORDS OF NRC OFFICES NJ I

PART 28. RECORDS OF THE URANIUM RECOVERY FIFT D OFFICE I The Uranium Recovery Field Office (URFO) became fully operational in October 1983. URFO's purpose was to implement NRC policy regarding uranium recovery facilities and remedial actions for inactive processing sites. The office was abolished on September 30,1994.

The following records schedules were developed for records unique to URFO. Reference NRC Schedule 1, " Records Common to Most Offices," and the General Records Schedules 1 through l 23 for other applicable schedules.

The responsibility for the records series listed below has been transferred to the Office of Nuclear Materials Safety and Safeguards. The new citations are noted.

NARA J ITEM APPROVED NQ., DESCRIPTION OF RECORDS AUTHORI7FD DISPOSITION CITATION p 1. Hich-I2 vel. Low-Irvel. and

( Uranium Recoverv Docket Files Case Files documenting the Permanent. Offer to NARA NCl-431-81-5 licensing of high-level, low- when 10 years old. Item 1.3.23 level, or uranium recovery oper-j ations, including mills, solution mining, and heap leaching or ion exchange facilities in non-Agreement States as defined in j 10 CFR 40 with license transfer l prefix of "SUA." Includes apph- 1 cations, licenses and r.mendments, and other related material. The files are arranged by docket number.

Records described above as Item 1 are now listed under NRC Schedule 2, Item 19.18.

O January 1998 2.28.1 NUREG-0910 Rev. 3 l

I

NRC SCHEDULE 2 RECORDS OF NRC OFFICES ITEM APPROVED HO DESCRIPTION OF RECORDS AUTHOR 17FD DISPOSITION CITATION

2. UMTRAP Project Licensing Case Elles Project files documenting the concurrence and licensing activ-ities for the Uranium Mill Tail-ings Remedial Action Program (UMTRAP), pursuant to the Ura-nium Mill Tailings Radiation Control Act of 1978.

a. Official project files Permanent. Cut off files NCI-431-89-1 located in the NRC File in 1995 and retire in 5 year Ite m 1 Center (Central Files) and blocks thereafter. Region IV, Uranium Recovery Retire to WNRC 1 year after Field Office. cutoff. Case files are to remain in NRC custody until licenses are terminated, expired, or 75 years old, whichever is earlier. Review and offer terminated or expired licenses and material more than 75 years old to NARA at 20 year intervals beginning year 2020.

(NOTE: Transfer textual finding aid to NARA at the time of transfer of official files corres-ponding to finding aid.)

b. All other copics Destroy one year after Nonrecord termination or expiration of license or sooner if no longer needed for reference.

Records listed above under Item 2 are now listed in NRC Schedule 2, Part 19.17.

NUREG-0910, Rev. 3 2.28.2 January 1998

NRC SCHEDULE 2 y/ RFrORDS OF NRC OFFICF3 PART 29. RFCORDS OF THF OFFICF OF POLICY PLANNING The Office of Policy Planning was established to serve as the principal advisor to the Executive Director for Operations (EDO) and the Commission for policy planning in support of the NRC's mission. The office developed and examined long-range policy issues relative to NRC programs; provided the lead in the strategic planning process; and assessed policy issues, operational environments anj alternatives, and provided recommendations to the EDO and the Commission.

Due to agency streamlining and other organizational considerations, the office was abolished in October 1994.

No schedules were developed for material unique to this office. Reference NRC Schedule 1,

" Records Common To Most Offices," and the General Records Schedules 1 through 23 for applicable schedules.

\

l I

January 1998 2.29. t NUREG-0910, Rev. 3

NRCS Subject Index NRC RECORDS SCHEDULES SUBJECT INDEX Series Schedule Number Abnormal Occurrence Case Files 2-4.1 Accounting System (CAB) 2-10.1 Action Item Tracking System (AITS) 2-24.1 Administrative Budget Control System (ABC) 2-1.1 Administrative Files Administrative Subject Files . See GRS 23-1 Electronic Records, Admin. Master Files See GRS 20-3 Files Common to Most 1-1 i Employee Travel Files 1-1.1 i \ Office General Personnel Files 1-1.2 Office Organization Reference 1-1,3 Policy and Precedent Reference Files 1-1.4 Reading or Chronological Files 1-1.5 Reference Publication Files 1-1.6 i Reimbursable Agreements and Contracts Files 1-1.7 Staff Working Files 1-1.8 Technical Reference Files 1-1.9

Vu-graphs 1-1.10 l Weekly Status Reports 1-1.11 Advisory Committee on Nuclear Waste Project Case Files 2-2 Advisory Screening Committee Consultant Personnel Files 2-5.1 Aerial Photography of Facilities 2-4.2 Agreement State Files 2-27.1 Allegation and inquiry Files 2-17.1 Annual Reports of the ACRS to the Congress 2-3.2 1

I I

NRCS Subject Index January 1998 Series Schedule Number 2-20.1 Antitmst Case Files Audio Cassettes for Technical Training, AEOD 2-4.3 Audio Cassettes for Technical Training, HR 2-22.1 Audiovisual Records Aerial Photography of Facilities 2-4.2 Audio Cassettes for Technical Training, AEOD 2-4.3 Audio Cassettes for Technical Training, HR 2-22.1 Graphic Arts Files, CIO 2-14.3 Oral History Sound Recordings 2-25.5 Still Photographs Associated with LOFT 2-21.15 Still Photography Files 2-1.13 Telephone Recordings Alerting the NRC Duty Omcer 2-4.9 Video Recording Files 2-1.15 Video Records for Research Projects 2.-21.16 Vu-graphs 1 1.10 Automated Information Documentation Systems (AIDS) 2-14.1 Automated Personnel System (APS) 2-22.2 1

Award Files 2-22.3 ACRS Member Personnel Files 2-3.1 l

ADP Systems (See Omces and Electronic Records)

Bibliographic Retrieval System 2-14.14 r

Budget Files 2-10.2 Administrative Budget Control System 2-1.1 Budget System, Research 2-21.1 Budget Working Papers, Omce 2-10.2.c Estimates and Justifications, CFO 2-10.2.b Omce Administrative Files See GRS 23-1 Program Correspondence, CFO 2-10.2.a Cartographic Records, AEOD 2-4.6 NRCS Subject Index f January 1998

' Q] Series Schedule Number Cartographic Records, Research 2-21.9 Case Study Report Files, AEOD 2-4.4 Central Personnel Clearance Index (CPCI) 2-1.2 Certificate of Compliance Files 2-19.1 Chairman and Commissioners Office Files 2-6.2 Chronological Files (Also See Reading Files) 1-1.5 Commissioners' Chronological Files 2-6.1 Reading Files (Nonrecord) 1-1.5 Classified Defense Information Files 2-3.3 Classified Document Control System (CDCS) 2-1.3 Commission (SECY) Paper Files 2-25.1 Commission Memorandum Files 2-13.1 Commission Office Files 2-6.2 Commission Tracking System 2-25.2 Commission's Decisional License Docket Files 2-25.3 Commissioners' Chronological Files 2-6.1 Committee and Conference Records 1-2.1 Committee Files on Regulation Guidelines 2-3.4 i l

Congressional Correspondence Files 2-8.1 Congressional Correspondence System 2-8.2 Consultant Personnel Files 2-3.5 s

l j

NRCS Subject Index l January 1998 Series Schedule Number Consultants Reports 2-2.2 Contract File Management System, NMSS 2-19.19 Contract Files (Also see GRS 3-3) 1-1.7 Contract System 2-1.4 Grants Files, ADM 2-1.7 Grants Files, RES 2-21.3 Project Officer's Working Files 1-1.8 Reimbursable Agreements and Contract Files 1-1.7 Convenience Files, Staff 1-1.8 Country Files, Export / import and 2-16.1 International Safeguards Country Files, International Arrangements 2-16.2 COMSEC Records 2-1.14 1 Decommissioning Records Docket 50 Licenses 2-20.9 Inspection & Enforcement Case Files 2-24.7 Materials Licenses 2-19.4d-e Differing Professional Opinions Schedule Pending Differing Professional Views 1-2.2.b f

l Directive Case Files 2-1.5 Docket Files ASLBP's Power Reactor Files 2-5.5 Commission's Decisional License Docket 2-25.3 i

Files Decommissioning Records

- Docket 50 Licenses 2-20.9 l - Materials Licenses 2-19.4d-e

! Disposal of Lower-Level Waste 2-19.3 Disposal of High-Level Waste 2-19.3 i

l l

NRCS Subject Index I/

January 1998 l

Series Schedule Number Docket Files (Continued)

Docket 50, NRR 2-20.9 l Dockets 30,40, & 70, NMSS 2-19.4 Dockets 30,40, & 70, Regions 2-24.4

Duplicate Docket Files, PDR 2-14.15 Duplicate Docket Files, Regions 2-24.2 Export / Import Licenses 2-16.3 Independent Spent Fuel Storage 2-19.5 Licensing Project Files 2-20.4 NRR's Technical Licensing Files 2-20.9 OGC's Formal Hearing Files 2-13.3 Rulemakings, Proposed & Final 1-2.3 Secretariat's Adjudicatory Dockets 2-25.3 Uranium Recovery 2.19.18 Drug Testing Program Files 2-1.6 E-2 System (IRMS) 2-20.2 Electronic Records (Also See GRS 20 and 23)

Administrative Master Files See GRS 20-3 Electronic Records See GRS Index Emergency Planning NRC Electronic Information Systems See NRC Office Emergency Planning Files, AEOD 2-4.5 Emergency Planning Files, NRR 2-20.3 Emergency Planning Files, Regions 2-24.3 Emergency Planning Maps 2-4.6 Employee Travel Files 1-1.1 Experiment and Test Files 2-21.2 Export / Import License Docket Files 2-16.3 Exposure Records, Radiation, HR 2-22.4 l

1 Exposure Records, Radiation, Regions 2-24.12 1 L

NRCS Subject Index January 1998 Series Schedule Number Field Test Files 2-21.2 Files of Department of State Cables and Atomic International Forum Wires 2-16.4 Finding Aids See GRS 23-9 Foreign Visitor Files 2-16.5 Formal Arrangement and Agreement Files 2-16.6 Forms Development Case Files 2-14.2 Fuel Facilities, Transportation, Byproduct, 2-19.4 & 2-24.4 Source, and Special Nuclear Material Docket Files General Files, OSBCR 2-26.1 General Program Correspondence Files 1-2.2 General Program Correspondence Files, ACRS 2-3.6 Grants Files, ADM 2-1.7 Grants Files, RES 2-21.3 Graphic Arts Files, CIO 2-14.3 Health Records Employee Medical Fc! der GRS 1-21 Health Record Files, HR GRS 1-19 & 21 Health Record Files, Regions 2-24.4 Health Training Files 2-27.2 Health Unit Records GRS 1-19 & 20 High Level, Low-Level, and Uranium Recovery 2-19.18 Docket Files Holding Action Syscem (HAS) 2-1.8 NRCS Subject Index January 1998 lX Series Schedule Number l.

)

Independent Spent Fuel Storage Installation 2-19.5 l Docket Files Indexes See GRS 23-9 l Information Files, Regions 2-24.6 Information Files, OPA 2-23.1 Information Report on State Legislation' 2-27.3 l

Information Requirements Control 2-14.4 Automated System (IRCAS) i Inspection and Enforcement Records Inspection and Enforcement Case Files 2-24.7 ,

Decommissioning Records 2-24.7 l f

Docket 50 Dockets 30,40,70 2 24.7 2-24.4 l

Inspection Reports, Docket 50 2-24.7 Inspection Reports, Dockets 30,40, 70 2-24.4 NRC Inspection Manual 2-20.7 Regional Records 2-24 i Integrated Financial Management Info System 2-10.4 j International Organization Files 2-16.7 ,

International Program Records 2-16 International Programs Export / Import License 2 16.8 Tracking System (IPELTS)

International Safeguards Program Office 2-19.6 Investigation Case Files 2-17.2 Investigation Procedure Memo (IPM) 2-17.3 Keyword Index (KWIC/KWOC) 2-3.7 NRCS Subject Index January 1998 Series Schedule Number Laboratory Notebooks 2-21.4 Legal and Legislative Commission Memoranda File, OGC 2-13.1 Info Report of State Legislation 2-27.3 Legal Memos 2-5.2 Legislative Files, OGC 2-13.2 Legislative Files, OCA 2-8.3 Litigation Case Files 2-13.4 Patent Files 2-13.5 State Legislation Files 2-27.5 License Fee Reporting System (FEES) 2-10.3 Licensee Mismanagement Files, NMSS 2-19.7 Licensee Mismanagement Files, Regions 2-24.8 Licensing Records Dockets 30,40,70 2-24.4 Docket 40 (SUA) 2.19.17 Docket 50, Adjudicatory 2-25.3 Docket 50, Technical Licensing 2-20.9 High-Level Waste Repository 2-19.2 Independent Spent Fuel Storage 2-19.5 Licensing Docket Formal Hearing Files 2-13.3 Licensing Project Files (NPP) 2-20.4 Low-Level Waste 2-19.3 Material Licensing 2-24.4 Process Operator Licensing 2-19.10 Reactor Operator Licensing 2-24.13 Uranium Mi4s 2-19.17 UMTRAP Case Files 2-19.17 Litigation Case Files 2-13.4 Machine Readable Records (See Electronic See Offices Record)

Manpower Systems (MPS) 2-14.6 hTCS Subject Index January 1998

, i Series Schedule l Number Medical and Health Files, HR GRS 1-19 & 21 Medical and Health Files, Regions 2-24.5 Memoranda to Panel Board Members 2-5.2 Minutes of the Committee, ACNW 2-2.3 l

Minutes of the Committee, ACRS 2-3.8 Minutes of the Advisory Screening Committee 2-5.3 Module Status Report System 2-24.9 Morning Reports 2 20.5 Narrative Histories 2-25.4 National Standards Committee Participation 2-21.5 System (SDCOM) l I

Non-Agreement State Files 2 27.4 Non-Licensing Project Files 2-20.6 ,

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Nuclear Material Certificate of Compliance Files 2-19.1 Decommissioning Records 2-19.4d-e Nuclear Material Accountability, NMSS 2-19.15 Nuclear Material Accountability Worksheets 2-24.10  !

Nuclear Material Licensing 2-24.4  !

Nuclear Material Management and Safeguards System (NMMSS) 2-19.9 Scaled Source and Device Review Files 2-19.14 Shipping Casks 2-19.1 l Transportation, NMSS 2-19.4 l Transportation, Regions 2-24.4 O

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NRCS Subject Index January 1998 Schedule Series Number Nuclear Power Plants ( Also See Docket Files)

Antitnist Case Files 2-20.I Decommissioning Records 2-20.9 Inspection Records 2-24.7 Nuclear Power Plant Docket Files, NRR 2-20.9 Nuclear Power Pir. .: Docket Files, ACRS 2-3.9 Nuclear Reactor Project Files 2-3.10 Reactor Operator Licensing 2-24.13 1-2.3 Regulations Development Nuclear Safety Research Review Committee 2-21.6 Nuclear Safety Standards Program Files 2-21.7 NMSS Case Work System (CASE) 2-19.8 NMSS Contract File Management System 2-19.19 NRC Inspection Manual 2-20.7 NRC Issuance Files 2-20.8 Office Administrative Files See GRS 23-7 Office Files of the Chairman and Commissioners 2-6.2 Office General Personnel Files 1-1.2 Office of Congressional Affairs 2-8 Operational Data and Information Screening 2-4.7 Files Oral History Sound Recordings 2-25.5 Organizational Records 2-1.9 Organizational Reference Files 1-1.3 0

NRCS Subject Index

/~ January 1998 Schedule Number Original Tracings of Drawings, Specifications, and Photographs of Completed Product or Apparatus 2-21.13 Outstanding Item System (OIS) 2-24.11 Panel Board's Monthly Status Report to 2-5.4 Commissioners Patent and Technical Data Files 2-13.5 Payroll (PAY) 2-10.5 Personnel Records (Also See GRS 1)

Personnel Exposure Files, HR 2-22.4 Personnel Exposure Files, Regions 2-24.12 Personnel Files, Office General 1-1.2 Personnel: Monitoring Reports: Files 2-21.8 Plans and Systems Design Descriptions 2-21.9 Policy Budget, CFO 2-10.2 Management Directive Files 2-1.5 Policy and Precedent Files, Reference 1-1.4 Policy Files of NRC Offices 1-2.2 Policy Planning, Office of 2-29 Proposed and Final Rules 1-2.3 Security 2-1.11 Standards Development 2-21.7 Power Reactor Docket Files of the ASLBP 2-5.5 Preliminary Notification of Event or Unusual 2-20.10 Occurrence PNO, PNS Files Press Releases, OPA 2-23.1 Press Releases, Regions 2-24.6 )

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NRCS Subject Index January 1998 Series Schedule Number Process Operator License Files 2-19.10 Program Correspondence Congressional Correspondence Files 2-8.1 General Files ofOSBCR 2-26.1 Program Correspondence (Continued)

Program Correspondence Files, Most 1-2.2 Offices Program Correspondence Files, ACRS 2-2.4 Program Management Files 1-2.2 Program Management Files, Research 2-21.12 Reading Files, Nonrecord 1-1.5 Technical Subject Files 1-2.2 Programmatic Files Common to Most Offices 1-2 Project Control System, NMSS Project Management System (PMS) 2-14.7 Property and Supply System (PASS) 2-1.10 Publications Publications, Record Copy 2-14.8 Publications, Reference 1-1.C Scientific and Technical Reports, RES 2-21.14 Vendor Tcpical Reports 2-20.18 Quality Assurance Files 2-19.11 Radiation Exposure Information System (REIRS) 2-21.10 Reactor Operator and Senior Operator 2-24.13 Docket Files Reading Files 1-1.5 Chronological Files, Nonrecord 1-1.5 Chronological Files, Official Records 1-2.2 Commissioners' Chronological Files 2-6.1 l

m NRCS Subject Index Series < Schedule Number Records ofNRC Offices 2-1 thru 2W Administration 2-1 Advisory Committee on Nuclear Waste 2-2 l Advisory Committee on Reactor Safeguards 2-3 Analysis and Evaluation of Operational Data 2-4. 1 l'

Records of NRC Offices (Continued)'

Atomic Safety and Licensing Board Panel 2-5 Commission 2-6 Commission Appellate Adjudication 2-7 Congressional Affairs 2-8 Consolidation 2-9 ChiefFinancial Officer 2-10 Enforcement 2-11 Executive Director for Operations 2-12 General Counsel 2-13 ChiefInformation Officer 2-14 Inspector General 2-15 International Programs 2-16 Investigations 2-17 Licensing Support System Administrator 2-18 Nuclear Material Safety and Safeguards 2-19 Nuclear Reactor Regulation 2-20 Nuclear Regulatory Research 2-21 Human Resources 2-22 Public Affairs 2-23 Regional Offices 2-24 Secretary 2-25 Small Business and Civil Rights 2-26 l

State Programs 2-27

Uranium Recovery Field Office 2-28

! Policy Planning 2-29 l

Records Common to Mov; Offices 1 Records Retirement Lists 2-14.9 Reference Material Organizational Reference Files 1-1.3 Policy and Precedent Files, Reference 1-1.4 NRCS Subject Index January 1998 Series Schedule Number Reference Material (Continued)

Reading Files 1-1.5 Reference Publications 1-1.6 Staff Working Files 1-1.8 Technical Reference 1-1.9 Regulatory Effectiveness Reviews 2-20.11 Regulatory History Case Files for Proposed 1-2.3 and Final Rulemaking Regulatory Information Tracking System 2-20.12 (NRR-RITS)

Regulatory Information Tracking System 2-19.12 (NMSS-RITS)

Regulatory Information Tracking System 2-14.5 (IRM-RITS)

Regulatory Information Tracking System 2-4.8 (AEOD-RITS)

Reimbursable Agreements and Contract Files 1-1.7 Rejected Research Project Proposals 2-21.11 Reports of Consultants 2-3.11 Reports of Defects or Non-Compliance 2-20.13 (Part 21 Reports)

Research Background Files 2-21.2 Research Program Files 2-21.12 Research Project Case Files 2-21.13 Routine Control Files See GRS 23-8 O

NRCS Subject Index 7 January 1998 I l Series Schedule Number Rulemaking Case Files, NRC Offices 1-7. 3 Rulemaking Docket Files, SECY 2-25.6 l Safeguards (See Related Docket File) l Safeguards Status Reports 2-20.14 l

Safety Evaluation Reports 2-19.13 Schedule of Daily Activities See GRS 23-5 Scientific and Technical Reports 2-21.14 l Sealed Source and Device Review Files 2-19.14 l

l Security (Also See GRS 18) l f Central Personnel Clearance Index (CPCI) 2-1.2 Classified Document Control System (CDCS) 2-1.3 COMSEC Records 2-1.14 Drug Testing Program Files 2-1.6 Security Policy Files 2-1.11 Security Violations (Felonies) Files 2-1.12 Systems Security Records  ?.-l .14 Seismic Qq ekation(SSISMIC) 2-20.15 l

Senate and House Members Profile Files 2-8.4 Source and Special(SS) Nuclear 2-19.15 Accountability System Files Speeches, OPA 2-23.1 Speeches, Regions 2-24.6 Staff Working Files 1-1.8 Standards and Policy Development Records 2-21.7 l

NRCS Subject Index January 1998 Schedule Series Number Standards Development Files 2-21.7  !

State Legislation Files 2-27.5 State Program Records 2-27 Statistical and Enforcement Test System (766) 2-20.16 Statistical Information System for Operating 2-14.10 Reactors (SISOR)

Steam Generators 2-20.17 Stenographic Tapes of Commission Meetings 2-25.7 Still Photographs Associated with LOFT 2-21.15 Still Photography Files 2-1.13 Subject Files ACNW 2-3.4 ACRS 2-3.6 Administrative (See GRS 23-1)

OSBCR 2-26.1 Programmatic l-2.2 Research Program 2-21.12 Technical 1-2.2 Suspense Files See GRS 23-6 Systems Security Records 2-1.14 SECY Paper Comment Folders 2-25.1.a SECY Papers 2-25.1 Technical Assignment Control System (TACS) 2-14.11 Technical Reference Files 1-1.9 l

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1 NRCS Subject Index q January 1998 l Q Series l Schedule Number Telephone Directory System (TEL) 2-14.12 ,

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! Telephone Recordings Alerting the NRC Duty 2-4.9 Officer Timesharing Accounts Management System (TAMS) 2-14.13 System (TAMS)

Training (Also see GRS 1-29)

Office Administrative Training Files GRS 23-1 Health Training Files 2-27.2 Training Aids, AEOD 2-4.10

, Training Aids, HR 2-22.5 Transcripts of ACRS Meetings 2-3.12 Transcripts of ASLBP Hearings 2-5.6

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( Transcripts of Commission Meetings 2-25.8 Transitory Files See GRS 23-7 Transportation Records Transport Approval Package Information 2-19.16 System (TAPIS)

Nuclear Material Packaging 2-19.1 Nuclear Material Transport 2-19.4 Nuclear Material Transport, Regions 2-24.4 Travel Reccds (Also see GRS 6.1 and GRS 9) 1-1.1 UMTRAP Project Licensing Case Files 2-19.17 ,

Vendor Topical Reports 2-20.18 Video Recording Files 2-1.15 Video Recordings for Research Projects 2-21.16 Vu-Graphs 1-1.10 l

NRCS Subject Index January 1998 Schedule Series Number Waste Management Licensing Files A .3 1-1,11 Weekly Status Reports Work Item Tracking System (WITS-II) 2-12.1 j Working Files 1-1.8 O

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[ NRCS Conversion Table NRC SCHEDULE CONVERSION TABLE (In order of former arrangement)

Former Current Series Citation Citation Comments Records of the Office of Administration Graphic Arts Files 2-1.8 2-14.3 Transferred i

Holding Action System (HAS) 2-1.9 2-1.8 Re-numbered i Organizational Records 2-1.10 2-1.9 Re-numbered Property ad Supply System (PASS) 2-1.11 2-1.10 Re-numbered Security Policy Files 2-1.12 2-1.11 Re-numbered Security Violations (Felonies)

Files 2-1.13 2-1.12 Re-numbered Still Photography Files 2-1.14 2-1.13 Re-numbered Systems Security Records 2-1.15 2-1.14 Re-numbered Video Recording Files 2-1.16 2-1.15 Re-numbered Records of the Office of the Commission Office Files of the Chairman and 2-6.2 New Schedule Commissioners Records of the Office of Consolidation 2-9 2-1 Transferred b

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Former Current SCIics Citation Citation Comments Records of the Office of Nuclear Material Safety and Safeguards (NMSS)

Fuel Facilities, Transporta- 2-19.4.a. 2-19.4.a. New schedule tion, Byproduct, Source, 2-19.4d-f. New schedule and Special Nuclear Material Docket Files NMSS Contract File Management 2-19.19 New Item System (FILNET)(opera-tional) system B0011 Records of the Office of Nuclear Reactor Regulation (NRR)

Nuclear Power Plant Docket 2-20.9.a-d. 2-20.9.a-e. New schedule Files Records of the Office of Nuclear Regulatory Research (RES)

Experiment and Test files 2-21.2.a-c. 2-21.2.a-e. New schedule Field Test Files 2-21.3. 2-21.2. Merged Grants Files 2-21.4 2-21.3. Re-numbered Laboratory Notebooks 2-21.5.a-b. 2-21.4a-c. Ne,w schedule National Standards Committee 2-21.6. 2-21.5. Re-numbered Participation System (SDCOM)

Nuclear Safety Research 2-21.7. 2-21.6. Re-numbered Review Committee Records (NSRRC) 2

Former . Current Sctics Citation Citation Comments Nuclear Safety Standards 2-21.8. 2-21.7. Re-numbered Program files Original Tracings of 2-21.9 2-21.13. Merged Drawings, Specifications, and Photographs of Completed Product or Apparatus Personnel Monitoring Report 2-21.10 2-21.8. Re-numbered

]

Files -

Plans and Systems Design 2-21.11. 2-21-9. Re-numbered Descriptions Radiation Exposure Infor- 2-21.12. 2-21.10. Re-numbered .

mation System (DEIRS)

?1 ejected Research Project 2-21.13. 2-21.11. New schedule Proposals Research Background Files 2-21.14.a. 2-21.2.d. Merged 2-21.14.b. 2-21.2.c. Merged Research Program Files 2-21.15. 2-21.12. New schedule Research Project Case Files 2-21.16. 2-21.13. New schedule Scientific and Technical 2-21.17. 2-21.14. Re-numbered Reports Still Photographs Associated 2-21.18. 2-21.15. Re-numbered

-With LOFT l

Video Recordings For 2-21.19. 2-21.16. Re-numbered l Research Projects

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Former Current Series Citation Citation Comments Records cr the Office of Human Resources (formerly Office of Personnel) i Health Records Files 2-22.4. GRS 1-19 & Superceded (

GRS 1-21 Personnel Exposure Files 2-22.5 2-22.4 Re-numbered Training Aids 2-22.6 2-22.5 Re-numbered Records of the Regional Offices Fuel Facilities, Transporta- 2-24.4.a. 2-24.4.a. New schedule tion, Byproduct, Source, 2-24.4.d. New schedule and Special Nuclear 2-24.4.e. New schedule Mate-ial Docket Files 2-24.4.f. New schedule j Inspection and Enforcement 2-24.7. 2-24.7. New schedule Case files j Records of the Office of the Secretary Bibliographic Retrieval System 2-25.1 2-14.14 Transferred to the CIO Commission (SECY) Paper Files 2-25.2 2-25.1 Re-numbered Commission Tracking System 2-25.3 2-25.2 Re-numbered Commission's Decisional License Docket Files 2-25.4 2-25.3 Re-numbered Duplicate Nuclear Power Plant Transferred to Docket Files of the PDR 2-25.5 2-14.15 the CIO Narrative Histories 2-25.6 2-25.4 Re-numbered Oral History Sound Recordings 2-25.7 2-25.5 Re-numbered Rulemaking Docket Files 2-25.8 2-25.6 Re-numbered 4

Former Current Series citation citation comments Stenographic Tapes of Commission Meetings 2-25.9 2-25.7 Re-numbered l

Transcripts of Commission Meetings 2-25.10 2-25.8 Re-numbered Records of the Uranium Recovery Field Office l

I High-I2 vel, Iow-Level, and 2-28.1. 2-19.18. Transferred to Uranium Recovery Docket NMSS Files UMTRAP Project Licensing 2-28.2. 2-19.17. Transferred to Case Files NMSS O

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IIIIIIII o General Records Schedules National Archives and Records Administration College Park, MD O

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O Transmittal No. 7 August 1995 General Records Schedules TABLE OF CONTENTS Introduction to the General Records Schedules Schedule 1. Civilian Personnel Records Schedule 2. Payrolling and Pay Administration Records Schedule 3. Procurement, Supply, and Grant Records Schedule 4. Property Disposal Records Schedule 5. Budget Preparation, Presentation, and Apportionment Records Schedule 6. Accountable Officers' Accounts Records Schedule 7. Expenditure Accounting Records Schedule S. Stores, Plant, and Cost Accounting Records D Schedule 9. Travel and Transportation Records Schedule 10. Motor Vehicle Maintenance and Operations Records Schedule 11. Space and Maintenance Records Schedule 12. Communications Records Schedule 13. Printing, Binding, Duplication, and Distribution Records j Schedule 14. Information Services Records Schedule 15. Housing Records  !

Schedule 16. ' Administrative Management Records l Schedule 17. Cartographic, Aerial Photographic, Architectural, and Engineering Records Schedule 18. Security and Protective Services Records Schedule 19. Research and Development Records (RESCINDED)

i Transmittal No. 7 General Records Schedules August 1995 Schedule 20. Electronic Records j

Schedule 21. Audiovisual Records Schedule 22. Inspector General Records Schedule 23. Records Common to Most Offices Within Agencies Subject index Forms Index 9

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[ Transmittal No. 7 August 1995 General Records Schedules INTRODUCTION TO THE GENERAL RECORDS SCHEDULES General Records Schedules (GRS) are issued by the Archivist of the United States to provide disposal authorization for temporary records common to several or all agen-cies of the Federal Government. They include records relating to civilian personnel, fiscal accounting, procurement, communications, printing, and other common func--

tions, and certain nontextual records.' These records comprise an estimated one-third of the total volume of records created by Federal agencies.

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

The GRS does not cover all records of an agency. It must be supplemented by schedules for unique program records. Agencies should exercise particular care in applying the GRS to subject or correspondence files that may include a mix of adminis trative and program records. Usually, administrative subject files have short retention periods, less than 3 years.' Program subject files may be needed by the agency for 10 years or more, and may have archival value as well. Agencies should maintain administrative records separately from program records. If administrative records are mixed with program records and cannot be economically segregated, the entire file should be kept for the period of time approved for the program records. Similarly, if documents covered by these schedules are part of a subject or case file that docu-ments activities different from those covered by the schedules, they should be treated in the same manner as the files of which they are a part.

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

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

Transmittal No. 7 General Records Schedules August 1995 The disposition instructions in the GRS are to be implemented without further approval from NARA, with the exception that most records created before January 1,1921, must first be offered to NARA for appraisal. If NARA rejects these records they may be destroyed immediately. GRS 3,11,16, and 21 have other delimiting dates.

Agencies that convert records covered by the GRS to microform should apply the '

GRS disposition standards to the microform copies and destroy the paper copies after verification of the film unless legal considerations require longer retention of the paper (36 CFR 1230.10(b)). No further authorization from NARA is required to implement these provisions. If an agency wishes to apply a different retention period for any series of records included in the GRS, the records officer must submit an SF 115 providing justification for the deviation.

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

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

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

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

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

2

Transmittal No. 7 General Records Schedule 1 August 1995 GENERAL RECORDS SCHEDULE 1 Civilian Personnel Records Agency civilian personnel records relate to the supervision over and management of Federal civilian employees. This schedule covers the disposition of Omcial Personnel Folders of civilian employees and other records relating to civilian personnel, wherever located in the agency. Specifically excluded are program records of the Omco of Personnel Management, the Bureau of Medical Services (PHS/HHS), the Omce of Workers' Compensation Programs (DOL), and the Equal Employment Opportunity Commission. Any records created prior to January 1,1921, must be offered to the National Archives and Records Administration for appraisal before these disposition instructions may be applied.

The most important types of records, the Omcial Personnel Folders, the Service Record Cards, and the Employee Medical Folders, are maintained according to The Guide to Personnel Recordkeepina an OPM manual that prescribes a system of recordkeeping for Federal personnel.

Master files created in central data processing facilities that replace records' described O under items 21,22, end 25f, are not authorized for disposal under the General Records Schedules. All of the records described in this schedule are authorized for disposal in both hard copy and electronic formats, as provided in GRS 20, Electronic Records.

ITEM NQ. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Omcial Personnel Folders.

Records filed on the right side of the Official Personnel Folder (OPF). (See GRS 1, item 10, for temporary papers on the left side of the OPF). Folders covering employment terminated after December 31,1920, excluding those selected by the National Archives and Records Administration for permanent retention.

a. Transferred employees. See Chapter 7 of the Guide to Personnel Recordkeepino for j instructions relating to folders of j

^ employees transferred to 1 another agency.

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G:n:r:I R; cords Sch: dub 1 i TransmiMal No. 7 August 1995 ITEM AUTHORIZED DISPOSITION M DESCRIPTION OF RECORDS

b. Separated employees. Transfer folder to National Personnel Records Center, St.

Louis, MO, 30 days after latest separation (see note 2). NPRC will destroy 65 years after separation from Federal service.

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

2. Service Record Cards.

Service Record Card (Standard Form 7 or equivalent),

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

transferred on or before December 31, Louis, MO. Destroy 60 years 1947. after earliest personnel action.

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

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

3, Personrjel Correspondence Files.

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

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

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Transmittal No. 7 General Records Schedu August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Offers of Employment Files.

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

a. Accepted offers. Destroy when no longer needed.

l b. Declined offers:

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

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

(3) All others. Destroy immediately.

l S. Certificate of Eliaibles Files.

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

of eligibles with related requests, forms, correspondence, and statement of reasons for passing over a preference l

eligible and selecting a nonproference L eligible.

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6. ' Employee Record Cards.

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

I SF 7B).

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

. use an internal agency form.) I

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l Transmittal No. 7 General Records Schedule 1 August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

7. Position Classification Files.

a. Position Classification Standards Files.

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

classify and evaluate positions within the agency.

(2) Correspondence and other records relating to the development of standards for classification of positions peculiar to the agency, and OPM approval or disapproval.

(a) Case file. Destroy 5 years after position is abolished or description is superseded.

(b) Review File. Destroy when 2 years old.

b. Position Descriptions.

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

related documents.

c. Survey Files.

(1) Classification survey reports on Destroy when 3 years old or 2 various positions prepared by years after regular inspection, classification specialists, including whichever is sooner.

periodic reports.

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Transmittal No. 7 General Records Schedule 1 (7 August 1995 b ITEM HQ. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITIQN (2) Inspection, audit, and survey files Destroy when obsolete or including correspondence, reports, superseded.

and other recordt, relating to inspections, surveys, desk audits, and evaluations.

d. Appeals Files.

(1) Case fileo relating to classification Destroy 3 years after case is appeals, excluding OPM closed.

classification certificate.

(2) Certificates of clessification issued Destroy after affected position is by OPM. abolished or superseded.

8. Interview Records.

Correspondence, reports, and other records. Destroy 6 months after transfer relating to interviews with employees. or separation of employee.

9. Performance Ratina Board Case Files.

Copies of case files forwarded to OPM Destroy 1 year after case is relating to performance rating board reviews. closed.

10. Temporary individual Employee Records.

All copies of correspondence and forms Destroy upon separation or maintained on the left side of the Official transfer of employee or when 1 Personnel Folder in accordance with Chapter year old, whichever is sooner.

3 of The Guide to Personnel RecordkeeDina. See item 23 of this schedule for EXCLUDING performance-related records. disposition of temporary performance-related records.

11. Position Identification Strios.

Strips, such as the former SF 7D, containing Destroy when superseded or summary data on each position occupied. obso:ste.

Effective December 31,1994, the SF 7D became obsolete.]

O [ NOTE:

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Transmittal No. 7 General Records Schedule 1 August 1995 ITEM l NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1

12. Employee Awards Files.

a. General awards records, EXCLUDING those relating to department-level awards.

(1) Case files including recommen- Destroy 2 years after approval or dations, approved nominations, disapproval.

correspondence, reports, and related handbooks pertaining to agency-sponsored cash and noncash awards such as incentive awards, within-grade merit increases, suggestions, and outstanding performance.

(2) Correspondence pertaining to Destroy when 2 years old.

awards from other Federal agencies or non-Federal organizations.

b. Length of service and sick leave awards files.

Records including correspondence, Destroy when 1 year old, reports, computations of service and sick leave, and lists of awardees.

c. Letters of commendation and apprecia-tion.

Copies of letters recognizing length of Destroy when 2 years old.

l service and retirement anC letters of l appreciation and commendation for performance, EXCLUDING copies filed in the OPF.

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. Transmittal No. 7 General Records Schedule 1 d August 1995 ITEM -

E DESCRIPTION OF RECORDS 6UTHORIZED DISPOSITION

d. Lists or indexes to agency award nominations.

Lists of nominees and winners and De4roy when superseded or indexes of nominations. obsolete.

[ NOTE: Records relating to department-level awards must be scheduled by submitting an SF 115, Request for Records Disposition Authority, to NARA.]

13. Incantive Awards Proaram Reports.

Reports pertaining to the operation of the Destroy when 3 years old.

Incentive Awards Program.

14.- Notifications of Personnel Actions.

Standard Form 50, documenting all indi-( - vidual personnel actions such as employ-ment, promotions, transfers, separation, exclusive of the copy in the OPF. I

a. Chronological file copies, including fact Destroy when 2 years old.

sheets, maintained in personnel offices.

b. All other copies maintained in personnel Destroy when 1 year old.

offices.

15. Employment Apolications.

Applications, including OF 612, resumes, and Destroy upon receipt of OPM any other application that an agency may inspection report or when 2 develop for unique jobs with specialized years old, whichever is earlier.

. requirements, and related records, EXCLUDING records relating to l appointments requiring Senatorial con- )

firmation and applications resulting in appointment which are filed in the OPF. l 7

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P ansmittal No. 7 General Records Schedule 1 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

16. Personnel Operations Statistical Reports.

Statistical reports in the operating personnel Destroy when 2 years old.

office and subordinate units relating to personnel.

17. Correspondence and Forms Files.

Operating personnel office records relating to individual employees not maintained in OPFs and not provided for elsewhere in this schedule.

a. Correspondence and forms relating to Destroy when action is com-pending personnel actions. plated.

b. Retention registers and related records.

(1) Registers and related records used Destroy when 2 years old.

to effect reduction-in-force actions.

(2) Registers from which no reduc- Destroy when superseded or tion-in-force actions have been obsolete.

taken and related records.

c. All other correspondence and forms. Destroy when 6 months old.

18. Supervisors' Personnel Files and Duplicate OPF Documentation.

a. Supervisors' Personnel Files.

Correspondence, forms, and other Review annually and destroy records relating to positions, superseded or obsolete docu-

, authorizations, pending actions, position ments, or destroy file relating to j descriptions, requests for personnel an employee within 1 year after

! action, and records en individual separation or transfer.

employees duplicated in or not appropriate for the OPF.

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i- Transmittal No. 7 General Records Schedule 1 L . August 1995 l:

l ITEM I

NQ. - DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Duplicate Documentation.

Other copies of documents duplicated in Destroy when 6 months old.

I OPFs not provided for elsewhere in this schedule,

19. Individual Non-Occupational Health Record f.llRA Forms, correspondence, and other records, Destroy 6 years after date of last including summary records, documenting an entry.

individual employee's medical history, physical condition, and visits to Government health facilities, for nonwork-related purposes, EXCLUDING records covered by item 21 of this schedule. ,

i 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 on Destroy 3 months after last statistical report, entry,

b. If information is not summarized. Destroy 2 years after last antry.

21. Emolovee Medical Folder (EMF).

l a. Long-term medical records as defir.ed in 5 CFR part 293, subpart E.

(1) Transferred employees. .See 5 CFR part 293, subpart E for instructions.

l 9

Transmittal No. 7 General Records Schedule 1 August 1995 ITEM N_Q. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (2) Separated employees. Transfer to National Personnel Records Center (NPRC), St.

Louis, MO,30 days after separation. NPRC will destroy 75 years after birth date of employee; 60 years after date of the earliest document in the folder, if the date of birth cannot be ascertained; or 30 years after latest separation, whichever is later,

b. Temporary or short-term records as Destroy 1 year after separation defined in the FPM. or transfer of employee.

c. IndividoM Employee Health Case Files Destroy 60 years after retirement crea' prior to establishment of the to FRC.

EMF system that have been retired to an FRC.

[ NOTE: Master files and data bases created in central data processing facilities to supplement or replace the records covered by item 21 are not authorized for disposal under the GRS. Such files must be scheduled on an SF 115.]

22. Statistical Summaries.

Copies of statistical summaries and reports Destroy 2 years after date of with related papers pertaining to employee summary or report.

health, retained by the reporting unit.

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

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Transmittal No. 7 General Records Schedule 1 l August 1995 L

' ITEM M~ DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION l

23.- Employee Performance File System Records

a. Non-SES appointees (as defined in 5 USC 4301(2)).  !

l (1) Appraisals of unacceptable Destroy after the employee l performanca, where a notice of completes 1 year of acceptable proposed demotion or removal is performance from the date of the issued but not effected and all written advance notice ~of related documents. proposed removal or reduction-in-grade notice.

(2) Performance records superseded Destroy when superseded.

through an administrative, judicial, I or quasi-judicial procedure.

(3) Performance-related records pertaining to a former employee.

(a) Latest rating of record 3 years Place records on left side of the old or less, performance plan OPF and forward to gaining upon which it is based, and Federal agency upon transfer or any summary rating. to NPRC if employee separates

' (see item ib of this schedule).

An agency retrieving an OPF from NPRC will dispose of these documents in accordance with item 23a(3)(b) of this schedule.

l (b) All other performance planc Destroy when 4 years old or and ratings. when no longer needed, whichever is sooner.

(4) All other summary performance Destroy 4 years after date of appraisal records, including perfor- appraisal.

mance appraisals and job elements and standards upon which they are based.

11 I u

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Transmittal No. 7 General Records Schedule 1 f August 1995 ITEM {

AUTHORIZED DISPOSITION M DESCRIPTION OF RECORDS (5) Supporting documents. Destroy 4 years after date of i appraisal or when no longer f needed, whichever is sooner. i

b. SES appointees (as defined in 5 USC 3132a(2)).

(1) Performance records superseded Destroy when superseded.

through an administrative, judicial, or quasi-judicial procedure.

(2) Performance-related records pertaining to a former SES appointee.

(a) Latest rating of record inat is Place records on left side of the less than 5 years old, OPF and forward to gaining performance plan upon which it Federal agency upon transfer or is based, and any summary to NPRC if employee leaves rating. Federal service (see item ib of this schedule). An agency retrieving an OPF from NPRC will dispose of those documents in accordance with item 23b(2)(b) of this schedule.

(b) All other performance ratings Destroy when 5 years old, or and plans. when no longer needed, which-ever is sooner.

(3) All other performance appraisals, Destroy 5 years after date of along with job elements and appraisal.

standards (job expectations) upon which they are based, EXCLUDING those for SES appointees serving on a Presidential appointment (5 CFR 214).

12 i

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Transmittal No. 7 General Records Schedule 1 1

\ August 1995 ITEM .

fiQ. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (4) Supporting documents. Destroy 5 years after date of appraisal or when no longer needed, whichever is sooner.

[ NOTE: Performance records pertaining to Presidential appointees are not covered by the GRS. Such records must be scheduled by submitting an SF 115 to NARA.)

24. Financial Disclosure Reports.

a. Reports and related documents submitted by individuals as required under the Ethics ir; Govemment Act of 1978 (PL 95-521).

(1) Records including SF 278A for Destroy 1 year after nominee individuals filing according to ceases to be under r' Section 201b of the Act, and not consideration for appointment;

( subsequently confirmed by the EXCEPT that documents U.S. Senate.

needed in an ongoing investigation will be retained until no longer needed in the investigation.

(2) All other records including SF Destroy when 6 years old; 278. EXCEPT that documents needed in an ongoing investigation will be retained until no longer needed in the investigation.

b. All other statements of employment and Destroy when 6 years old financial interests and related records, EXCEPT that documents including confidential statements filed needed in an ongoing under Executive Order 11222. investigation will be retained until no longer needed in the

! investigation.

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Transmittal No. 7 General Records Schedule 1 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

25. Eaual Employment Opportunity Records.

a. Official Discrimination Complaint Case Files.

Originating agency's file containing Destroy 4 years after resolution complaints with related correspon- of case.

dence, reports, exhibits, withdrawal notices, copies of decisions, racords of hearings and meetings, and other records as described in 29 CFR 1613.222. Cases resolved within the agency, by EEOC, or by a U.S. Court.

b. Copies of Complaint Case Files.

Duplicate case files or documents Destroy 1 year after resolution of pertaining to case files retained in case.

Official File Discrimination Complaint Case Files.

c. Preliminary and Background Files.

(1) Background records not filed in the Destroy 2 years after final Official Discrimination Complaint resolution of case.

Case Files.

(2) Records documenting complaints Destroy when 2 years old.

that do not develop into Official Discrimination Complaint Cases.

d. Compliance Records.

(1) Compliance Review Files.

I Reviews, background documents, Destroy when 7 years old.

and correspondence relating to contractor employment practices.

14

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t Transmittal No. 7.

General Records Schedule 1 g August 1995 ITEM

.EL DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (2) EEO Compliance Reports. Destroy when 3 years old,

e. Employee Housing Requests.

Forms requesting agency assistance in Destroy when 1 year old.

housing matters, such as rental or purchase.

f. Employment Statistics Files.

Employment statistics relating to race Destroy when 5 years old.

and sex.

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

g. EEO General Files.

General correspondence and copies of Destroy when 3 years old, or regulations with related records when superseded or obsolete, pertaining to the Civil Rights Act of whichever is applicable.

1964, the EEO Act of 1972, and any pertinent later legislation, and agency EE' Committee meeting records, including minutes and reports.

h. EEO Affirmative Action Plans (AAP).

(1) Agency copy of consolidated Destroy 5 years from date of AAP(s). plan.

(2) Agency feeder plan to consolidated Destroy 5 years from date of AAP(s). feeder plan or when adminis-trative purposes have been served, whichever is sooner.

(3) Report of on-site reviews of Destroy 5 years from date of I Affirmative Action Programs. report.

v 15

Transmittal No. 7 General Records Schedule 1 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (4) Agency copy of annual report of Destroy 5 years from date of Affirmative Action accom- report.

plishments.

26. Personnel Counselina Records.

a. Counseling Files.

Reports of interviews, analyses, and Destroy 3 years after termination related records. 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.

27. Standards of Conduct Files.

Correspondence, memoranda, and other Destroy when obsolete or records relating to codes of ethics and superseded.

standards of conduct.

28. Labor Manaaement 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 groups:

(1) Office negotiating agreement. Destroy 5 years after expiration of agreement.

(2) Other offices. Destroy when supersecied or obsolete.

16

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Trdnsmittil' No. 7 Ganarci Rscords Sch:dula 1 August 1995

[ 'i'lTEM' Vg DESCRIPTION OF RECORDS AUTHORIZED DISPOSIT!ON

b. Labor Arbitration General and Case Files.

Correspondence, forms, and back- Destroy 5 years after final ground papers relating to labor resolution of case, arbitration cases.

29.- dinina Records.

EXCLUDING records of formally established i schools which train agency employees in

! specialized program areas, such as law enforcement and national defense.

l a. . General file of agency-sponsored training, EXCLUDING record copy of manuals, syllabuses, textbooks, and other training aids developed by the agency.

(1) Correspondence, memoranda, Destroy when 5 years old or 5

j. agreements, author lzations, years after completion of a reports, requirement reviews, specific training program.

plans, and objectives relating to the establishment and operation of training courses and conferences.

,(2) Background and working files. Destroy when 3 years old.

b. Employee training.

Correspondence, memoranda, reports, Destroy when 5 years old or j and other records relating to the when superseded or obsolete, j availability of training and employee whichever is sooner.

participation in training programs sponsored by other govemment agencies or non-govemment institutions.

[ Note: Records excluded from this item must be scheduled by submission of an SF 115 to NARA. Reference copies of pamphlets, notices, catalogs and other records which provide information on courses or programs offered by Govemment or non-Govemment organiza-

. tions, previously included in the GRS, are nonrecord and may be destroyed when super-seded or obsolete.]

17 L

Transmittal No. 7 General Records Schedule 1 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

30. Administrative Grievance. Disciolinary. and Adverse Action Files.

a. Administrative Grievance Files (5 CFR 771).

Records relating to grievances raised by Destroy r.o sooner than 4 years agency employees, except EEO but no later than 7 years after complaints. These case fi;es include case is closed. (See note.)

statements of witnesses, reports of interviews and hearings, examiner's findings and recommendations, a copy of the original decision, related correspondence and exhibitt;, and records relating to a reconsideration request.

b. Adverse Action Files (5 CFR 752) and Performance-Based Actions (5 CFR 432).

Case files and records related to Destroy no sooner than 4 years adverse actions and performance-based but no later than 7 years after actions (removal, suspension, case is closed. [See note on reduction-in-grade, furlough) against next page.)

emplo a;9. The file includes a copy of the premed adverse action with supporting documents; statements of witnesses; employee's reply; hearing notices, reports, and decisions; reversal of action; and appeal records, EXCLUDING letters of reprimand which are filed in the OPF.

[ NOTE: The Office of Personnel Management has determined that agencies may decide how long, within the range of 4 to 7 years, grievance and adverse action files need to be retained. To implement this authority, each agency must select one fixed retention period, between 4 and 7 years, for the entire series of its closed cases. Agencies are not authorized to use different retention periods for individual cases. The agency should publish the chosen retention period in the Privacy Act notice for these records, the agency's records disposition manual, and any other issuance dealing with the disposition of these records.)

18 o

Transmittal No. 7 General Records Schedula 1 August 1995 ITEM-M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

31. Personal Iniury Files.

Forms, reports, correspondence, isnd related Cut off on termination i medical and investigatory records relating to compensation or when deadline on-the-job injuries, whether or not a claim for for filing a claim has passed.

compensation was made, EXCLUDING Destroy 3 years after cutoff.

copies filed in the Employee Medical Folder and copies submitted to the Department of Labor.

32. Merit Promotion Case File 3 Records relat .g to the promotion of an Destroy after OPM audit or 2 )

individual that document qualification years after the personnel action i standards, evaluation methods, selection is completed, whichever is l procedures, and evaluations of candidates. sooner.

33. Examinina and Certification Records.

Delegated agreements and related records created under the authority of 5 U.S.C.

1104 between the Office of Personnel Management and agencies, allowing for the examination and certification of applicants for employment.

a. Deler,ated agreements. Destroy 3 years after termination of agreement.

b. ~ Correspondence conceming Cut off annually. Destroy 1 year applications, eligibles certification, and' after cut off.

all other examining and recruiting operations including, but not limited to, correspondence from the Congress, White House, and general public, and .

correspondence regarding accommoda- l tions for holding examinations and shipment of test materials.

19

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Transmittal No. 7 General Records Schedule 1 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

c. Test material stock control.

Stock control records of examination Destroy when test is superseded test material including running inventory or obsolete.

of test materialin stock.

d. Application Record Card (OPM Form Cut off after examination.

5000A, or equivalent). Destroy no later than 90 days after cut off.

e. Examination Announcement Case Files.

Correspondence regarding examination Destroy 5 years after termination requirements, original drafts of of relater' register.

examination, and announcements issued EXCLUDING records concerning qualification standards, job specifications, and their development.

f. Register of eligibles (OPM Form 5001-C Cut off records on individu:&

or equivalent, documenting eligibility of with terminated eligibility an individual for Federal lobs). annually. Destroy 5 years after cutoff.

When entire register i; terminated, destroy 5 years after termination date. (Registecs established under case examining: Destroy after auott by local OPM service center oc 90 days after final action is taken on the certificate, whichever is sooner.)

g. Letters to applicants denying transfer of Cut off annually. Destroy 1 year eligibility (OPM Form 4896 or after cut off.

equivalent).

20

Transmittal No. 7 General Records Schedule 1

' . Q( )August 1995 ITEM HQ, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

n. Canceled and ineligible applications, ineligible applications may be re-supplemental forms, and turned to the applicant with the attachments. notice of ineligibility, unless otherwise directed by the local OPM area office. Destroy ineligible applications not retumed and canceled applications 90 days after date of action or when register is terminated, whichever is sooner. 3

1. Test Answer Sheets.

Written test answer sheets for both Destroy when 6 months old.  ;

t eligibles and ineligibles. Filed by date  !

l of processing.

l l (A) J. Lost or Exposed Test Material Case Files.

l Records showing the circumstances of Cut off files annually. Destroy 5 l loss, nature of the recovery action, and years after cut off.

corrective action required. i

k. Eligible applications.

(1) On active register. Destroy upon termination of the register (except applications that may be brought forward to new register, if any).

(2) On inactive register. Destroy 1-12 months after eligibles are placed on inactive register, depending on space availability and difficulty of replacing the application for restoration.

k 21

Transtr;ttal No. 7 General Records Schedule 1 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOS! TION

1. Request for prior approval of personnel Cut off annually. Destroy 1 year actions taken by agencies on such after cut off. ,

matters as promotion, transfer, reinstatement, or change in status, submitted by SF 59, OPM 648, or equivalent form.

m. Certificate Files.

SF 39, SF 39A, or equivalent, and all Cut off annually. Destroy 5 papers upon which the certification was years after cut off.

based: detailed rating schedule, record of selective and quality ranking factors used, list of eligibles screened for the vacancies, rating assigned, availability statements, and other documentation materia! designated by the examiner of retention. It is recommended that both the file copy and the audited report copy of ;he certificate be kept in this file.

Files should be arranged to permit reconstruction or validation of actions taken in the event of appeal or legal action.

n. Certification request control index. Cut off annually. Destroy 1 year after cut off.

o. Interagency Placement Program (IPP) Destroy upon expiration of application and registration sheet. employee's DEP eligibility.

p. DEP control cards, if maintained. Cut off annually. Destroy 2 years after cut off.

q. Reports of audits of delegated Destroy 3 years after date of the examining operations. report.

l 22

I Transmittal No. 7 General Records Schedule 1 I n August 1995' ITEM NQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l 34. Occupational Injury and illness Files.

II l

Reports and logs (including OSHA Forms Destroy when 5 years old. ,

100,101,102, and 200, or equivalents) '

maintained as prescribed in 29 CFR 1960 i and OSHA pamphlet 2014 to document all l recordable occupational injuries and illnesses for each establishment.

! 35. Denied Health Benefits Reauests Under Spouse Eaulty Denied eligibility files consisting of applications, court orders, denial letters, appeal letters, and related papers. [See note on next page.]

a. Health benefits denied, not appealed. Destroy 3 years after denial.

l l

O b. Health benefits denied, appealed to OPM for reconsideration.

l (1) Appeal successful - benefits Create enrollment file in l- granted, accordance with Subchapter S17 of the FEHB Handbook.

-(2) Appeal unsuccessful- benefits Destroy 3 years after denial.

denied.

L

[ Note: Pursuant to Subchapter S17 of the FEHB Handbook enrollment files of spouses )

eligible for benefits are transferred to OPM when former spouse cancels the enrollment,  !

when enrollment is terminated by the employing office, or when former spouse begins l g receiving an annuity payment.)

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l L nsmittal No. 7 General Records Schedule 1 i August 1995 ITEM N_1 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION I 1

36. Federal Workolace Druo Testino Prooram Files.

Drug testing program records created under Executive Order 12564 and Public Law 100-71, Section 503 (101 Stat. 468),

EXCLUDING consolidated statistical and narrative reports concerning the operation of agency programs, including annual reports to Congress, as required by Public Law 100-71, S 503(f).

This authorization does not apply to oversight program records of the Department of Health and Human Services, the Office of Personnel Management, the Office of Management and Pudget, the Office of National Drug Control F ' icy, and the Department of Justice.

a. Drug test plans and procedures, EXCLUDING documents that are filed in record sets of formal issuances (directives, procedures handbooks, operating manuals, and the like.)

Agency copies of plans and procedures, Destroy when 3 years old or with related drafts, correspondence, when superseded, obsolete, or memoranda, and other records no longer needed, whichever is pertaining to the development of later. [See note (2).)

procedures for drug testing programs, including the determination of testing incumbents in designated positions.

24

Transmittal No. 7 General Records Schedule 1 August 1995 ITEM HQ- DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Employee acknowledgement of notice forms.

Forms completed by employees whose Destroy when employee ,

positions are designated sensitive for separates from testing-drug testing purposes acknowledging designated position. [See note that they have received notice that they (2).]

may be tested.

I

c. Selection / scheduling records. I Records relating to the selection of Destroy when 3 years old. [See i specific employees / applicants for testing note (2).]

and the scheduling of tests. Included are lists of selectees, notification letters, and testing schedules.

d. Records relating to the collection and handling of specimens.

(1) " Permanent" Record Books.

Bound books containing identifying Destroy 3 years after date of last data on each specimen, recorded entry. [See note (2).]

at each collection site in the order in which the specimens were t collected.

(2) Chain of custody records.

]

Forms and other records used to Destroy when 3 years old. [See maintain control end accountability note (2).]

of specimens from the point of collection to the final disposition of l

the specimen.

25

Trrnsmittal No. 7 Gen:rcl R: cords Sch:dula 1 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

e. Test results.

Records documenting individual test results, including reports of testing, notifications of employees / applicants and employing offices, and documents relating to follow-up testing.

(1) Positive results. Disposition not authorized.

(2) Negative results. Destroy when 3 years old.

[ NOTES: (1) Disciplinary action case files pertaining to actions taken against employees for drug use, drug possession, failure to comply with drug testing procedures, and similar matters are covered by GRS 1, item 30b, which authorizes destruction of records between 4 and 7 years after the case is closed. (2) Any records covered by items 36 a-e that arr relevant to litigation or disciplinary actions should be disposed of no earlier than the rela'ad litigation or adverse action case file (s).]

37. Donated Leave Proaram Case Files.

Case files documenting the receipt and Beginning in January 1994, donation of leave for medical emergencies, destroy 1 year after the end of including recipient applications, agency the year in which the file is approvals or denials, medical or physician closed, certifications, leave donation records or OF 630-A, supervisor / timekeeper approvals, leave transfer records, payroll notification records, and leave program termination records.

38. Waae Survey Files.  ;

i Wage survey reports and data, background Destroy after completion of l documents and correspondence pertaining to second succeeding wage )

area wages paid for each employee class; survey. l background papers establishing need, j authorization, direction, and analysis of wage surveys; development and implementation of  ;

wage schedules; and request for an authori- '

zation of specific rates (excluding authorized wage schedules and wage survey )

recapitulation sheets).  !

I 26

Transmittal No. 7 General Records Schedule 1

' August 1995 ITEM

& DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

39. Mtirement Assistance Files.

Correspondence, memoranda, annuity Destroy when 1 year old.

estimates, and other records used to assist retiring employees or survivors claim )

insurance or retirement benefits.

40. Handicaooed Individuals Accointment Case Eile.1 Case files containing position title and Destroy 5 years following the description; fully executed SF 171; medical date of approval or disapproval j examiner's report; a brief statement of each case.

explaining accommodation of impairment; and other documents related to previous 9ppointment, certification, and/or acceptance or refusal, created in accordance with l O Federal Personnel Manual, chapter 306-11, subchapter 4-2.

41. Pav Comparability Records.

Written narratives and computerized Destroy after 3 subsequent transaction registers documenting use of reports have been filed.

retention, relocation and recruitment bonuses, allowances, and supervisory differentials under Federal Employees Pay Comparability Act.

O 27

Transmittal No. 7 General Records Schedule 2 August 1995 GENERAL RECORDS SCHEDULE 2 Payrollina and Pav 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 (Standard Form 2806 or equivalent) that are maintained during employee duty and then transferred to the Office of Personnel Management; (b) files maintained in agency space for audit by the General Accounting Office under 31 U.S.C. 3529(c); (c) records relating to tax withholding, savings bonds, fidelity bonds, or other records held by the appropriate units of the Treasury Department responsible for the related Government-wide programs; and (d) Office of Management and Budget files reflecting agency personnel needs and problems. NARA must be consulted for any records created prior to January 1,1921 before applying these disposition instructions.

Documents 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 unless the agency concerned has written approval of the Comptroller General, as required by 44 U.S.C. 3309. Most Federal civilian pay accounts are prepared and maintained in accor-dance with Title 6 - Pay, Leave, and Allowances and incorporated in the GAO Policy and Procedures Manual for Guidance of Federal Agencies.

In the payrolling process different types of records are accumulated. Under Title 6 of the GAO Manual these records are normally site-audited on a sample basis by GAO r9presen-tatives who examine primarily the earnings record card, payroll change slips that are prepared to document changes in normal pay, certification sheets containing the signatures of the certifying officer, checklists prepared in lieu of the more formal payrolls by Depart-ment of the Treasury or local disbursing pesonnel, source personnel documents such as basic time and attendance reports, and copies of personnel action forms documenting changes in pay. In addition, pay registers and other accounting devices are maintained to check and balance the accounts.

All payroll systems require the maintenance of a leave record used to submit data to the payroll system. Information is posted to this record from more detailed records kept by time and attendance clerks located throughout an agency. . Depending on the type of system in operation, this leave record may be a hard-copy input form or it may be a wholly electronic input. l Other records incidental to the payrolling process are employee requests for tax withhold-

_ ing; employee requests for Thrift Savings Plan deductions; savings bond records; and

Transmittal No. 7 General Records Schedule 2 August 1995 other records not pertaining to individuals, but rather to the general administration of the payrolling office and the payrolling function.

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Payroll

1. Individual employee Day record.

a. Pay record for each employee as main- Update elements and/or entire tained in an electronic data base. This record as required.

database may be a stand-alone payroll system or part of a combined person-net / payroll system.

b. Individual Pay Record, containing pay Transfer to National Personnel data on each employee within an agen- Records Center. Destroy when cy. This record may be in paper or mi- f6 years old.

croform but not in machine readable form.

2. Non-current oavroll files.

Copy of noncurrent payroll data as main- Destroy 15 years after close of tained by payroll service bureaus in either pay year in which generated.

microform or machine-readable form.

Items 3 through 5. Reserved.

Time and Attendance I 6. Leave application files.

l SF 71 or equivalent plus any supporting doc-i umentation of requests and approvals of leave.

2

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! Transmittal No. 7 General Records Schedule 2 l' August 1995 1

ITEM fiQ. QESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l

l_ a. If employee initials time card or equiva- Destroy at end of following pay j lont. period.

l b. If employee has not initialed time card or Destroy after GAO audit or when I

equivalent. 3 years old, whichever is sooner.

7. Time and attendance source records.

All time and attendance records upon wnich - Destroy after GAO audit or when leave input data is based, such as time or 6 years old, whichever is sooner.

sign-in sheets; time cards (such as OF 1130);

flexitime records; leave applications for jury

! and military duty; and authorized premium l pay or overtime, maintained at duty post, up-L on which leave input data is based. Records may be in either machine-readable or paper form.

l 8. Time and attendance inout recordt.

l Records in either paper or machine readable Destroy after GAO audit or when form used to input time and attendance data 6 years old, whichever is sooner.

into a payroll system, maintained either by agency or payroll processor.

9. Leave record.

a. Record of employee leave, such as File on right side of OPF. See SF 1150, prepared upon transfer or sep- GRS 1, item 1.

aration.

b. Creating agency copy, when maintained. Destroy when 3 years old.

Items 10 through 12. Reserved.

3

Transmittal No. 7 General Records Schedule 2 August 1995 ITEM DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION N_Q Deductions. Allotments. and Electronic Funds Transfers

13. Tax files.

a. Employee withholding allowance certifi- Destroy 4 years after supersed-cate such as IRS Form W-4 and state ed or obsolete or upon separa-equivalents. tion of employee.

b. Agency copy of employee wages and tax Destroy when 4 years old.

statements, such as IRS Form W-2 and state equivalents, maintained by agency or payroll processor.

Agency copy of employer reports of Fed- Destroy when 4 years old.

eral tax withheld, such as IRS Form W-3, with related papers including re-ports relating to income and social se-curity tax, and state equivalents, main-tained by agency or payroll processor.

14. Savinas Bond Purchase files,

a. U.S. Savings Bond Authorization, Destroy when superseded or SF 1192 or equivalent. after separation of employee.

b. Bond registration files: is' ling agent's Destroy 4 months after date of copies of bond registratu;n stubs. issuance of bond.

c. Bond receipt and transmittal files: re- Destroy 4 months after date of ceipts for and transmittals of U.S. Sav- issuance of bond.

ings Bonds.

15. Combined Federal Campaian and other allot-ment authorizations.

a. Authorization for individual allotment to Destroy after GAO audit or when the Combined Federal Campaign. 3 years old, whichever is sooner.

ITEM 4

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Transmittal No. 7 General Records Schedule 2 August 1995

.E DESCRIPTION OF RECORDJ AUTHORIZED DISPOSITION

' b. Other authorizations, such as union dues Destroy after GAO audit or when and savings. 3 years old, whichever is sooner.

16. ' Thrift Savinas Plan Election Form.

1 i Form TSP-1 authorizing deduction of employ- Destroy when superseded or

. es contribution to the Thrift Savings Plan. after separation of employee.

17. Direct Deposit Sian-up Form (SF 1199A). Destroy when superseded or after separation.

18. Lew and Garnishment Files.

Official Notice of Levy or Garnishment (IRS Destroy 3 years after garnish-Form 668A or equivalent), change slip, work ment is terminated.

papers, correspondence, release and other forms, and other records relating to chnge against retirement funds or attachment of sal-ary for payment of back income taxes or oth-er debts of Federal employees.

Items 19 through 21. Reserved.

1 Payroll Administration

22. Payroll system reports.

a. Error reports, ticklers, system operation Destroy when related actions are reports. completed or when no longer needed, not to exceed 2 years.

l- b. Reports and data used for agency work- Destroy when 2 years old.

! load and or personnel management pur-l poses.

c. Reports providing fiscal information on Destroy after GAO audit or when agency payroll. 3 years old, whichever is sooner.

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Transmittal No. 7 General Records Schedule 2 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

23. Payroll chanae files.

Records used to direct a change or correc-tion of an individual pay transaction whether created and maintained by paying agency or payroh processor,

a. Copies subject to GAO audit. Destroy after GAO audit or when 3 years old, whichever is sooner.

b. All other copies. Destroy 1 month after end of related pay period.

24. Payroll correspondence.

Correspondence between agency and payroll Destroy when 2 years old.

processor regarding general, routine adminis-trative issues that do not relate to individual payments.

Items 25 through 27. F.eserved.

Retirement

28. Retirement files.

Reports, registers, or other control docu- For CSRS/FERS related records, ments, and other records relating to retire- destroy upon receipt of official ment, such as SF 2807 or equivalent. OPM acceptance of annual sum-mary.

O e

Transmittal No. 7 General Records Schedule 3 O(_/ August 1995 GENERAL RECORDS SCHEDULE 3, Procurement. Supply and Grant Records Agency procurement and supply records document the acquisition of goods and non-personal 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 purchases to complicated prime contractor and subcontractor operations.

Any records created prior to 1895 must first be offered to the National Archives and Records Administration for appraisal before applying the disposal instructions. Frequently copies of procurement papers become integral parts of the other files in the agency, such as project files of various types or general subject files pertaining to program operations; such copies are not covered by this schedule because they cannot be considered and evaluated separately from the files of which they are a part.

The General Accounting Office no longer requires agencies to maintain a separata file of contracts for site audit. The agency contract files maintained in the contracting officer's omco are accessible to GAO auditors and have generally been used by them in the past.

When a claim is filed by or against the Govemment, records relating to the claim should be retained without regard to the otherwise applicable records retention schedules which would have authorized destruction of the records prior to the time when the claim is finally resolved unless the agency has received written approval from the General Accounting ,

Office (44 U.S C. Section 3309 and 62 Corap. Gen. 42 (1982)). A claim is finally  !

resolved: (1) when it is disallowed and the time for appealing the denial or instituting' suit on the claim has expired; or (2) when it is allowed and paid or the amount offered in compromise is accepted and paid; or (3) when the amount found due and owing . proves  !

uncollectible because time limits for collecting the indebtedness through legal proceedings or by way of setoff have expired.

l l

Records documenting procurement and supply in the agencies are largely standardized by various regulations of the Comptroller General and the Administrator of General Services. The physical arrangement of the transaction files themselves differs in the various agencies, however. In all agencies the official contract files, for example, conta!n i a minimum core of specified documents, but there are also other documents that vary in accordance with what the individual agency deems to be best for its own operating purposes.

The key procurement file is the transaction case file containing tne formal contract or

. \. informal purchase order or lease instruments and all related papers. The documents

General Records Schedule 3 j Transmittal No. 7 August 1995 flowing into the transaction file differ in detail, but they include, in addition to the purchase document, specifications, bids, schedules of delivery, the initiating 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 of the agency procurement organization.

I Other files related to the procurement and supply function include reports used for supply 1

f management purposes by the agency creating the records as well as the staff agency involved with Governmentwide programs. They also include local requisition and stock inventory files and other minor supply papers. Of a specialized character in the procure-ment field are the title papers documenting the acquisition of real property (by purchase, condemnation, donation, exchange, or otherwise). These papers are required by the Government as long as the property remains in Government hands or if k has been sold or released -- conditionally or with recapture clauses. When properties are disposed of by quitclaim deeds, this fact should be confirmed prior to the disposal of title phpers, since the title evidence might be r,eeded by the Government to defend the title in the event the prcperties were disposed of by deeds containing general or special warranties.

It should also be ascertained that the title evidence relates only to the properties which were sold by the Government. In many instances, lands acquired by the Government are disposed of in different size parcels, and if the Government retains the title to any portion the title evidence should be retained.

This schedule does not apply to Interior Department records relating to the public domain or to the title opinion files of the Department of Justice.

This schedule includes some of the common agency records relating to grant progrems.

Since many Federal agencies conduct grant programs which document erojects contract-ed between the agency and an outside party, these records are included a.s an adjunct to the procurement and supp!y records.

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

2 L

I Transmittal No. 7. General Records Schedule 3 d August 1995-ITEM jiQ. DESCRIPTION OF RECORDS AUTH9RIZED. DISPOS! TION

1. Real Property Files.

Title papers documenting the acquisition of real property (by purchase, condemnation, donation, exchange, or othenvise),

excluding records relating to propedy acquired prior to January 1,1921.

a. Records relating to property acquired Dispose 10 years after after December 31,1920, other than unconditional sale or release by

! abstract or certificate of title. the Govemment of conditions, l restrictions, mortgages or other liens.

b. Abstract or certificate of title. Transfer to purchaser after unconditional sale or release by l

the Govemment of conditions, restrictions, modgages, or other liens.

[ Note: Records relating to propedy acquired prior to January 1,1921, are not covered by

! the GRS and must be scheduled by submission of an SF 115 to NARA.]

2. General Correspondence Files.

Correspondence files of operating Cestroy when 2 years old.

procurement units conceming intamal operation and administration matters not covered elsewhere in this schedule, j l

l 1

Transmittal No. 7 General Records Schedule 3 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

3. Routine Procurement Files.

Contract, requisition, purchase order, lease, and bond and surety records, including correspondence and related papers pertaining to award, administration, receipt, inspection and payment (other than those covered in items 1 and 12). [See note on following page.]

a. Procurement or purchase organization copy, and related papers.

(1) Transactions of more than $25,000 Destroy 6 years and 3 months and all construction contracts after final payment.

exceeding $2,000.

(2) Transactions of $25,000 or less and Destroy 3 years after final construction contracts under $2,000. payment.

b, Obligation copy. Destroy when funds are obligated

c. Other copies of records described above Destroy upon termination or used by component elements of a completion.

procurement office for administrative purposes.

d. Data Submitted to the Federal Destroy or delete when 5 years Procurement Data System (FPDS). old.

Electronic data file maintained by fiscal year, contaiaing unclassified records of all procurements, other than small purchases, and consisting of information required under 48 CFR 4.601 for transfer to the FPDS.

4

Transmittal No. 7 General Records Schedule 3 August 19W5

[ NOTE: Unique procurement files, previously described in GRS 3, item 1, are not covered by this schedule. With the standardization of the Govemmentwide procurement process under the Federal Acquisition Regulations, such files are unlikely to exist.

However, if an agency believes that a procurement file that has long-term research value, the records officer should submit an SF 115.]

ITEM NQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

! 4. Sucoly Manaaement Files.

Files of reports on supply requirements and I l' ' procurement matters submitted for supply management purposes (other than those incorporated in case files or other files of a general nature), exclusive of Department of I Defense Reports reflecting procurement under exemptions authorized under Section 201(a) of the Federal Property and Administrative Services Act of 1949 (40 U.S.C. 481).

i

a. Copies received from other units for Destroy when 2 years old.

Internal purposes or for transmission to l staff agencies.

l

b. Copies in other reporting units and Destroy when 1 year old.

related working documents.

]

5. Solicited and Unsolicited Bids and I Proposals Files. I

a. Successful bids and proposals. - Destroy with related contract case files (see item 3 of this schedule).

I i

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l Transmittal No. 7 General Records Schedule 3 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Solicited and unsolicited unsuccessful bids and proposals.

(1) Relating to small purchases as Destroy 1 year after date of defined in the Federal Acquisition award or final payment, Regulation,48 CFR Part 13. whichever is later.

(2) Relating to transactions above the small purchase limitations in 48 CF7 Part 13.

(a) When filed separately from Destroy when related contract is contract case files. completed.

(b) When filed with contract Destroy with related contract case files. case file (see item 3 of this schedule).

c. Canceled solicitations files.

(1) Formal solicitations of offers to Destroy 5 years after date of provide products or services (e.g., cancellation.

Ilivitations for Bids, Requests for Proposals, Requests for Quotations) which were canceled prior to award of a contract. The files inCPJde presolicitation documentation on the requirement, any offers that were opened prior to the cancellation, 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 bidders. Destroy when superseded or obsolete.

6

,(

• Transmittal No. 7 General Records Schedule 3 August 1995 ITEM N_Q DESCRIPTION & RECORDS AUTHORIZED DISPOSITION

6. Public Printer FNss.

Records relating to requisitions on the Printer, and all supporting papers.

a. Printing procurement unit copy of Destroy 3 years after completion requisition, invoice, specifications, and or cancellation of requisition, related papers.

b. Accounting copy of requisition. Destroy 3 years after period covered by related account.

7. Noncersonal Reauisition File.

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

as duplicating, laundry, binding, and other services (excluding records associated with

(

accountable officers' accounts (Schedule 6).

8. Inventory Reauisition File.

Requisitions for supplies and equipment for current inventory.

a. Stockroom copy. Destroy 2 years after completion or cancellation of requisition.

b. All other copies. Destroy when 6 months old.

9. Inventory Files.

a. Inventory lists. Destroy 2 years from date of list.

l l\ 7

Transmittal No. 7 General Records Schedule .3 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Inventory cards. Destroy 2 years after discontinuance of item,2 years after stock balance is transferred to new card or recorded under a new classification, or 2 years after equipment is removed from agency control.

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

Telephone statements and toll slips. Destroy 3 years after period covered by related account.

11. Contractors' Payroll Files.

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

12. Tax Exemption Files.

Tax exemph mrtificates and related Destroy 3 years after period papers. covered by related account.

13. Unsuccessful Grant Acolication Files.

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

withdrawn) applications.

8 l

l

' Transmittal No.- 7 General Records Schedule 3 August 1995 ITEM NQ, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITJ.QH

- 14. Grant Administrative Files.

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

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

[ Note: Grant case files, which include accepted applications among many other documents, substantive correspondence and subject files relating to grant programs, and final product files, cannot be scheduled in the GRS. The types and significance of grarit programs and the contents of the files vary, so no single disposition can be applied to the files on a Govemmentwide basis. To schedule these records, agencies must submit an SF 115 to NARA.]

15. Contract Appeals Case Files.

Contract appeals case files arising under O the Contracts Dispute Act, consisting of notices of appeal and acknowledgements 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.

a. Records created prior to October 1, Destroy 6 years, 3 months after 1979. final action on decision.

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

9

Transmittal No. 7 General Records Schedule 3 August 1995 ITEM HQ, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

18. Contractor's Statement of Continaent or Other Fees.

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

contract case file and maintained for enforcement or report purposes.

17. Small and Disadvantaaed Business Utilization Files.

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

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

O i

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Transmittal No. 7 General Records Schedule 4 O August 1995 GENERAL RECORDS SCHEDULE 4 Property Disposal Records These records pertain to the sales by agencies of real and personal property surplus to the needs of the Government. The act creating the General Services Administration trans-ferred to the new agency the functions of the former War Assets Administration relating to property disposition. This schedule is not applicaole to transaction or policy files created by the General Services Administration and predecessor agencies, to records in the Department of the Interior relating to the public domain, and to records relating to overseas property under Department of State control. Any surplus property transaction files dated prior to the establishment of the former Procurement Division of the Dspartment of Treasury in 1933 must be offered to the National Archives and Records Administration for I appraisal before applying these disposition instructions.

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 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, other notices of sale, invoices, and sales slips,

b. Standard Forms 120, Report of Excess Personal Property, and 121, Quarterly 1 Report of Utilization and Disposal of Excess and Surplus Personal Property. Agencies use SF 120 to report excess personal property to the regional General Services Administration i offices, which initiate _ screening action. The quarterly reports are submitted to the Office of  !

Property Management, Office of Federal Supply and Services, General Services Adminis-tration, which consolidates the data. ,

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

O

Transmittal No. 7 General Records Schedule 4 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Property Discoual Correspondence Files.

Correspondence files maintained by units Destroy when 2 years old.

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

i

2. Excess Personal property Reports. Destroy when 3 years old.

3. Surplus Property Case Files.

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

a. Transactions of more than $25,000. Destroy 6 years after final pay-ment. '

b. Transactions of $25,000 or less. Destroy 3 years after final pay-ment.

4. Real Property Files.

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

architect's sketches, working diagrams, pre-liminary drawings, blueprints, master trac-ings, utility outlet plans, equipment location plans, specifications, construction progress photographs, inspection reports, building and equipment management and mainte-nance records, allowance lists, and dupli-cate copies of title papers, provided (a) that the records can be segregated without harm 2

Transmittal No. 7 General Records Schedule 4 August 1995 l ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

, to other documents of enduring value, (b) l that no responsibility attaches to the Gov-ernment because of disagreement between l the transferred documents and the physical condition of the property at the time of con-voyance, and (c) that if the property is re-leased for historical use or purpose the user agrees to retain them and retum them to the Federal Governmsat immediately upon the discontinuance of its use for historical pur-poses.

[ Note: Case files on the disposal of surplus real and related personal property and excess real property reports are not covered by the GRS because some of these files may have I long-term legal value. Agencies must schedule these series by submitting an SF 115 to NARA.]

\

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J l

l.

3 l i L

Transmittal No. 7 General Records Schedule 5

- August 1995 GENERAL RECORDS SCHEDULE S Budaet Preparation. Presentation. and Appodionment Records Budget and apportionment records include the various files accumulated in an agency in the course of formulating its budget for suomission to the Office of Management and Budget (OMB) and to the Congress; in defending its requests for funds before both bodies; and after enactment of an appropriation bill, in ensuring that the funds are used in such a way as to suffice for the appropriate period of time. The funds are made avellable to the agency by 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' accounts (Schedule 6).

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

Agency budget records are normally created at alllevels of agency organization. They show proposals from all operating levels as well as the bureau-wide and agencywide coordinating work done by formally organized budget offices. Therefore the records consist of detailed workpapers and budgetary statements developed by single operating units, the more significant budget statements and related papers representing consolidated submissions prepared at the bureau or equivalent level and forwarded to the agency budget officer, and the records at the highest level pedaining to the budget submission for the entire agency.

The nature of the budget presentation itself is standardized by OMB which prescribes format and procedures for all Federal agencies. However, the intemal reports and papers which support the budget an'd are used in its preparation vary from agency to agency. The budget submission, a record copy of which is usually designated by the agency, is a duplicate of the set of papers submitted to OMB. These include summary statements of appropriations and expenditures, statements of contract authorizations, and statements of receipts as well as narrative summary statements which highlight the principal features of the agency requests and immediately related supporting documents. The narrative presents the policies and the programs of the agency which the budgetary requests are to support. In addition to the summaries, the submission includes schedules of obligations and statements pertaining to each type of appropriation and fund under which the Q

individual agency operates.' Finally, OMB requires additional supporting data pertaining to objects of expenditure, particular agency programs, and figures based on the cost of various type of service operations, such as personnel and payrolling activities.

P I

I Transmittal No. 7 General Records Schedule 5 August 1995 All records described in this schedule are authorized for disposal in both hard copy and '

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

I I

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Budaet Correspondence Files.

Correspondence files in formally organized Destroy when 2 years old.

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

2. Budaet Backaround Records.

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

duplicates of budget estimates and justifications and related appropriation language sheets, narrative statements, and related schedules; and originating offices' l

l copies of reports submitted to budget offices.

l 3. Budaet Reports Files.

l Periodic reports on the status of appropriation accounts and apportionment.

a. Annual report (end of fiscal year). Destroy when 5 years old.

b. All other reports. Destroy 3 years after the end of the fiscal year.

O 2

Transmittal No. 7 General Records Schedule 5 August 1995 V ITEM

& D_ESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Budaet Accortionment Files.

Apportionment and reapportionment Destroy 2 years after the close schedules, proposing quarterly obligations of the fiscal year.

under each authorized appropriation.

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

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

-Budget estimates and justifications of formally organized budget offices at the bureau (or equivalent) or higher organizational level. Depending on agency recordkeeping practices and pattoms of documentation, these records may have archival value and must be scheduled by submitting an SF 115 to NARA.]

O 1

0 3 i i

L Transmittal No. 7 General Recurds Schedule 6 August 1995 GENERAL RECORDS SCHEDULE 6 l

l Accountable Omcers Accounts Records l

i This general schedule covers accountable officers' retums and related records, including records under the cognizance of the General Accounting Office (GAO). This schedule does not apply to the cooles of schedules and related papers held by the Chief Disbursing Cificer of the Treasury. Any records created prior to January 1,1921, must he offered to the National Archives and Records Administration before applying these disp Wtion instructions.

Accountable othcers' accounts include record copies of all records concemed with the

accounting for, availability, and status of public funds. There are several types of

! " accountable omcers," such as: (a) the collecting omcer, who receives monies owed to the Fed 3ral Govemment and ensures that it is credited to the proper account; (b) the l disbursing officer who is responsible for providing documentation to GAO since he/she accomplishes the actual payment of public monies to proper Federal creditors; and (c) the certifying officer, whose signature on a summary attests to the authenticity of vouchers listed on the schedule.

Disbursements for most civilian Govemment agencies are made by the Chief Disbursing Officer of the Treasury,~ who heads the Division of Disbursement of the Bureau of '

Govemment Financial Operations within the Treasury Department. Since July 1949, disbursements have been made for most agencies on the basis of certified schedules, with i the detailed vouchers transferred to GAO from the agency or held in agency space if a site l audit was involved. This procedure was extended and confirmed by GAO General l

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 of vouchers of the Chief Disbursing Officer.

This schedule includes records held for onsite audit by GAO, as described in item 1a '

below. Under onsite audit, vouchers, contracts, schedules, statements of transactions and l accountability, and other related supporting documents are retained in agency space for GAO auditors. Section 5 of the Post Office Department Financial Control Act of 1950 and Section 117(b) of the Budget and Accounting Procedures Act of 1950 (whenever the Comptroller General determines that an audit shall be conducted at the site) require agencies to retain these records, which are under GAO cognizance. GAO has given general authority to the agencies, if the records are no longer required for administrative purposes, to transfer all audited records and any unaudited records more than 1 full fiscal year old to Federal records centers. However, to transfer unaudited acccuntable officers' 1

.O accounts Management, lessGAO.than onethe Because year old, records permission previously must transferred beareobtained to GAO retained in from the ;D

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

Records relating to the availability, collection, and custody of funds include (1) the appropriation warrants, (2) other documents that deposit funds into the Treasury, and (3) documents that provide accountable officers with status reports on funds in their custody, such as the proofs of depository account and statements of funds to their credit. Agency copies of these deposit and status documents are so intimately related to the accounts of these officers that they are included in this schedule. The copies received by the Fiscal Service of the Treasury Department are not covered by this schedule and are provided for in separate schedules.

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

ITEM NO. DESCRIPTlON OF RECORDS AUTHORIZED DISPOSITION

1. Accountable Officers' Files.

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

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

Transmittal No. 7 General Records Schedule 6 August 1995 ITEM

& DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION records. These records document only the basic financial transaction, money roceived i and money paid out or deposited in the course of operating the agency. All copies exceot the certified payment or collection copy, usually the original or ribbon copy, and all additional or supporting documentation not

' involved in an integrated system are covered by succeeding items in this schedule.

Sita audit records include, but are not limited to, the Standard and Optional Forms listed below. Also included are equivalent agency forms which document the basic financial transaction as described above.

'SF 215 Deposit Ticket SF 224 Statement of Transactions SF 1012 Travel Voucher SF 1034 Public Voucher for Purchases and Services Other Than Personal SF 1036 Statement of Certificate and Award SF 1038 Advance of Funds Application l and Account SF 1047 Public Voucher for Refunds SF 1069 Voucher for Allowance at Foreign Posts of Duty  ;

SF 1080 Voucher for Transfer Between Appropriations and/or Funds SF 1081 Voucher and Schedule of -

Withdrawals and Credits SF 1096 Schedule of Voucher Deductions SF 1097 Voucher and Schedule to Effect Correction of Errors 3

Transmittal No. 7 General Records Schedule 6 August 1995 ITEM NO, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION SF 1098 Schedule of Canceled Checks SF 1113 Public Voucher for Transportation Charges SF 1129 Reimbursement Voucher SF 1143 Advertising Order SF 1145 Voucher for Payment Under Federal Tort Claims Act SF 1154 Public Voucher for Unpaid Compensation Due a Deceased Civilian Employee SF 1156 Public Voucher for Fees and Mileage SF 1164 Claim for Reimbursement for Expenditures on Official Business SF 1166 Voucher and Schedule of Payments SF 1185 Schedule of Undeliverable Checks for Credit to Govemment l

Agencies SF 1218, Statement of l Accountability (Foreign Service l Account) l SF 1219 Statement of Accountability SF 1220 Statement of Transactions According to Appropriation, Funds, and Receipt Accounts SF 1221 Statement of Transactions l According to Appropriation, l

Funds, and Receipt Accounts (Foreign Service Account)

OF 1114 Bill of Collection OF 1114A Official Receipt OF 1114B Collection Voucher 1

4

l O Transmittal No. 7 August 1995 General Records Schedule 6 I

ITEM NQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Memorandum copies of accountable Destroy when 1 year old.

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

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

2. GAO Exceptions Files.

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

correspondence.

3. Certificates Settlement Files.

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

i

a. Certificates covering closed account Destroy 2 years after date of  !

settlements, supplemental settlements, settlement.

and final balance settlements.

i

b. Certificates covering period settlements. Destroy when subsequent certificate of settlement is received.  ;

5

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

4. General Fund Files.

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

custody, and deposit of funds including appropriation warrants and certificates of deposit, other than those records covered by item 1 of this schedule.

5. Accountino Administrative Files.

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

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

management purposes.

b. All other files. Destroy when 3 years old.

6. Federal Personnel Surety Bond Files.

a. Official copies of bond and attached powers of attorney.

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

(2) Bonds purchased after Destroy 15 years after end of J December 31,1955. bond premium period. I I

b. Other bond files including other copies Destroy when bond becomes of bonds and related documents. inactive or after the end of the bond premium period.

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Transmittal No. 7 General Records Schedule 6 August 1995 -

ITEM l MQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

7. Gasoline Sales Tickets.

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

i

8. Telephone Toll Tickets.

!' Originals and copies of toll tickets filed in Destroy after GAO audit or when l

support of telephone toll call payments. 3 years old, whichever is sooner.

9. Telearams.

l Originals and copies of telegrams filed in Destroy after GAO audit or when i

support of telegraph bills. 3 years old, whichever is sooner.

i 10. Administrative Claims Files.

a. Claims against the United States._ Destroy when 6 years,3 months Records relating to claims against the old.

United States for moneys that have been administratively (1) disallowed in

< full or (2) allowed in full or in part, and final payment of the amount awarded, EXCLUDING claims covered by l subitem c. below.

! b. Claims by the United States subject to l the Federal Claims Collection Standards l

and 28 U.S.C. 2415 or 31 U.S.C.

[, 3716(c)(1).

Records relating to claims for money or property that were administratively determined to be due and owing to the ,

United States and that 6re subject to the Federal Claims Collection Standards (4 CFR Chapter ll), EXCLUDING claims l covered under subitem c. below.

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I Transmittal No. 7 General Records Schedule 6 August 1995 I

I ITEM AUTHORIZED DISPOSITION M DESCRIPTION OF RECORDS l

l (1) Claims which were paid in full or by Destroy when 6 years,3 months means of a compromise agreement old, pursuant to 4 CFR Part 103.

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

Destroy 10 years,3 months after (a) Claims for which the the year in which the Govemment's right to collect Government's right to collect first was not extended. accrued.

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

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

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

owed to the United States after collection action was initiated,

c. Claims files that are affected by a court Destroy when the court order is l order or that are subject to litigation lifted, litigation is concluded, or proceedings. when 6 years, 3 months old, whichever is later.

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

11. Waiver of Claims Files.

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

Approved waivers (agencies may Destroy 6 years,3 months after a.

approve amounts not aggregating to the close of the fiscal year in

)

more than $500 or GAO may approve which the waiver was approved.

O any amount).

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

and 10c. of this schedule.

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Transmittal No. 7 General Records Schedule 7 August 1995 GENERAL RECORDS SCHEDULE 7 Expenditure Accountina Records Expenditure accounting records are the ledgers and related documents maintained by all Federal agencies to show in summary fashion how their funds, appropriated and nonappropriated, are spent after allotment by the Office of Management and Budget (OMB)-and the sources and nature of any receipts. The key records are the general ledger accounts, which constitute, as a unit, the heart of the agency accounting system.

These ledgers summarize the financial status and financial transactions of the agency, chowing the current status of funds available for expenditure, the amounts due and -

collected for the account of the Govemment, accumulated expenditures and liabilities, and the values of stock, equipment, and other property in agency custody ~They are controls that serve not only as central fiscal records, but also as a primary source of data for top management concerned with agency solvency, expenditures, and urogram costs.

The general ledgers are subdivided into arbitrarily created account titles, which are based on programs, projects, costs, and funds. Supporting them are a group of subsidiary ledgers and documents further detailing the information in the general ledgers O or serving as posting media to the ledgers themselves. To the extent that they reflect appropriation expenditures, the general ledgers are suppoded by allotment ledgers, which at all times show the current unobligated balance of funds allotted for specific agency purposes and thereby provide a safeguard against overexpenditure by operating officials. The allotment ledgers are general controls over expenditures, and they in turn summarize and are supported by more detailed controls that normally take the form of project or job orders that authorize exact and specific expenditures.

The sources of data that are posted to the ledger files are somewhat diverse, but they fall into two general groups:

a. Copies of various obligation or expenditure documents, such as vouchers and schedules, that flow through the ledger unit for posting.

b. Journal vouchers and similar intemal control documents created to authorize and convey entries to the general ledger.

As the centralized fiscal record, the general ledgers ultimately summarize stores, plant, and cost accounting data, which are treated in a separate schedule, but these are only j several aspects of the total ledger accounts. Consequently, the ledgers are the source of the data included in the basic apportionment reports to the OMB and the Treasury <

Department, and overall reports of agency fiscal condition which may be required by the O General Accounting Office (Schedules 6 and 8). The adequacy for audit purposes of the general ledger accounts is normally considered by General Accounting Office auditors to

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

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

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

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

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Expenditures Accountino General Correspondence and Subject Files.

Correspondence or subject files maintained Destroy when 2 years old.

by operating units responsible for expenditures accounting, pertaining to their internal operations and administration.

2. General Accountino Ledaers.

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

2

Transmittal No. 7 General Records Schedule 7

• O August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

3. Acoropriation Allotment Files.

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

4. Expenditure Accountina Postina and Control SIRE Records used as posting and control media, subsidiary to the general and allo' ment

<. ledgers, and not covered elsewh - inthis schedule.

a. Original records.- Destroy when 3 years old.

b. Copies. Destroy when 2 years old.

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l Transmittal No. 7 General Records Schedule 8 August 1995 GENERAL RECORDS SCHEDULE 8 Stores. Plant. and Cost Accountina Records Specialized stores, plant, and cost accounting records are maintained by most agencies, particularly those with extensive plant and stock inventories. These records, which reflect the not monetary worth of an agency and its assets, are pariodically reconciled with the supply data found in stock inventory records, but they do not include procurement papers.

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

a. Stores Accounting. These records are maintained to provide personLI accountability for the receipt and custody of materials and to document the monetary worth of such materials. Completed copies of material movement documents show custody, and stores accounting data are normally reviewed and consolidated by means of records and returns submitted to agency headquarters. There the information is used for procurement planning, budget, and other management purposes. These records do not include records reflecting the physical movements of material to and from storage points, although they may be involved in posting. Summary data on plant value are also available in pertinent ledger accounts.

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

value are also maintained.

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

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

. budget estimates.

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

Transmittal No. 7 G:n:rcl R cord 3 Schedub 8 A@ust 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Plant. Cost. and Stores General Correspondence Files.

Correspundence files of units responsible Destroy when 3 years old.

for plant, cost, and stores accounting operations.

2. Stores invoice File

• Invoices or equivalent papers used for Destroy when 3 years old, stores accounting purposes.

3. Stores Accountina ~ Files.

Stores accounting retums and reports. Destroy when 3 years old.

4. Stores Accountino Backoround Files.

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

accounting data.

5. Plant Accountina Files.

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

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

6. Cost Accountina Reports.

a. Copies in units receiving reports. Destroy when 3 years ok'.

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

workpapers.

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Transmittal No. 7 General Records Schedule 8 i August 1995 i ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

7. Cost Report Data Files.

Ledgers, forms, and electronic records used to accumulate data for itse in cost reperts.

a. Ledgers and forms. Destroy when 3 years old.

b. Automated records.

(1) Detail cards. Destroy when 6 months old.

)

(2) Summary cards. Destroy when 6 months old. j (3) Tabulations. Destroy when 1 year old.

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Transmittal No. 7 General Records Schedule 9 August 1995 GENERAL RECORDS SCHEDULE 9 Travel and Transportation Records This schedule covers records documenting the movement of goods and persons under Government orders. The records include bills of lading, transportation requests, transpor-tation vouchers, per diem vouchers, travel authorizations, and all supporting documenta-tion, including that prescribed by Title 5.of the General Accounting Office Policy and Procedures Manual. Record copies of all travel, transportation, and freight documents used to support payments, become components of the accountable officers' accounts. I Disposition for commercial transportation and freight site audit records is covered by item 1 of this schedule. Individual, noncommercial,' reimbursable travel site audit records are covered by General Records Schedule 6, item 1a, item 10, or item 11. Some copies I become accounting posting media, which are covered by General Records Schsdule 7, item 4.

a. Movement of ooods. The key record is the bill of lading, of which there are copies for consignors, consignees, and the carriers themselves. The documents related  ;

,3 to and nomially filed with the bill of lading are varied and often voluminous. Those may l consist of shortage and demurrage reports, invoices, and other data that document the transaction. Included are records relating to the shipment of household effects, autho-  ;

rized by law and regulations for military personnel and for civilian employees of the i Government. - Agencies shipping certain valuables under the Govemment Losses in  !

Shipment Act, which insures against loss, retain copies of schedules of material shipped, documents re!ating to claims which may ensue, and other pertinent records.

b. Movement of persons. The movement of persons is documented by copies of ,

trave! orcers, authorizing travel and subsequent payment, and standard-form vouchers j showing payment for official travel. The two primary copies of travel orders are the  ;

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

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

Transmittal No. 7 General Records Schedule 9 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITIOli 7

1. Commercial Freloht and Passenaer Trans-portation Files.

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

passenger transporta!!on charges of settled fiscal accounts, including regis-ters and other control c'ocuments, but EXCLUDING those covered by item ib of this schedule.

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

cial freight and passengar transportation ,

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

c. !ssuing office copies of Government or Destroy 6 years after the period I commercial bills of lading, commercial of the account.

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

d. Obligation copy of commerc'al passen- Destroy when funds are obligat-ger transportation vouchers. ed.

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Transmittal No. 7 General Records Schedule 9 August 1995 C

ITEM tgt pESCRIPTION OF RECORDS AUTHORIZ"D DISPOSITION

e. Unused ticket redemption forms, such Destroy when no longer needed as SF 1170. for administrative use.

2. Lo,st g or Damaaed Shioments Files.

Schodules of valuabies shipped, correspon- Destroy when 6 years old.

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

3. Noncommercial. Reimbursable Travel Files.

Copies of records relating to reimbursing individuals, such as travel orders, per diem vouchers, and a!! other supporting docu-ments relating to o*ficial travel by officers, employees, dependents, or others authorized

(_/)

w by law to travel.

a. Travel administrative office files. Destroy when 6 years old. ]

b. Obligation copies. Destroy when funds are obligat-co.

4. General Travel and Transportatior. Files.

a. Routine administrative records including Destroy when 2 years old.

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

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

ments.

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Transmittal No. 7 General Records Schedule 9 August 1995 ,,

ITEM NO. AUTHORIZED DISPOSITION Df1GRIPTION OF RECORDS

5. Records Relatina to O'ficial Passports.

a. Application files.

Documents relating to the issuance of Destroy when 3 years old or official passports, including requests for upon' separation of the bearer, passports, transmittal letters, receipts, whichever is sooner.

and copies of travel authorizations.

b. Annual reports concerning official pass-ports.

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

ceming the number of official passports issued and related matters.

c. Passport registers.

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

who have official passports.

[ NOTES: (1) Official passports should be returned to the Department of State upon expiration or upon the separation of the employee. (2) Item 5b does not pertain to copies of the annual reports held by the Department of State.]

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, Transmittal No. 7 General Records Schedule 10 J August 1995 GENERAL RECORDS SCHEDULE 10 Motor Vehicle Maintenance and Operation Records )

1 These records pertain to the management, maintenance, and operation of motor vehicles used by agencies.

41 CFR 101-38 prescribes policies and procedures. Standard Form 82, which is an  ;

annual motor vehicle report required by the Federal Supply Services, General Services Administration, is the only standardized record. Certain cost and inventory control forms have been developed, but they are not mandatory. This schedule covers agency records pertaining to the daily use and t,.3 ration of the vehicles.

l l In general, records pertaining to motor vehicles reflect a threefold responsibilityi (a) the L accumulation of cost and operating data for intemal accounting and management purposes and for reports submitted to the Office of Federal Supply and Services I (Standard Form 82, Agency Report of Motor Vehicle Data); (b) the maintenance of the 4 I

vehicles themselves; and (c) protecting the interest of the Govemment in accident claims against it. - The records themselves consist of chauffeur service logs and reports, vehicle l  : repair and maintenance checkoff sheets, cost ledgers, and claims correspondence and

' forms.

All records desc:ibed in this schedule are authorized for disposal in both hard-copy and electronic forms, as provided in GRS 20, Electronic Records, and GRS 23, Records ,

Common to Most Offices Within Agencies. i i

! ITEM E DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Motor Vehicle Correspondence Files.

Correspondence in the operating unit Destroy when 2 yeers old.

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

2. . Motor Vehicle Operatina and Maintenance i Eliat

)

a. Operating records including those Destroy when 3 months old, relating to gas and oil consumption, dispatching, and scheduling.  ;

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1 Transmittal No. 7 General Records Schedule 10 l August 1995 ITEM AUTHORIZED DISPOSITION O\

NO. DESCRIPTION OF RECORDS

b. Maintenance records. including those Destroy when 1 year old.

relating to service and repair.

3. Motor Vehicle Cost Files.

Motor vehicle ledger and worksheets Destroy 3 years after discontinuance of ledger or date providing cost and expenso data.

of worksheet.

4. Mpfor Vehicle Report Fi'es.

Reports on motor vehicles (other than Destroy 3 years after date of accident, operating, and maintenance report.

reports), including SF 82, Agency Report of Motor '/ehicle Data.

5. Motor Vehicle Accident Files.

Records relating to motor vehicle accidents, Destroy 6 years after case is maintained by transportation offices, closed.

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

6. Motor Vehicle Release Files.

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

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

7. Motor Vehicle Operator Files.

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

2 1

l l Transmittal No. 7 General Records Schedule 11 f - August 1995 GENERAL RECORDS SCHEDULE 11 l Space and Maintenance Records This schedule provides for the disposal of all copies, wherever located ir) an agency, of records relat ng 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 correspondenca and reports submitted to the General ,

Services Administration (or equivalent agency with similar_Govemmentwide responsibilities) J as directed by law and regulation (41 CFR 101-17); correspondence and forms relating to the compilation of directory service listings; identification credentials and related accountable records; requests for building and equipment services; and correspondence files reflecting the activiiles of the unit responsible for handling space and related matters j

! within the agency.

l l This schedule does not cover (a) copies of these records that are an integral part of l ' accountable officers' accounts (Schedule 6); (b) records of procurement and supply

(Schedule 3); (c) records that reflect Govemmentwide programs (such as the records held l by the Public Buildings Service of the General Services Administration). Any records o created prior to the establishment of the Public Buildings Administration in 1939 must be offered to the National Archives and Records Administration before applying these disposition instructions.

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

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

l ITEM

!- E DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION i

1. Soace and Maintenance Gqngral Correspondence Files.

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

for space and maintenance matters, j pertaining to its own administration and i operation, and related papers.

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

2. Aaency Space Files.

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

a. Building plan files, surveys, and other Destroy 2 years after termination records uhRzed in agency space of assignment, or when lease is planning, Essignment, and adjustment. cancelled, or when plans are superseded or obsolete.

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

(1) Agency reports to the General Destroy when 2 years old.

Services Administration, including SF 81, Request for Space, and ,

related documents.

l (2) Copies in subordinate reporting Destroy when 1 year old.

units and related work papers.

3. Directory Service Files.

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

listings.

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e Transmittal No. 7 General Records Schedule 11 August 1995 ITEM N1 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Credentials Files.

Identification credentials and related papers.

a. Identification credentials including cards, Destroy credentials 3 months badges, parking permits, after return to issuing office.  ;

photographs, agency permits to operate motor vehicles, and property, dining room and visitors passes, and other identification credentials.

b. Receipts, indexes, listings, and Destroy after all listed credentials accountable records, are accounted for. ,

i

5. Buildina and Eauioment Service Files.

l q Requests for building and equipment Destroy 3 months after work is Q maintenance services, excluding fiscal copies.

performed or requisition is cancelled.

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I Transmittal No. 7 General Records Schedule 12 August 1995 GENERAL RECORDS SCHEDULE 12 Communications Records The principal records documenting communication functions include messenger service data; telecommunications service control and operational records; long distance telephone  !

reports; postal records, consisting of post office forms and suppoding papers; mail control l records and supporting and related papers; agency copies of penalty mail r6 ports; and l records relating to private delivery service (such as United Parcel Service). J This schedule covers the records desenbed below, wherever located in an agency but does not cover records that reflect Governmentwide programs, such as records held by the U.S. Postal Service and the information Technology Service of the General Services  ;

Administration, other than those documenting their own intemal administrative l management functions. In addition, item 4, telephone use records, has been reserved j pending development of disposition standards acceptable to both the General Services {

Administration and the General Accounting Office. Any records created prior to January 1, i 1921, must be offered to the National Archives and Records Administration before applying the disposition instructions in this schedule.

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

ITEM M DESCRIPTION OF RECORDS AUTHQRIZED DISPOSITION

1. Messenaer Service Files.

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

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

2. Communication General Files.

a. Correspondence and related records Destroy when 2 years old, pertaining to internal administration and operation.

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Transmittal No. 7 G:n rcl R: cords Sch: dub 12 August 1995 ITEM DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

.t!Q

b. Telecommunications general files Destroy when 3 years old.

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

c. Telecommunications statistical reports Destroy when 1 year old.

including cost and volume data.

d. Telecommunications voucher files.

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

l bills, invoices, and related records.

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

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

agreements for telecommunications services.

3. Telecommunicat!ons Operational Files.

[See note on next page.)

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

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

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

of outgoing messages, including SF 14, Telegraphic Message maintained by communications offices or centers, and EXCLUDING the copies maintained by the originating program office.

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

2

Transmittal No. 7 General Records Schedule 12 August 1995 1

ITEM I NQ- DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. , Telephone Use Records. RESERVED.

5. Post Office and Private Mail Company g

Recordg. 1 Post Office and private mail company forms and sup~arting papers, exclusive of records held by the United States Postal Service.

j

a. Records relating to incoming or outgoing Destroy when 1 year old. j registered mail pouches, registered, certified, insured, ovemight, express, and special delivery mail including .

receipts and return receipts. I

b. Application for registration and Destroy when 1 year old.

certification of declared value mail.

O c. Report of loss, rifling, delayed or late delivery, wrong delivery, or other improper treatment of mail.

Destroy when'1 year old.

6. Mail and Delivery Service Control Files.

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

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

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

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

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

copies used as supporting dxuments to payment vouchers). ,

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l Transmittal No. 7 General Records Schedule 12 .

August 1995 )

4 ITEM NA DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

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

handling of mail and vclume of work performed.

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

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

f. Records of and receipts for mail and Destroy ahen 6 months old.

packages received through the Official Mail and Messenger Service.

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

room operations.

I h. Locator cards, directories, indexes, and Destroy 5 months after

' other records relating to mail delivery to separation or transfer of individuals. individual or when obsolete, whichever is applicable.

7. Penalty Mall Report Files.

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

papers.

8. Postal irreaularities File.

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

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

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

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

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

ITEM RQ. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Administrative Corresocndence Files.

Correspondence files pertaining to the Destroy when 2 years old.

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

2. Proiect Files.

Job or project records containing information O relating to planning and execution of printir.g, binding, duplication, and distribution jobs.

Transmittal No. 7 General Records Schedule 13 )

l August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

{

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

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

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

technical matters.

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

3. Control Fi'as.

Control registers pertaining to requisitions Destroy 1 year aficr close of and work orders. fiscal year in which compiled or 1 year after filling of register, whichever is applicable.

4. Mailina Lists.

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

b. Card lists. Destroy individual cards when cancelled or revised.

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/' Transmittal No. 7 General lsecords Schedule 13 August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

5. JCP Reports Files.

Reports to Congress and related records.

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

Printing regarding operation of Class A and B Plants and inventories of printing, binding, and related equipment in Class ,

A and B Plants or in stcrage, j i

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

6. Internal Manaoement Files.

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

operation of the unit.

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O Transmittal No. 7 August 1995 General Records Schedule 14 )

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

These records consist of inquiries, replies, and related correspondence; in the case of I FOIA, Privacy Act, and mandatory declassification files, appeals and other records; administrative background files for formal information releases, and records relating to inappropriate release of privileg3d information. Closely related records such as records O, relating to budget presentation, and printing, duplicating, and distribution are covered by other General Records Schedules. Records created prior to January 1,1921, must be l

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

Other information services records such as speeches and press releases may have  ;

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

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

ITEM

& DESCRIPTION OF RECORDS .A_QIlj0RIZED DISPOSITION 1, Information Reauests Files. ,

Requests for information and copies of Destroy when 3 months old or' replies thereto, involving no administrative when no longer needed, O actions, no policy decisions, and no special compilations or research and requests for and transmittals of publications, photographs, whichever is sooner.

and other information literature.

1 Transmittal No. 7 Gereral Records Schedule 14 August 1995 ITEM N_Q, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Acknowledoement Files.

Acknowledgement and transmittals of Destroy 3 months after inquiries and requests that have been acknowledgement and referral.

referred elsewhere for reply.

3. Press Service Files.

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

materials.

4. Information Project Files.

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

5. Commendation /Comolaint Correspondence Files.

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

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

6. Indexes and Check Lists.

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

EXCLUDING those relating to record sets scheduled as permanent.

7. through 10. Reserved.

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Transmittal No. 7 General Records Schedule 14 August 1995 ITEM NQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

11. Freedom of Information Act (FOIA) Reauests f.i!9.1 Files created in response to requests for j information under the Freedom of Information (

Act, consisting of the original request, a copy of the reply thereto, and all related supporting files which may include the official file copy of requested record or copy thereof,

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

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

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

(a) Request not appealed. Destroy 2 years after date of reply.

(b) Request appealed. Destroy as auth .cd under Item

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

(a) Request not appealed. Destroy 6 years after date of l reply.

(b) Rc quest appealed. Destroy as authorized under item 12.

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Transmittal No. 7 General Records Schedule 14 August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1

b. Official file copy of requested records. Dispose of in accordance with approved agency disposition instructions for the related .'

records or with the related FOIA request, whichever is later.

12. FOIA Appeals Files.

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

l a. Correspondence and nura- t;.ig .

Destroy 6 years after final

! documents (EXCLUDING the file copy determination by agency,6 years of the records under appealif filed after the time at which a

herein), requester could file suit, or 3 years after final adjudication by l

' the courts, whichever is later.

b. Official file copy of records under Dispose of in accordance with appeal. approved agency disposition instructions for the related record or with the related FOIA request, I whichever is later.

13. FOIA Control Files.

Files maintained for control purposes in responding to requests, including registers

.and similar records listing date, nature, and purpose of request and name and address of requester.

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Transmittal No. 7 General Records Schedule 14

,A August 1995 ITEM MQ, DF .RIPTION OF RECORDS &UTHORIZED DISPOSITION

a. Registers or listing. Destroy 6 years after date of last entry,

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

14. FOlt. Reports Files.

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

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

[ NOTE: The GRS does not cover departmental or agency level annual reports to the

( Congress. These reports should be scheduled for transfer to the National Archives by submitting an SF 115 to NARA.) l

15. FOIA Administrative Files.

Records relating to the general agency Destroy when 2 years old or implementation of the FOIA, including sooner if no longer needed for notices, merwranda, routine adi.11nistrative use.

correspondence, and related records.

16. through 20. Reserved.

21. Privacy Act Reauests Files.

Files created in response to requests fror.

. Individuals to gain access to their records or to any information in tha records pertaining to them, as provided for under 5 U.S.C.

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

copy thereof.

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Transmittal No. 7 General Records Schedule 14 August 1995 ITEM

& DESCR!PTION OF RECORDS AUTHORIZED DISPOSITION

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

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

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

1 (a) Requests not appealed. Destroy 2 years after date of reply.

(b) Requests appealed. Destroy as authorized under item 22.

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

(a) Requests nc appealed. Destroy 5 years after date of reply.

(b) Requests appealed. Destroy as authorized under item 22.

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

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Transmittal No. 7 General Records Schedule 14 August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

22. Privacy Act Amendment Case Files.

Files relating to an individual's request to amend a record pt,rtaining to that individual ,

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

a. Requests to amend agreed to by Dispose of in accordance with agency. Includes individual's requests the approved disposition to amend and/or review refusal to instructions for the related amend, copies of agency's replies subject individual's record or 4 thereto, and related materials. years after agency's agreement O' . to amend, whichever is later.

b. Requests to amend refused by agency. Dispose ci in accordance with includes individual's requests to amend the app.wed disposition and to review refusal to amend, copies instructions for the related of agency's replies thereto, statement of subject individual's record, 4 disagreement, agency justification for years after final determination by refusal to amend a record, and related agency, or 3 years after final materials. adjudication by courts, whichever is later.

c. Appealed requests to amend. Includes Dispose of in accordance with all files created in responding to appeals the approved disposition under the Privacy Act for refusal by any instructions for related subject agency to amend a record, individual's record or 3 years after final adjudication by courts, whichever is later.

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Transmittal No. 7 General Records Schedule 14 August 1995 ITEM AUTHORIZED DISPOSIT!ON M DESCRIPTION OF RECORDS

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

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

24. Privacy Act Control Files.

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

a. Registers or listings. Destroy 5 years after date of last entry.

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

25. Privacy Act Reports Files.

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

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

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

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Transmittal No. 7 General Records Schedule 14 August 1995 ITEM-HCL DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

26. Privacy Act Genera!Mministrative Files.

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

correspondence, and related records.

27. through 30. Reserved.

31, Mandatory Review For Declassificatior1 Reauests Files.

Files created in response to reque.sts for information under the mandatory review provisions of Executive Order (E.O.) 12356 '

consisting of the original request, a copy of the reply thereto, and all related supporting files, which may incluva the official file copy h

A of requested records or a copy thereof.

a. Correspondence and supporting documents (EXCLUDING the official file copy of the records if filed herein, and sanitizing instructions, if applicable).

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

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

(a) Request not appealed. Destroy 2 years after date of reply.

(b) Request appealed. Destroy as authorized under item

32. ITEM ,

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General Records Schedula 14  !

Transmittal No. 7 August 1995 AUTHORIZED DISPOSITION E DESCRIPTION OF RECORDS (3) Denying access to all or part of the records requested.

(a) Request not appealed. Destroy 5 years after date of reply.

(b) Request appealed. Destroy as authorized under item 32.

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

c. Sanitizing instructions. Destroy when superseded or when requested documents are declassified or destroyed.

32. Mandatory Review for Declassification Appeals Files.

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

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

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

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Transmittal No. 7 _ General Records Schedule 14 August 1995 V ITEM liq. DESCRIPTION OF RECORDS AUTl'ORIZED DISPOSITION

b. Official file copy of records under Dispose of in accordance with appeal. approved agency disposition instructions for the related records, or with the related mandatory review request.

whichever is later.

33. Mandatory Review for Declassification Control Files.

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

a. Registers or listing. Destroy 5 years after date.

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b. Other files. Destroy 5 years after final action by the agency.

34. Mandatory Review for Declassification Reports Files.

Reports relating to agency implementation of Destroy when 2 years old or the mandatory review provisions of the sooner if no longer needed for  ;

current Executive Order on classified national administrative use. {'

security information, including annual reports submitted to the information Security a farsight Office.

35. Mandatory Review for Declassification Admini.Hrative Files.

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

classified national security information, including notices, memoranda, g correspondence, and related records.  ;

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Transmittal No. 7 General Records Schedule 14 August 1995 ITEM AUTHORIZED DISPOSITION M DESCRIPTION OF RECORDS

36. Erroneous Release Files.

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

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

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

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

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/G ~ Transmittal No. 7'- General Records Schedule 15

\ August 1995 GENERAL RECORDS SCHEDULE 15 Housino Records The housing records covered by this schedule include files and data accumulated in the maintenance and management of Federally owned and operated housing facilities within the continental United States for civilian employees of the Federal Govemment, military l personnel, arid others eligible by law to reside in the projects. These facilities may . I consist of low cost quarters located either within or adjacent to the confines of Federal  !

installations or in a critical defense or other area. This schedule includes housing records maintained by housing managers and housing or quarters office::, t,ut does not cover the headquarters or staff office files of the supervising agency, or the files of the HUD, the Department of Health and Human Services, or the Department of Veterans' Affairs pertaining to program operations in planning and financing housing facihties.

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

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

Certain housing records are subject to the provisions of other General Records Schedules. Supply and fiscal files are covered by General Records Schedules 3 and 6.  !

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

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

i ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Housina General Correspondence Files.

Correspondence files pertaining to the Destroy when 2 years old.  ;

maintenance and management of housing )

projects. )

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Transmittal No. 7 General Records Schedule 15 August 1995 ITEM NO, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Housina Maintenance and Repair Files.

Maintenance and repair records for individual units.

a. Summary card or ledger record. Destroy 3 fiscal years following close of fiscal year in which unit is closed to tenancy or leaves agency control,

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

3. Housina Manaaement Files.

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

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

4. Housina Lease Files.

Copies of leases, renewals, termination Destroy 3 fiscal years following notices, and related documents. close of fiscal year in which (a) lease termination, lapse, or cancellation occurs or (b) litigation is concluded, whichever is later.

5. Housina Assianment and Vacancy Card Files.

a. Individual tenant cards. Destroy when tenant vacates unit.

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Transmittal No. 7 General Records Schedule 15 August 1995 ITEM

- fiQ. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

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

6. Housina inventory Files.

Furnishing inventory files, pertaining to items Destroy 3 fiscal years after close included in furnished units. of fiscal year in which inventory is superseded.

7.. Housino Apolication Files (other than copies in lease files).

a. Rejected application bles. Destroy 1 year from date of rejection.

b. All others. ' Destroy when 2 years old.

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Transmittal No. 7 General Records Schedule 16 August 1995 -

GENERAL RECORDS SCHEDULE 16 Administrative Manaaement Records This schedule provides for the disposal of certain records relating to administrative management activities in Federal agencies, excluding records of operating personnel,-

budget, accounting, and printing functions, which are covered by other General Records Schedules. Included within the scope of the schedule are disposable records created in the course of organizational planning, 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 incentiva award and similar types of management improvement programs. Any records created prior to January 1,1939, must be offered to the National Archives and Records Administration before applying these disposition instructions.

The organizational locations and titles of administrative management units vary from agency to agency. They may be scattered at numerous levels or locations, or may be ceritralized. For the purposes of this schedule, the nomenclature standards set forth by.

the Senate Committee on Govemment Operations in Senate Report No. 245,80th Congress,1st session, are followed: the first organizational level within an agency is the bureau level; subordinate components are, successively, division, branch, section, and unit.

This schedule is based on the presumption that management activities are carried on by a specialized person or unit with, at least, divisionwide and usually bureauwide or agencywide responsibilities or by a group of such persons or units in an agency, although its provisions are applicable to exactly comparable records of agencies without such formal assignments of responsibility. Many similar or comparable records created at lower organizational levels or in field offices vary so greatly in content, value, and arrangement that they are not covered by this schedule.

Because of the nature of the activities documented by administrative management 3 records, a relatively large proportion of them is of continuing value. Files with potential l archival value are not covered by the General Records Schedules. They must be scheduled individually by submission of an SF 115 to NARA. These records include organizational charts and reorganization studies, functional statements,, delegations of I authority, and agency histories. However, related temporary or ephemeral materials include working papers that do not have a direct bearing on the transaction, intermediate drafts of documents and worksheets that do not represent significant basic steps in the preparation of final drafts, letters or memoranda of transmittal and acknowledgment, routing slips, and extra copies of documents.

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

ITEM DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION N_Q

1. Administrative issuances.

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

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

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

the issuance.

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

2. Records Disposition Files.

Descriptive inventories, disposal authorizations, schedules, and reports.

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

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

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b. Routine correspondence and Destroy when no longer needed memoranda. for reference.

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l Transmittal No. 7 General Records Schedule 16 h)

G August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

3. Forms Files.

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

scope, and purpose of the form.

b. Background materials, requisitions, Destroy when related form is specifications, processing data, and discontinued, superseded, or control records. canceled.

4. Records Holdinas Files.

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

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

reports on agencywide records holdings.

b. Records held by other offices. Destroy when 1 year old.

5. Project Control Files.

Memoranda, reports, and other records Destroy 1 year after the year in documenting assignments, progress, and which the project is closed.

completion of projects.

6. Reports Control Files.

Case files maintained for each agency report Destroy 2 years after the report created or proposed, including public use is discontinued. 7' reports. Included are clearance forms, including OMB 83 (formerly SF 83); copies of pertinent forms or descriptions of format; copies of authorizing directives; preparation instructions; and documents relating to the evaluation, continuation, revision, and i discontinuance of reporting requirements.

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Transmittal No 7 General Records Schedule 16 August 1995 ITEM NQ.,. DESCRIPTION OF RECORDS .AMTHORIZED DISPOSITION

7. Records Manaoement Files.

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

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

8. Committee and Conference Files.

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

Internal committees,

b. Records created by committees.

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

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

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

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

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

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O Transmittal No. 7

- August 1995 General Records Schedule 16 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOslTION

c. Records maintained by agency Destroy 5 years after termination i Committee Management Officers for of committee, committees established under the Federal Advisory Committee Act, including copies of charters, membership )

lists, agendas, policy statements, and material required to be available for public information.

[ NOTE

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

9. Feasibility Studies.

Studies conducted before the installation of Destroy 5 years after completion any technology or equipment associated with or cancellation of study.

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

10. Microform inspection Records.

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

required by 36 CFR Part 1230.

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

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Transmittal No. 7 General Records Schedule 16 August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Agency copy of logs and other records Destroy when no longer needed.

documenting the inspection of temporary microform records, as recommended by 36 CFR Part 1230.

11. IRM Triennial Review Files.

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

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

12. Information Collection Budoet Files.

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

Management and Budget under the>

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

13. Documents Published in the Federal Reaister,

a. Files documenting the processing of Destroy when 1 year oid.

notices announcing committee meetings, including meetings open to the public under the Government in Sunshine Act (5 U.S.C. 552b (e) (3); hearings and investigations; fiiing of petitions and applications; issuance or revocation of a license; grant applicati'an deadlines, the availability of certain onvironmental impact statements; delegations of authority; and other matters that are not codified in the Code of Federal Regulations.

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Transmittal No. 7 - General Records Schedule 16 August 1995 b ITEM

& DESCRIPTION OF RECORDS AUTHORND DISPOSITION

b. Files documenting the processing of Destroy when 2 years old.

semiannual regulatory agenda.

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

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

14. Manaaement Control Records.

Records created in accordance with procedures mandated by OMB Circular A-123, Management Accountability and Control Systems, and P.L.97-255, the Federal-Managers' Financial Integrity Act. Under these authorities, agencies are required to perform evaluations of their accounting and administrative controls to prevent waste, fraud, and mismanagement.

a. Policy, procedure, and guidance files.

Copies of intomal directives maintained Destroy when superseded.

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

b. Management control plans.

Comprehensive plans documenting the Destroy when superseded.

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

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Transmittal No. 7 General Records Schedule 16 August 1995 ITEM RQ.,. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

c. Risk analyses.

Reports and supporting materials used Cut off closed files annually.

to document review of program areas for Destroy after next review cycle.

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

d. Annual reports and assurance Cut off closed files annually.

statements created by organizational Destroy after next reporting components below the agency cycle.

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

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

e. Tracking files.

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

timeliness of submission of feeder  ;

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

O 8

rN Transmittal No. 7 General Records Schedule 16

) August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

f. Review files.

Correspondence, reports, action copies of audit findings, and other records that identify program internal control weaknesses, and corrective actions taken to resolve such problems. Since A-123 provides for alternative internal control reviews under OMB Circulars A-76, A-127, or A-130, this item also applies to copies of these reviews, provided they are identified as alternative reviews in the management control plan.

(1) Office with responsibility for Cut off when no further coordinating Internal Control corrective action is necessary.

functions. Destroy 5 years after cutoff.

(2) Copies maintained by other offices as Cut off when no further internal reviews. corrective action is necessary.

Destroy 1 year after cutoff.

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

b)

() 9

C Transmittal No. 7 General Records Schedule 17 August 1995 GENERAL RECORDS SCHEDULE 17 Cartoarachic. Aerial Photoarachic. Architectural. and Enaineerina Records

1. Federal agencies create or receive cartographic, aerial photographic, architectural, and engineering design records in connection with their official activities. Many of these records have continuing historical value after they are no longer being used by the -

agency. Descriptions of both the historically valuable and the disposable records were formerly included in General Records Schedule 17, Cartographic, Remote Sensing Imagery, and Related Records, and in General Records Schedule 22, Design and Construction Drawings and Related Records. The General Records Schedu!ss have been revised to cover only disposable records. Guidelines for identifying and scheduling the records of continuing value are now provided in " Managing Cartographic and .

Architectural Records: An Instructional Guide." The Guide must be used in conjunction with the General Records Schedule to insure proper disposition of all cartographic, aerial photographic, architectural, and engineering design records held by an agency.

This schedule relates to cartographic records prepared during intermediate stages of publication, unannotated aerial photographic negatives and prints, and architectural and engineering drawings. Cartographic and aerial photographic records created before January 1,1950, and architectural or engineering drawings created before January 1, 1921, must be brought to the attention of the National Archives before applying the disposition instructions in this schedule.

ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Cartoorachic Records Prepared Durina Intermediate Staaes of Publication.

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

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

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

Transmittal No. 7 General Records Schedule 17 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Vertical and Obliaue Aerial Photoaraphy.

Vertical and oblique film in black and white, color, or Wise color," including related photo indexes (cor, trolled or uncontrolled mosaics),

flight line index0s, or coordinate grid systems used as finding ads.

a. Unannotated duplicaM copy negatives, Destroy when no longer needed internegatives, rectified negatives, and for agency use.

glass plate negatives.

b. Unannotated prints when original film Destroy when no longer needed negatives exist. for agency use.

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

3. Architectural Drawinas of Temocrary Structures and Buildinos or of Buildinas Not Critical to the Mission of the Aaency.

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

parking lots, and comfort stations.

4. Drawinas of Electrical. Plumbino. Heatina. or De:, troy when no longer needed q Air Conditionino Systems. for administrative purposes.

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' Transmittal No. 7 General Records Schedule 17 v/ August 1995 ITEM

& DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

5. Contract Neaotiation Drawinas.

Drawings prepared during contract Destroy when no longer needed negotiation for buildings or objects lacking for administrative purposes.

historical, architectural, or technological significance; drawings related to electrical, plumbing, heating, or air conditioning projects; or drawings superseded by final working /as built drawings.

l

6. Space Assianment Plans.

Outline floor plans indicating occupancy of a Desiroy when no longer needed building. for administrative purposes.

7. Architectural Models.

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

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

8. Enaineerina Drawinas of Routine Minor Paris.

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

brackets, struts, plates, and beams, if maintained separately or if segregable from a larger file.

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Transmittal No. 7 General Records Schedule 17 August 1995 ITEM NO. DESCRIPTION OF RECORDS . AUTHORIZED DISPOSITION

9. Drawinas Reflectino Minor Modifications.

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

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

10. Paint Plans and Samples.

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

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

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

4 O l

Transmittal No. 7 General Records Schedule 18 August 1995 GENERAL RECORDS SCHEDULE 18 Security and Protective Services Records -

Security and protective services records indude the various files created by agencies to '

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

This schedule authorizes for disposal records docu.nenting administrative actions relating to the above functions. Records documenting Govemmentwide or agencywide security and protective services planning and programming, reflecting basic overall policies and determinations are not authorized for disposal by this schedule. Variations among agencies in methods of implementing statutory requirements for security and protective services result in dissimilarities in program documentation. The application of standard techniques of filing and disposition to such records through the medium of a General Records Schedule is therefore impractical. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Administration before applying these disposition instructions.

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

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Transtnitial No. 7 Ge 'eral Records Schedule 18 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Classified Information Accountina and Control Records Records accumulating from measures taken by agencies to protect classified information from unauthorized disdosure in accordance with Executive Orders and statutory or regulatory requirements.

1. Classified Documents Administrative Correspondence Files.

Correspondence files pertaining to the Destroy when 2 years old.

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

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

2. Document Receipt Fileg._

Records documenting the receipt and Destroy when 2 years old.

Issuance of classified documents.

3. Destruction Certificates Filgg.

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

classified documents.

4. Classified Document Inventory Files. Destroy when 2 years o'd.

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

2

s O Transmittal No. 7- General Records Schedule 18 V August 1995.

ITEM

& DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION ,

5. Too Secret Accountino and Control Files.

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

dispatch, or destruction of the documents. destroyed.

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

Intra-office routing, and comparable data.

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

6. Access Request Files Requests and authorizations for individuals to Destroy 2 years after have access to classified files. authorization expirett.

7. Classified Document Container Security Files.

a. Forms or lists used to record safe and Destroy when superseded by a

. padlock combinations, names of new form or list or upon turn-in individuals knowing combinations, and of containers.

comparable data used to control access into classified document containers.

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Transmittal No. 7 General Records Schedule 18 August 1995 ITEM NA DESCRIPTION OF RECORDS AUTHORIZED DISPOS! TION

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

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

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

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

8. Security and Protective Services Administrative Correspondence Files.

Correspondence files relating to administration Destroy when 2 years old.

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

[ NOTE: This item does not cover records documenting policies and procedures accumulated in offices having agency-wide responsibilities for security and protective services programs.) l 4

O Transmittal No. 7 General Records Schedule 18

() August 1995 ITEM HQ. ' . DESCRIPTION OF itECORDS AUTHORIZED DISPOSITION

9. Survey and Inspection Files.

(Government-owned facilities)

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

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

10. Survey and Inspection Files.

(privately owned facilities)

Reports of surveys and inspections of Destroy when 4 years old or privately owned tacilities assigned security - when security cogn!7.ance is cognizance by Govemment agencies and terminated, whichever is sooner.

related documents.

11. Investiaative Files.

Investigative files accumulating from Destroy when 2 years old, investigations of fires, explosions, and accidents, consisting of retained copies of reports and related documents when the original reports are submitted for review and-filing in other agencies or organizational elements, and reports and related papers concerning occurrences of such a minor nature that they are settled locally without referral to other organizational elements.

12.- Property Pass Files Property pass files, authorizing removal of Destroy 3 months after property of materials. expiration or revocation.

5

Transmittal No. 7 General Records Schedule 18 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

13. Guard Assianment Files.

Files relating to guard assignments and strength,

a. Ledger records. Destroy 3 years after final entry,

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

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

14. Police Functions Files.

Files relating to exercise of police functions.

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

and outside police contacts.

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

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

c. Repor's on contact of outside police with Destroy when 1 year old.

building occupants.

15. Personal Property Accountability Files.

Files relating to accountability for personal property lost or stolen,

a. Ledger files. Destroy 3 years after final entry.

6

Transmittal No. 7 General Records Schedule 18 August 1995

-]

ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

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

other documents relating to lost and  ;

found articles. '

16. Kev Accountability Files.

Files relating to accountability for keys issued.

a. For areas under maximum security. Destroy 3 years after turn-in of key.

b. For other areas. Destroy 6 months after turn-in of key.

17. Visitor Control Files.

]

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

a. For areas under maximum security. Destroy 5 years after final ontry 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.

18. Facilities Checks Files, i

Files relating to periodic guard force facility checks.

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

sheets, and guard reports on security violations (except copies in files of agency security offices covered by item 24 of this schedule).

7

Transmittal No. 7 General Records Schedule 18 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

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

I checks that either do not reflect security 1 violations or for which the information i contained therein is documented in the l files defined in item 24 of this schedule.

19. Guard Service Control Files.

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

record and employee identification cards.

b. Round reports, service reports on Destroy when 1 year old.

interruptions and tests, and punch clock dial sheets.

c. Automatic machine patrol charts and Destroy when 1 year old.

registers of patrol and alarm services.

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

20. Loas and Reaisters.

Guard logs and registers not covered elsewhere in this schedule.

a. Central guard office master logs. Destroy 2 years after final entry.

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

entered in master logs.

8

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

21. Security Clearance Administrative Sub!ect Fjigg Correspondence, reports, and other records Destroy when 2 years old.

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

22. Personnel Security Clearance Files.

Personnel security clearance case files created under Office of Personnel rm Management procedures and regulations and related indexes maintained by the personnel security office of the employing agency.

a. Case files documenting the processing of Destroy upon notification of investigations on Federal employees or death or not later than 5 years applicants for Federal employment, after separation or transfer of whether or not a security clearance is employee or no later than 5 granted, and other per. sons, auch as years after contract relationship those performing work for a Federal expires, whichever is applicable, agency under contract, who require an approval before having access to Government facilities or to sensitive data.

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

'ovestigative reports furnished by the irestigating agency.

9

i Transmittal No. 7 General Records Schedule 18 l August 1995 l l

ITEM DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION H.Q.

b. Investigative reports and related Destroy in accordance with the I documents fumished to agencies by investigating agency instructions. I investigative organizations for use in making security / suitability determinations.

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

Files.

23. Personnel Security Clearance Status Files.

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

24. Security Violations Files.

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

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

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

b. All other files, exclusive of documents Destroy 2 years after completion placed in official personnel folders. of final action or when no longer needed, whichever is sooner.

10

Transmittal No. 7 General Records Schedule 18 August 1995 1 ITEM jiQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

25. Classified Information Nondisclosure Aareements.

]

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

For all other persons, these forms may be filed in the individual's official military personnel folder (for uniformed military O, personnel) or on the right side of the official personnel folder (for civilian employees).

a. If maintained separately from the Destroy when 70 years old, individuars official personnel folder.

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

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

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

Correspondence files relating to administration Destroy when 2 years old. I and operation of the emergency planning  !

program, not covered elsewhere in this p schedule. i 11

l Transmittal No. 7 General Records Schedule 18 August 1995

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

ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

27. Emeroency Plannina Case Files.

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

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

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

28. Emeraency Operations Tests Files.

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

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

12

^ Transmittal No. 7 i

General Records Schedule 18 August 1995 ITEM M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

29. National Defense Executive Reserve (NDER)

Case Files.

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

a. Case files on reservists. Destroy 5 years after termination from NDER program.

( b. Case files on individuals whose Destroy when 5 years old.

t ]/ applications were rejected or withdrawn.

13

Transmittal No. 7 General Records Schedule 19

' August 1995 GENERAL RECORDS SCHEDULE 19

.Research and Development Records The previous editions of the General Records Schedules (GRS) included GRS 19, Research and Development Records. However, GRS 19 has not provided meaningful records disposition authority for Federal research and development records. Because of the varied nature of research and development activities in the Federal Govemment, uniform disposition standards cannot be mandated for most series of records created in carrying out such functions. Retention periods were not specified for the more substantive records series. In addition, many research and development activities do not generate records as described in the previous version of GRS 19. It is important for agencies to schedule their research and development records individually, so that they may be accurately described. This approach will allow proper appraisal of the records by the National Archives and Records Administration and facilitate preservation of significant records for future research. The National Archives has determined that the disposition of research and development records should not be governed by a General Records Schedule. I GRS 19 is therefore RESClNDED.

3 l

O ,

l I

Transmittel No. 7 General Records Schedule 20 g August 1995 GENERAL RECORDS SCHEDULE 20 Electronic Records This schedule provides disposal authorization for certain electronic records and specified hard-copy (paper) or microform records that are integrally related to the electronic records.

l This schedule applies to disposable electronic records created or received by Federal agencies including those managed for agencies by contractors. It covers records created by computer operators, programmers, analysts, systems administrators, and all personnel with access to a computer. Disposition authority is provided for certain master files, including some tables that are components of data base management systems, and certain files created from master files for specific purposes.

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

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

The records covered by several items in this schedule are authorized for era 4ure h

d or deletion when the agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes._ NARA cannot establish a more specific retention that would be appropriate in all applications. Each agency should, when appropriate, determine a more specific disposition instruction, such as

" Delete after X update cycles" or " Delete when X years old," for inclusion in its records disposition directives or manual. NARA appreval is not needed to set retention periods for records in the GRS that are authorized for destruction when no longer needed.

Items 2a and 1a (in part) of this schedule apply to hard-copy or microform i records used in conjunction with electronic files. Item 1 also covers printouts produced  ;

to test, use, and maintain master files. Items 10 and 11 of this schedule should be l

applied to specia' purpose programs and documentation for disposable electronic )

records whatever the medium in which such documentation and programs exist.

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

Electronic versions of records authorized for disposal elsewhere in the GRS may be deleted under the provisions of item 3 of GRS 20.

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

1

l l

Transmittal No. 7 General Records Schedule 20 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSfTION

1. Files / Records Relatino to the Creation. Use.

and Maintenance of Computer Systems.

Apolications. or Electronic Records.

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

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

valid transaction files, and intermediate input / output records.

c. Electronic files and hard-copy printouts Delete / destroy when the agency created to monitor system usage, determines they are nr longer including, but not limited to, log-in needed for administr,tive, legal, files, password files, audit trail files, audit, or other operational system usage files, and cost-back files purposes.

used to assess charges for system use.

2. Input / Source Records.

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

NARA-approved agency records schedule.

2

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

b. Electronic records, except as noted in Delete when data have been item 2c, entered into the system entered into the master file or during an update process, and not database and verified, or when required for audit and legal purposes. no longer required to support reconstruction of, or serve as back-up to, a inaster file or database, whichever is later,

c. Electronic records received from Delete when data have been another agency and used as input / entered into the master file or source records by the receiving database and verified, or when agency, EXCLUDING records no longer needed to support produced by another agency under the reconstruction of, or serve as terms of an interagency agreement, or back up to, the master file or records created by another agency in database, whichever is later.

response to the specific information needs of the receiving agency.

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

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

3. Electronic Versions of Records Scheduled for Disposal.

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

duplicate the following GRS items:

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

O ,

Transmittal No. 7 General Records Schedule 20 1 August 1995 ITEM NO. DESCRIPTION OF RECORD _S AUTHORIZED DISPOSITION

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

specific records schedule.

(1) When hard copy records are Delete electronic version when retained to meet recordkeeping the agency determines that it is requirements. no longer needed for administra-tive, legal, audit, or other operational purposes.

(2) When the electronic record Delete after the expiration of the replaces hard copy records that retention period authorized for support administrative the hard copy file, or when no housekeeping functions. longer needed, whichever is later.

(3) Hard copy printouts created for Destroy when the agency O short-term administrative determines that they are no purposes. longer needed for administrative, legal, audit, or other operational purposes.

4. Data Files Consistino of Summarized Information.

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

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

4

1 Transmittal No. 7 General Records Schedule 20 August 1995 O' ITEM HQ DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

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

5. Records Consistina of Extracted Information.

Electronic files consisting solely of records Delete when the agency -

extracted from a single master file or data determines that they are no base that is disposable under GRS 20 or longer needed for administrative, ,

approved for deletion by a NARA-approved legal, audit, or other operational 1 disposition schedule, EXCLUDING extracts purposes.

that are:

a) produced as disclosure-free files to allow public access to the data; or b) produced by an extraction process which changes the informatioul content of the source master file or data base; which may not be destroyed before securing NARA approval. For print and technical reformat files see items 6 and 7 of this schedule respectively.

[ NOTES: (1) Records consisting of extracted information that was created from {

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

6. Print File. ,

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

5

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

7. Technical Reformat File.

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

transfer to the National Archives.

8. Backups of Files.

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

a. File identical to records scheduled for Delete when the identical transfer to the National Archives. records have been captured in subsequent backup file or when the identica, records have been transferred to the National Archives and successfully copied.

b. File identical to records authorized for Delete when the identical disposal in a NARA-approved records records have been deleted, or schedule. when replaced by a subsequent backup file.

9. Findino Aids (or indexes).

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

information source apert from the related re-cords.

6

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

_N_Q, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l

10. Special Purpose Proarams.

Application software necessary solely to use Delete when related master file or maintain a master file or database or database has been deleted.

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

11. Documentation.

a. Data systems specifications, file Destroy or delete when specifications, codebooks, record superseded or obsolete, or upon T' layouts, user guides, output authorized deletion of the related specifications, and final reports master file or data base, or upon (regardless of medium) relating to a the destruction of the output of master file or data base that has been the system if the output is authorized for destruction by the GRS needed to protect legal rights, or a NARA-approved disposition whichever is latest.

schedule.

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

documenting periodic audits or review and recertification of sensitive applications, cisaster and continuity plans, and risk analysis, as described l in OMB Circular No. A-130. 1

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

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

12. Downloaded and Copied Data.

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

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

b.

rived data that provide user access Delete when the agency

< oau of hard copy reports that are determines that they are no authorized for disposal. longer needed for administrative, legal, audit, or other operational purposes.

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

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

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

13. Word Processinc Files.

Documents such as letters, memoranda, Delete from the word processing reports, handbooks, directives, and manuals system when no longer needed recorded on electronic media such as hard for updating or revision.

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

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

14. Electronic Mail Records.

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

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

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

15. Electronic Soreadsheets.

Electronic spreadsheets generated to support administrative functions or generated by an O individual as background materials or feeder reports.

a. When used to produce hard copy that Delete when no longer needed is maintained in organized f!ies, to update or produce hard copy,

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

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Transmittal No. 7

{

g August 1995 General Records Schedule 21 GENERAL RECORDS SCHEDULE 21 Audiovisual Records This schedule covers audiovisual and related records created by or for agencies of the Federal Government as well as those acquired in the course of business.

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

Audiovisual records include still and motion picture photography, graphic materials, and sound and video recordings. Related documentation includes (1) production files or other files documenting the creation, justification, ownership, and rights to the records and (2) finding aids used to identify or access the records.

This schedule does n_o1 cover: (1) cartographic records, (2) remote sensing imagery recorded on film or magnetic tape, or (3) microform copies of textual records. Disposable cartographic records and remote sensing imagery recorded on film are covered by GRS 17; temporary computerized data are covered by GRS 20 and Os GRS 23; and microform copies of textual records that have been authorized by NARA for destruction need not be separately scheduled, in accordance with 36 CFR 1230.10(b).

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

" Managing Audiovisual Records: An Instructional Guide " Copies are available  ;

from the NARA Office of Records Administration.

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

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

" Recovery of Precious Metals."

This General Records Schedule authorizes the disposal of cer1ain records wit 1out further concurrence from NARA. Agencies are encouraged to include specific series descriptions for such records in their comprehensive schedules while

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

i

Transmittal No. 7 General Records Schedule 21 August 1995 i ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Still Photoaraphy

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

mission of the agency.

2. Personnel identification or passport Destroy when 5 years old or photographs. when no longer needed.

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

reflect the mission of the agency.

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

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

5. Viewgraphs. Destroy 1 year after use or when no longer needed.

6. Routine artwork for handbills, flyers, Destroy 1 year after final postars, letterhead, and other graphics. publication or when no longer needed.

7. Line and halftone negatives, screened Destroy when no longer needed paper prints and offset lithographic for publication or reprinting. i plates used for photomechanical reproduction.

8. Line copies of graphs and charts. Destroy 1 year after final ,

production or when no longer needed.

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Transmittal No. 7 General Records Schedule 21 g August 1995 ITEM E DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Motion Pictures

9. Films acquired from outside sources for Destroy 1 year after personnel and management training. completion of training program.

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

personnel entertainment and recreation.

11. Routine surveillance footage. Destroy when no longer needed.

12. Routine scientific, medical, or Destroy when 2 years old or engineering footage. when no longer needed.

13. Duplicate prints and preprint elements Destroy when no longer needed.  !

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

O Video Recordinas

14. Programs acquired from outside sources Destroy 1 year after for personnel and management training. completion of training program.

15. Programs acquired from outside sources Destroy when no longer needed.

for personnel entertainment and recreation.

18. Rehearsal or practice tapes. Destroy immediately, i

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

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

18. Routine surveillance recordings. Destroy when no longer needed.

19. Routine scientific, medical, or Destroy when 2 years old or engineering recordings. when no longer needed.

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General Records Schedule 21 Transmittal No. 7 August 1995 ITEM DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION N_Q.

Recordings that document routine Destroy when no longer needed.

20.

meetings and award presentations.

Duplicate dubbings and premix elements Destroy when no longer needed.

21.

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

Audio (Sound) Recordinos Recordings of meeting _: made exclusively Destroy immediately after use.

22.

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

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

23. Dictation belts or tapes. Destroy immediately after use.

24. Premix sound elements created during the Destroy immediately after use.

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

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

music).

26. Daily or spot news recordings available Destroy when 6 months old or When no longer needed.

to local radio stations on a call-in basis.

27. Duplicate dubbings in excess of those Destroy when no longer needed. j elements required for preservation, l duplication, and reference by 36 CFR l 1228.184.

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Transmittal No. 7 General Records Schedule 21 O August 1995 ITEM N1 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Related Documentation

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

29. Finding aids for identification, retrieval, or use D!spose of according to the of temporary audiovisual records. Instructions covering the related audiovisual records.

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i O Transmittal No. 7 August 1995 General Records Schedule 22 GENERAL RECORDS SCHEDULE 22 j,n,igtector General Records The inspectors General monitor agency programs and operations to prevent and reduce waste and fraud and to improve agency management. The !nspector General Act of 1978, as amended, and other legislation established an Office of Inspector General (OlG) in selected Government agencies. Several other agencies have created nonstatutory OlGs.

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

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

Correspondence or subject files, policy files, publications, reports to Congress, and any other records not specifically described in this schedule must be scheduled by each agency individually. This schedule does not authorize disposal of investigative case files for cases that result in national media attention, Congressional investigation, or substantive O- changes in agency policy cr procedure. Such files must be scheduled by submission of an SF 115.

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

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

ITEM i M DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION l

1. Investigadi: O& Filaa *;, civilian Agencies  !

other than the Central Intelligence Agency.

Case files developed during investigations of l known or alleged fraud, abuse, and  !

irregularities or violations of laws and regulations, EXCLUDING those that result in O national modia attention, Congressional investigation, or substantive changes in agency policy or procedure. Cases relate to

Transmittal No. 7 General Records Schedule 22 August 1995 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION agency personnel and programs and operations administered or financed by the agency, including contractors and others having a relationship with the agency. This includes investigative files relating to employee and hotline complaints, and other miscel!aneous complaint files. Files consist of investigative reports and related documents, such as correspondence, notes, attachments, and working papers.

a. Files containing information or aHegations Destroy when 5 years old.

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

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

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

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

2. Audit Case Files of Civilian Aoencies Other than the Central Intell!nence Aoency.

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

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

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

documents. This schedule does not apply to any materials that the agency has determined to be nonrecord or to materials such as calendars or work schedules claimed as personal. 1 Office Administrative Files described under item 1 are records retained by an j originating office as its record of initiation of an action, request, or response to requests for information. This item may be applied only to separate administrative files containing such records as copies of documents submitted to other o# ices for action including budget feeder documents, purchase orders, and training requests. item 1 may not be applied to files that also contain program records, and it may not be applied by an office that receives and takes action on documents submitted by other offices.

Several items covering electronic records produced on stand-alone or networked personal computers (such as word processing files, administrative data bases, and -

c spreadsheets) that were previously in this schedule have been moved to General Records 5 Schedule 20, Electronic Records. To preserve the previous numbering of the items in GRS 23, the item numbers that have been moved have been reserved. The disposition of records described in this schedule that are created in electronic form is govemed by GRS 20, item 3.

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Transmittal No. 7 General Records Schedule 23 August 1995 ITEM NA DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Office Administrative Files.

Records accumulated by individual offices that Destroy when 2 years old, or relate to the internal administration or when no longer needed, housekeeping activities of the office rather than whichever is sooner.

the functions for which the office exists. In general, these records relate to the office organization, staffing, procedures, and communications; the expend;ture of funds, including t,udget records; day-to-day administration of office personnel including training and travel; supplies and office services and equipment requests and receipts; and the use of office space and utilities. They may also include copies of intemal activity and workload reports (including work progress, statistical, and narrative reports prepared in the office and forwarded to higher levels) and other materials that do not serve as unique documentation of the programs of the office.

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

2-4. Reserved.

5. Schedules of Daily Activities.

Calendars, appointmera books, schedules, logs, diaries, and other records documenting meetings, appointments, telephone calls, trips, visits, and other activities by Fedaral employees while serving in an official capacity, EXCLUDING materia's determined to be personal.

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Transmittal No. 7 General Records Schedule 23 August 1995 '

ITEM fiQ. DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION

a. Records . containing substantive Destroy or delete when 2 years information relating to omcial activities, old.

the ' substance of which has not been incorporated into official files, EXCLUDING records relating to the omcial activitiC of h gh govemment om-cials (see note).

[ NOTE: High level omcials include the . heads ef - departments and independent agencies; their deputies and assistants; the heads of program omces and staff omces including assistant secretaries, administrators, and commissioners; directe x of Mices, bureaus, or equivalent; principal regional j omcials; staff assistsnts in those aforementioned omcials, such as special assistants, confidentiai assistants, and administrative assistants; and career Federal employees, political appointees, and omcors of the Armed Forces servirg in equivalent or comparable positions. Unique substantive records relating to the activities of these individuals must be scheduled by submission of an SF 115 to NARA.

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

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

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

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

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

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Transmittal No. 7 General Records Schedule 23 August 1995 ITEM NA DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. The file copy or an extra copy of an Withdraw documents when reply outgoing communication, filed by the date is received. (1) If suspense copy on which a repiy is expected. is an extra copy, destroy immediately. (2)If suspense copy is the file copy, incorporate it into the official files.

7. Transitory Files.

Documents of short-term interest which have Destroy when 3 months old, or no documentary or evidential value and when no longer needed, normally need not be kept more 'han 90 days. whichever is sooner.

Examples of transitory correspondence are shown below,

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

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

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

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Transmittal No. 7 General Records Schedule 23 August 1995 ITEM NQ, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

8. Trackina and Control Records.

Logs, registers, and other records used to Destroy or delete when no longer control or document the status of needed. j correspondence, reports, or other records that are authorized for destruction by the GRS or a NARA-approved SF 115.

9. Findina Aids (or Indexes),

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

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

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Transmittal No.7 General Records Schedules Suyect Index August 1995 GENERAL RECORDS SCHEDULES Subiect index Schedule t

.itas Accidents, General (see Investigative Files)

Accident, Motor Vehicle Report 10 5 Accountable Officers' Retums 6 1 Accountability Classified documents 18 5 Forms, transportation requests 9 - 1,3 Keys, security, and protective 18 16 Personal property files 18 15 Transportation and travel 9 4 Accounting Accountable officers' retums 6 1 Availability of funds 6 4 Collection of funds 6 4 l Correspondence 6 5 i Custody of funds 6 4 Deposit of funds 6 4 Exception, notices of GAO 6 2 Settlement, certificates of 6 3 j Support documents 6 7-9 Surety, personnel bond 6 6 Accounts Accounts, general 7 2 Allotment 7 3 Posting and control media 7 4 Acquisition of Real Property, Title Papers 3 1 Administrative Files (Office) 23 1 Administrative Management Audits / reviews 16 11,14 O Committees 16 8 i

Tr,a nsmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Administrative Management (continued)

• Feasibility studiec 16 9 Forms 16 3 Notices and other issuance 16 1 Project control 16 5 Records management 16 2,4,7 Reports control 16 6 Administrative Claims Files 6 10 Aerial Film 17 2 ADP (see Electronic Records)

Affirmative Action Plans 1 25 Allotment Ledgers 7 3 Analog Data (Uncalibrated) 20 2d Applications Employment 1 15 Grants 3 13 Housing 15 7 Apportionment and Reapportionment (see Budget)

Appropriation Warrants 6 4 Architecture Drawings 17 4,5,9 Models 17 7 Arrests 18 14 Audiovisual Contracts 21 28 Finding aids 21 29 2

p Transmittal No.7-August 1995 General Records Schedules Subject index i Schedule item Audiovisual (continued) {

Graphic arts 215-8 Artwork Flyers 21 6 Letterhead 21 6 Posters 21 6 Line copies, charts & graphs 21 8 Photo-mechanical reproduction 21 7 Viewgraphs 21 5 Motion pictures 21 9-13 Duplicates 21 13 Engineering 21 12 Entertainment 21 10 ,

Scientific., medical 21 12 Surveillance 21 11 Training 21 9 Production files 21 28 i g Scripts 21 28

( Sound recordings 21 22-27 Dictation 21 23 Dubbings 21 27 Effects 21 25 Meetings 21 22 Media production 21 24 News recordings 21 26 Pre-mix elements 21 24 Still photography 21 1-4 Ceremonial 21 1 Duplicates 21 4 Filmstrips (internal training) 21 3 Passports 21 2 Personnel identification 21 2 Slides (internal training) 21 3 Video recordings 21 14-21 Awards presentation 21 20 Dubbings 21 21 Engineering 21 19 Entertainment 21 15 Management instruction 21 17 3

i Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Audiovisual Video recordings (continued) l Medical 21 19 Meetings 21 20 Practice tapes 21 16 Surveillance 21 18 Training 21 14,17 Audit Case Files 22 2 Automobile Permits 11 4 1 12,13 Awards (Personnel)

Bid and Proposal Files 3 5 Acceptable bidders 3 5d Cancelled 3 Sc Successful 3 Sa Unsuccessful 3 Sb,13 Bills of Lading 9 1 Binding 13 2 Bonds Campaigns 23 7 Personnel surety 6 6 Savings 2 14 Budget Apportionment 5 4 Correspondence files 5 1 Reports 5 3 Work papers 5 2 Building Space and Maintenance Allocation 11 2 Correspondence 11 1,2b Credentials 11 4a 4

] Transmittal No.7 August 1995 General Records Schedules Subject index Schedule item Building Space and Maintenance (continued)

Directory service 11 3 Plans 11 2a Release 11 2 Reports 11 2b Request for services 11 5 Utilization 11 2 Calendars 23 5 Carrier (see Transportation)

Cartographic Aerial film 17 2 Color pulls 17 1 Color separation sheets 17 1 O Composites 17 1 Q Maps Correction 17 1 Case Files Classification appeals 1 7d Contract appeals 3 15 Emergency planning 18 27 Erroneous release 14 36 FOIA appeals 14 12 e

Informational services 14 4 Personnel EEO complaint 1 25 Incentive awards 1 12a,13 Labor management 1 28 Security 18 22 l Privacy Act amendment 14 22 Procurement 3 3 i Real property 3 1 i Surplus property 4 3 O ,

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Transmittal No.7 General Records Schedules Subject Indox August 1995 Schedule item Certificates 18 3 Classified document destruction Eligibles (employment) 1 5 Performance rating 1 23 6 3 Settlement Tax exempken 3 12 Tax withholding 2 13a Title 3 1 Transit 9 1 Charity appeals 23 7 Charts (see Cartographic)

Civilian Personnel (see Personnel)

Claims Administrative 6 10 Health benefits, former spouse 1 35 Walver of, administrative 6 11 Classified Documents Access control 18 6 Accounting 18 5 Administrative correspondence 18 1 Container security 18 7 inventory 18 4 ,

Receipt 18 2 Classified Information and Control Access control 18 6 Container security 18 7 Correspondence 18 1 Destruction certificates 18 3 Classified Information Nondisclosure Agreement 18 25 6

Transmittal No.7 O August 1995 General Records Schedules Subject Index Schedule item {

l Clearance (see Personnel, Security clearance)

Commendation Letters 1 12c s Committee Management 16 8c Committees 16 8 Communications I Administrative 12 2 Correspondence 12 2 Equipment 12 2b,2d(2) ,

Messages 12 3b Operation 12 2,3a Reports Administrative 12 2b Load 12 3a Performance O Statistical

. u. .. .: .al .,

12 12 3a 2c 2d Comp laints, Discrimination 1 25 Construction 17 4-10 Contract Appeals Case Files 3 15 Contracts 3 3 Contractors' Employment Practices, EEO 1 25d(1)

Contractors' Payrot!s 3 11 Contractor's Statement of Contingent or Other Fees 3 16 Control Files Classified documents 18 5 FOIA 14 13 General 23 8 7

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Transmittal No.7 General Records Schedules Subject Index

)

August 1995 Schedule item Control Files (continued)

Mandatory Review 14 33 Printing 13 3 Privacy Act 14 24 Correspondence Accounting 6 5 Building and space maintenance 11 1,2b Communications 12 2 Cost accounting 8 1 Emergency planning 18 26 Expenditure accounting 7 1 Facilities, security 18 8 Grant 3 14 Housing 15 1 Informational services 14 1,2,5 Motor vehicle 10 1,7 Pay 2 24 Personnel 1 3,4,17a, 17c Personnel security 18 21 Plant accounting 8 1 Printing, Administrative 13 1 Procurement 3 2 Property disposal 4 1 Security and protective service 18 8

)

Space and maintenance 11 1

Stores accounting 8 1 i Surplus property 4 1 Transportation 9 4 Travel 9 4 Word processing 20 13 Cost Accounting Correspondence 8 1 Ledgers 8 7 Reports 0 6 8

Transmittal No.7 General Records Schedules Subject Index -

' August 1995 Schedule lign Credentials 11 4 18 12,19a Credit Card Purchases 6 1,7,8 Declassification (see Mandatory Review for Declassification)

Deductions, Payroll 2 13a,15,16 Direct Deposit, Payroll Authorization 2 17 Design and Construction 17 4-10 Discrimination Complaints 1 25 Dispensary Control Files 1 20

[ Drawings' 17 3-5,8-9 Driver Tests 10 7 Drug Testing 1 36 Electronic Fund Transfer, Payroll 2 17 Electronic Records Backup tapes 20 8 Calendars 23 5 Copied data 20 12 Databases 20 3 l Documentation 20 11 Downloaded data 20 12 Extracted data 20 5 Federal procurement data system 3 3d l Finding aids 20 9 23 9 Input data (see Source data) '

intermediate data 20 1b 9

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Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item {

Electronic Records (continued)

Master data files Administrative (routine) 20 3 Reformatted 20 7 Summarized data 20 4 Mail or messages 20 14 Pay record, individual 2 1 Payroll files, noncurrent 2 2 Print files 20 6 Printouts 20 1a,1c Programs, special purpose 20 10 Publications 20 6 Reports 20 6 Software 20 10 Source data 8 7 20 2 Specifications 20 11 Spreadsheets 20 15 System usage files 20 1c Test data 20 1a Test documentation 20 1a Update records 20 1b Valid transaction files 20 1b Word processing files 20 13 Work files 20 1b Emergency Planning Case files 18 27 Correspondence 18 26 Operations tests 18 28 Employee Performance 1 23 Employee Records (see Personnel and also Payroll)

Employee Transfer and Detail 1 14 Engineering Drawings 17 8 Equal Employment Opportunity Comp!sints 1 25 O

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Transmittal No.7 General Records Schedules Subject index

_! August 1995 Schedule Itgm Erasable Media (see Electronic Records)

Erroneous Release 14 36 Expenditure Accounting i

Allotment 7 3 Correspondence l 7 1 i Ledgers 7 2 Posting and control 7 4  !

I Facilities, Security  !

Correspondence 18 8 Inspections and surveys 18 9,10 investigatica 18 11 Feasibility Studies 16 9 Federal Register, Documents Published in 16 13 Films Duplicates 21 13 <

Engineering 21 12

{

Entertainment 21 .

Scientific and medical 21 12 Surveillance 21 11 Training 21 9 Finding Aids Audiovisual 21 29 General 23 9 information services 14 6 Electronic 20 9 Flexitime Records (see Payroll)

Follow-up Files 23 6 Forms 16 3

)

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Transmittal No.7 General Records Schedules Subject Index August 1995 l Schedule item Freedom of Information Act Files edministrative 14 15 Appeals 14 12 Control 14 13 Erroneous release 14 36 Repods 14 14 Requests 14 11 Freight 9 1,2 Freight and Passenger Transportation Files 9 1,3 Gasoline Sales Tickets 6 7 General Accounting Office Notices of exception 6 2 Site audit 6 1 Support documentation 6 7,8,9 Govemment Losses in Shipment Act 9 2 Grants 3 13,14 G aphic Arts (also see Audiovisual) 21 5-8 Guard Assignment 18 13 Facility checks 18 18 Service control 18 19 Logs and registers 18 20 Health Benefits Claims, Former Spouse 1 35 Health Programs, Civilian Dispensary logs 1 20 j Employee medical folder 1 21 1 Health record card 1 19 Individstal cases 1 21 Repods 1 22 Household Effects, Shipnient of 9 1 12 l

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Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Housing Applications 15 7 Assignment 15 5 Correspondence 15 1 Furnishings inventory 15 6 Lease 15 4 Maintenance and repair 15 2 Reports 15 3 Requests (EEO) 1 25e Tenant 15 Sa Vacancy 15 5 j identification Credentials 11 4 Incentive Award Case Files 1 13 Indexes (see Finding Aids)

Information Collection Budget 16 12' information Resources Management information collection budget 16 12 Systems studies 16 9 Triennial reviews 16 11 Informational Services Acknowledgement files 14 2 Bibliographies 14 6 Correspondence 14 1,2,5 Erroneous release 14 36 Freedom of information 14 11-15 Information retrieval system 20 10 Press service files 14 3 Privacy Act files 14 21-25 l Project case files 14 4  !

Publications indexes & bibliographies 14 6 ,

Requests 14 1 23 7a injury and illness, Occupational 1 31,35 13 i

b Transmittal No.7 General Records Schedules Subject inder.

August 1995 Schedule item Inspections Microform logs 16 10 Safety and Security Govemment-owned facilities 18 9 Privately-owned facilities 18 10 Inspectors General 22 1-22 Intemal Control Review 16 14 Interview 1 8 inventory, equipment and supplies 3 9 investigative File; 18 11 2 1 Invitations Bid 3 5 Committee meetings 16 8b(2)

Invoices, Stores Accounting 8 2 Job Descriptions 1 7 Key Control, Security 18 16 Labor Management Relations 1 28 Leave 2 6-9 Donated 1 37 Ledgers Allotment 7 3 Cost report P 7 Electronic files to produce 20 6 General accounts 7 2 Plant accounting 8 5 Subsidiary 7 4 Levy and Gamishment 2 18 14

q Transmittal No.7 August 1995 General Records Schadules Subject Index Schedule item Losses in Shipment Act, Government 9 2 Mail Administration 12 Sg Certified 12 Sa Control 12 5 Delayed delivery report 12 Sc Electronic 20 14 Express 12 Sa insured 12 Sa Loss report 12 Sc,8 Messenger service 12 1,6h Overnight 12 Sa Penalty mail reports 12 7 Postal irregularities 12 8 Private mail companies 12 5 Receipt and routing 12 6a bs Receipts 12 Sa,6f Registered mail 12 Sa,6b Stamps 12 Sc,6e Statistical reports 12 6b,6d Malling List 13 4 Maintenance 11 1,5 Management (see Administrative Management)

Mandatory Review for Declassification Administrative files 14 35 Appeds 14 32 Control 14 33 Reports 14 34 Requests 14 31 Maps (see Cartographic)

Measurement Data, Electronic 20 2d Medical Records 1 19-21 15

l 4

l Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item 1 Merit Promotion Case Files 1 32 Messages (Electronic Mail) 20 14 Messenger Service 12 1 Microform Inspection 16 10 Motion Pictures (also see Audiovisual) 21 9-13 Motor Vehicle Accidents 10 5 Correspondence 10 1,7 Cost and expense data 10 3 Maintenance 10 2b Operation 10 2a Operators 10 7 Releases 10 6 Reports 10 4 National Defense Executive Reserve Cases 18 29 Nondisclosure Agreements (Classified Information) 18 25 Notices 16 1 23 7c Notification of Personnel Action 1 14 2d Observational Data, Electronic 20 )

i Occupational Injury and lilness 1 31,34 i Official Personnel Folders 1 1,10

]

Overseas Employment 1 3 Parking Permits 11 4a Passes 11 4a 18 12 16

h p Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Passports 9 5 j Photographs 21 2 Pay and Payroll Allotment authorizations 2 15,16 i Bonds l Authorization 2 14 Purchase 2 14-Receipt and transmittal 2 14 f Registration 2 14 Combined Federal Campaign 2 15a Correction records 2 23 Correspondence 2 24 Direct deposit 2 17 Electronic fund transfer 2 17 Flexitime records 2 7 Individual employee pay record 2 O

-b Leave application 2 1

6 Leave record 2 9 Levy and gamishment 2 18 Pay comparability 1 40 Payrolls (copy) 2 2 Reports Error 2 22a Fiscal 2 22c i Management or workload 2 22b Tax 2

{

13c l Retirement 2 28 Savings allotment authorizations 2 15b-Taxes 2 13 Thrift Savings Plan 2 16 Time and attendance reports 2 7,8 Union dues 2 15b Wage survey 1 38 Performance Rating i 23 Personal injury 1 31 0

17 ,

J

Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item l l

Personnel (Civilian) '

Adverse action 1 30b Affirmative Action Plans 1 25h Application record card 1 33d Applications for employment i 15,33h,33k Appointments 1 4,41 Awards 1 12,13 Certificates of eligibles 1 5,33m Certification request control index 1 33n Correspondence 1 3,4,17a,17c Counseling 1 26 Delegated agreements 1 33 Discrimination cases 1 25 Displaced employee program 1 33o,p Dispensary logs 1 20 Driver tests 10 7 Drug testing 1 36 Employee interviews 1 8 Employee medical folder 1 21 Employee record card 1 6 Equal Employment Opportunity 1 25 Evaluations 1 7c(2)

Examination announcement cases 1 33e Examinations 1 33c,e,i Financial disclosure reports 1 24 Grievance 1 30a Handicapped individuals 1 41 Health benefits claims, denied 1 35 Health record cases 1 21 Health records, individual 1 19,21 Health unit control files 1 20 Incentive awards Cases 1 12a Reports 1 13 Informational files 1 18 injury and illness 1 31,34 Interviews 1 8 Labor-management relations 1 28 Leave 2 6,7,8,9 Letters of reference 1 10 Motor vehicle operation 10 7 18

Transmittal No.7 General Records Schedules Subject index

[)

%)

August 1995 Schedule item Personnel (Civilian) (continued)

Notification of Personnel Action 1 14 Official Personnel Folder 1 1,10 Pay comparability 1 41 Performance ratings 1 23 Personnel security case files 18 22 Position classification Appeals 1 7d Standards 1 7a(1)

Sumey 1 7c Position descriptions 1 7b Position identification strips 1 11 Reduction-In-Force (RIF) records 1 17b(1),30b Registers of eligibles 1 33f Reports Affirmative action 1 25h(4)

Audits of delegated examining 1 33q operations 3 Statistical

[V Retention registers Retirement assistance 1

1 1

16,22,25f 17b 39

(

Retirement (payroll) 2 28 l Security clearance 18 22,23 Security violation 18 24 Service record card 1 2 Standards of conduct 1 27 Temporary records 1 10 Test material stock control 1 33c Time and attendance 2 6-9 Training 1 29 Vacancy announcements 1 32 Personnel Security Case files 18 22 Correspondence 18 21 l Status 18 23 Violations 18 24 Photographs (also see Audiovisual) 21 1-4 19 l

Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Plant Accounting Account cards 8 5 Correspondence 8 1 Ledgers 8 5 Police Records 18 14 Position Descriptions 1 7b Postal irregularities 12 8 Postal Records 12 5 Press Service 14 3 Printing Correspondence 13 1 Malling lists 13 4 Management 13 6 Planning 13 2b Projects 13 2a Reports to Congress 13 5 Registers 13 3 Privacy Act Administrative 14 26 Amendment cases 14 22 Control records 14 24 Disclosure 14 23 Erroneous release 14 36 Repods 14 25 Requests 14 21 Procurement f Bids and proposals 3 5 l Bond and surety 3 3 Contract appeals 3 15 Contractors' payrolls 3 11 Contracts 3 3 l Correspondence 3 2 l

Federal Procurement Data System 3 3d 20

Transmittal No.7 General Records Schedules Subject index August 1995 Schedule Itam Procurement (continued)

Inventories 3 9 Purchase orders 3 3 Real property acquisition 3 1 Requisitions 3 3,6,7,8 Small and disadvantaged business utilization 3 17 Supply manaDement 3 4 Survey, reports of 3 9c Tax exemption certificates 3 12 Telephone statements 3 10 Production Files (Audiovisual) 21 28 Promotion, Merit 1 3,32 Proposals (see Bids and Proposals' Files)

O Property Disposal Correspondence Excess personal property reports 4

4 1

2 Real property disposal 4 4 Surplus property 4 3 Property Pass 18 12 Publications, Electronic 20 6 Purchase Orders 3 3 Recordings Sound (audio)' 21 22-27 Video 21 14-21 Records Disposition Files 16 2 Records Holdings Files 16 4 Records Management Files 16 7 Reduction-in-Force (RIF) Records (see Personnel) 21

Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Reports Accident, motor vehicle 10 5 Budget 5 3 Building space and maintenance 11 2b Communications 12 2b Control Files 16 6 Cost accounting 8 6 Electronic files to produce 20 6 Freedom of Information 14 14 Health programs, civilian 1 22 Houdng 15 3 incentive award 1 13 Joint Committee on Printing 13 Sa Losses in Shipment Act, Govemment 9 2 Mail 12 Sc,6b,6d,7,8 Motor vehicle 10 4 Pay and payroll 2 22,28 Personnel 1 13,16,22, 25f,25h(4),

33q Privacy Act 14 25 Property disposal 4 2 Security (facility) 18 18 Space and maintenance 11 2 Statistical Communications 12 2c Cost accounting 8 7 Health 1 22 Mail 12 6b,d Payroll 2 22 Personnel 1 16 Surplus property 4 2 Requisitions Bindings 13 2 Control registers 13 3 Duplication 13 2 Housing maintenance and repair 15 2b Non-personal 3 7 Printing 13 2a Procurement 3 3,6,7,8 22

( Transmittal No.7 General Records Schedules Subject index August 1995 Schedule ligm Requisitions (continued)

Public Printer 3 6 Stamps 12 Sc Supplies and equipment 3 8 Retirement 2 28 Assistance 1 39 i

Safety and Security inspections 18 9,10 Schedules of Daily Activities 23 5 Scripts 21 28

]

Security and Protective Services Correspor.dence 18 8 Guard assignment and strength 18 13 Guard force facility checks 18 18 O Guard log and registers Guard service control 18 18 20 19 investigations 18 11 Key accountability 18 16 Lost or stolen property 18 15 Police files 18 14 Property pass files 18 12 Survey and inspection 18 9,10 Visitor control files 18 17 Selective Placement 1 5 Shortage and Demurrage Reports 9 1 Site Audit Records 6 1 l 2 1 9 1 Small and disadvantaged business utilization (see Procurement)

Software 20 O

10 23

l l

Transmittal No.7 General Records Schedules Subject index August 1995 Schedule item Sound Recordings (also see Audiovisual) 21 22-27 Space and Maintenance Allocation and utilization 11 2 Building plans 11 2 Correspondence 11 1,2b Credentials 11 4 Directory service listings 11 3 Maintenance 11 5 Repods 11 2b Specifications, Real Property 4 4 Spreadsheets 20 15 Statement of Employment and FinancialInterest 1 24b Statistical Files Extracted data 20 5 Summarized data 20 4 Still Pictures (also see Audiovisual) 21 1-4 Stores Accounting Correspondence 8 1 Invoices 8 2 Retums and reports 8 3 Work papers 8 4 Suggestions, Employee 1 12a(1)

Supply Inventory 3 9 Requirements 3 4 Requisitions 3 8 Surety Bond Files 6 6 Surplus Property Correspondence 4 1 Personal property 4 3 24

i j

Transmittal No.7 Generel Records Schedules Subject index August 1995 Schedule item Surplus Property (continued)

Real property 4 "4 Reports 4 2 Suspense Files 23 6 Tax Exemption Certificates 3 12 Tax Files 2 13 Telecommunications 12 2,3 Telegrams 6 9 Telephone Statements and Toll Slips 3 10 6 8 Thrift Savings Plan 2 16 Time and Attendance 2 6-9 Title Papers 3 1 Tracking Files (see Control Records)

Trair$ing Records 1 29 Transit Certificates 9 1 Transitory Files 23 7 Transportation Accountability 9 4 Bills of Lading 9 1 Correspondence 9 4 Freight records 9 1 Lost or damaged shipment 9 2 0

25

Transmittal No.7 General Records Schedules Subject Index August 1995 Schedule item Travel Accountability 9 4 A :thorization 9 1 Correspondence 9 4 Orders 9 3 Passports 9 5 Reimbursement 9 3 Requests 9 1 Vouchers 9 1,3 U.S. Postal Service Records 12 5 U.S. Sc,irigs Bonds Payroll savings 2 14 Receipt and transmittal 2 14 Registration 2 14 Vacancy Announcements 1 32 Video Recordings (see also Audiovisual) 21 14-21 Viewgraphs 21 5 Visitors' Passes 11 4 Vouchers Communications 12 2d General 6 1 Passenger transportation 9 1 Wage Survey 1 38 Waiver of Claims 6 11 Word Processing Files 20 13 l

Work Papers 1 Pudget 5 2 Stores accounting 8 4 l

26 l l

Transmittal No. 7 General Records Schedule Forms Index August 1995 GENERAL RECORDS SCHEDULES Forms index STANDARD FORMS SF NUMBER T1.TLE Schedule J.its 1 Printing and Binding Requisition 3 6 13 2 1A Binding instructions 3 6 13 2 1B List of Books to be Bound 3 6 13 2 1C Printing and Binding Requisition for Specialty items 3 6 13 2 2 U.S. Government Lease for Real Property 3 3 2B U.S. Government lease for Real Property Short Form 3 3 7 Service Record 1 2 (obsolete as of Dec. 31,1994) 7A Service Record - Continuation 1 2 (obsolete as of Dec. 31, 1994) 7B Employee Record 1 6 (obsolete as of Dec. 31, 1994) 7D Position Identification Strip 1 11 (obsolete as of Dec. 31,1994) 14 Telegraphic Message 12 3 15 Application for 10-Point Veteran Preference 1 1 18 Request for Quotations 3 3,5 24 Bid Bond 3 3

Transmittal No. 7 General Records Schedule Forms index August 1995 SF NUMBER TITLE Schedule item )

25 Performance Bond 3 3 25A Payment Bond 3 3 25B Condnuadon Sheet (For Standard Forms 24,25, and 25A) 3 3 26 Award / Contract 3 3,5 28 Affidavit of Individual Surety 3 3 30 Amendment of Solicitation / Modification of 3 3,5 33 Solicitation, Offer and Award 3 3,5 34 Annual Bid Bond 3 3,5 35 Annual Performance Bond 3 3,5 39 Request for Referral of Eligibles 1 5,33 39A Request and Justification for Selective Factors and Quality Ranking Factors 1 5,33 44 Purchase Order - Invoice - Voucher 3 3 6 1 l 44a-d Purchase Order - Invoice - Voucher 3 3 6 1 50 Notification of Personnel Action 1 1,14 SOB Notification of Personnt! Action 1 1,14 52 Request for Personnel Action 1 1,33 2

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER IIT.LE Schedule ligm 59 Request for Approval of Non-Competitive Action 1 1 61 Appointment Affidavits 1 1 61B Dederation of Appointee 1 1 02 Agency Request to Pass Over a Preference Eligible or Object to an Eligible 1 5 66 Official Personnel Folder 1 1 71 Application for Leave 2 6 81 Request for Space 11 2 83 Request for OMB Review 16 6 (Replaced by OMB 83, Paperwork Reduction Act Submission) 82 Agency Report of Motor Vehide Data 10 4 85 Questionnaire for Noncritical-Sensitive Positions 18 22 86 Questionnaire for Sensitive Positions 18 22 91 Operator's Report of Motor Vehide Accident 10 5 91A Investigation Report of Motor Vehide Accident 10 5 94 Statement of Witness 10 5 97 The United States Government Certificate of 4 3 Release to Obtain Title to a Motor Vehide 10 6 98 Notice of Intention to Make a Service Contract and Response to Notice 3 11 98A Notice of Intention to Make a Service Contract and Response to Notice Attachment A 3 11 99 Notice of Award of Contract 3 3 3

l l

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item l l

108 Statement of Receipts 7 4 113A Monthly Report of Federal Civilian Employment 1 16 114 Sale of Government Property - Bid and Award 4 3 114A Sale of Government Property - Item Bid Page -

Sealed Bid 4 3 114B Sale of Govemment Property - Item Bid Page

- Sealed Bid 4 3 114C Sale of Govemment Property - General Sale Terms and Conditions 4 3 114C-1 Sale of Govemment Property - Special Sealed Bid Conditions 4 3 114C-2 Sale of Govemment Property - Special Sealed Bid

- Term Conditions 4 3 114C-3 Sale of Govemment Property - Special Spot Bid Conditions 4 3 114C-4 Sale of Govemment Property - Special Auction Conditions 4 3 114D Sale of Govemment Property - Amendment of Invitation for Bids / Modification of Contract 4 3 114E Sale of Government Property - Negotiated Sales Contract 4 3 114F Sale of Govemment Property - Item Bid Page -

Spot Bid or Auction 4 3 115 Request for Records Disposition Authority 16 2 4

0

Transmittal No. 7 O August 1995 General Records Schedule Forms index SF NUMBER T1ILE Schedule item 115A Request for Records Disposition Authority - i Continuation 16 2 119 Contractor's Statement of Contingent or Other Fees 3 3,5,16 i 120 Report of Excess Personal Property 4 2 120A Continuation Sheet (Report of Excess 'r ...onal Property) 4 2 121 Annual Report of Utilization and Disposal of Excess and Surplus Personal Property 4 2 122 Transfer Order - Excess Personal Property 4 2 123 Transfer Order - Surplus Personal Property 4 2 123A Transfer Order - Surplus Personal Property -

Conunuadon Sheet 4 2 126 Report of Personal Property for Sale 4 2 i

126A Report of Personal Property for Sale (Continuation Sheet) 4 2 127 Request for Omcial Personnel Folder (Sepcrated Employee) 1 17 132 Apportionment and Reapportionment Schedule 5 4 133 Report on Budget Execution 5 3 135 Records Transmittal and Receipt 16 .

135A Records Transmittal and Receipt (Continuation) 16 2 5

i Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item i

144 Statement of Prior Federal Civilian and 1 1 Military Service Telephone Service Request 3 1 145 12 2 Agency Request for Telephone Service 3 3 145B 150 Deposit Bond - Individual Invitation, Sale of Government Personal Property 4 3 151 Deposit Bond - Annual Sale of Government Personal Property 4 3 152 Request for Clearance, or Cancellation of Standardand Optional Forms or Exception 16 3 177 Statement of Physical Ability for Light Duty 1 1 Work Request Pertaining to Military Records 14 21 180 182 Request, Authorization, Agreement and 1

Certification of Training 1 Annual Audiovisual Report 16 4 203 Deposit Ticket 6 1 215 224 Statement of Transactions Classified According to Appropriation, Fund and Receipt Account, and Related Control Totals 6 1 5 3 225 Report on Obligations Architect-Engineer Fixed-Price Contract 3 3 252 6

I O Transmittal No. 7 August 1995 General Rocords Schedule Forms Index SF NUMBER IITLE Schedule item

.254 Architect-Engineer and Related Services Questionnaire 3 3 4

255 Architect-Engineer and Related Services Questionnaire for Specific Project 3 3 258 Request to Transfer - Approval and Receipt of Records to National Archives of the United States 1E 2  ;

269 Financial Status Report Long Form 3 3 1 270 Request for Advance or Reimbursement 3 3 271 Outlay Report and Request for Reimbursement

)

for Construction Programs 3 3 272 Federal Cash Transactions Report 3 3 272A Federal Cash Transactions Report Continuetion 3 3 273 Reinsurance Agreement for a Miller Act Performance Bond 3 3 274 Reinsurance Agreement for a Miller Act Payment Bond 3 3 275 Reinsurance Agreement in Favor of the United States 3 3 278 Executive Branch Personnel - Public Financial Disclosure Report 1 24 278A Assets and Income Public Financial Disclosure Report, Schedule A 1 24 279 Federal Procurement Data System FPDS -

-Individual Contract Action Report over $10,000 3 3 0 7 l, l

Transmittal No. 7 General Records Schedule Forms Index i

August 1995 SF NUMBER TITLE Schedule J.tgm 308 Request for Determination and Response to Request 3 3 311 Agancy Infomtation Socurity Program Data 18 1 312 Classified Infomiation Nondisclosure Agreement 18 25 344 Multiuse Standard Requisitioning / issue System Document 38 360 Request to Approve an Interagency Reporting Requirement 16 3 361 Transportation Discrepancy Report 9 2 362 U.S. Government Freight Loss / Damage Claim 9 2 364 Report of Discrepancy 9 2 701 Activly Security Chectlist 18 7b 702 Security Container Check Sheet 18 7b 1012 Travel Voucher 6 1 1012A Travel Voucher Memorandum 9 1 1013A Payroll for Personal Services 2 2 1034 Public Voucher for Purchases and Services Other Than Personal 6 1 1034A Public Vouche~r for Purchases and Services Other Than Personal (Memorandum) 6 1 8

Transmittal Nr . 7 General Records Schedule Forms Index v August ' 195 SF NUM cR TITLE Schedule item 1035 Public Voucher for Purchases and Services Other Than Personal Ccqtinuation Sheet 6 1 1035A Public Voucher for Purchases and Services Other Than Personal Memorandum (Continuation Sheet) 6 1 1038 Advance of Funds Application and Account 6 1 9 3 1047 Public Voucher for Refunds 6 1 1048 Public Voucher for Refunds 6 1 1049 Public Voucher for Refunds 6 1 1050 Public Voucher for Refunds (Memorandum) 6 1 1069 Voucher for Allowances at Foreign Posts of Duty 6 1 1080 Voucher for Transfers Between Appropriations and/or Funds 6 1 1081 Voucher and Schedule of Withdrawals and Credits 6 1 1093 Schedule of Withholdings Under the Davis-Bacon Act (40 U.S.C. 276a) and/or The Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333) 3 3,11 1094 U.S. Tax Exemption Certificate 3 12 9

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item 1094A U.S. Tax Exemption Certificate (Accountability Record) 3 12 )

i 1096 Schedule of Voucher Deductions 6 1 1098 Schedule of Canceled or Undelivered Checks 6 1 1103A U.S. Govemment Bill of Lading - Memorandum copy 9 1 1104 U.S. Government Bill of Lading - Shipping Order 9 1 1109A U.S. Govemment Bill of Lading - Continuation Sheet (Memorandum) 9 1 1113 Public Voucher for Transportation charges 6 1 1113A Public Voucher for Transportation Charges (Memorandum) 6 1 9 1 1128 Payroll for Personal Services - Payroll Certification and Summary 6 1 1128A Payroll for Personal Service - Payroll Certification and Summary - Memorandum 2 2 1145 Voucher for Payment Under Federal Tort Claims Act 6 1 1145A Voucher for Payment Under Federal Tort Claims Act - Memorandum 6 1 1150 Record of Leave Data 2 9a 1151 Nonexpenditure Transfer Authorization 6 1 10

I l

Transmittal No. 7 General Records Schedule Forms index August 1995 SF NUMBER 31T.Lii Schedule Itam 1152 Designation of Beneficiary - Unpaid Compensation of Deceased Civilian Employee 1 1 1154 Public Voucher for Unpaid Compensation Due a Deceased Civilian Employee 6 1 1156 Public Voucher for Fees and Mileage of Witnesses 6 1 1156A Public Voucher for Fees and Mileage of Witnesses - Memorandum 6 1 9 3 1157 Claim for Witness Attendance Fees, Travel, and Miscellaneous Expenses 9 3 1164 Claim for Re?mbursement for Expenditures on Official Businass 6 1 9 3 1165 Receipt for Cash - Subvoucher 6 1 1166 Voucher and Schedule of Payments 6 1 1166A Voucher and Schedule of Payments -

M. ,norandum 6 1 1167 Voucher and Schedule of Payments (Continuation Sheet) 6 1 1167A Voucher and Schedule of Payments (Continuation Sheet) - Memorandum 6 1 1169A U.S.- Government Transportation Request -

Memorandum 9 1 1

1170 - Redemption of Unused Tickets 9 1  !

1176 Public Voucher for Unpaid Pay and Allowances Due a Deceased Member of the Armed Forces 6 1 1 11

\

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER TITLE Schedule item 1176A Public Voucher for Unpaid Pay and Allowances Due a Deceased Member of the Armed Forces

- Memorandum 6 1 1177 U.S. Savings Bond issue File Action Request 2 14c 1182 Subscriber List for issuance of United States Savings Bonds 2 14b 1183 Subscriber List for issuance of United States Savings Bonds 2 14b 1186 fransmittal for Transportation Schedules and Related Basic Documents 9 1 1187 Request for Payroll Deductions for Labor Organization Dues 2 15b 1188 Revocation of Voluntary Authorization for Allotment of Compensation for Payment of Labor Organization Dues 2 15b 1189 Request by Employee for Payment of Salaries or Wages ty Credit to Account at a Financial Organization 2 17 1198 Request by Employee for Allotment of Pay for Credit to Savings Accounts with a Financial Organization 2 15b 11999 Direct Deposit Sign-up Form 2 17 1203A U.S. Govemment Bill of Lading, Privately Owned Personal Property - Memorandum Copy 9 1 1204 U.S. Government Bill of Lading, Privately Owned Personal Property - Shipping Order 9 1 12

Transmittal No. 7 General Records Schedule Forms Index August 1995 SF NUMBER T.LT.Lii Schedule item 1205 U.S. Government Freight Waybill - Privately Owned Personal Property - Original 9 1 1218 Statement of Accountability (Foreign Service Account) 6 1 1219 Statement of Accountability 6 1 1220 Statement of Traneactions According to Appropriations, Funds, and Receipt Accounts 6 1 6 5 1221 Statement of Transactions According to Appropriations, Funds, and Receipt Accounts (Foreign Service Account) 6 1 6 5 1303 Request for Federal Cataloging / Supply Support Action 3 2 2800 Application for Death Benefits - Civil Service Retirement System 1 1 2801 Application for immediate Retirement under the Civil Service Retirement System 1 1 2801-1 Certified Summary of Federal Service - Civil Service Retirement System 1 1 2802 Application for Refund of Ratirement Deductions - Civil Service Retirement System 1 1 2803 Application to Make Deposit or Redeposit - Civil Service Retirement System 1 1 2804 Application to Make Voluntary Contribution - Civil Service Retirement System i 1 2805 Request for Recovery of Debt Due the United States 2 18 13 1 1

Transmittal No. 7 General Records .ichedule Forms Index August 1995 SF NUMBER TITLE Schedule item 2808 Designation of Beneficiary - Civil Service Retirement System 1 1 2809 Health Benefits Registration Form Federal Employees Health Benefits Piugram 1 1 2810 Federal Employees Health Benefits Program -

Notice of Change in Health Benefits Enrollment 1 1 2811 Transmittal and Summary Report to Carrier -

Federal Employees Health Benefits Program 2 22b 2812 Report of Withholdings and Contributions for Health Benefits, Life Insurance, and Retirement 2 22b 2812A Report of Withholdings and Contributions for Health Benefits by Enrollment Code 2 22b 2815 Employee Service Statement 1 1 2823 Designation of Beneficiary - Federal Employees' Group Life Insurance Program 6 1 5515 Debit Voucher 1 1 14

Transmittal No. 7 General Records Schedule Forms Index August 1995 OPTIONAL FORMS OF NUMBER TITLE Schedule, J. tam 7 Property Pass 11 4 8 Position Description 1- 7 i I

12 Request for Door Title Cards and Holders 11 5 16 Sales Slip (Sale of Govemment Personal Property) 4 3 26 Data Bearing Upon Scope of Employment of Motor Vehicle Operator 10 5 30 Motor Vehicle Service and Inspection Work Orders 10 2 49 Inquiry for United States Govemment Use Only Oe (Reference and Employment Inquiry) 1 15 50' inquiry for United States Govemment Use Only (Educational inquiry) ~1 15 51 Inquiry for United States Govemment Use Only Law Enforcement inquiry 1 15 55 U.S. Govemment identification Card 11 4 68 Record of Travel Expenses 9 3 101 Summary Worksheet for Estimating Reporting Costs 16 6 108 Daily Vehicle Usage Report 10 2 112 Classified Material Receipt- 18 5 116 Record of Top Secret Material 18 5 15

Transmittal No. 7 General Records Schedule Forms Index August 1995 OF NUMBER TITLE Schedule item Notice of Security Violation 18 24 117 Record of Violation 18 18,24 118 119 Record of Material Removed for Ovemight Custody 18 4,5 Top Secret Document Inventory Record 18 5 123 131 Stock Control Card 3 9 136 Application for Retirement - Foreign Service Retirement and Disability System 1 1 137 Designation of Beneficiary 1 1 138 Application for Refund of Retirement Contributions (Foreign Service Retirement 1

System) 1 140 Election to Receive Extra Service Credit Towards Retirement and Report of Residence of Spouse 1 1 141 Application for Service Credit 1 1 144 Temporary Duty TDY Official Travel Authorization 9 1 l

153 Outgoing Telegram 12 3 l

153A Outgoing Telegram Continuation Sheet 12 3 158 General Receipt 6 1 164 Meritorious Service Increase Certificate 1 12 l

16

Transmittal No. 7 General Records Schedule Forms index 1

August 1995 OF _ NUMBER ILLE Schedule .1135.

187 Telegram Repeat Request 12 3

.189 Travel Reimbursement Voucher 6 1 189A Travel Reimbursement Voucher - Memorandum 6 1 9 1 1898- Travel Reimbursement Voucher (Continuation Sheet) 6 1 189C Travel Reimbursement Voucher (Continuation Sheet) - Memorandum 6. 1 9 1 190 Foreign Service Emergency Locator Information 1 6 191 Outgoing Telegram (OCR - Overseas) 12 3 191A Outgoing Telegram - Continuation Form (OCR Overseas) 12 3 199 Notice of Shipment of Effects Residence-to-Residence Method 9 1 200 Monthly Record of Vehicle Operation Cost 10 2 202 Leave Record 2 7 202A Leave Summary 2 7 205 Statement of Operating Cash Advance and Replenishment Voucher 6 1 206 Purchase Order, Receiving Report and Voucher 3 3 206A- Purchase Order, Receiving Report and Voucher (Continuation Sheet) 3 3 17

Transmittal No. 7 General Records Schedule Forms Index August 1995 OF NUMBER TITLE Schedule item 208 Statement of Collections - Foreign Service of the United States of America 6 1 612 Optional Application for Federal Employment 1 1,15,32 1017G Joumal Voucher 7 4 1121 Bill of Lading Accountability Record 9 1 1130 Time and Attendance Report 2 7 1135 Time and Attendance Report 2 7 1136 Time and Attendance Report 2 7 1137 Leave Record 2 9 O

18 O -

i NRC FORM s3s U.s. NUCLEAR REGULATORY COMMiss40N 1. REPORT NUhSER

$** ,m, moweaesmymac. Asevs.,sw..nu, A noi. am BIBLIOGRAPHIC DATA SHEET *""""*"""*"*'ar3 t 2.TrTLE AND SUBTITLE

-_._._._.e__,

NUREG-0910 Revision 3 NRC Comprehensive Records Disposition Schedule

3. DATL REPORT PUsuSHED uowrw YEAR l

February 1998

4. FIN OR GRANT NUMaER

6. AUTHOR (S) s. TYPE OF REPORT

7. PERIOD COVERED thcessimosses)

8. PERFORMlHO ORGANrZATION - NAME AND ADDRESS frNRC. prwsde twwen. Ofree or Reem u s Ahsciser Reguistry Corressen, and meens esposa. #contecer prwane name end meeng eneess )

Information Management Division j Of5ce of the Chief informaton Officer U.S. Nuclear Regulatory Commesion Washington, D.C. 20555-0001

9. SPONSORING ORGANIZATION . NAME AND ADDRESS (F NRC, &pe "Some es abowi #conteckr, prwsfe NRc Domen. Ofnce er Regm U S. Nuedser Anguistry Conmssen.

end meene ed* ens)

Same as above j s 10. SUPPLEhENTARY NOTES

11. ABSTRACT poo words or APGs)

Ti6e 44 United States Code,"Public Pnnting and Documents," regulatons issued by the General Service Administration (GSA)in j 41 CFR Chapter 101, Subchapter 8, " Management and Use of Information and Records," and regulations issued by the National Archives and Records Administration (NARA)in 36 CFR Chapter Xil, Subchapter B," Records Management," require each agency to prepare and issue a comprehensive records dispositon schedule that contains the NARA approved records disposition schedules for records unique to the agency and contains the NARA's General Records Schedules for recordc common to several or aR agencies. The approved records disposrtion schedules specify the appropriate duration of retention and the final dispositon for records created or maintained by the NRC. NUREG-0910, Rev. 3, contains *NRC's Comprehensive Records Disposition Schedule," and the original authonzed approved citation numbers issued by NARA. Rev. 3 incorporates NARA approved changes and addrbons to the NRC schedules that have been implemented since the last revision dated March,1992, reflects recent organizational changes implemented at the NRC, and includes the latest version of NARA's General Records Schedule (dated August 1995).

13 AvALAstrry siATEMENT

12. KEY WORDS/DESL,RIPTORS (Let words or paresa sher ed esser researchers m krehng ye sepert) unlimited Deposition Schedule 14 sECURffY CLAsmCATM Official Records Records Dsposition Schedule (Th= Pope >

Records Retention Periods unclassified Records Schedules crn. Reparo unclassified

15. NUMBER OF PAGES 1s. PRCE NRc FORM S35 Q49)

O O

Sb

_ _ _ _ .