025.171 U581ge UNITEU STATES NATIONAL ARCHIVES -- AND RECORDS SERVICE GENERAL RECORDS SCHEDULES FPMR 101-11.4 historical Illinois SURVEY GENERAL RECORDS SCHEDULES GENERAL SERVICES ADMI NISTRATION NATIONAL ARCHIVES AND RECORDS SERVICE 79 * ^ TABLE OF CONTENTS Ci r. m 51>A?e Introduction to the General Records Schedules Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule Schedule chedule Schedule Schedule ^Schedule Schedule 1. 2 . 3 . 4 . 5 . 6 . 7 . 8 . 9 . 10 . 11 . 12 . 13 . 14 . 15 . 16 . 17 . 18 . 19 . 20 . 21 . 22 . Subject Index Forms Index Civilian Personnel Records Payrolling and Pay Administration Records Procurement, Supply, and Grant Records Property Disposal Records Budget Preparation, Presentation, and Apportionment Records Accountable Officers' Accounts Records Expenditure Accounting Records Stores, Plant, and Cost Accounting Records Travel and Transportation Records Motor Vehicle Maintenance and Operations Records Space and Maintenance Records Communications Records Printing, Binding, Duplication, and Distribution Records Informational Services Records $ Housing Records Administrative Management Records Cartographic, Remote Sensing, and Related Records Security and Protective Services Records Research and Development Records Machine-Readable Records Audiovisual Records Design and Construction Drawings and Related Records f FMPR 101-11.4 INTRODUCTION TO THE GENERAL RECORDS SCHEDULES General Records Schedules (GRS) are issued by the Administrator, General Services Administration, to provide disposition standards for records common to several or all agencies of the Federal Government. They include records relating to civilian personnel, fiscal functions, accounting, procurement, communications, printing, research and development, and other common or housekeeping functions; and certain non-textual records. These records comprise an estimated one third of the total volume of records created by Federal agencies. A new feature of this edition is the inclusion of two indexes, an index of commonly used Standard and Optional Forms and an alphabetical Subject Index. The forms index is not necessarily all inclusive. It includes only the forms most often used by the various government agencies. General Records Schedules are intended to cover only record copies. Extra copies of documents used solely for reference are non-record and may be destroyed at the discretion of the agency. If copies of documents covered by these schedules are part of a subject or case file which documents activities different from those covered by the schedules, they should be treated in the same manner as the files of which they are a part. Records covered by the General Records Schedules may be destroyed without further concurrence from the National Archives and Records Service, GSA, with the exception that most records created before January 1, 1921, must be first offered to NARS for possible permanent retention. GRS 3, 16, 17, and 21 have other delimiting dates. Some items in the various schedules have no authorized disposition instruction. These are records which are common to many agencies, but due to agency needs and organizational structure will have differing retention periods. They may be permanent, but are not necessarily so. For these records, agencies are required to submit an SF-115, Request for Records Disposition Authority. This will allow an individual evaluation of the pertinent records in the context of office of origin, agency requirements, and possible archival value. Since disposition is not specified, such records should be included in the agency's comprehensive schedule. The GRS at this time are permissive and not mandatory. The disposition authorizations may be used by an agency in their entirety or in part. Because these schedules are designed to cover records common to several agencies, the records descriptions are general. Agency records officers are urged to make maximum use of the schedules either as an appendix to a printed agency schedule or tailored to their agency's own peculiar needs and incorporated into agency schedules. If an agency wishes to apply a different retention period for any series of records included in the GRS the records officer of that agency should submit an SF-115, Request for Records Disposition Authority, providing justification for the deviation. Questions of applicability of any GRS item to agency records or differences of interpretation between the records officer and other agency personnel which cannot be reconciled within the agency may be referred to the Director, Records Disposition Division, NARS, from headquarters offices in the Washington, DC area, or the Director of the nearest Federal Records Center from field offices. General Records Schedules also provide for the retirement of non-current records to Federal Archives and Records Centers (FARC). Individual items may specify retirement to a records center before destruction, but this is to be considered as a guideline only. Records should be retired from agency space to an FARC only if transfer costs do not exceed the expenses of retaining them in agency space. Federal Records Centers will not accept records immediately eligible for disposal. Records retired to the Centers should have a remaining retention period of three years or more before they will be accepted. Where 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 Records Center Director. Records designated for permanent retention should be retired when sufficient volume and decreased activity warrant. Procedures for transfer of records to Federal Archives and Records Centers are detailed in the GSA Handbook, Federal Archives and Records Centers. 2 GENERAL RECORDS SCHEDULE 1 FPMR 101-11.4 March 30, 1977 Civilian Personnel Records Agency civilian personnel records relate to the supervision over and management of Federal Civilian Employees. This schedule covers the disposition of all official personnel folders of civilian employees and all other records relating to civilian personnel, wherever located in the agency. Specifically excluded are program records of the U. S. Civil Service Commission, Federal Health Programs Service, the Office of Workers' Compensation Programs. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Service for possible permanent retention before these disposition instructions may be applied. The most important types of records, the Official Personnel Folders, and Service Record Cards, are maintained according to the U. S. Civil Service Commission's Federal Personnel Manual Supplement 293-31, which prescribes a system of recordkeeping for Federal personnel offices. ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1. Official Personnel Folders . Records filed on the right side of the Official Personnel Folder (OPF). (See GRS 1, Item 10 for disposal of papers on the left or "temporary" side of the OPF.) a. Folders covering periods of Submit SF 115, Request employment terminated prior to for Records Disposition January 1, 1921. Authority. b. Folders covering periods of employ¬ ment terminated after December 31, 1920, excluding those selected by the National Archives and Records Service for permanent retention. (1) Transferred employees. See Federal Personnel Manual for instructions relating to folders of employees transferred to another agency. GENERAL RECORDS SCHEDULE 1 ITEM NO. 2 . 3. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (2) Separated employees. Transfer folder to National Personnel Records Center (CPR) St. Louis. Missouri, 30 days after separation. NPRC will destroy 75 years after birth date of employee or 60 years after the date of the earliest document in the folder if the date of birth cannot be ascertain¬ ed, provided the employee has been separated for at least 5 years. Service Record Cards. Service Record Card (Standard Form 7 or its equivalent). a. Cards for employees separated or Transfer to NPRC (CPR) transferred on or before December 31, 1947. St. Louis, Missouri. b. Cards for employees separated or Destroy 3 years after transferred on or after separation or transfer January 1, 1948. of employee. /H\ V Personnel Correspondence and Subject Files . a. Files relating to the general Destroy when 3 years old. administration and operation of personnel functions and including college programs, selective place¬ ment (handicapped, veterans, and ex-offenders) programs, special careers (Summer Aid, Inter¬ governmental Affairs Fellowship, Stay in School, etc.) programs, examinations, paid recruitment advertising, executive development program, merit promotion, employee safety program, and others not specifically described elsewhere in this schedule, excluding those at agency staff planning levels. 2 GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Correspondence, reports, memo- Destroy when 5 years old randa, and other records relating to employment programs and function, and manpower management and evalua¬ tion, including experts and consultants, overseas employment, reemployment rights, employee transfer and detail, and excepted positions. 4. Offers of Employment Files . Correspondence, letters, and telegrams offering appointments to potential employees. a. - Accepted offers. b. Declined offers. (1) When name is received from certificate of eligibles. (2) Temporary or excepted appointment. (3) All others. 5. Certificates of Eligibles Files . Certificates of eligibles with related requests, forms, correspondence, and statement of reasons for passing over a prpferencp piigihip and selecting a nonpreforence eligible. 6. Employee Record Cards . Employee record cards used for infor- Destroy on separation or National purposes outsiHp nerso^ppl tr* n sfpr pmnlnypp. offices (such as SF 7-B). Destroy immediately. Return to Civil Service Commission with reply and application. File inside application (see item 15 of this schedule). Destroy immediately. Destroy when 2 years old 3 GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 7. Position Classification Files . a. Position Classification Standards Files. (1) Standards. CSC standards determining title, series, and grade based on duties, responsibilities, and qualifications requirements. Destroy 5 years after position is abolished or description is superseded. (2) Development. Memoranda, correspondence and other records relating to the development of standards for classification of positions peculiar to the agency and CSC 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. Files describing established positions including information on title, series, grade, duties and responsibilities. (1) Record copy. (2) All other copies. Destroy 5 years after position is abolished or description super¬ seded. i Destroy when position is abolished or descrip¬ tion superseded. 4 GENERAL RECORDS SCHEDULE 1 ) ITEM NO. 8 . 9. 10 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION c. Survey Files. (1) Classification Survey Reports. Survey reports on various positions prepared by classi¬ fication specialists, including periodic reports such as Annual Whitten Amendment report and Annual Supergrade Position Report. (a) Office of origin. Destroy when 3 years old or 2 years after regular inspection whichever is sooner. (b) Inspection, Audit Destroy when obsolete and Survey Files. or superseded. Correspondence, memoranda, reports and other records relating to inspections, surveys, desk audits and evaluations. d. Appeals Files. Case files relating to classifi- Destroy 3 years after cation appeals. case is closed. Interview Records. Correspondence, reports and other records relating to interviews with employees. Destroy 6 months after transfer or separation or employee. Performance Rating Board Case Files . I Copies of case files forwarded to CSC Destroy 1 year after relating to performance rating board case is closed, reviews. Temporary Individual Employee Records . All copies of correspondence and forms maintained on the left side of the Official Personnel Folder in accord¬ ance with Federal Personnel Manual, Chapter 293, and Supplement 293-31. Destroy upon separation or transfer of employee or when 1 year old, which¬ ever is sooner. 5 GENERAL RECORDS SCHEDULE 1 ITEM NO. 11 . 12 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Position Identification Strips . Strips such as Standard Form 7D, Destroy when position used to provide summary data on each is cancelled or new position occupied. strip is prepared. Employee Awards Files . a. General awards records. (1) Case files including Destroy 2 years after recommendations, approved approval or disapproval, nominations, memoranda, correspondence, reports and related handbooks per¬ taining to agency-sponsored cash and non-cash awards such as incentive awards, within-grade merit % increases, suggestions, and outstanding performance. (2) Correspondence or memoranda Destroy when 2 years old. pertaining to awards from other government agencies or private organizations. b. Length of Service and Sick Leave Awards File. Records including correspondence, Destroy when 1 year old. memoranda, reports, computations of service and sick leave, and list of awardees. c. Letters of Commendation and Appreciation. Copies of letters recognizing Destroy when 2 years old. length of service and retirement and letters of appreciation and commendation for performance, EXCLUDING copies filed in the Official Personnel Folder. 6 GENERAL RECORDS SCHEDULE 1 | ITEM NO. 13. 14. 15. DESCRIPTION OF RECORDS d. Lists or Indexes to Agency Award Nominations. Lists of nominees and winners, and indexes of nominations. e. Departmental Level Awards Files. Records relating to awards made at the departmental level or higher (Secretary's Awards, Presidential, etc.) Incentive Awards Program Reports . Reports pertaining to the operation of the Incentive Awards Program. Notifications of Personnel Action . Standard Form 50 documenting initial employment, promotions, transfers, in or out, separation, and all other individual personnel actions, exclusive of those in Official Personnel Folders. a. Chronological file copies, in¬ cluding fact sheets, maintained in personnel offices. b. All other copies maintained in personnel offices. Employment Applications . Applications (Standard Form 171) and related records, EXCLUDING records relating to appointments requiring Senatorial confirmation and applica¬ tions resulting in appointment which are filed in the Official Personnel Folder (see item 1 of this schedule). AUTHORIZED DISPOSITION Destroy when superseded or obsolete. Submit SF 115, Request for Records Disposition Authority. Destroy when 3 years old. Destroy when 2 years old. Destroy when 1 year old. Destroy upon receipt of Civil Service Commission inspection report or when 2 years old, whichever is earlier, providing the requirements of the Federal Personnel Manual, Chapter 333, Section A-4, are observed. 7 GENERAL RECORDS SCHEDULE 1 ITEM NO. 16. 17. 18. DESCRIPTION OF RECORDS AUTHORISED DISPOSITION Personnel Operations Statical Reports . Statistical reports in the operating Destroy when 2 years old. personnel office and subordinate units relating to personnel. Correspondence and Forms Files . Operating personnel office records relating to individual employees not maintained in Official Personnel Folders and not provided for elsewhere in this schedule. a. Correspondence and forms relating to pending personnel actions. Destroy when action is completed. b. Retention Registers. (1) Registers from which Destroy when 2 years old. reduction-in-force actions have been taken. (2) Registers from which no Destroy when superseded reduction-in-force actions or obsolete. have been taken. c. All other correspondence and forms. Destroy when 6 months old. Duplicate Documentation and Personnel Files Maintained Outside Personnel Offices. a. Supervisor's Personnel Files. Correspondence, memoranda, forms and other records relating to positions, authorizations, pending actions; copies of position des¬ criptions; requests for personnel action, and records on individual employees duplicated in or not appropriate for the Official Personnel Folder. Review annually and destroy superseded or obsolete documents; or destroy all documents relating to an individual employee 1 year after separation or transfer. 8 GENERAL RECORDS SCHEDULE 1 ITEM NO. 19. 20 . 21 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Duplicate Documentation. Other copies of documents Destroy when 6 months old. duplicated in Official Personnel Folders not provided for elsewhere in this schedule. Individual Health Record Files . Cards which contain such information Destroy 6 years after as date of employee's visit, diagnosis date of last entry, and treatment. 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 statisitcal reports. b. If information is not summarized. Individual Employee Health Case File . Forms, correspondence and other records relating to an employee's medical history, occupational injuries or diseases, physical examinations, and all treatment received in the Health Unit, EXCLUDING pre-employment physical examinations and disability retirement and fitness for duty examinations which are filed in the Official Personnel Folder (OPF) upon separation of employee (Ref: FPMS 293-31). Those records not required for filing in the OPF, if not retained by the agency, may be transferred to the local Federal Records Center. Under no circumstances should these files be sent to the National Personnel Records Center (CPR). Destroy 3 months after last entry. Destroy 2 years after last entry. Destroy 6 years after latest entry. 9 GENERAL RECORDS SCHEDULE 1 ITEM NO. 22 . 23. 24. 25. 26. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Statistical Summaries. Copies of statistical summaries and Destroy 2 years after reports with related papers per- date of summary or taining to employee health, retained report, by the reporting unit. Performance Rating Records . a. Certificates of performance rating. Destroy when 2 years old b. General or case files of forms, Destroy when 3 years old memoranda, and correspondence. c. Appeals Files. Memoranda, correspondence and Destroy 3 years after other records relating to final settlement of case employee appeals of performance rating. Motor Vehicle Operation Files . See GRS 10, Item 7. Conflict of Interest Case Files . Statements of employment and fin- Destroy 2 years after ancial interests and related records. separation of employee or 2 years after employee leaves the position for which the statement is required. Equal Employment Opportunity Records . a. Official Discrimination Complaint Case Files. Complaints with related correspondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearings and meetings, and other records as described by 5 CFR 713.222. 10 GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS (1) Cases resolved within the agency. (2) Cases resolved by the Civil Service Commission or a U. S. Court. b. Copies of Complaint Case Files. Duplicate case files or documents pertaining to case files retained in Official File Discrimination Complaint Case File. c. Background Files. Background records not filed in the Official Discrimination Com¬ plaint Case Files. d. Compliance Records. (1) Compliance Review Files. Reviews, background papers and correspondence relating to contractor employment practices. (2) EEO Compliance Reports. e. Employee Housing Requests. Forms requesting agency assist¬ ance in housing matters, such as rental or purchase. f. Employment Statistics Files. Employment statistics relating to race and sex. AUTHORIZED DISPOSITION Destroy 4 years after resolution of case. Files are controlled by United States Civil Service Commission records schedule. Destroy 1 year after resolution of case. Destroy 2 years after final resolution of case. Destroy when 7 years old Destroy when 3 years old Destroy when 1 year old. Destroy when 5 years old 11 GENERAL RECORDS SCHEDULE 1 ITEM NO. 27. 28. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION g. EEO General Files. General Correspondence -'and copies of regulations with related re¬ cords pertaining to the Civil Rights Act of 1964, the EEO Act of 1972, and any pertinent future legislation; and agency EEO Committee meeting and records including minutes and reports. Destroy when 3 years old, or when superseded or obsolete, whichever is applicable. h. EEO Affirmative Action Plans (AAP). (1) Agency copy of consolidated Destroy 5 years from AAP(s). date of plan. (2) Agency feeder plan to con¬ Destroy 5 years from solidated AAP(s). date of feeder plan or when administrative purposes have been served, whichever is sooner. Personnel Counseling Records a. Counseling files. Reports of interviews, analyses and related records. b. Alcohol and Drug Abuse Program. Records created in planning, coordinating and directing an alcohol and drug abuse program. Standards of Conduct Files . Correspondence, memoranda and other records relating to codes of ethics and standards of conduct. Destroy 3 years after termination of counseling. Destroy when 3 years old. Destroy when obsolete or superseded. GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS 29. Labor Management Relations Records . a. Labor Management Relations General and Case Files. Correspondence, memoranda, reports and other records relating to the relationship between management and employee unions or other groups (1) Office negotiating agreement. (2) Other offices. b. Labor Arbitration General and Case Files. Correspondence, forms, and back¬ ground papers relating to labor arbitration cases. 30. Training Records . a. Training Aids . (1) One copy of each manual, syllabus, textbook, and other training aid developed by the agency. (2) Training aids from other agencies or private institutions. b. General file of agency-sponsored training. (1) Correspondence, memoranda, agreements, authorizations, reports, requirement reviews, plans, and objectives relat¬ ing to the establishment and operation of training, courses and conferences. AUTHORIZED DISPOSITION Destroy when 5 years old Destroy when superseded or obsolete. Destroy 5 years after final resolution of case Submit SF 115, Request for Records Disposition Authority. Destroy when obsolete or superseded. Destroy when 5 years old or 5 years after comple¬ tion of a specific training program. 13 GENERAL RECORDS SCHEDULE 1 ITEM NO. 31. DESCRIPTION OF RECORDS (2) Background and workpapers. c. Employee training. Correspondence, memoranda, reports and other records relating to the availability of training and employee participation in training programs sponsored by other govern ment agencies or non-government institutions. d. Course Announcement Files. Reference file of pamphlets, Destroy when superseded notices, catalogs and other or obsolete. records which provide information on courses or programs offered by government or non-government organizations. Grievance, Disciplinary and Adverse Action Files. AUTHORIZED DISPOSITION Destroy when 3 years old. Destroy when 5 years old or when superseded or obsolete, whichever is sooner. a. Grievance, Appeals Files (5 CFR 771). Records originating in the review Destroy 3 years after of grievance and appeals raised case is closed. by agency employees, except EEO complaints. These case files include statements of witnesses, reports of interviews and hearings, examiner's findings and recommendations, a copy of the original decision, related correspondence and exhibits, and records relating to a reconsideration request. 14 GENERAL RECORDS SCHEDULE 1 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Adverse Action Files (5 CFR 752). Case files and related records Destroy 4 years after created in reviewing an adverse case is closed, action (disciplinary or non- disciplinary removal, suspension, leave without pay, reduction-in- force) against an employee. The file includes a copy of the pro¬ posed adverse action with supporting papers; statements of witnesses; employee's reply; hearing notices, reports and decisions; reversal of action; and appeal records, EXCLUDING letters of reprimand. 15 FPMR 101-11.4 March 11, 1977 GENERAL RECORDS SCHEDULE 2 Payrolling and Pay Administration Records Payrolling and pay administration records pertain to disbursements to civil employees of the Government for personal services. This schedule applies to the pay records that are common to all agencies, but it excludes (a) retirement records (Form 2806 or equivalent) that are main¬ tained during employee duty and then transferred to the Bureau of Retirement, Insurance, and Occupational Health of the Civil Service Commission; (b) files physically transmitted to the General Accounting Office or maintained in agency space for audit under section 117(b) of the Budget and Accounting Procedures Act of 1950; (c) records relating to tax withholding, savings bonds, or fidelity bonds, or other records held by the appropriate units of the Treasury Department responsible for the related Government-wide programs; (d) or to Office of Management and Budget files reflecting agency personnel needs and problems. Any record created prior to January 1, 1921, must be offered to the National Archives and Records Service before applying these disposition instructions. Papers required by the Comptroller General to be maintained for site audit or to be physically transferred to the General Accounting Office for centralized 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 82 Stat. 1301 (44 U.S.C. 3309). Most Federal civilian pay accounts are prepared and maintained in accordance with Title 6—Pay, Leave, and Allowances and incorporated in the GAO Manual for Guidance of Federal agencies. In the payrolling process different types of records are accumulated. In many cases the records will be a machine readable form, as the payrolling process has been almost universally converted to electronic data processing throughout the Federal government. Under Title 6 of the GAO Manual these records are normally site-audited on a sample basis by GAO representatives 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 Department of the Treasury or local disbursing personnel, 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. GENERAL RECORDS SCHEDULE 2 All payroll systems require the maintenance of a leave card, to which information is posted from more detailed records kept by time and attendance clerks located throughout an agency. Two basic forms or variations of them are used by most agencies: (a) Standard Form 1137, which shows leave taken by an employee over a two-year period; and (b) Standard Form 1130, which is a combination time and attendance and leave record designated to be maintained in agencies in which the time-keeping function is decentralized. One Standard Form 1130 is maintained for each employee each pay period, and the current leave status figure is accumulat¬ ed from pay period to pay period. Other records incidental to the payrolling process are withholding tax and savings bond records, reports made to Treasury Department units and the Civil Service Commission on income tax and retirement transactions, and 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 1 . Individual Accounts Files. Individual earning and service cards, such as Standard Form 1127 or equivalent. Transfer to the National Personnel Records Center (NPRC), St. Louis, Missouri. (a) If filed in official personnel folder (OPF) or in individual pay folder adjacent to the OPF, Destroy with the OPF. (See GRS 1, Item 1.) (b) If not in or filed adjacent to the OPF, Destroy 56 years after the date of the last entry on the card. ( 2 . Payroll Correspondence Files . General correspondence files main- Destroy when 2 years old. tained by payroll units pertaining to payroll preparation and processing. 2 GENERAL RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS 3. Time and Attendance Report Files . Forms such as Standard Form 1130 or equivalent. a. Payroll preparation and process¬ ing copies. b. All other copies. 4. Individual Authorized Allotments Files . Forms such as Standard Form 1192, or other records relating to authorization changes or cancellation of individual payroll allotments for bond deductions, charitable contributions, savings bonds union dues, or others. a. If record is maintained on earning record card. b. If record is not maintained elsewhere. 5. Bond Registration Files . Issuing agent's copies of bond registration stubs. 6. Bond Receipt and Transmittal Files . Receipts for and transmittals of U. S. Savings Bonds and checks. 7. Bond Purchase Files . Forms and reports with related papers pertaining to deposits and purchases of bonds. AUTHORIZED DISPOSITION Destroy after GAO audit or when 3 years old, whichever is sooner. Destroy 6 years after the end of the pay period. Destroy when superseded or after transfer or separation of employee. Destroy 3 years after supersession or 3 years after transfer or separation of employee. Destroy when 2 years old. Destroy 3 months after date of receipt. Destroy when 3 years old. 3 GENERAL RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 8. Leave Application Files . Application for Leave, SF 71, or Destroy when 1 year old. equivalent, and supporting papers relating to requests for and approval of taking leave. 9. Leave Record Files . Leave record cards maintained separately from pay and earnings records, including SF 1130 when used as a leave record. a. Pay or fiscal copies. Destroy when 3 years old b. Other copies. Destroy 3 months after 10. Leave Data Files. the end of the period covered. Records of leave data, such as SF 1150, prepared except as noted in the Federal Personnel Manual, 293-A-3. a. Original copy of SF 1150. File on right side of b. Agency copy. official personnel folder. See GRS 1, itern 1. Destroy when 3 years old 11. Notification of Personnel Action Files. Copies of SF 50 or equivalent, not filed in the Official Personnel Folder. a. Pay or fiscal copy. Destroy when related pay records are audited by GAO or when 3 years old, whichever is sooner. b. All other copies. See GRS 1, item 14. 4 GENERAL RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS 12. Budget Authorization Reference Files . Copies of budget authorizations in operating payroll units used to control personnel ceilings and personnel actions. 13. Payroll files . Memorandum copies of payrolls, check lists, and related certification sheets, such as SF 1013, SF 1128A, or equivalents. a. Security copies of documents prepared or used for disbursement by Treasury disbursing offices, with related papers. b. All other copies. (1) If earning record card is maintained. (2) If earning record card is not maintained. 14. Payroll Control Files . Payroll control registers such as SF 1125A. 15. Payroll Change Files . Payroll change slips, exclusive of those of the OPF, such as SF 1126. a. Copy used in GAO audit. AUTHORIZED DISPOSITION Destroy when superseded. Destroy when Federal Records Center receives second subsequent pay- rol1 or check 1ist covering the same pay¬ roll unit. Destroy after GAO audit or when 3 years old, whichever is earlier. Transfer to NPRC, St. Louis, Missouri when 3 years old. Destroy after GAO audit or when 3 years old, whichever is sooner. Destroy when related pay records are audited by GAO or when 3 years old, whichever is sooner. 5 GENERAL RECORDS SCHEDULE 2 ITEM ( NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Disbursing officer copy used in preparing checks. Destroy after preparation of check. c. All other copies. Destroy 1 month after the end of the pay period. 16. Fiscal Schedules Files. Memorandum copies of fiscal schedules used in the payroll process. a. Copy used in GAO audit. Destroy after GAO audit or when 3 years old,which¬ ever is sooner. b. All other copies. Destroy 1 month after the end of the pay period. 17. Administrative Payroll Report Files. Reports, statistics, with supporting and related records pertaining to pay¬ roll operations and pay administration. a. Reports and data used for workload and personnel management purposes. Destroy when 2 years old. b. All other reports and data. Destroy when 3 years old. 18. Tax Files. a. Withholding tax exemption certi¬ ficates, such as IRS Form W-4, and similar state tax exemption forms. Destroy 3 years after form is superseded or obsolete. b. Returns on income taxes such as IRS Form W-2. Destroy when 3 years old. c. Reports of withheld Federal taxes, such as IRS Form W-3, with related papers, including reports relating to income and social security taxes. Destroy when 3 years old. 6 GENERAL RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 19. Income Tax Return Files . See Item 18b of this schedule. 20. Tax Report Files . See Item 18c of this schedule. 21. Retirement Files . a. Reports and registers. Reports, registers or other Destroy when 3 years old control documents, and other records relating to the retire¬ ment, such as SF 2807 or equivalent. b. Assistance Files. Correspondence, memoranda, annuity Destroy when 1 year old. estimates, and other records used to assist retiring employees or survivors claim insurance or retirement benefits. c. Deduction files. SF 2806 or equivalent and other See GRS 1, Item 1. records used to document retire¬ ment deductions of individual employees. 22. Insurance Deduction Files . Reports and related papers including Destroy when 3 years old copies of vouchers and schedules of payments pertaining to insurance deductions. 23. Levy and Garnishment Files . Official Notice of Levy or Garnish- Destroy when 3 years old ment (IRS Form 668A or equivalent), change slip, workpapers, correspondence, release and other forms, and other records relating to charge against retirement funds or attachment of salary for payment of back 7 GENERAL RECORDS SCHEDULE 2 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION income taxes or other debts of Federal employees. 24. Wage Survey Files . Wage survey reports and data, working Destroy when completed. papers and related correspondence pertaining to area wages paid for each employee class; background papers establishing need, authorization, direction, and analysis of wage surveys; development and implementation of wage schedules; and reguest for and authorization of specific rates (excluding authorized wage schedules and wage survey recapitulation sheets). ( 8 ( FPMR 101-11.4 March 1, 1977 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 con¬ siderable range of procedure,- from simple small purchase to complicated prime contractor and subcontractor operations. Any records created prior to 1895 must first be offered to the National Archives and Records Service for possible permanent retention before applying the disposal instructions. Frequently copies of procurement papers become integral parts of 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 separate file of contracts for site audit. The agency contract files maintained in the contracting officer's office are accessible to GAO auditors and have generally been used by them in the past. In no event may disposal be made of records pertaining to accounts, claims or demands involving the Government of the United States which have not yet been settled or adjusted by the General Accounting Office without written approval of the Comptroller General, as required by 44 U.S.C. 3309. 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, contain 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 the formal contract or informal purchase order or lease instruments and all related papers. The documents flowing into the transaction file differ in detail, but they include, in addition to the purchase document, specifications, bids, schedules of delivery, 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. GENERAL RECORDS SCHEDULE 3 Other files related to the procurement and supply function include reports used for supply management purposes by the agency creating the records as well as the staff agency involved with Government-wide programs, local requisition and stock inventory files, and other minor supply papers. Of a specialized character in the procurement 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 it has been sold or released conditionally or with recapture clauses. When properties are disposed of by quitclaim deeds, this fact should be con¬ firmed prior to the disposal of the title papers, since the title evidence might be needed by the Government to defend the title in the event the properties 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 has been revised to include the most frequently found agency records relating to grant programs. Since many Federal agencies conduct grant programs which document projects contracted between the agency and an outside party, these records are included as an adjunct to procurement and supply records. ITEM NO. DESCRIPTION OF RECORDS 1. Unique Procurement Files . Procurement files (as in item 4, below) documenting the initiation and development of transactions that deviate from established precedents with respect to general agency pro¬ curement programs, other than those covered by Item 13. AUTHORIZED DISPOSITION Submit SF 115, Request for Records Disposition Authority. 2 ( GENERAL RECORDS SCHEDULE 3 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Real Property Files . Title papers documenting the acquisition of real propery (by purchase, condemnation, donation, exchange, or otherwise). a. Papers for property acquired prior to January 1, 1921. b. Papers for property acquired since January 1, 1921, other than abstract or certificate of title. c. Abstract or certificate or title. General Correspondence Files . Correspondence files of operating procurement units concerning internal operation and administration matters not covered elsewhere in this schedule. 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, 2, 13, and 15). a. Procurement or purchase organization copy, and related papers. Submit SF 115, Request for Records Disposition Authority. Dispose 10 years after unconditional sale or release by the Government of conditions, restric¬ tions, mortgages or other 1iens. Transfer to purchaser after unconditional sale or release by the Government of conditions, restrictions, mortgages, or other liens. Destroy when 2 years old. GENERAL RECORDS SCHEDULE 3 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (1) Transactions of more than Destroy 6 years and $10,000 and all construction 3 months after final contracts exceeding $2,000, payment. (Place in dated subsequent to July 26, inactive file on final pay- 1974. ment, transfer fiscal year block to Federal Records Center after 2 years.) (2) Transactions of $10,000 or Destroy 3 years after less and construction con- final payment. (Close tracts under $2,000, dated file at the end of the subsequent to July 25, 1974; fiscal year, retain 3 and transactions of $2,500 or years and destroy, except less dated prior to July 26, that files on which actions 1974. are pending shall be brought forward to the next fiscal year's files for destruction there¬ with. ) (3) Transactions of more than $2,500 dated prior to July 26, 1974. Destroy 6 years after final payment. b. Obligation copy. Destroy when funds are obiigated. c. Other copies of records des- Destroy upon termination cribed above used by component or completion, elements of a procurement office for administrative purposes. Supply Management Files . Files of reports on supply requirements and procurement matters submitted for supply management purposes (other than those incorporated in case files or other files of a general nature), exclusive of Department of 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). GENERAL RECORDS SCHEDULE 3 ITEM NO. DESCRIPTION OF RECORDS a. Copies received from other units for internal purposes or for transmission to staff agencies. b. Copies in other reporting units, and related work papers. 6. Bid Files . a. Successful or unsuccessful bids. b. Lists or cards of acceptable bidders. 7. Public Printer Files . Records relating to requisitions on the Printer, and all supporting papers. a. Printing procurement unit copy of requisition, invoice, specifica¬ tions, and related papers. b. Accounting copy of requisition. 8. Nonpersonal Requisition File. Requisitions for nonpersonal ser¬ vices, such as duplicating, laundry, binding, and other services (excluding records associated with accountable officers' accounts (Schedule 6 ). 9. Inventory Requisition File . Requisitions for supplies and equipment for current inventory. AUTHORIZED DISPOSITION Destroy when 2 years old. Destroy when 1 year old. Apply provisions of Item 4 . Destroy when superseded or obsolete. Destroy 3 years after completion or cancella¬ tion of requisition. Destroy 3 years after period covered by re¬ lated account. Destroy when 1 year old. 5 GENERAL RECORDS SCHEDULE 3 ( ITEM NO. 10 . 11 . 12 . 13 . DESCRIPTION OF RECORDS a. Stockroom copy. b. All other copies. Inventory Files . a. Inventory lists. b. Inventory cards. c. Report of survey files and other papers used as evidence for ad¬ justment of inventory records, not otherwise covered in the GRS. Telephone Records . Telephone statements and toll slips. Contractors' Payroll Files . Contractors' payrolls (construction contracts) submitted in accordance with Labor Department regulations, with related certifications, anti- kickback affidavits, and other related papers. Tax Exemption Files . Tax exemption certificates and related papers. AUTHORIZED DISPOSITION Destroy 2 years after completion or cancella¬ tion of requisition. Destroy when 6 months old. Destroy 2 years date of list. from Destroy 2 years after discontinuance of item or 2 years after stock balance is transferred to new card or recorded under a new classification, or 2 years after equip¬ ment is removed from agency control. Destroy 2 years after date of survey action or date of posting medium. f Destroy 3 years after period covered by re¬ lated account. Destroy 3 years after date of completion of contract unless contract performance is subject of enforcement action on such date. 6 Destroy 3 years after period covered by re¬ lated account. GENERAL RECORDS SCHEDULE 3 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 14. Grant Application Files . Applications, memoranda, correspondence and other records relating to the decision to accept or reject grant applications. a. Rejected applications. Destroy 5 years after rejection. b. Accepted applications. See Item 15 of this schedule. 15. Grant Case Files . Proposals or applications, contracts, Submit SF 115, Request project reports, studies, certificates, for Records Disposition agreements, memoranda, correspondence. Authority. and other records relating to receipt, review, award, evaluation, status and monitoring of grants; allocation of funds, and project budgets. 16. Grant Control Files . Indexes, registers, logs or other Destroy when superseded records relating to control of or obsolete, assigning numbers or identifying projects, applications and grants. 17. Grant Correspondence and Subject Files . a. Correspondence and/or subject Submit SF 115, Request files including memoranda, studies, for Records Disposition reports, forms and other records Authority. relating to the legal establishment of the grant program, its policies and basic procedures, and the management and evaluation of grants. b. Correspondence and/or subject files Destroy when 2 years old. relating to routine operations and daily activities in adminis¬ tration of the grant program. 7 ITEM NO. 18. GENERAL RECORDS SCHEDULE 3 DESCRIPTION OF RECORDS Final Product Files . Published reports, books, studies, audiovisual materials, or any other final grant product and related records in textual or machine-readable form. AUTHORIZED DISPOSITION Submit SF 115, Request for Records Disposition Authority. 8 FPMR 101-11.4 January 1, 1977 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 transferred to the new agency the functions of the former War Assets Administration relating to property disposition. This schedule is not applicable 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 the Department of State control. Any surplus property transaction files dated prior to the establishment of the former Procurement Division of the Department of Treasury in 1933 must be offered to the National Archives and Records Service for possible permanent retention 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 any agency selling surplus personal property under GSA regulations: a. Standard Form 114, Sale of Government Property, Invitation, and Bid, and Acceptance. Related papers that are maintained by the agencies, usually in case fashion, consist of correspondence, bids, and other notices of sale, invoices, and sales slips. b. Standard Forms 120, Report of Excess Personal Property and 121, Quarterly Report of Utilization and Disposal of Excess and Surplus Personal Property. Form 120 reports personal property which is excess to the agency reporting to the regional General Services Administration offices, which initiate screening action. The quarterly reports are submitted to the Office of Personal Property, Utilization and Disposal Service, General Services Administration, which consolidate the data. ITEM NO. DESCRIPTION OF RECORDS 1. Surplus Property Precedential Case Files . Case files on sales of surplus per¬ sonal property (as described in item 6 below) documenting the initiation AUTHORIZED DISPOSITION Submit SF 115, Request for Records Disposition Authority. ITEM NO. 2 . 3. 4. 5. 6 . GENERAL RECORDS SCHEDULE 4 4 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION and development of transactions that deviate from established precedents with respect to general agency disposal or to major disposal programs. Property Disposal Case Files . Case files on disposal of surplus Submit SF 115, Request real and related personal property. for Records Disposition Authority. Excess Real Property Reports . Submit SF 115, Request for Records Disposition Authority. Property Disposal Correspondence Files . Correspondence files maintained by Destroy when 2 years old. units responsible for property disposal, pertaining to their operation and administration, and not otherwise provided for. Excess Personal Property Reports . Destroy when 3 years old. Surplus Property Case Files . Case files on sales of surplus personal property, comprising invitations, bids, acceptances, lists of materials, evidence of sales, and related corres¬ pondence (other than those covered in items 1 and 2). a. Transactions subsequent to July 25, 1974, of more than $10,000; and transactions prior to July 26, 1974, of more than $2,500. b. Transactions subsequent to July 25, 1974, of $10,000 or less; and transactions prior to July 26, 1974, of $2,500 or less. Destroy 6 years after final payment. (Place in inactive file on final payment and transfer to Federal Records Center 2 years thereafter.) Destroy 3 years after final payment. (Close file at the end of each fiscal year, retain 3 years, and destroy except that files on 2 GENERAL RECORDS SCHEDULE 4 ITEM NO. 7. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION which actions are pend¬ ing will be brought to the next fiscal year's files for disposal therewith.) Real Property Files . Records necessary or convenient for Transfer to new custodian the use of real property sold, do- upon completion of sale, nated, or traded to non-Federal owner- trade, or donation pro¬ ship, including, if pertinent as ceedings, or acceptance determined by the releasing agency, of purchase money site maps and surveys, plot plans, mortgage. (Also see GRS architect's sketches, working diagrams, 22, Design and Construction preliminary drawings, blueprints. Records.) master tracings, utility outlet plans, equipment location plans, specifications, construction progress photographs, in¬ spection reports, building and equipment management and maintenance records, allow¬ ance lists as well as duplicate copies of title papers, provided (a) that the records can be segregated without harm to other documents of enduring value, (b) that no responsibility attaches to the Government because of disagreement between the transferred documents and the physical condition of the property at the time of conveyance, and (c) that if the property is released for historical use or purpose the user agrees to retain them and return them to the Federal Government immediately upon the discontinu¬ ance of its use for historical purposes. 3 FPMR 101-11.4 January 1, 1977 GENERAL RECORDS SCHEDULE 5 Budget Preparation, Presentation, and Apportionment Records Budget and apportionment records include the various files accumulated in an agency in the course of formulating its budget for submission to the Office of Management and Budget and to the Congress; in defending its reguests for funds before both bodies; and after enactment of an appropriation bill, in ensuring that the funds are used in such a way as to suffice for the appropriate period of time. The funds are made available to the agency by the Office of Management and Budget (0MB), usually in quarterly portions, and the agencies must indicate and justify regularly to 0MB their proposed rate of expenditure. After the funds have been made available to the agency, its own controls over the funds are in its expenditure accounting records (Schedule 7) and detailed information relative to expenditures is contained in the accountable officers' account (Schedule 6). This schedule applies to records of budget preparation, presentation and apportionment in all agencies, except that it does not apply to records of the 0MB and the Treasury Department reflecting the Government-wide budget responsibilities of those agencies. Records created prior to January 1, 1921, must be offered to the National Archives and Records Service before applying the disposition instructions. Agency budget records are normally created at all levels of agency organization. They show proposals from all operating levels as well as the bureau-wide and agency-wide coordinating work done by formally organized budget offices. Therefore the records consist of detailed work papers and budgetary statements developed by single operating units, the more significant budget statements and related papers representing con¬ solidated submissions prepared at the bureau or equivalent level and forwarded to the agency budget officer, and the records at the highest level pertaining to the budget submission for the entire agency. The nature of the budget presentation itself is standardized by the 0MB which prescribes format and procedures for all Federal agencies. However, the internal reports and papers which support the budget and are used in its preparation vary from agency to agency. The budget submission, a record copy of which is usually designated by the agency, is a duplicate of the set of papers submitted to the 0MB. These include summary state¬ ments 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 GENERAL RECORDS SCHEDULE 5 appropriation and fund under which the individual agency operates. Finally, t 0MB requires additional supporting data pertaining to objects of expendi¬ ture, particular agency programs, and figures based on the cost of various type of service operations, such as personnel and payrolling activities. ITEM NO. 1 . 2 . 3. 4 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Budget Policy Files . Correspondence or subject files in Submit SF 115, Request formally organized budget offices for Records Disposition documenting agency policy and Authority, procedures governing budget adminis¬ tration, and reflecting policy decisions affecting expenditures for agency programs. Budget Estimates and Justifications Files . a. Copies of budget estimates and Submit SF 115, Request justifications prepared or con- for Records Disposition soli dated in formally organized Authority. budget offices at the bureau (or equivalent) or higher organiza¬ tional level. Included are appropriation language sheets, narrative statements, and related schedules and data. b. Working papers and background materials. X See Item 4 of this schedule. Budget Correspondence Files . Correspondence files in formally Destroy when 2 years old. organized budget offices pertaining to routine administration, internal procedures, and other matters not covered elsewhere in this schedule. Budget Background Records . working papers, cost statements, and Destroy 1 year after the rough data accumulated in the prepara- close of the fiscal year tion of annual budget estimates, covered by the budget, including duplicates of papers described in item 2. \ 2 GENERAL RECORDS SCHEDULE 5 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 5. Budget Reports Files . Periodic reports on the status of appropriation accounts and apportion¬ ment. a. Annual report (end of fiscal year). Destroy when 5 years old. b. All other reports. Destroy 3 years after the end of the fiscal year. 6. Budget Apportionment Files . Apportionment and reapportionment Destroy 2 years after the schedules, proposing guarterly obliga- close of the fiscal year, tions under each authorized appropriation. 3 FPMR 101-11.4 April 8, 1977 GENERAL RECORDS SCHEDULE 6 Accountable Officers' Accounts Records This general schedule covers accountable officers' returns and related records, including records under the cognizance of the General Accounting Office. This schedule does not apply to the copies of schedules and re¬ lated papers held by the Chief Disbursing Officer of the Treasury. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Service before applying these disposition instructions. Accountable officers' accounts include record copies of all records con¬ cerned with the accounting for, availability, and status of public funds. There are several types of "accountable officers," such as: (a) the collecting officer, who receives monies owed to the Federal Government and ensures that it is credited to the proper account; (b) the disbursing officer who is responsible for providing documentation to the General Accounting Office since he accomplishes the actual payment of public monies to proper Federal creditors; and (c) the certifying officer, whose signa¬ ture on a summary attests to the authenticity of vouchers listed on the schedule. Disbursements for most civilian Government agencies are made by the Chief Disbursing Officer of the Treasury, who heads the Bureau of Government Financial Operations within the Treasury Department. Since July 1949, disbursements have been made for most agencies on the basis of certified schedules, with the detailed vouchers transferred to the General Accounting Office from the agency or held in agency space if site audit was involved. This procedure was extended and confirmed by General Accounting Office General Regulations No. 115, issued January 29, 1952, which promulgated a standard form voucher and schedule of payments (Standard Form 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 has been revised to include records held for on-site audit by the General Accounting Office, as described in Item la below. Under on-site audit, vouchers, contracts, schedules, statements of transactions and accountability and other related supporting documents are retained in agency space for the General Accounting Office auditors. Section 5 of the Post Office Department Financial Control Act of 1950 and Section 117(b) of the Budget and Accounting Procedures Act of 1950 (whenever the Comptrol¬ ler General determines that audit shall be conducted at the site) require agencies to retain these records, which are under General Accounting Office cognizance. The General Accounting Office has given general authority to the agencies, if the records are no longer required for administrative purposes, to transfer all audited records and any unaudited records more than GENERAL RECORDS SCHEDULE 6 one full fiscal year old to Federal Records Centers. However, to transfer unaudited accountable officers' accounts less than one year old, permission must be obtained from the Director, Office of Administrative Services, GAO. Because the records heretofore transferred to the General Accounting Office are retained in the agency, some agencies have eliminated the creation of memorandum copies as described in Item lb of this schedule. Records relating to the availability, collection, and custody of funds include (1) the appropriation warrants, (2) other documents which deposit funds into the Treasury, and (3) documents which provide accountable officers with status reports on funds in their custody, such as the proofs of depository account and statements of funds to their credit. 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. ITEM NO. DESCRIPTION OF RECORDS 1. Accountable Officers' Files . a. Original or ribbon copy of accountable officers' accounts maintained in the agency for site audit by GAO auditors, consisting of statements of transactions, statements of accountability, collec¬ tion schedules, collection vouchers, disbursement schedules, disbursement vouchers, and all other schedules and vouchers or documents used as schedules or vouchers, exclusive of freight records and payroll records. If an agency is operating under an inte¬ grated accounting system approved by GAO, certain required documents supporting vouchers and/or schedules are included in the site audit records. These records document only the basic financial transaction, money received and money paid out or deposited, in the course of operation of the agency. All copies except the certified payment or collection copy, usually the original or ribbon copy, and all additional or supporting documentation not involved in an intearated svstem are covered by succeeding items in this schedule. AUTHORIZED DISPOSITION Destroy 6 years and 3 months after the period of the account. 2 GENERAL RECORDS SCHEDULE 6 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Site audit records include, but are not limited to,the Standard Formslisted below. Also included are equivalent agency forms which document the basic financial transaction as described above. SF 224, Statement of Transactions SF 1034, Public Voucher for Purchases and Services Other Than Personal SF 1036, Statement of Certificate and Award SF 1047, Public Voucher for Refunds SF 1069, Voucher for Allowance at Foreign Posts of Duty SF 1080, Voucher for Transfer Between Appropriations and/or Funds SF 1081, Voucher and Schedule of Withdrawals and Credits SF 1096, Schedule of Voucher Deductions SF 1097, Voucher and Schedule to Effect Correction of Errors SF 1098, Schedule of Cancelled Checks SF 1113, Public Voucher for Transportation Charges SF 1114, Bill of Collection SF 1114A, Official Receipt SF 1114B, Collection Voucher SF 1129, Reimbursement Voucher SF 1143, Advertising Order SF 1145, Voucher for Payment Under Federal Tort Claims Act SF 1154, Public Voucher for Unpaid Compen¬ sation Due a Deceased Civilian Employee SF 1156, Public Voucher for Fees and Mileage of Witness SF 1166, Voucher and Schedule of Payments SF 1185, Schedule of Undeliverable Checks for Credit to Government Agencies SF 1218, Statement of Accountability (Foreign Service Account) SF 1219, Statement of Accountability SF 1220, Statement of Transactions According to Appropriation, Funds and Receipt Accounts SF 1221, Statement of Transactions According to Appropriation, Funds, and Receipt Accounts (Foreign Service Account) 3 GENERAL RECORDS SCHEDULE 6 ITEM NO. 2 . 3. 4 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Memorandum or extra copies of Destroy 3 years after accountable officers' returns the period of the account, including statements of trans¬ actions and accountability, all supporting vouchers, schedules, and related papers not covered elsewhere in this schedule, and excluding freight records covered by Schedule 9 and payroll records covered by Schedule 2. GAO Exceptions Files . General Accounting Office notices of Destroy 1 year after exceptions, such as Standard Form 1100, exception has been re- formal or informal, and related ported as cleared by GAO. correspondence. Certificates Settlement Files. Copies of certificates of settlement of accounts of accountable officers, state¬ ments of differences, and related records. a. Certificates covering closed Destroy 2 years after account settlements, supplemental date of settlement, settlements, and final balance settlements. b. Certificates covering periodic settlements. Destroy when subsequent certificate of settlement is received. General Fund Files . Records relating to availability. Destroy when 3 years old. collection, custody and deposit of funds including appropriation warrants and certificates of deposit (SF 201, 209, and 219), other than those records covered by Item 1 of this schedule. 4 GENERAL RECORDS SCHEDULE 6 ITEM NO. DESCRIPTION OF RECORDS 5. Accounting 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 management purposes. b. All other files. 6. Federal Personnel Surety Bond Files . a. Official copies of the bond and attached powers of attorney. (1) Bonds purchased prior to January 1, 1956. (2) Bonds purchased after December 31, 1955. b. Other bond files, including other copies of bonds and related papers. 7. Gasoline Sales Tickets . Hard copies of sales tickets filed in support of paid invoices for credit card purchases of gasoline. 8. Telephone Toll Tickets . Originals and copies of toll tickets filed in support of telephone toll call payments. 9. Telegrams . Originals and copies of telegrams filed in support of telegraph bills. AUTHORIZED DISPOSITION Destroy when 2 years old Destroy when 3 years old Destroy 15 years after bond becomes inactive. Destroy 15 years after the end of the bond premium period. Destroy when bond becomes inactive or after the end of the bond premium period. Destroy after GAO audit or when 3 years old, whichever is sooner. Destroy after GAO audit or when 3 years old, whichever is sooner. Destroy after GAO audit or when 3 years old, whichever is sooner. 5 FPMR 101-11.4 January 1, 1977 GENERAL RECORDS SCHEDULE 7 Expenditure Accounting 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 non-appropriated, are spent after allotment by the Office of Management and Budget (0MB), 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, showing the current status of funds available for expenditure, the amounts due and collected for the account of the Government, accumulated expenditures and liabilities, and the values of stock, equipment, and other property in agency custody. They are controls that serve not only as central fiscal records, but also a primary source of data for top management concerned with agency solvency, with expenditures and with program costs. The general ledgers are subdivided into arbitrarily created account titles, which are based on programs, projects, costs, and funds. Supporting them are a group of subsidiary ledgers and papers further detailing the information in the general ledgers or serving as posting media to the ledgers themselves. To the extent that they reflect appropriation expen¬ ditures, the general ledgers are supported 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 over expenditure by operating officials. The allotment ledgers are general controls over expenditures, and they in turn summarize and are supported by more detailed controls that normally take the form of project or job orders which authorize exact and specific expenditure. The sources of data that are posted to the ledger files are somewhat diverse, but they fall into two general groups: a. Copies of various obligation or expenditure documents, such as vouchers and schedules, which flow through the ledger unit for posting. b. Journal vouchers and similar internal control documents created to authorize and convey entries to the general ledger. As the centralized fiscal record, the general ledgers ultimately summarize stores, plant and cost accounting data, which are treated in a separate schedule, but these are only several aspects of the total ledger accounts. Consequently, the ledgers are the source for the data included in the basic apportionment reports to the 0MB and the Treasury Department, and over-all reports of agency fiscal condition which may be required by the General Accounting Officer (Schedules 6 and 8). The adequacy for audit purposes of the general ledger accounts is normally considered by General Accounting GENERAL RECORDS SCHEDULE 7 Office auditors to be indicative of the suitability 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 Government¬ wide basis by the Treasury Department and the 0MB, 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 Service 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 Section 9 of the Records Disposal Act of July 7, 1943, as amended (44 U.S.C. 372). ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1 . 2 . 3. 4. Expenditures Accounting General Correspondence and Subject Files . Correspondence or subject files main¬ tained by operating units responsible for expenditures accounting, pertain¬ ing to their internal operations and administration. General Accounting Ledgers . General accounts ledgers, showing debit and credit entries, and re¬ flecting expenditures in summary. Appropriation Allotment Files . Allotment records showing status of obligations and allotments under each authorized appropriation. Expenditure Accounting Posting and Control Files . Records used as posting and control media, subsidiary to the general and allotment ledgers, and not elsewhere covered in this schedule. Destroy when 2 years old. Destroy 10 years after the close of the fiscal year involved. Destroy 10 years after the close of the fiscal year involved. a. Original records. b. Copies 2 Destroy when 3 years old. Destroy when 2 years old. * FPMR 101-11.4 January 1, 1977 GENERAL RECORDS SCHEDULE 8 Stores, Plant,and Cost Accounting Records Specialized stores, plant, and cost accounting records are maintained by most agencies, particularly those with extensive plant and stock inven¬ tories. These records,which essentially reflect the net monetary worth of an agency and its assets, are periodically reconciled with the supply data reflected in stock inventory records, but are not procurement papers. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Service before applying these disposi¬ tion instructions. a. Stores Accounting . These records are maintained to provide personal accountability for the receipt and custody of materials and to provide information as to the monetary worth of such materials. Custody is established by accomplished copies of material movement documents, and stores accounting information data are normally reviewed and consolidated by means of records and returns submitted to agency headquarters, where the information is used for procurement planning, budget, and other management purposes. These records do not include papers reflecting the physical movements of material to and from storage points, although they may be involved in posting. Summary data on plant value is also available in pertinent general ledger accounts. b. Plant Accounting . These records consist primarily of cards recording the principal characteristics of each item of physical plant and equipment, including real property. They constitute primarily a type of inventory control, but in addition are a principal source of data on the capital investment in physical plant (as distinguished from maintenance or operating costs) and other items not normally represented in a store or stock inventory system. Summary data on plant value is also available in pertinent general ledger accounts. c. Cost Accounting . These records are designed to accumulate and show data on the costs of agency operation, the direct and indirect costs of production, administration, and the performance of program functions of the agency. The data, which are normally accumulated by means of cost reports and statistics accumulated by operating personnel, are ultimately posted to the accounts in the agency general ledgers concerned with operating and program costs. Material costs information is collected by posting requisitions for material or procurement documents to intermediate records, and labor cost information is obtained by charging time expended on individual jobs and projects assigned control numbers for cost control purposes. Cost data are utilized in evaluating economy of agency operation and in preparing budget estimates. GENERAL RECORDS SCHEDULE 8 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1. Plant Accounting Files. Plant account cards and ledgers per¬ taining to structures. Submit SF 115, Request for Records Disposition Authority. 2. Plant, Cost and Stores General Correspondence Files. Correspondence files of units respon¬ sible for plant, cost and stores accounting operations. Destroy when 3 years old. 3. Stores Invoice Files. Invoices or equivalent papers used for stores accounting purposes. Destroy when 3 years old. 4. Stores Accounting Files. Stores accounting returns and reports. Destroy when 3 years old. 5. Stores Accounting Work Papers. Work papers used in accumulating stores accounting data. Destroy when 2 years old. 6. Plant Accounting Files. Plant account cards and ledgers, other than those described in item 1. Destroy 3 years after item is withdrawn from plant account. 7. Cost Accounting Reports. a. Copies in units receiving reports. Destroy when 3 years old. b. Copies in reporting units, and related work papers. Destroy when 3 years old. 8. Cost Report Data Files. Ledgers, forms, and machine-records used to accumulate data for use in cost reports. 2 * ITEM NO. GENERAL RECORDS SCHEDULE 8 DESCRIPTION OF RECORDS a. Ledgers and forms. b. Machine-records. (1) Detail cards. (2) Summary cards. (3) Tabulations. AUTHORIZED DISPOSITION Destroy when 3 years old. Destroy when 6 months old. Destroy when 6 months old. Destroy when 1 year old. 3 t FPMR 101-11.4 January 1, 1977 GENERAL RECORDS SCHEDULE 9 Travel and Transportation Records This schedule covers records pertaining to the movement of goods and persons under Government orders. The record keeping involved in the movements centers around bills of lading, transportation requests, vouchers, and associated records, including those prescribed by Title 5 of the General Accounting Office Policy and Procedures Manual . Copies of some records used to support payments become part of the accountable officers' accounts, or are accounting posting media. Their disposition may be covered by General Records Schedule 6, item 1; General Records Schedule 7, item 4; or items 1 and 3 of this schedule. a. Movement of goods . The key record is the bill of lading, of which there are copies for consignors, consignees, and the carriers themselves. The papers related to and normally filed with the bill of lading itself are varied and often voluminous. These may consist of shortage and demurrage reports, invoices, and other descriptive data which document the transaction. Included are records relating to the shipment of household effects, authorized by law and regulations for military personnel and for civilian employees of the Government. Agencies shipping certain vouchers under the Government Losses in Shipment Act, which insures against loss, retain copies of schedules of material shipped, papers relating to claims which may ensue, and other pertinent documents. b. Movement of persons . The movement of persons is documented essentially by copies of travel orders, authorizing travel and subsequent payment, and standard form vouchers showing payment for official travel. The primary copies of the travel orders are the administrative copy maintained by the transportation unit controlling the issuance of travel orders, and copies used for encumbrance of funds. ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1. Freight Files . Records relating to freight consisting of export certificates, transit certificates, demurrage car record books, shipping documents pertinent to freight classification, memorandum copies of government or commercial bills of lading, shortage and demurrage reports, and all supporting documents; and including records relating to the shipment of household goods. GENERAL RECORDS SCHEDULE 9 ITEM DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION a. Issuing office memorandum copies. Destroy when 3 years old. b. All other copies. Destroy when 1 year old. c. Registers and control records. Destroy when 3 years old. Lost or Damaged Shipments Files. Schedules of valuables shipped. Destroy when 3 years old. correspondence, memoranda, reports, and other records relating to the administration of the Government Losses in Shipment Act. 3. Passenger Transportation Files . Memorandum copies of vouchers (SF 1113A), memorandum copies of transportation requests (SF 1169), travel authorizations, transportation request registers, and all supporting papers. a. Issuing office memorandum copy. Destroy when 3 years old. b. Obligation copy. Destroy when obiigated. funds are c. Unused ticked redemption forms, such as SF 1170. Destroy when no longer needed for administrative use. 4. Passenger Reimbursement Files . Records relating to reimbursing individuals, such as travel orders, per diem vouchers, transportation requests, hotel reservations, and all supporting papers documenting official travel by officers, employees, dependents, or others authorized by law to travel. 2 GENERAL RECORDS SCHEDULE 9 ITEM NO. DESCRIPTION OF RECORDS a. Travel administrative office files. b. Obligation copies. 5. General Travel and Transportation Files . a. Correspondence, forms, and related records pertaining to agency travel and transpor¬ tation functions, not covered elsewhere in this schedule. b. Accountability records. I AUTHORIZED DISPOSITION Destroy when 3 years old Destroy when funds are obiigated. Destroy when 2 years old Destroy 1 year after all entries are cleared. 3 GENERAL RECORDS SCHEDULE 10 FPMR 101-11.4 January 1, 1977 Motor Vehicle Maintenance and Operation Records These records pertain to the management, maintenance, and operation of motor vehicles used by agencies. Personal Property Management Regulation No. 24 prescribes policies and procedures. Standard Form No. 82, which is an annual motor vehicle report required by the Federal Supply Service, General Services Administration, is the only standardized record. Certain cost and inventory control forms have been developed, but they are not mandatory. This schedule covers agency records pertaining to the daily use and operation of the vehicles. In general, records pertaining to motor vehicles reflect a threefold responsibility: (a) the accumulation of cost and operating data for internal accounting and management purposes and for reports submitted to the Federal Supply Service (Standard Form No. 82, Annual Motor Vehicle Report); (b) the maintenance of the vehicles themselves; and (c) protecting the interest of the Government in accident claims against it. The records themselves consist of chauffeur service logs and reports, vehicle repair and maintenance check-off sheets, cost ledgers and claims correspondence and forms. ITEM NO. 1 . 2 . 3 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Motor Vehicle Correspondence Files . Correspondence in the operating Destroy when 2 years old. unit responsible for maintenance and operation of motor vehicles not otherwise covered in this schedule. Motor Vehicle Operating and Main¬ tenance Files . a. Operating records including those Destroy when 3 months old. relating to gas and oil consump¬ tion, dispatching and scheduling. b. Maintenance records, including Destroy when 1 year old. those relating to service and repair. Motor Vehicle Cost Files . Motor vehicle ledger and work sheets Destroy 3 years after providing cost and expense data. discontinuance of ledger or date of work sheet. GENERAL RECORDS SCHEDULE 10 ITEM NO. 4 . 5. 6 . 7. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Motor Vehicle Report Files . Reports on motor vehicles (other than accident, operating and maintenance reports). Motor Vehicle Accidents Files . Records relating to motor vehicle accidents, maintained by transporta¬ tion offices. Motor Vehicle Release Files . Records relating to transfer, sale, donation or exchange of vehicles. Motor Vehicle Operation . Records relating to individual employee operation of Government- owned vehicles, including driver tests, authorization to use, safe driving awards, and related correspondence. Destroy 3 years after date of report. Destroy 6 years after case is closed. Destroy 4 years after vehicle leaves agency custody. Destroy 3 years after separation of employee or 3 years after recision of authorization to operate Government-owned vehicle, whichever is sooner. 2 FPMR 101-11.4 January 1, 1977 GENERAL RECORDS SCHEDULE 11 Space and Maintenance Records This schedule provides for the disposal of all copies, wherever located in an agency, of records relating to space and maintenance, except as indicated below. Records documenting these functions pertain to the acquisition, allocation, utilization, and release of space and include related correspondence and reports submitted to the General Services Administration (or equivalent agency with similar Government-wide respon¬ sibilities) as directed by law and by regulation (60 Stat. 257 and GSA Real Property Management Regulation No. 3); correspondence and forms re¬ lating to the compilation of directory service listings; identification credentials and related accountable records; requests for building and equipment services; and correspondence files reflecting the activities of the unit responsible for handling space and related matters within the agency. This schedule does not cover (a) copies of these records that are an integral part of accountable officer's accounts (Schedule 6); (b) records of procurement and supply (Schedule 3); (c) records which reflect Government-wide programs (such as the records held by the Public Buildings Service of the General Services Administration). Any records created prior to the establishment of the Public Buildings Administration in 1939 must be offered to the National Archives and Records Service before applying these disposition instructions. ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1. Space and Maintenance General Correspondence Files . Correspondence files of the unit re- Destroy when 2 years old. sponsible for space and maintenance matters, pertaining to its own admin¬ istration and operation, and related papers. 2. Agency Space Files . Records relating to the allocation, utilization,and release of space under agency control, and related reports to General Services Administration. GENERAL RECORDS SCHEDULE 11 ITEM NO. DESCRIPTION OF RECORDS a. Building plan files and related agency records utilized in space planning, assignment,and adjust¬ ment. b. Correspondence with and reports to staff agencies relating to agency space holdings and require¬ ments . (1) Agency records to General Services Administration re¬ garding space occupied in "Metropolitan Washington" and "Outside the "District of Columbia", and related papers. (2) Copies in subordinate report¬ ing units and related work papers. 3. Directory Service Files . Correspondence, forms and other records relating to the compila¬ tion of directory service listings. 4. Credentials Files . Identification credentials and re¬ lated papers. a. Identification credentials includ¬ ing cards, badges, parking permits, photographs, agency permits to operate motor vehicles, and property, dining room and visitors passes, and other identification credentials. b. Receipts, indices, listings and accountable records. AUTHORIZED DISPOSITION Destroy 2 years after termination of assign¬ ment, or when lease is cancelled, or when plans are superseded or obso¬ lete. Destroy when 2 years old. Destroy when 1 year old. Destroy 2 months after issuance of listing. Destroy credentials 3 months after return to issuing office. Destroy after all listed credentials are account¬ ed for. 2 GENERAL RECORDS SCHEDULE 11 NO ITEM DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 5. Building and Equipment Service Files . Requests for building and equipment maintenance services, excluding fiscal copies. Destroy 3 months after work performed or requisition cancelled. h 3 FPMR 101.11-4 March 14, 1977 GENERAL RECORDS SCHEDULE 12 Communications Records The principal records documenting communication functions include messenger service data, telecommunications service control and operational records; summary of long distance telephone reports; postal records, consisting of post office forms and supporting papers; mail control records and supporting and related papers; agency copies of penalty mail reports; and records relating to private delivery services (such as United Parcel Service). This schedule covers the records described below, wherever located in an agency, but does not cover records which reflect Government-wide programs, such as records held by the U. S. Postal Service and the Automated Data Telecommunications Service of the General Services Administration, rather than administrative management functions. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Service before applying these disposition instructions. ITEM NO. 1 . 2 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Messenger Service Files . Daily logs, assignment records and Destroy when 2 months old. instructions, dispatch records, delivery receipts, route schedules, and related records. Communication Correspondence , Reports, and Reference Files . a. Correspondence and related records Destroy when 2 years old. pertaining to internal administra¬ tion and operation. b. Telecommunications general files Destroy when 3 years old. including plans, reports, and other records pertaining to equipment requests, telephone service, and like matters. c. Telecommunications statistical Destroy when 1 year old. reports including cost and volume data. GENERAL RECORDS SCHEDULE 12 ITEM NO. 3. 4 . 5. DESCRIPTION OF RECORDS d. Telecommunications reference voucher files. (1) Reference copies of vouchers, bills, invoices, and related records. (2) Records relating to installa¬ tion, change, removal, and servicing of equipment. e. Copies of agreements with back¬ ground data and other records relating to agreements for telecommunications services. Telecommunications Operational Files . a. Message registers, logs, per¬ formance reports, daily load reports, and related and similar records. b. Copies of incoming and original copies of outgoing messages, including SF 14, Telegraphic Message. c. Machine copies (hard copies), discs, and tapes of outgoing messages. Telephone Summaries . Summaries of long distance telephone report used to indicate authorized use of telephone service as well as to audit expense vouchers. Postal Records . Post Office forms and supporting papers, exclusive of records held by the United States Postal Service. AUTHORIZED DISPOSITION Destroy when 1 fiscal year old. Destroy 1 year after audit or when 3 years old, whichever is sooner. Destroy 2 years after expiration or cancella¬ tion of agreement. Destroy when 6 months old. Destroy when 2 months old. Destroy after trans¬ mission. Destroy after the close of the fiscal year in which audited. 2 GENERAL RECORDS SCHEDULE 12 ITEM NO. DESCRIPTION OF RECORDS a. Records relating to incoming or outgoing registered mail pouches, registered, certified, insured, and special delivery mail including receipts and return receipts. b. Application for postal registration and certificates of declared value of matter subject to postal sur¬ charge. c. Report of loss, rifling, delay, wrong delivery, or other improper treatment of mail matter. 6. Mail and Delivery Service Control Files a. Records of receipt and routing of 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 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 copies used as supporting documents to payment vouchers). d. Statistical reports and data relating to handling of mail and volume of work performed. e. Records relating to checks, cash, stamps, money orders or any other valuables remitted to the agency by mail. AUTHORIZED DISPOSITION Destroy when 1 year old Destroy when 1 year old Destroy when 1 year old Destroy when 1 year old Destroy when 6 months old. Destroy when 6 months old. Destroy when 1 year old Destroy when 1 year old 3 GENERAL RECORDS SCHEDULE 12 ITEM NO. 7. 8 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION f. Records of and receipts for mail Destroy when 6 months and packages received through the old. Official Mail and Messenger Service. 9 - General files including correspon¬ dence, memoranda, directives, and guides relating to the administra¬ tion of mail room operations. Destroy when 1 year old or when superseded or obsolete, whichever is applicable. h. Locator cards, directories, Destroy 5 months after indexes, and other records relat- separation or transfer ing to mail delivery to individuals.of individual or when obsolete, whichever is applicable. Penalty Mail Report Files . Offical penalty mail reports and all Destroy when 6 years related papers. old. Postal Irregularities File . Memoranda, correspondence, reports Destroy 3 years after and other records relating to completion of investi- iregularities in the handling of gation. mail, such as loss or shortage of postage stamps or money orders, or loss or destruction of mail. 4 FPMR 101-11.4 January 1, 1977 GENERAL RECORDS SCHEDULE 13 Printing, Binding, Duplication, and Distribution Records This schedule provides for the retention or disposal of all copies, wherever located in the agency , of records relating to printing^_ binding , dupl icating , and distribution , except as indicated in the several items. 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 unitshand (b) correspondence and report files reflecting the activities of the unit responsible for handling, printing, binding, and duplication and distribution matters within the agency. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Service before applying these disposition instructions. This schedule does not cover (a) records retained by agencies for on-site audit by the General Accounting Office, and agency memorandum copies which are part of the accountable officers' accounts (Schedule 6); and (b) records which reflect agency programs (such as those of the Government Printing Office and the Bureau of Engraving and Printing) rather than administrative management functions. ITEM N O. DESCRIPTION OF RECORDS 1. Publications Files . a. Record copy if maintained in duplicating or distribution unit, of each publication, poster, chart, directive, regulation, booklet, speech, form, press release, and similar material. (This item does not cover copies and related program material retained in originating office.) b. AUTHORIZED DISPOSITION Submit SF 115, Request for Records Disposition Authority. All other copies. Destroy when superseded, obsolete or no longer needed. GENERAL RECORDS SCHEDULE 13 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 2 . 3. 4 . 5. Administrative Correspondence Files . Correspondence files pertaining to the Destroy when 2 years old. administration and operation of the unit responsible for printing, binding, duplication and distribution matters, and related papers. Project Files . Job or project records containing all papers and data pertaining to the planning and execution of printing, binding, duplication, and distribution jobs. a. Files pertaining to the accomplish- Destroy 1 year after ment of the job, containing completion of job. requisitions, bills, samples, manuscript clearances, and related papers exclusive of (1) requisitions on the Public Printer and related records; and (2) records relating to services obtained outside the agency. b. Files pertaining to planning and Destroy when 3 years old. other technical matters. Control Files . Control registers pertaining to Destroy 1 year after close requisitions and work orders. of fiscal year in which compiled or 1 year after filling of register, which¬ ever is applicable. Mailing Lists . a. Correspondence, request forms and other records relating to changes in mailing lists. Destroy after appropriate revision of mailing list or after 3 months, which¬ ever is earlier. b. Card lists. Destroy-individual cards when cancelled or revised. c. Plate or stencil mailing lists. Destroy plates or stencils „ when cancelled or revised. GENERAL RECORDS SCHEDULE 13 ITEM NO. DESCRIPTION OF RECORDS 6. JCP Reports Files . Reports to Congress and related records. a. Agency reports to Joint Commit¬ tee on Printing regarding operation of Class A and B Plants and inven¬ tories of printing, binding, and related equipment in Class A and B Plants or in storage. b. Copies in subordinate reporting units and related work papers. 7. Internal Management Files . Records relating to internal manage¬ ment and operation of the unit. AUTHORIZED DISPOSITION Destroy when 3 years old. Destroy 1 year after date of report. Destroy when 2 years old. 3 FPMR 101-11.4 January 10, 1977 GENERAL RECORDS SCHEDULE 14 Informational 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. Items 2 and 6 apply only to files main¬ tained in the office responsible for the operation of the informational activities of the agency or subdivision thereof. Items 16 through 20 describe the files accumulated in carrying out the provisions of the Freedom of Information Act, and items 25 through 30 describe the files created in administering the provisions of the Privacy Act. These records consist of inquiries, replies, and related correspondence; and in the case of FOIA and Privacy Act files, reports and appeal case files; and administrative background material for formal informational releases. Closely related records such as certain records relating to budget presentation, and printing, duplicating and distribution are covered by other general records schedules. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Service before applying these disposition instructions. ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1 . Information Files. Complete set of formal informational Submit SF 115, Request releases and publications, such as for Records Disposition press releases, press conference Authority, transcripts, official speeches, and indexes thereto. 2 . Information Subject Files . Subject files of formally designated informational offices, not covered elsewhere in this schedule. Submit SF 115, Request for Records Disposition Authority. GENERAL RECORDS SCHEDULE 14 | ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 3. Information Requests Files . Requests for information and copies Destroy 3 months after of replies thereto, involving no transmittal or reply, administrative actions, no policy decisions, and no special compilations or research and requests for and transmittals of publications, photo¬ graphs and other informational literature. 4. Acknowledgement Files . Acknowledgement and transmittals of inquiries and requests that have been referred elsewhere for reply. 5. Press Service Files . Press service teletype news and similar materials. 6. Information Project Files . Informational services project case files maintained in formally design¬ ated informational offices. 7. Commendation/complaint correspondence files. Anonymous letters, letters of commenda- Destroy when 3 months old. tion, complaint, criticism and suggestion, and replies thereto, excluding those on the basis of which investigations were made or administra¬ tive action taken and those incorporated into individual personnel records. 8. Indexes and Check Lists . Bibliographies, check lists, and index- Destroy when superseded es of agency publications and or obsolete, releases, except those used as indexes to formal informational releases (see item 1). Destroy 3 months after acknowledgement and referral. Destroy when 3 months old. i Destroy 1 year after close of file or 1 year after completion of project. 2 > GENERAL RECORDS SCHEDULE 14 ITEM NO. DESCRIPTION OF RECORDS 9 through 15 Reserved. 16. Freedom of Information Act (FOIA ) Requests Files . Files created in response to requests for information under the Freedom of Information Act consisting of the original request, a copy of the reply thereto, and all related supporting files which may include official file copy of requested record or copy thereof. a. Correspondence and supporting documents (EXCLUDING ) the official file copy of the records requested if filed herein). (1) Granting access to all the requested records. (2) Responding to requests for nonexistent records; to requestors who provide inadequate descriptions; and to those who fail to pay agency reproduction fees. (a) Request not appealed. (b) Request appealed. (3) Denying access to all or part of the records requested. (a) Request not appealed. (b) Request appealed. AUTOHRIZED DISPOSITION Destroy 2 years after date of reply. Destroy 2 years after date of reply. Destroy as authorized under item 17. Destroy 5 years after date of reply. Destroy as authorized under item 17. 3 GENERAL RECORDS SCHEDULE 14 ITEM NO. 17. 18. DESCRIPTION OF RECORDS b. Official file copy of requested records. f AUTHORIZED DISPOSITION Dispose of in accordance with approved agency disposition instruction for the related records, or with the related FOIA request, whichever is later. FOIA Appeals Files . Files created in responding to administrative appeals under the FOIA for release of information denied by the agency,consisting of the appellant's letter, a copy of the reply thereto, and related supporting documents, which may include the official file copy of records under appeal or copy thereof. a. Correspondence and supporting documents (EXCLUDING the official file copy of the records under appeal if filed herein). Destroy 4 years after final determination by agency or 3 years after final adjudication by courts, whichever is later. 1 b. Official file copy of records under appeal. Dispose of in accordance with approved agency dis¬ position instructions for the related record, or with the related FOIA requests, whichever is later. FOIA Control Files. Files maintained for control purposes in responding to requests, including registers and similar records listing date, nature and purpose of request, and name and address of requestor. a. Registers or listing. Destroy 5 years after date of last entry. 4 GENERAL RECORDS SCHEDULE 14 ITEM NO. 19. 20 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Other files. Destroy 5 years after final action by the agency or after final adjudication by courts whichever is later. FOIA Reports Files . Recurring reports and one-time information requirements relating to the agency implementation of the Freedom of Information Act, including annual reports to the Congress. a. Annual reports at departmental or agency level. Permanent. Offer to NARS with related agency records approved for permanent retention in agency records control schedule or when 15 years old, whichever is sooner. b. Other reports. Destroy when 2 years old or sooner if no longer needed for administrative use. FOIA Administrative Files . Records relating to the general agency implementation of the FOIA, including notices, memoranda, routine correspondence, and related records. Destroy when 2 years old or sooner if no longer needed for administrative use. 21 through 24. Reserved . 25. Privacy Act Requests Files . Files created in response to requests from individuals to gain access to their records or to any information in the records pertaining to them, as provided for under 5 U.S.C. 552a(d)(l). Files 5 GENERAL RECORDS SCHEDULE 14 ITEM NO. DESCRIPTION OF RECORDS contain original request, copy of reply thereto, and all related supporting documents, which may include the official file copy of records re¬ quested or copy thereof. a. Correspondence and supporting documents (EXCLUDING the official file copy of the records requested if filed herein). (1) Granting access to all the requested records. (2) Responding to requests for nonexistent records; to requestors who provide inadequate descriptions; and to those who fail to pay agency reproduction fees. (a) Requests not appealed. (b) Requestsappealed. (3) Denying access to all or part of the records requested. (a) Requests not appealed. (b) Requests appealed. b. Official file copy of requested records. AUTHORIZED DISPOSITION Destroy 2 years after date of reply. Destroy 2 years after date of reply. Destroy as authorized under item 26. Destroy 5 years after date of reply. Destroy as authorized under item 26. Dispose of in accordance with approved agency disposition instructions for the related records, or with the related Privacy Act request, whichever is later. 6 GENERAL RECORDS SCHEDULE 14 | ITEM NO. 26. DESCRIPTION OF RECORDS Privacy Act Amendment Case Files . Files relating to an individual's request to amend a record pertaining to that individual as provided for under 5 U.S.C. 552a(d)(2); to the individual's request for a review of 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 agency. Includes individual's requests to amend and/or review refusal to amend, copies of agency's replies thereto, and related materials. b. Requests to amend refused by agency. Includes individual's requests to amend and to review refusal to amend, copies of agency's replies thereto, state¬ ment of disagreement, agency justification for refusal to amend a record, and related materials. c. Appealed requests to amend. Includes all files created in responding to appeals under the Privacy Act for refusal by any agency to amend a record. AUTHORIZED DISPOSITION Dispose of in accordance with the approved dis¬ position instructions for the related subject individual's record or 4 years after agency's agreement to amend, whichever is later. Dispose of in accordance with the approved dis¬ position instructions for the related subject individual's record; 4 years after final determination by agency; or 3 years after final adjudication by courts, whichever is later. Dispose of in accordance with the approved dis¬ position instructions for related subject individual's record or 3 years after final adjudication by courts, whichever is later. 7 ITEM NO. 27. 28. 29. GENERAL RECORDS SCHEDULE 14 DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Privacy Act Accounting of Disclosure Files. Files maintained under the provisions Dispose of in accordance of 5 U.S.C. 552a(c) for an accurate with the approved dis- accounting of the date, nature, and position instructions purpose of each disclosure of a record for the related subject to any person or to another agency, individual's records, or including forms for showing the subject 5 years after the dis- individual's name, requestor's name closure for which the and address, purpose and date of dis- accountability was made, closure, and proof of subject indivi- whichever is later, dual's consent when applicable. Privacy Act Control Files . Files maintained for control purposes in responding to requests, including registers and similar records listing date, nature of request, and name and address of requestor. a. Registers or listings. b. Other files. Destroy 5 years after date of last entry. Destroy 5 years after final action by the agency or final adjudication by courts, whichever is later. Privacy Act Reports Files . Recurring reports and one-time infor¬ mation requirement relating to agency implementation, including annual reports to the Congress of the United States, the Office of Management and Budget, and the Report on New Systems. a. Annual reports at departmental or agency level. Permanent. Offer to NARS with related agency records approved for permanent retention in agency records control schedule or when 15 years old, whichever is sooner. 8 GENERAL RECORDS SCHEDULE 14 ITEM NO. DESCRIPTION OF RECORDS b. Other reports. 30. Privacy Act General Administrative Files . Records relating to the general agency implementation of the Privacy Act, including notices, memoranda, routine correspondence, and related records. AUTHORIZED DISPOSITION Destroy when 2 years old. Destroy when 2 years old or sooner if no longer needed for administrative use. FPMR 101-11.4 January 1, 1977 GENERAL RECORDS SCHEDULE 15 Housing 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 Government, military personnel, and others eligible by law to reside in the projects. These facilities may consist of low cost quarters located either within or adjacent to the confines of Federal installations, or in a critical defense or other area. This schedule includes housing records maintained by housing managers and housing or quarters offices, but does not cover the headquarters or staff office files of the supervising agency, or the files of the HUD, National Capital Housing Authority, the Department of Health, Education, and Welfare, or the Veterans Administration pertaining to program operations in planning and financing housing facilities. Maintenance records reflect repair and general upkeep of the housing project or units. Management involves the assignment and rental of units, rent collection and other fiscal operations, and over-all 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. ITEM NO DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION / 1. Housing General Correspondence Files . Correspondence files pertaining to Destroy when 2 years old. the maintenance and management of housing projects. 2. Housing 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. GENERAL RECORDS SCHEDULE 15 ITEM NO. 3. 4. 5. 6 . 7 . DESCRIPTION OF RECORDS b. Work orders, requisitions, and related papers involved repair and maintenance work. Housing Management Files . Housing Lease Files . Copies of leases, renewals, termina¬ tion notices, and related papers. Housing Assignment and Vacancy Card Files . a. Individual tenant cards. b. Individual housing unit cards. Housing Inventory Files . Furnishing inventory files, pertain¬ ing to items included in furnished units. Housing Application Files (other than copies in lease files). a. Rejected application files. b. All others AUTHORIZED DISPOSITION Destroy 3 fiscal years following close of fiscal year in which work is done. old. Destroy 3 fiscal years following close of fiscal year in which (a) lease termination, lapse, or cancellation occurs, or (b) litigation is con¬ cluded, whichever is later. ( Destroy when tenant vacates unit. Destroy 3 fiscal years after close of fiscal year in which unit is closed to tenancy or leaves agency control. Destroy 3 fiscal years after close of fiscal year in which inventory is superseded. Destroy 1 year from date of rejection. Destroy when 2 years old. Reports pertaining to housing manage- Destroy when 2 years ment, including expenditure, survey, collection, and other statistical and narrative data. 2 FPMR 101-11.4 April 4, 1977 GENERAL RECORDS SCHEDULE 16 Administrative Management Records This schedule provides for the retention or disposal of certain records relating to administrative management activities in Federal agencies. These activities involve the direction and control of those staff and management improvement programs not under line personnel directing and controlling substantive operations and programs. They exclude records of operating personnel, budget, accounting, and printing functions, which are covered by other General Records Schedules, but include records of related specialized procedural and management staffs. Included within the scope of the schedule are the most frequently found files which are created in the course of organizational planning, development and simplification of procedures, records management activities, and admini¬ stration of management improvement programs. General Records Schedule 1 (items 12 and 13) provide for the disposition of case files on individuals involved in incentive award and similar types of management improvement programs. Any records created prior to January 1, 1939, must be offered to the National Archives 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 centralized. For the purposes of this schedule and nomenclature standards set forth by the Senate Committee on Government 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 division-wide and usually bureau-wide or agency-wide 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 records, a relatively large proportion of them are of continuing value. Files pertaining to a management program in a well defined area such as reports management, consist primarily of detailed case files on each form or report and for a limited period of time are of administrative importance. Files of programs covering broader and more diverse fields, such as organizational planning studies, normally consist largely of project files, which are established for each separate problem assigned for investigation; the resulting case file is usually of continuing value in documenting the history of how the agency conducted its business. In GENERAL RECORDS SCHEDULE 16 either event there is a residue of ephemeral materials. These may include working papers that do not have a direct bearing on the transaction, preliminary or intermediate drafts of documents and preliminary work sheets that do not represent significant basic steps in the preparation of final drafts, letters or memoranda of transmittal and acknowledgement, routing slips, and extra copies of documents. ITEM NO. 1 . 2 . 3. DESCRIPTION OF RECORDS Directive Case Files . Internal directives issued at the agency, bureau or division level. a. Record copy with supporting case file, if any, documenting impor¬ tant aspects of the development of the issuance. b. Working papers and background material. Publications . Pamphlets, reports, leaflets, file manuals, or other published or processed documents, or the last manuscript report if not published, relating to management projects. a. Record copy with the supporting papers which document the incep¬ tion, scope and purpose of the project. b. Working papers and background materials. Records Disposition Files . Descriptive inventories, disposal authorizations, schedules and reports. a. Basic documentation of records description and disposition programs, including Standard Form 115, Request for Records Disposi¬ tion Authority; Standard Form 135, Records Transmittal and Receipt and related documentation. 2 AUTHORIZED DISPOSITION Submit SF 115, Request for Records Disposition Authority. See item 10 of this schedule. Submit SF 115, Request for Records Disposition Authority. See item 10. Destroy when related records are destroyed, or when no longer needed for administrative or reference purposes. GENERAL RECORDS SCHEDULE 16 ITEM NO. 4. 5. 6 . 7. 8 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Extra copies and routine corres¬ pondence and memoranda. c. Working papers and background material. Forms Files . a. One record copy of each form created by an agency with related instructions and documentation showing inception, scope, and purpose of the form. b. Working papers, background materials, requisitions, speci¬ fications, processing data, and control records. Management Improvement Reports . Copies of reports submitted to the Office of Management and Budget and related analyses and feeder reports. Records Holdings Files . Statistical reports of agency records holdings required by the General Services Administration, including feeder reports from all offices and data on the volume of records disposed of by destruction or transfer. Project Control Files . Memoranda, reports and other records documenting assignments, progress and completion of projects. Reports Control Files . Case files maintained for each agency report created, cancelled or superseded. Destroy when no longer needed for reference. See item 10 of this schedule. Submit SF 115, Request for Records Disposition Authority. Destroy when related form is discontinued, superseded, or cancelled. Submit SF 115, Request for Records Disposition Authority. Destroy when 3 years old. Destroy 1 year after the year in which the project is closed. Destroy 2 years after the report is discontinued. 3 GENERAL RECORDS SCHEDULE 16 ITEM NO. 9. 10 . 11 . 12 . c DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Superseded by item 4b of this schedule. Working Papers . Project background records such as studies, analyses, notes, drafts, and interim reports. Records Management Files . Reports, correspondence, authoriza¬ tions, technigues and related records concerning the development and improve¬ ment of the management of records in the agency. Includes the management of files, forms, correspondence, mail, reports, microfilm, automatic data processing, vital records, and related records not covered elsewhere in this schedule. Committee and Conference Records. Destroy 6 months after final action on project report or 3 years after completion of report if no final action is taken. Destroy when 6 years old. a. Records relating to establishment, organization, membership and policy. (1) Interagency, advisory or Submit SF 115, Request international committees. for Records Disposition Authority. (2) Internal committees. Destroy 2 years after termination of committee. b. Records created by committees. (1) Agenda, minutes, final reports, and related records documenting the accomplish¬ ments of official boards and committees. 4 ( GENERAL RECORDS SCHEDULE 16 ITEM DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (a) Records of the sponsor Submit SF 115, Request or Secretariat. for Records Disposition Authority. (b) All other copies. Destroy when 3 years old or when no longer needed for reference. (2) All other committee records. Destroy when 3 years old or when no longer needed for reference. 13. Organizational Records . Official organization charts, narrative histories, and related records which document the organization and functions of the agency. Record copy. Submit SF 115, Request for Records Disposition Authority. All other copies. Destroy when superseded or obsolete. 5 FPMR 101-11.4 March 18, 1977 GENERAL RECORDS SCHEDULE 17 Cartographic, Remote Sensing Imagery, and Related Records This schedule covers cartographic, remote sensing imagery, and related records that have been created by or for agencies of the Federal Govern¬ ment and those acquired by Federal agencies in the course of business. Records created prior to January 1, 1950, must be offered to the National Archives and Records Service before applying disposition instructions set forth in this schedule. Cartographic records are graphic representations at reduced scale of selected cultural and physical features of the surface of the earth and other planetary bodies. Theyinclude maps, charts (hydrographic, nautical, weather, and aeronautical), photomaps, atlases, cartograms, globes, and relief models. Related records are those records that form an integral part of the map-making process, such as field survey notes, geodetic controls, map history case files, source materials, indexes, and finding aids. Records of the map-making process in automated storage and retrieval system are covered by General Records Schedule 20. Remote sensing imagery covers aerial photographs and other forms of visual images of the surface of the earth or other planetary bodies taken from airborne or spaceborne vehicles for the purpose of evaluation, measuring, or mapping the cultural and/or physical features of the landscape, and related tabular and graphic indexes necessary for the proper identifica¬ tion and retrieval of these records. Conventional aerial photographs taken from aircraft produce direct film images from cameras; other forms or imagery such as those from orbiting satellites sometimes require a conversion or alteration of sensor data for digital, electronic, or computerized forms to photographic or videographic iamges before they can be considered imagery. This schedule is limited to visual imagery. Digitized or computerized data are covered by General Records Schedule 20. Cartographic and remote sensing imagery records that may have continuing legal, administrative, and research value are generally those that have been created or acquired in conjunction with the transaction of agency business or resulting from agency program responsibilities which constitute evidence of the organization, functions, decisions, and operations of the Federal Government. Additional descriptive information applicable to the disposition instructions for selected items are included in explanatory notes at the end of this schedule. The General Records Schedule for cartographic, remote sensing imagery, and related records is broad in scope and meant to complement approved agency record schedules and other general records schedules. If an item in this schedule is at variance or is inconsistent with an approved agency records schedule, such discrepancies should be brought to the attention of the GENERAL RECORDS SCHEDULE 17 National Archives and Records Service (MARS). In such cases, disposition should be made in accordance with specific instructions provided by the National Archives and Records Service. ITEM NO. DESCRIPTION OF RECORDS 1. Manuscript and Annotated Maps . Hand-drawn maps (generally in pencil, ink, or colors on paper or tracing cloth), maps made with stickup and similar adhesives, and maps that hear significant manuscript annotations, changes, or additions. Included are maps compiled in the office for administrative use, for research, or for exhibits and wall displays; map enclosures to reports or correspondence; original topographic planetable sheets, terrain sketches, and nautical depth¬ sounding sheets derived from field observations and surveys; final manu¬ script "smooth sheets" and "fair sheets" showing the results of surveys; maps or aerial photographic prints annotated with field survey information, initial hand-drawn photogrammetric steroplottings from aerial photographs; and proof sheets or overlays that bear annotations result¬ ing from field checking or verification of survey data or that are annotated to show source of information used on the map. 2. Cartographic Records Prepared During Intermediate Stages of Publication . Scribed plastic sheets, color Destroy 1 year after separation sheets, composites pre- publication of resultant pared as a step in the making of color map or 1 year after no separation sheets, photographic neg- longer needed for atives, glass plate negatives, enlarge- revision, ments 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 information content is duplicated by the final published map. AUTHORIZED DISPOSITION Submit SF 115, Request for Records Disposition Authority. 2 c GENERAL RECORDS SCHEDULE 17 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 3. 4 . 5. 6 . Published Maps . One copy of each published map, atlas, portfolio, and photomap produced by an agency, including each edition and variant, and all related indexes (in map or other form). Permanent. Break file at regular intervals (1 to 5 years) and offer to NARS. Map History Case Files and Source Material. Map history and chart history case Submit SF 115, Request files documenting the chronological for Records Disposition events in planning, surveying, field Authority, work, and production and revision of specific maps, and files containing or describing the sources of informa¬ tion for specific maps, including map specifications, location diagrams, notes kept by the cartographers when making maps, maps or photographs from which information was abstracted, correspondence, reports, bibliographies, lists of sources, and papers showing information about the origin and spelling of place names. Maps on Microfilm . a. If both original hardcopy maps and microfilm copies exist. b. If only the microfilm copies exist. Submit SF 115, Request for Records Disposition Authority. Dispose of in accordance with instructions for related hardcopy records. Computer Related Maps . a. One copy of each published. Permanent. Offer to NARS manuscript, or computer produced within 10 years, map produced by the agency that show such administrative informa¬ tion as the general geographic coverage of a computer system or the geographic location of all input stations used in the system. 3 GENERAL RECORDS SCHEDULE 17 ITEM NO. 7. 8 . 9. DESCRIPTION OF RECORDS b. Hardcopy maps acquired as sources of data for a computer system. c. Computer-plotted maps (hardcopy printouts or microfilm output). Globes, Terrain Models, and Raised Re!ief Maps . Three-dimensional terrain models and raised relief maps (made of plaster, wood, plastic, or other material). a. One representative sample of each type. b. Remaining items. Finding Aids . Graphic or written indexes and other finding aids relating to maps. r AUTHORIZED DISPOSITION Submit SF 115, Request for Records Disposition Authority. Submit SF 115, Request for Records Disposition Authority. Permanent. Offer to NARS within one year of pro¬ duction or when no longer needed. Dispose of when no longer needed for agency use. Dispose of in accordance with instructions for related maps. Survey Field Notes, Geodetic Controls , and Computations . (Hardcopy or Micro¬ film). Field notes from surveys, observa- Permanent. Offer to NARS tions, and explorations, consisting within 10 years after of a running account of the terrain, completion of resultant geological notes, a record of water map. depths, a daily log or journal, often in the form of pocket-size notebooks carried by the observer in the field, triangulation diagrams, aerial photo¬ graphs annotated with geodetic control data, and survey computations. 10-15. Reserved. 4 GENERAL RECORDS SCHEDULE 17 ITEM NO. 16. 17. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Vertical and Oblique Aerial Film , Conventional Aircraft. Vertical and oblique film in black and white, color, or "false color," including photo indexes (controlled or uncontrolled mosaics), flight line indexes or coordinate grid systems used as finding aids. a. Original or master negative. b. Copy negatives, internegatives, rectified negatives, and glass plate negatives. (1) Annotated (2) Unannotated c. Prints (1) Annotated (2) Unannotated Submit SF 115, Request for Records Disposition Authority. Submit SF 115, Request for Records Disposition Authority. Destroy when no longer needed for agency use. Submit SF 115, Request for Records Disposition Authority. Destroy when no longer needed for agency use. Infrared, Ultraviolet, Multispectral (multi-band), Video, Imagery Radar, and Related Data Tapes, Converted to a Film Base. a. Original or master negative b. Submit SF 115, Request for Records Disposition Authority. Prints 5 GENERAL RECORDS SCHEDULE 17 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION (1) Annotated Submit SF 115, Request for Records Disposition Authority. (2) Unannotated Destroy when no longer needed for agency use. 18. Finding Aids . Photo mosaics flight line indexes, coded grids, coordinate grids and other finding aids relating to remote sensing imagery. Dispose of in accordance with instructions for related remote sensing imagery records. EXPLANATORY NOTES Items 1 thru 9 The term "map" is used as a generic term for maps, charts, cartograms, and atlases. The word "published" as used in this schedule means maps or charts reproduced by printing, photograph, or similar processes in multiple copies, whether for limited or general distribution. These may be in single sheet or bound format. If the agency has systematically filed hand-corrected editions with other published maps in a central or master files, it is not desirable to break up the file by the removal of hand-corrected copies; the file should be maintained in its original order. Item 6b These are published or manuscript maps acquired, from whatever source, by an agency for the purpose of abstracting geographic information for input into a computer system. They may be of enduring value because they explain the unique information used in the system and they may be necessary to verify the original source of information. They also may contain unique geographic information, beyond what has been abstracted for computer use, not available elsewhere. If the maps are arranged in a numbered or alphabetized file, retain the original and complete order. Finding aids should be retained in conjunction with the maps. Item 6c These maps must be evaluated by NARS on a agency-by-agency basis. The evaluation of the maps must take into account the reproducibility, repetitive nature, access, and legibility of the maps. GENERAL RECORDS SCHEDULE 17 Item 7 Globes are often unique and valuable items of cartographic expression and as such they may have enduring value (except multiple copies). One sample of each globe produced or accumulated by an agency in the course of its official business should be preserved permanently. Item 8 Graphic indexes are maps containing lines, symbols, or colors designed to show the geographic coverage, limits of state or completion of each item in a series or multiple set of map records. Other finding aids may include written map lists, box lists, card file indexes, or magnetic tape or other machine-readable finding aids. Item 9 Survey notes in the form of automated data may be permanently valuable in machine-readable form. Guidelines for the disposition of automated records are found in General Records Schedule 20. Item 16 Vertical aerial film consists of film images that are exposed with the optical axis of the camera approximately perpendicular to the earth's surface and with the film image as nearly horizontal as practicable. Oblique aerial film consists of film images that are made with the camera axis directed between the horizontal and the vertical. Oblique photo¬ graphy is generally used for reconnaissance purposes. Because oblique reconnaissance photography may be repetitive, it is often possible to select representative sample coverage rather than retaining full coverage of particular conditions, events or phenomena. Representative samples may be selected by agreement with MARS. Item 17 These sensor systems provide photographic imagery, sometimes after conversion or transferral of information from raw data. The film is considered to be the primary record. The raw data, if machine-readable is covered by General Records Schedule 20. (Non-photographic sensor records such as microwave, radiometer, thermal infrared, thermal ultraviolet, and non-imagery radar are not covered by this schedule.) 7 FPMR 101-11.4 January 1, 1977 GENERAL RECORDS SCHEDULE 18 Security and Protective Services Records Security and protective services records include the various files created by agencies to control and protect classified information; to protect Government facilities from unauthorized entry, sabotage, or loss; to insure the adequacy of protective measures at privately-owned plants given security cognizance by the Government; to determine loyalty and fitness of indivi¬ duals employed by, or seeking employment from the Government; and to develop and implement plans for the protection of life and property under emergency conditions. Included are files of offices having Government-wide or agency-wide responsibilities for security and protective services pro¬ grams. Also included are files of security units, guard forces, and other organizational elements documenting the control of classified information, access to facilities, and like matters. This schedule authorizes for disposal records documenting administrative actions relating to the above functions. Records documenting Government¬ wide or agency-wide security and protective services planning and pro¬ gramming, reflecting basic over-all policies and determinations (Item 1), are not authorized for disposal by this schedule. Variations among agencies in methods of implementing statutory requirements for security and protect¬ ive 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 Scheule is therefore impractical. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Service before applying these disposi¬ tion instructions. Security and Protective Services Program Records Records accumulated by organizational elements having Government-wide or agency-wide responsibilities for administration of security and protective services programs. They relate to classified information accounting and control, facilities security and protective services, personnel security clearance, and emergency planning. ITEM NO DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1 . Security Policy Files . Manuals, directives, plans, reports, and correspondence reflecting poli¬ cies and procedures developed in the administration and direction of security and protective services programs. Submit SF 115, Request for Records Disposition Authority. GENERAL RECORDS SCHEDULE 18 Classifed Information Accounting and Control Records Records accumulating from measures taken by agencies to protect classified information from unauthorized disclosure in accordance with Executive Order 10501, other Executive Orders, or statutory or regulatory requirements. ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 2. Classified Documents Administrative Correspondence Files . Correspondence files pertaining to Destroy when 2 years old. the administration of security classification, control and account¬ ing for classified documents, not covered in Item 1 or elsewhere in this schedule. 3. Document Receipt Files . Classified documents receipts, relat- Destroy when 2 years old. ing to the receipt and issue of classified documents. 4. Destruction Certificates . Classified documents destruction Destroy when 2 years old. certificates relating to the des¬ truction of classified documents. 5. Classified Document Inventory Files . Forms, ledgers, or registers used to Destroy when 2 years old. show identity, internal routing, and final disposition made of classified documents, but exclusive of classified document receipts and destruction cer¬ tificates and documents relating to Top Secret material covered elsewhere in this schedule. GENERAL RECORDS SCHEDULE 18 ITEM NO 6 . 7. 8 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Top Secret Accounting and Control Files. a. Registers maintained at control Destroy 5 years after do- points to indicate accountability cuments shown on forms are over Top Secret documents, re- downgraded, transferred, fleeting the receipt, dispatch, or destroyed. or destruction of the documents. b. Forms accompanying documents to Destroy when related docu- insure continuing control, show- ment is downgraded, trans- ing names of persons handling the ferred, or destroyed, documents, intra-office routing, and comparable data. Access Request Files . Requests and authorizations for Destroy 2 years after individuals to have access to authorization expires, classified files. Classified Document Container Security Files . Forms or lists used to record safe Destroy when superseded by and padlock combinations, names of a new form or list, or individuals knowing combinations, upon turn-in of containers, and comparable data used to control access into classified document containers. Facilities Security and Protective Services Records Records relating to measures taken for the protection of Government-owned facilities and privately operated facilities given security cognizance by the Government from unauthorized entry, sabotage, or loss. 9. Security and Protective Services Administrative Correspondence Files Correspondence files relating to Destroy when 2 years old. administration and operation of the facilities security and protective services programs, not covered by Item 1 or elsewhere in this schedule. 3 GENERAL RECORDS SCHEDULE 18 * ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 10. Survey and Inspection Files . (Government-owned faci1ities) Reports of surveys and inspections Destroy when 3 years old, of Government-owned facilities con- or upon discontinuance of ducted to insure adequacy of protect- facility, whichever is ive and preventive measures taken sooner, against hazards of fire, explosion, and accidents, and to safeguard information and facilities against sabotage and unauthorized entry. 11. Survey and Inspection Files . (privately owned facilities) Reports of surveys and inspections Destroy when 4 years old of privately owned facilities assign- or when security cognizance ed security cognizance by Government is terminated, whichever agencies, and related papers. 12. Investigative Files . Investigative files accumulating from investigations of fires, ex¬ plosions, and accidents, consisting of retained copies of reports and related papers when the original reports are submitted for review and filing in other agencies or organiza¬ tional elements, and reports and related papers concerning occurrences of such a minor nature that they are settled locally without referral to other organizational elements. 13. Property Pass Files . Property pass files, authorizing re- Destroy 3 months after moval of property or materials. expiration or revocation. 14. Guard Assignment Files . Files relating to guard assignments and strength. is sooner. Destroy when 2 years old, a. Ledger records. 4 Destroy 3 years after final entry. GENERAL RECORDS SCHEDULE 18 ITEM NO. 15. 16. 17. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Requests, analyses, reports. Destroy when 2 years old. change notices, and other papers relating to post assignments and strength requirements. Police Functions Files . Files relating to exercise of police functions. a. Ledger records of arrest, cars Destroy 3 years after final ticketed, and outside police entry, contracts. b. Reports, statements of witnes- Destroy when 2 years old. ses, warning notices, and other case papers relating to arrest, commitments, and traffic violations. c. Reports on contact of outside Destroy when 1 year old. police with building occupants. Personal Property Accountability Files . Files relating to accountability for personal property lost or stolen. a. Ledger files. Destroy 3 years after final entry. b. Reports, loss statements, re- Destroy when 1 year old. ceipts and other papers relating to lost and found articles. Key Accountability Files . Files relating to accountability for keys issued. For areas under maximum security, destroy 3 years after turn-in of key. For other areas, destroy 6 months after turn-in of key. 5 GENERAL RECORDS SCHEDULE 18 ITEM NO. DESCRIPTION OF RECORDS 18. Visitor Control Records . Registers or logs used to record names of outside contractors, ser¬ vice personnel, visitors, employees admitted to areas, and reports on automobiles and passengers. 19. Facilities Checks Files . Files relating to periodic guard force facility checks. a. Data sheets, door slip sum¬ maries, check sheets, and guard reports on security violations (except copies in files of agency security offices covered by Item 25 of this schedule). b. Reports of routine after-hours Destroy when 1 month old. security checks which either do not reflect security violations, or for which the information con¬ tained therein is documented in the files defined in Item 25 of this schedule. 20. Guard Service Control Files . a. Control center key or code Destroy when superseded or records, emergency call cards, obsolete. and building record and employee identification cards. b. Round reports, service reports Destroy when 1 year old. on interruptions and tests, and punch clock dial sheets. AUTHORIZED DISPOSITION For areas under maximum security, destroy 5 years after final entry or 5 years after date of docu¬ ment, as appropriate, for other areas, destroy 2 years after final entry or 2 years after date of document, as appropriate. Destroy when 1 year old. 6 GENERAL RECORDS SCHEDULE 18 ITEM NO. 21 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION c. Automatic machine patrol charts Destroy when 1 year old. and registers of patrol and alarm services. d. Arms distribution sheets, charge Destroy 3 months after re¬ records, and receipts. turn of arms. Logs and Registers . 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 Destroy 1 year after final occurrences entered in master entry. logs. Personnel Security Clearance Records Records accumulating from investigations of personnel conducted under Executive Order 10450, other Executive Orders, or statutory or regulatory requirements. 22 . 23. Security Clearance Administration Correspondence Files . Correspondence files relating to Destroy when 2 years old. administration and operation of the personnel security clearance program, not covered by Item 1 or elsewhere in this schedule. Personnel Security Clearance Case Files . Records of investigations of person¬ nel employed by or seeking employ¬ ment from the Government, or whose relationship otherwise with the Government requires a security clear¬ ance, but exclusive of copies of investigative reports and related papers furnished to agencies by the Civil Service Commission for which maintenance and disposition instruc¬ tions are provided in Chapter 736 of the Federal Personnel Manual. Transfer to Federal Records Center 5 years after date of last action. Destroy 2C years after date of last action. 7 GENERAL RECORDS SCHEDULE 18 ITEM NO. 24. 25. 26. DESCRIPTON OF RECORDS AUTHORIZED DISPOSITION Personnel Security Clearance Status Files. Records showing the security clear¬ ance status of individuals, either in the form of lists or rosters, or as individual case files containing copies of documents contained in case files described in Item 23 above. Destroy lists or rosters when superseded or obsolete; destroy case files upon transfer or separation of related individual. Non-Felonious Security Violation Files . Case files relating to investiga¬ tions of alleged security violations, but exclusive of files concerning felonies and papers placed in official personnel folders. Destroy 2 years after comp¬ letion of final corrective or disciplinary action. Felonious Security Violation Files . Case files relating to investigations Submit SF 115, Request for of alleged security violations of Records Disposition a sufficiently serious nature to be Authority, classed as felonies. Emergency Planning Records Records accumulating from the formulation and implementation of plans (such as evacuation plans) for protection of life and property during emergency conditions. 27. Emergency Planning Administrative Correspondence Files . Correspondence files relating to Destroy when 2 years old. administration and operation of the emergency planning program, not cover¬ ed by Item 1 or elsewhere in this schedule. 8 GENERAL RECORDS SCHEDULE 18 ITEM NO. DESCRIPTION OF RECORDS 28. Emergency Planning Case Files . Case files accumulated by offices responsible for preparation and issuance of plans and directives, consisting of a record copy of each plan or directive issued, with related background papers. 29. Emergency Directives Reference Files . Copies of plans and directives, Destroy when superseded or other than those maintained in obsolete, case files described in Item 28 above. 30. Emergency Planning Reports . Agency reports of operations tests, Submit SF 115, Reguest for consisting of consolidated or Records Disposition comprehensive reports reflecting Authority, agency-wide results of tests con¬ ducted under emergency plans. 31. Emergency Operations Tests Files . Papers accumulating from tests Destroy when 3 years old. conducted under emergency plans, such as instructions to members participating in test, staffing assignments, messages, tests by communications and facilities, and retained copies of reports. AUTHORIZED DISPOSITION Submit SF 115, Request for Records Disposition Authority. 9 FPMR 101-11.4 January 1, 1977 GENERAL RECORDS SCHEDULE 19 Research and Development Records These are records created by agencies which conduct technical and scientific research and development activities in order to develop new concepts, techniques, equipment, and materials, or modify those in existence. The records relate to such phases of research and development as the establishment of requirements and preliminary characteristics, experimentation, design, engineering, modi¬ fication, testing, and acceptance. They accumulate at various agency organizational levels, such as offices responsible for program direction, laboratories, proving grounds, and arsenals. Any records created prior to January 1, 1921, must be offered to the National Archives and Records Service before applying these disposition instructions. Scientific data accumulating during the conduct of a specific project are generally recorded in laboratory notebooks, and later summarized in technical reports. While the technical reports will normally show the progressive and final results of the research effort, they do not always show how these results were achieved, or when a theory, device, or process was first conceived or reduced to practice. The laboratory notebooks and other subsidiary scientific papers record the methods and procedures used daily by the scientist in research performance, and possess potential reference value for future scientific research, as well as for the establishment of patent or invention rights. Research and development for some agencies is accomplished both by agency personnel and by private commercial or research organizations whose services are contracted for by the agency. When the latter is used, the contractor is required to furnish the results of research to the agency in the form of technical reports, experimental data, or comparable media. All records furnished by the contractor pursuant to terms of the contract become the property of the Government and the provisions of this schedule are applicable thereto. Work on a major research and development project or system may be assigned to various organizational elements of an agency. These work assignments may be designated as "sub-projects," "tasks," or "phases." They are generally identified with the major project or system through the agency project numbering or classification system. The term "project" as used in this schedule includes any related sub-projects, tasks, or phases. It is desirable that these related records be consolidated into a single project file prior to transfer to a Federal Records Center. However, on projects of long duration, where volume or other factors preclude the retention of records until completion of the entire project, records relating to individual sub-projects, tasks, or phases may be transferred to Federal Records Centers in the same manner as project case files defined under Item 3 of this schedule. GENERAL RECORDS SCHEDULE 19 ITEM NO. 1 . 2 . 3. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION R&D Program Files. Program documents, schedules, and Submit SF 115, Request correspondence maintained by offices for Records Disposition responsible for execution, review. Authority. and analysis of agency research and development programs, and relating to the general planning and supervision of the programs. R&D Technical Committee and Board Files. Agendas, directives, minutes of meetings, and reports covering general operations of the committee or board, and papers relating to the establishment, revision, or termination of individual projects. a. Official file of the committee or board maintained by the Secretary, Chairman, or other designee. b. Copies of committee or board files distributed to members. R&D Project Case Files . Records maintained at the laboratory or comparable level, reflecting a complete history of each project from initiation through research, develop¬ ment, design, and testing, to completion. They include (when created by agency personnel or received from contractors) procurement files, consisting of a copy of each contract or agreement for re¬ search services with related modifications, changes, or addenda; project authoriza¬ tion documents; project cards; technical characteristics; test and trial results; drawings, specifications, and photographs considered to be essential to document design, modifications, and engineering development; technical and progress reports; Submit SF 115, Request for Records Disposition Authority. Destroy when superseded or obsolete or upon termination of member¬ ship, whichever is sooner. Submit SF 115, Request for Records Disposition Authority. 2 GENERAL RECORDS SCHEDULE 19 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 4. 5. 6 . notice of completion or cancellation; reference to the location of prototype models, films, or other items too bulky for inclusion in these files; and correspondence influencing the course of action taken on a project. R&D Project Lists . Lists, card indexes, or other media Submit SF 115, Request reflecting in a comprehensive manner for Records Disposition individual projects administered by Authority, an agency. R&D Source Data Files. Punch cards, electronic tape, or comparable media 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. Dispose of when determined by competent agency research personnel that the files have served all research purposes. GRS 20, Machine-Readable Records, provides disposi¬ tion guidelines. R&D Laboratory Notebooks Files . Notebooks containing technical and scientific data accumulating from the conduct of research and development. a. Notebooks containing data deter¬ mined by competent scientific or technical personnel either to be duplicated in technical reports or elsewhere in project case files, or to be of such a routine or fragmentary nature that their retention would not aid significantly to the project file. Destroy 6 months after completion or termination of the related project or projects. b. Other notebooks. 3 Submit SF 115, Request for Records Disposition Authority. GENERAL RECORDS SCHEDULE 19 ITEM NO. 7. 8 . 9. 10 . 11. DESCRIPTION OF RECORDS R&D Technical Report Files . An official file copy of each techni¬ cal report or unpublished manuscript of report prepared in connection with a project, article reprints, terminal narratives, statistical and graphic compilations, summarizations, and analyses. R&D Drawing and Specification Files . An official file copy of each drawing and specification showing final design and technical characteristics of items developed. R&D General Correspondence Files . Correspondence of general administra¬ tive or housekeeping nature (exclusive of papers containing scientific or technical data), maintained by offices other than those referred to in Item 1. R&D Project Control Files . Copies of documents contained in project case files, preliminary sketches, drawings, specifications, and photographs determined by compe¬ tent scientific and technical personnel not to be of sufficient value for incorporation into project case files, and correspondence con¬ cerning such administrative matters as travel, conferences, consultations, and transmittal of documents. R&D Summary Progress Reports Files . Reports submitted by laboratories or other project offices to show the ini¬ tiation and degree of completion of projects, and consolidated reports pre¬ pared therefrom. AUTHORIZED DISPOSITION Submit SF 115, Request for Records Disposition Authority. See GRS 22, Design and Construction Records for disposition instructions. Destroy when 2 years old. Destroy upon completion or cancellation of pro¬ ject, or earlier, as they serve their purpose. 4 GENERAL RECORDS SCHEDULE 19 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION a. Copies of reports retained by reporting offices. Destroy 1 year after completion or cancella¬ tion of related projects b. Feeder reports used for compila¬ tion of consolidated reports, except as indicated in c^ below. Destroy upon submission of consolidated report. c. Consolidated reports, consisting Submit SF 115, Request of an official file copy of each for Records Disposition consolidated report and any feeder Authority, reports used for preparation there¬ of containing technical or scientific data not fully documented in the consolidated reports. 12. R&D Investigative Files. Records pertaining to exploration of the feasibility of unsolicited proposal for projects received from individuals. a. Proposals resulting in authorized projects. Same as for Item 3. b. Rejected proposals. Destroy 5 years after completion of investiga¬ tion. 13. R&D Procurement Files. Formal contracts or agreements with universities, commercial concerns, and See Item 4, General Records Schedule 3. individuals for research and develop¬ ment work, and related papers, but exclusive of technical or scientific data furnished to the Government pursu¬ ant to the terms of the contracts or agreements and copies of contractual documents filed in project case files defined in Item 3 of this schedule. 5 GENERAL RECORDS SCHEDULE 19 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 14. R&D Technical Reference Files . Copies of technical reports, specifi- Destroy when superseded cations, drawings, and other technical or obsolete, and scientific data received from Government agencies, commercial concerns, or other sources, used as a reference source in the performance of the re¬ search and development function, but exclusive of official file copies of these documents. 6 FPMR 101-11.4 February 16, 1977 GENERAL RECORDS SCHEDULE 20 Machine-Readable Records This schedule covers machine-readable records and the related documenta¬ tion required to service them. Machine-readable records require processing and decoding for conversion to human-readable information and are usually stored on media which make them easy to modify and update. This contributes to the mistaken notion that such records are ephemeral or non-record material, especially as opposed to their hard copy informational equivalents. Federal statutes and regulations define Federal records as the products of government business and specifically include all media on which they may be recorded. When information exists in both machine-readable and hard copy forms including computer output microform (COM), various factors bear on the decision of which medium should be retained for archival purposes. Among these are the relative cost of storage and preservation, the relative convenience of reference, and the facility with which most hard copy forms may be regenerated from machine-readable files (a process which is costly to reverse). Data on media other than computer magnetic tape (such as punch cards, paper tape, disc packs, or drums) may be scheduled by this schedule, but in most cases must be converted to magnetic tape before transfer to NARS. Machine-readable records differ from records on other media in four important ways: 1) The machine-readable media on which they are most often recorded are erasable and reusable, thus creating a cost effectiveness factor in their management which is not present with more permanent media; 2) The magnetic media on which most machine-readable records are recorded are not designed to be permanent storage media for records. Thus the fragility of most information in machine- readable form makes it mandatory that such records be brought under control as early as possible in their life cycle. Ideally this control should be exercised at the time a system is created, even before it has generated records. If this is done, disposition standards can be written on the medium as an integral part of the internal file label. Such timely scheduling leads to identification of files of archival value and can ensure that they are stored under optimum conditions as soon as the agency no longer needs them; GENERAL RECORDS SCHEDULE 20 3) Due to the ease with which machine-redable records may be updated or revised and the media reused, their life cycle is briefer and more complex than that of other records. While the master file stage is most often the form in which machine- readable records should be subject to archival appraisal, sometimes other versions should be retained because their informational content is more complete than related master files or especially relevant to agency policy, decisions, or special reports; 4) Because machine-readable records must be subjected to both mechanical and electronic processing and decoding to be con¬ verted to human-readable information, the records revealing such processes (documentation) must be scheduled with the machine-readable records. The qualities which separate machine-readable records from those on other media also make it difficult to produce a subject-oriented general schedule for machine-readable records which is analogous to the other general schedules. Thus this schedule categorizes records for disposition standards on the basis of the kinds of records or files that are common to most ADP systems. They are divided into three classes: Documentation (Part I) covers those records required for servicing machine-readable records -- for converting them from human-readable information to encoded data and vice versa. These are an organized series of descriptive documents required to initiate, develop, operate, and maintain specific applications of ADP systems. As might be expected, the disposition of documentation is linked to the disposition of the related machine-readable files. Processing files (Part II) are those machine-readable files, aside from master files, which comprise the life cycle of most comput¬ erized records. Processing files -- from work files and raw data input files to publication files and security backup files -- are employed to create and use a master file. They are presented here separately from master files for the sake of clarity and because they generally do not qualify for long term retention. Those for which disposal is not authorized are so treated because they may contain more complete information than the related master file or be especially relevant to agency policy, decisions, or special reports -- adequate reasons for initiating archival appraisal. The proper scheduling of processing files can increase the availability of space on machine-readable media and reduce agency expenditures for stocks of magnetic media. 2 GENERAL RECORDS SCHEDULE 20 Master files (Part III) constitute the definitive state of a data file in a system at a given time. Such files are categorized herein only partly on the basis of subject content. Other impor¬ tant considerations regarding disposition are the format of the data file and the manner in which it is updated. Such variables influence the scope of the informational value of a file and the frequency with which its machine-readable output should be subject to archival appraisal. "Data automation planning and operational records," which are included in a previous version of this general records schedule, are not included here. They are textual records and relate to an agency's planning, procurement, and operational processes. Thus they may be scheduled by reference to other appropriate general records schedules. It should be emphasized that machine-readable records which do not fit categories listed in this schedule are not thus automatically authorized for disposal. Disposition of such records should be authorized by submission to the National Archives and Records Service of a completed SF 115, Request for Records Disposition Authority. The decision table format, rather than the columnar format, is used herein for two reasons: 1) it reduces requirements for explanatory footnotes, and 2) assists the user in conceptualizing the many categories and subcategories of records involved. 3 PART I - DOCUMENTATION <■ c ■for a disapproved proposed [dispose of system jwhen no 1 «longer needed. PART I - DOCUMENTATION o e •I- o 4-3 -i- CJ 4-> E 03 3 E 4- CJ5 -E E 4- 4-3 • 4-> 03 4-3 CU 1 O 03 CU •r- X •r- 4-3 03 c r— r- X co o QJ cu • •r- *i— CO CL .c 03 os 03 4-> 4-3 r— r— 4-3 4-3 CU O T* 03 CU CU v- : r CO •r- CO 00 r— CU i— CU 05 >> O) 03 e i — i — CO Cl- w 03 3 03 •!— O 03 •!- O 4-> -a 4- Q. 4- CL 03 CU -E CO -E CO -a cj CJ 03 T CJ 03 t o •I- 4-» X •r- 4-3 X o e -E 03 E 03 4-3 CL X -o e JT) S- CO s- o O CO "O CU * E CJ 4- E CJ 4- CU E i— o •<- O *i— X3 03 *r- 4— 4-> X 4— 4-> X •r- 4- o CU a) QJ CU E « •r- E C N E C N D1 >, D1 -C- 1 O) cn*»- CU CJ)-p- -M E +J (O 4 +J 03 C WS *f— »f— CO E O CO E O CO i— >, >> x >0 -c J*C T- E CO X -M co -o +-> 0X1 (b cu c CU C3 O 03 C3 03 4-3 03 03 4-> 03 -Q r— CT 03 03 E 1— CU E |- 4-3 E 03 E O CU E o (U O 03 > O ■ -- 4- ‘ E 03 4- E E 03 4- X cn CO >> e e 1 4-> CO 4-3 X i 4- 03 E •I— CU 03 o •1— E CL 4-> O 1 4- 4-3 E E 03 •r- r— • r\ O CO CJ CJ • • «N E =3 •r— O E E •r— O CL CJ CO CJ CO 4- 4-> •r- • r. CU CO CO o r— CJ CU 03 r— •|— E •r— (J E e r— E 4- X CO E CJ •r— o •p- CO 4-3 CJ •p- cu 4-3 CU cn •r* o •r- CU C\ CU •r— CU • r> O • I— 4-> > 4- E JD CO 03 4-3 o 4-3 _Q E fc= CJ CO •f— 4-> •r— 4- O Q- CO 03 =3 E E r— CO 4-> r\ 03 E CU CU 03 4-3 CO X X Z3 •r— Q E CJ 03 •f— 4- •1— e CU f— O r— Q. =3 CJ •p- E E CO 4-3 CU •r— o Ql O (U E CU r— 4- CU CO CO E •r— E O 03 CJ 1 CO r—- 4-> CU CU cn X CU £= •r- E CU 03 E CU CJ ■E E E Q. E C~ CO 4-> 4-> CU 4- O 03 • 9\ X E 4-> 4-3 E U ZD O CL X Cl 4-3 4-> c CJ r— E 4-3 * -- o CO CJ CO =3 •r— 4- E 4-J 03 O r— #r “ 4- 03 CU CU CO O 03 4-3 CJ CU CU 03 co •r— X 03 X CU X ZD 4-> O E x cn •r— X ZD X E E CU X 2 CU E -E CO .E E CO CO 03 4-> 03 4-3 O r— o 03 CJ CU .c •r— 4-> 4-> X 4-> 03 cu •r- CO X X 4-3 • p— 4- >> n— CJ >> -E CJ E E 4-3 • p— E E CO e cj E E CO O 03 03 CJ CJ 03 O E O 03 E 03 e O o •r— X O r— CU 03 cn •P“ CO CU CO CU O 4-J 4- O •r— r— o E Q. CU 4- CJ > >>x E 4-> CU 4-3 E E 4- 03 O C_3 4-3 03 CU 03 03 N X O E •f— 4-> E •P- 03 JD CO >, • p> CU X •r— CJ E 4-> CU •r— E CU E • f— 03 X £ •r- cn E -E to E . C •r— 03 CO > CO O co E CL X E c E CO O E X cu 4-> O CO _c X CU •r— CJ E CU •r— CU O O CJ p— CU > ZD •f— 4- >! (J E 4-3 X OJ O 4- X r— 4-> CJ 4- CO cu O 4-3 X E CL 4-> CU X 03 4- 03 03 E E •r- CU E 03 03 CU E CU X E CU E CU E 03 X Q. CU O f***-mt\ E 03 4-3 E hwr (0 > X E X 4-3 X i«-4r>p 03 CO ** " r " 4-3 n. 03 CJ o CU Cl CO co cu e i— o co • C v kl* V* M". * »• rv '•* >i< (O CU X • f— 13 CO E aj CO CO «« v r.' im *■ r^ma a -% cn ^•ir^ ntwrUuM *—• ’T - 2 Output specifi- ^detailed descriptions of pro- \ listings of each type of out- j retain with cations jducts of the system that are ; put by title and tag, format j related i to be used outside the com- -specifications, selection v data file. \ uter center \ criteria, volume and frequency,' ; i media, graphic displays and i 3 and 4 PART II PROCESSING FILES PART II PROCESSING FILES c 6 PART II PROCESSING FILES I * •* * v%* «**>*•- • • -JfcL ***• , • * ’* CO •* 4 . • * * -v. 0S * ■** -<4 c 1 4- 03 03 c: *o to 03 c. o 4- 4- •i— O 03 •r— 4- 1 o CD S- CD c o •f • •r— o O s_ E •u O X3 JC •r- n— 03 r— •f— 4-> • O) C +-> JD SZ • r— 4-3 CD m 4-> • t c CO CJ CU a) o CU > o C ■a E CD o •r- CJ 03 4- C E CO O CD 4 a). CO 03 CO CO c s- -O to •r* o O) to a 2 3 CJ CD O CD 03 CO 03 CO ; _c a; CO 03 o 0) cd o s- 4-> 4-> (J O CJ s- •r— SZ S- E CO CD CO 03 r. I—, CJ c cj CL c 03 ~o Cl r— 4-> >1 CD 3 CJ c CJ % o 03 CO (1) c aj CO 4J CJ 4-3 r— 4-> CO CJ CO CL CL SZ CJ a> o 03 s_ S- S- •r— sz o O -C s_ i- S- J CL 4-» o -o 2 1— c -o 03 4- -o c: "O •r- 03 • 1— 03 4-3 a O X3 4-3 CL 4-> o i cd s- 03 sz cj 03 C o +-> o 03 4-> i- -r- -a >> co cu D (O E ■o to cj CL) 4-> •»— C C 4-> •I— a) CL) ID E C ■P (U O) cd e cn 03 o 4-3 X) CL) +-> s- O) > c o <_> 4- O 03 c to •I— CO c o <_> CO 4-> c o cj o *o cu o s_ o o CO C 4— 03 4-> c o o +-> 03 sz -t-> to X3 s- 03 CJ -a cu _cr cj sz 4-> 03 "O 03 4-> CO -M S- cd >> CO s- c 4-3 -r- C cd c: O) i— 4-> 03 +-> £Z *r- •r- S- cn 2 O S- s- CL O O >4 I i c o c •I- o 4-3 -I- cj 4-> c: 03 o c 4— 03 CO 0) f •O 00 03 o •sja-wv -+\ .' ,, * 4»- ••♦“V*** *# ' " ^ 7 PART II PROCESSING FILES e CD x O) E 03 CJ •i— x X l O -O O) CO CO o e CL •r- X T3 03 03 X 03 -a X 03 x x x e aj CO 3 cd CTr— O) - r- CO X I cd ■a 03 +-> E 03 •r- -O 03 +-> r— E -r- O 03 CJ X T3 I E -t-> E 03 03 > CD O X 03 E E CO X CJ CL*r- >N e o C X CJ 03 CD X co >> CO X3 CD X 03 •o Cl 03 e T3 CD CO C3 CO 1 CD CN e > e •r— CD O O 03 C X E i 1 e +-> O 03 e E E E X E -i- =3 CD O E -M o CJ o \ • CN CN *> cn e c X3 E X X sc 1 03 X =3 E CD •1— CO *i— ! e 03 X -O •r- X <4- -a E CO CD i— 03 O CD O X * >5 E E e CO CO CN X *1- cn e cd X X CJ E • e CD •r- =3 E CD e CD CJ •r— r— x cr O X • r— •ni— X X X X CD CO X o CD CD CD CO 03 •1— (/) CL E •i— X3 2 X "X LP 03 CN CO 03 13 co cn CJ CN 4_> CO c CD X CO CD =3 CD C 03 CD o E =3 X o X O T3 r— c_> 1 CL 03 03 E CJ •P- •r— CD X 1 — X X T3 X C e o =3 X CO CJ CD •r- O X CL CD CD X e f X •r- fC “O E CJ E U cn e e x =3 E X e 03 E =3 03 03 r— O 03 CD > E i •r- E E T3 CJ CJ E E 1 X e E o c CD o •r— o X +-> •r— 03 X CJ x •r— e 03 -a CL E e CD c X CD E •r— •r— E CD CO CD 03 r— CD X X X • r— -o e 03 =3 Ll. T3 CL CM CO I E •i— 03 +-> X C3 C Q. o e O -I- 03 E •i— 03 ■o CD X E 4-> CL) 5 x *a 03 CD "O CO 03 E CD E CO l E CD CD E X X CD 1 -a ~o X X X • X E X E O in CD 03 >> O -r- r— O-i- r— 03 1— e CO E C~ X CD E -r- CD o CD X CD X CO X CD C X CO CD • co CD o e X CD CJ O E X CD O E X CD CL CD 03 > 03 CL CD 03 r— Q- CD 03 i— CO X X CO O X co x -a o in x X3 cj •r— X 03 03 E CO •r- X CL >, •r- X a_ >, •o 03 X3 X Q. *r— X3 03 E CJ X3 03 E CJ O O E CD X e -a i— cn o CD •i— "O *r- X CO X CD r— >> 03 CD E CD 03 T3 -O i— E E •«- E U E •t— «P- CD CD E CD •>- X e x X X E X X CO cr x in cd x in •r- CO 03 03 X *i— CD i— 13 E CD T3 X E X E T3 E 03 CO 03 Or- 03 X X E x •I— 03 X3 in 1 CD CO X E E r CD X CJ -r- 03 i— E C •r- X 03 X E O o E in -a x x X CD E CD CD CO 03 O E 03 > E in >, E E •(- 03 CD X CO E CO E XX CL CJ *r- •r— •r— >> CD CJ 03 CD CJ CO CO CD X T3 i— E E in >> T3 > 03 E •r- E CL CO CD CD E XJ O i— E CJ 03 CO 13 CL S- 03 E CO CD CD E E CO E X > CJ *i- X E 03 t I 5 cj cn 03 E i CO e 03 E X C T3 O 03 CJ > 03 E 03 c+— O e o 03 CD E CD CJ i— E X o x e CD CD +-> i— CO •r- 03 E 4-> CD =3 4-> CL CO X 03 =3 E O LO 8 PART II PROCESSING FILES i •p - - — 4-> 1 CD CD CX T3 CD CD CX -a -a 1 DTD O • 4- k aj -a o 4- 03 03 1 Li. X3 k -i- >> O *r- U_ Z3 k t- >, OX) P 1 oi cro-P-P XI ip cro PP •i- 03 ! c a> u *i- •!- O) 4-> O) i— i P OX (D CD k cd aj • p ax 03 cd k CD O 03 1 SZ •r- a; o o O k 4-3 03 •r- ax o o O k k H E * ax a aj to r- E » CL xx a. cl XI IP S- W P CD -t-> -O CD k 1 X3 r— O *<— O •r- 4- CL >-, =3 i— O •r— =3 •i— CD O r--- .J C/1 i — 4- O C T3 05 X3 03 C/1 r— 4— Q 03 •r- CX 1 O f— 4-3 O r— 03 C =3 CD C *r- k i— 03 TO T3 i •r— aj 4-> aj 03 C73 03 03 03 CD •t- 03 xx •r- 03 k 4- i— XX >, <_> C-3 -4-J k i— P O •r- <_3 CD •(— o 03 4- CD ! 03 r— +-> 03 T3 >, i CX OP'D 03 u c a. 03 CD i 03 P 3 C E C 03 O •|— { CL 03 i— 03 <_) 4- XX r— X 03 T3 -a •> O 4-> i 03 03 i— (J *r- k CX CD X3 a; CX -O 03 t- k O O 4-3 k = k k ( o C U X d) O CL C O <— 03 03 , •r— •1— -f- Cl +-> 03 CD 03 O •r- T3 CX 03 05 k ai p> 03 os ex 1 XX •r— 03 xx k E k 03 k CD k X3 > U -U > U CD O k CL ex 4-3 i ,r " 1 -a •r 03 OX) 4-> O X3 o 03 * x: 03 4-3 4-3 *r— k (J •< CX *r— 4-> r- 03 i—O X CD 03 +-> •r- XXi ex r— T3 JO O 03 CD CD 03 T3 03 f •r- P C -r (D X) 03 C « O X3 CD | E 03 JO k C •!- CD *r- 03 O i TX X3 1 •r- xx k -X 1 — = CL I a> O O T3 C U 03 kP CD i CD •r- C O CX X3 03 05 =3 CX *i — X3 03 4- 03 C 03 CD xx E CL 03 T3 - . . m • - 4- O f CD j 1 r. ' ■M 1/1 CD C o o *4- I I } k 1C £ i fc £ . lent P c i f4- CD * i ,r “ i 0) W t i— 05 k O) +-> CD i— 03 •!— E 4— O) i CD T3 c ex •r— •r— •r— r— 03 CD 03 03 4-> k > CX 03 03 o E xc •4-3 o 4-3 03 03 •r— O) 03 XX 5 k • p- 4-3 O X3 03 03 >> i— o E X3 •i— 43 4- 03 T3 03 i— 03 k 4-> 03 XI 4-> 03 03 r— 03 03 ■4-> T3 •r— T3 03 CD 4- 03 k 03 ex 03 O E o k k •I— 03 1 03 k 4-3 4-3 03 4-> O U CD CX 03 •T— 03 03 •i— TXJ k CD E XX Cl a a CD 03 03 C 4- k 03 E • r_ O •4-3 CX E O) 03 CJ 4-> ex CD 03 >> k ex CD 03 o 4- •r— i — 03 4-> 03 k 03 > E o> k k •i— 03 O k 4-3 4- 4-3 CD CX 03 03 t-H k JE CO cn i ♦!*+ W4' 9 PART II PROCESSING FILES OS- -t-> o p i +-> O QJ O 00 >1 +-> o , 4- > (D (DC -O 1— M- p ct w r " p "O aj p (1) 1 — 00 Q) O 4-> 03 -P WD O QJ +-> OJ r— oo QJ P M— 03 d) 1 — *1—0 • " l r QJ U >1 03 Oj- 03 QJ 1— QJ 4-P>JO+->03>>004- P Q) QJ O -r 4- SC > JO r- oo*i— •«— c: <_j oj •»— p cl p _q p "o O O *i— *r- l— t r on qj c c oo ajcu +-> qj •i — _P 10 - p u oo p qj aj (a ' 4_ o qj >, oo E op u w 0303 S-OQjrcn(U£l4-Ur 03 QJ E 03 03 s. o - - C Q- P 5 --- 03 P EXJ-r ZT < CL 00 1 -O 03 O P p p 03 "0 0.0 -O QJ •!— QJ " +-> P +-> P "00 03 O 03 • 1 - 00 P P 4- CJ C C QJ •r— «r- COP E "O i — QJ *i- 00 Q> Q) J3 P -4-> -r- OO CO 13 03 cn QJ 00 =3 CL air- a; P -r- P 13 P 03 T3 P T3 • 1 - JO O QJ O 03 00 C~ TO 4-> 3 P QJ 1 O C c c -a 1 — •(— 03 O •<— O 4— _Q * PC •!- P S- O 03 j 3 -o +-> a- CL -t-> QJ 03 00 O O 03 P +-> " 13 *r- O 03 00 OO TJ r- Cl P O S-P O JO P +-> QJ P P Z3 *r- -a c cd 0 CL CL O QJ-rTO a J QJ ^ 00 S- QJ QJ P 03 T3 03 CL r— P • *-v 49 “* 4 -> QJ QJ O 00 > QJ QJ p T 3 •r— to JO r* P P> 4 -J to -a O CJ • fs • 1 — QJ CJ 03 >> 00 4- •p> QJ O QJ •r— p CL P P p to QJ QJ QJ QJ 03 ■*—s. 4- cj QJ t~ CD QJ JO 4- 0 _c 5 03 O ' — 1 O 03 +-> >> •O QJ QJ +J >> 03 O -r- p -a -t-> a) > oo E QJ E ■U -r- -O 1 QJ £0 -M • 1 — CJ 1 03 03 OO 4-> P QJ P +-> -O O X O QJ 3 QJ 03 03 O 1 — 4- . •r— +-> JO *r— O T3 03 +-> 4- QJ •O •r— CD E 5 QJ £0 +-> —' (J •r- OJ 13 P 4-J 1 — CL E 03 00 JO 4-> QJ O • 1 — 03 03 +-> oo 00 -O O to P 03 >, QJ O QJ QJ to JO O P O +-> 1 P QJ 1 QJ 03 JO CD P O +-> p . • r— 00 •(— SI E >> CJ CD O O 03 P P P E •p— 4- 4-> *r— O j O 4J •r- j P 03 +-> ! =3 C 03 1 4- CD CJ i •r— ! QJ 00 r— r- QJ JO • 1 - -O 03 Lx. CL 0 CM p Q_ CM • * ♦ s>* « 10 cu • -*-> T3 T3 -r CL •i- 03 4- c cu 3 CU > r— 0) to • to o 00 S- 00 •r- -C >> •i— to O OJ X3 4-> <_> •o 03 4- E i T ! ! ! ! >> CU > S- i 1 13 1 00 S- o a; s- >> ra -O rs ( -C 4-5 o 00 •r- .c CU E ( •r— 9 -o 4-5 aj 1 +-> CU J 03 c X3 o Q. 1 03 - - -.. -1 ■ * -*• ** rf- § to T3 s- >, •«- 03 03 to S- E -C 03 13 03 i -t-> E u -a i CU T3 f 03 O tO tO CU t •i- 4-5 *r— to 4— T3 tO 03 O OJ 4-> 03 a> S- ‘ E FO > •<— O C +-> -Q 4- *r- i. 4-> CO 03 03 O) c •r- •O C 4-5 4-5 CU to 03 *r- QJ to 4-> c O) S- 03 s- o s- r- E CU o 1 03 -O > OJ U C OJ-D C ‘r- 03 on 03 •1-4-5 03 c r c d) u •p— o a> 03 -o •«- c S- 1 E *r- 4- t- - . -- o Cl =3 c o c O •r- O 03 4-> •<- -O CJ 4-> C 03 >> 3 C 4-> 4- cn •r- •r— s- cu to 13 •— u_ oo C\J CO CVJ CVJ PART 11 PROCESSING FILES .. -w •«» ■ —>•* - •* * - 11 and 12 PART III MASTER FILES .. --- - -»<*- -- • * '*• —- ' — ' w 4— l co 4- o -a .c cu O Lx- E -t-> c 03 r— on cu o •!— *i- cu • cu +-> CO o 5 <— "O o CO CD +-> CO o o cu •>- c O S- DP (U cd ad i- (Or- E * E CO U T- o CO +-> •!- 03 u pin a •i- e e =3 e >, • 1 - 4- -E CL >, =3 33 O CO i— 03 O) 03 03 CO E -M rO >i CU ro • 1 — E 4- ro ro 03 e e O E O) ro CJ i— cu 3 0 S- •r— +-> 4- cu oo 03 r- •r— 4- O ro CO 4- 03 •r- E O -E C E CU O cn ro CU 03 C rO =3 CL CU C3 +-> O E 4- 30 (O S- rO CU +-> E or o > 4- *r- o -t-> r- •r- O > <0 +-> •!- > <0 -a ro CO +3 03 •r- l — CD CO r- 3 U O) +-> -Q 4-> E 13 +-> ro e ro ro S- ro E ro •r— I— r— O E 33 -M +-> 13 =3 *r- CL CD U CO E cr E ro CL O E ro cu 3 > 3 S- O 4- E E u ro w a E O DO «<■ - V 1 CO CO E -P> cu •I- 1 _E CL 1— (O DIP E • r— +-> E •!- CU 4- E CU CU CO CU r- I— rO rO -E T- (O -r CO • n P> 4- +3 4- CU CJ 03 ro 03 E O) >> i- O i- 3 Er cu cu i— •r— -t-> E 4-> o -a CU 03 CO O CO E cu t— (U ro *r— ro *i— c_> a p E p E rO ro ro O ro r— O d i- (O J P ro S- O CO CU ro CL CU O - 1 - E E 03 E E ro 1 ro a S- ro i — CO CU +-> +-> (O O E (O 4- CU *r- •1-03 O D P P 4- -E * i — ro *i— E u cn OOr— CU E O ro E C ro E •!- E E *r— *r- > U v — 4- ederal loan nd grant rogram master ile * i Li_ ro O > 4 - C\J * > V/H3JI* S«4»0» » »■» ^ * ' ■» CO 13 PART III MASTER FILES 14 PART III MASTER FILES c CD TJ GJ C CO CD _C CD •i- S- +-> O CD rO 03 CD rO TO -4-> CT TO 4-> ro 03 CD •>— ro E to S- co to CD s- rO x: o cn 1 TO CO +J *' * CD ro CD l •>— CO CO c TO TO tO 4— 1 rO *r— CO +-> +-> +-> CD TO O • 4- CD CD +-> OH ET) C a(D (fl ro U_ 03 P -r- >, O TO P ro 03 CD -r- CD > CD CO • GO cr o 4-> +-> •i— ro TO (DW-PECU(Oi- >} CD CJ -r- -r- CD > r- co so ••- cj xo cj to c: s- P C CD CO S- CO O CD S- O i- CD CJ rO rO C CD O •r- a; o o O s. 5. CD • a(D 3 ro C ro > -P E « Clxo CL CL 4-> CD CO +-> CT4-> C QJ -P CD O U H Lf) L W P CO S- CO i— •r- 4- CD CD O -C to CD TO S- to Or- Ot 03 •i— co O ro *r- XHOWCUPIIHCD CL 4- GO i— 4- Q < TO ro 4- E 4- CD r— CD C -r- 1 CO O ro P ro *o +-> 03 jCO CD •» CD CL CJ +J TO TO S- (0 CD O CD ■o -C S— CO •i- 4-> •r- CO CD £0 4- CO r— •r- 4-> O •i— *r— fO i— ro *r- u > XG CD CO CD C 03 S- P CL O S- CL CD CD CO *i— o C > +-> 13 CO CD rO •a •r- to -c E CD >, CD +-> s- +-> i— ro XO o fO i— P CO P 4- X- rO 03 t- o c X3 •r- -a i— 4- -r- •r— +-> -Q p— co a 03 TO 4- ro ro •«- CL CD O O +-> ro +-> co p co ro CD 4-> H C (O CD CO O o or S- O c CO O P CJ CL -... .. ... .. ... , .. ..... _ ... > „ , ... CD CD E P •<- CD CD l o s- 1 (O 4- CO S_ c S- cd CO 03 ro O 4— +-> O *r- tO 5 CJ co O r— +J C TO CO ro CL rO O S- ro CO E rO O TO P (O •i-4-o •i- to xo -a o -i- s_ TO C TO CD +-> o CD >, CD CD S- E co to E '— P P CD CD > C 1 — CO fO +-> CD +-> S- O CD to fO CD 03 i— ro CD •!- 1 — -r- E o CL xo cn co P -O +-> o E ro CD JC (J rO C CD O TO S- O ro TO CD -C CO O ro con co ID WP'r CD CDi— CO CO CD CO S- S- rO ro ro CD i- cd Ex aj 1 05 S- r- 1 O O -C CD CD TO -M -r- CD CD O •!- -f-> CO CO -r 4- CO CO 4- X0 O •r- *r- > TO •1- * 1 - ^ -C C -r- -r- rO X C ro X 0 U -r TO r- P (J t- p P p rO to CO to rO tO (O (O O ■!— E P'r > T3 EPTOH 5 CD TO r— CD •r— -*-> 4- 4-> tO >5 E S- S- ro o £ 4- CD P 1 r— 03 CD *i— GO DO 4- ■ • - — * - - • * h*1 -» • '* ’ ‘-' r ** ( _ C\J o |- V • r . »IT .w, t , -n n. , w na. 1 . ^... c 15 16 GENERAL RECORDS SCHEDULE 20 Explanatory Notes 1. "Dispose of after third update cycle" indicates that first generation data may be disposed of after the fourth successful update. 2. Records received from another agency become the records of the receiving agency under either of two conditions: a) when the data is merged or reduced by the receiving agency, and no comparable copy exists in the originating agency; and b) when the data is provided by the originating agency in a form designed to meet the needs of the receiving agency, and no comparable copy exists in the originating agency. In such cases the resulting data file should be scheduled according to the appropriate category listed in this schedule, where applicable. 17 FPMR 101-11.4 January 18, 1977 GENERAL RECORDS SCHEDULE 21 Audiovisual Records This schedule covers audiovisual and related records that have been created by or for agencies of the Federal Government and those acquired by Federal agencies in the course of business. Audiovisual records created prior to January 1, 1946, must be offered to the National Archives and Records Service before applying disposition instructions set forth in this schedule. Audiovisual records include still pictures, motion pictures, sound recordings, video recordings, and related documentation used for or necessary to the proper identification and retrieval, or bearing on the origin, acquisition, use, and ownership of these records. Audiovisual records that may have continuing legal, administrative, and research value are of two kinds: (1) those created, acquired, used, or distributed by Federal agencies for informational purposes and (2) those generated in conjunction with the transaction of agency business or re¬ sulting from agency program responsibilities which constitute evidence of the organization, functions, policy development, decisions, procedures, operations, or other activities of the Federal Government. Additional descriptive information applicable to the disposition instructions for selected items are included in explanatory notes at the end of this schedule. The General Records Schedule for Audiovisual Records is broad in scope and meant to complement approved agency record schedules and the other General Records Schedules. If an item in this schedule is at variance or is inconsistent with an approved agency record schedule, such discre¬ pancies should be brought to the attention of the National Archives and Records Service (NARS). In such cases, disposition should be made in accordance with specific instructions provided by the National Archives and Records Service. ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 1. Still Pictures Files . Still photographs, slide sets, film¬ strips, posters, original artwork, and other pictorial records that: GENERAL RECORDS SCHEDULE 21 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION a. Provide documentation of the organization, functions, policies, procedures, and essential trans¬ actions of an agency; or contain information that is unique in sub¬ stance, arrangement or manner of presentation and unavailable in another form; or document events or phenomena which are significant; or utilize a significant new technology and represent an advance in the state of the art. Permanent. Break file every 5 years. Offer to National Archives and Records Service (NARS) when no longer needed for administrative use or when 10 years old. (1) Still photographs (a) Black and white photo¬ graphy - the original negative and a captioned print. (b) Color photography - the original color transparency or color negative, a cap¬ tioned print, and an inter¬ negative if one is available. (2) Other still pictorial records - the original and a reference print of each. b. Are included as part of a project Dispose of in accordance file, case file, report, or a with the approved dis¬ similar type of record. position instructions applicable to the records of which they are a part. c. Are not permanent records as described under item la of this schedule. Destroy when no longer needed for administrative use in accordance with FPMR 101-42.303-1. d. Are faulty or technically poor photography. Destroy immediately in accordance with FPMR 101-42.303-1. 2 GENERAL RECORDS SCHEDULE 21 ITEM NO. 2 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Motion Pictures Files . Motion picture films including nega¬ tives, masters, and prints of productions and unedited outtakes and trims that: a. Provide documentation of the Permanent. Offer to organization, functions, policies, MARS when no longer procedures, and essential trans- needed for administrative actions of an agency; or contain use or when 5 years old. information that is unique in substance, arrangement or manner of presentation and unavailable in another form; or document actual events or phenomena which are significant; or utilize a signifi¬ cant new technology and represent an advance in the state of the art. (1) Agency sponsored films intended for distribution - the original negative or color original plus separate optical sound track, an intermediate master positive or duplicate negative plus optical sound track, and a sound projection print. (2) Films produced by or for an agency that is intended for internal staff use - the original negative or color original plus sound anda projection print. (3) Films acquired by an agency - two projection prints. (4) Unedited outtakes and trims, the discards of film productions, which have been appropriately arranged, labeled, and described - the original negative or color original and a work print. (5) Films resulting from a visual or electronic transfer of video re¬ cordings. 3 GENERAL RECORDS SCHEDULE 21 ITEM NO. 3. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Are included as part of a pro¬ ject file, case file, report or a similar type of record. c. Are not permanent records as described under item 2a of this schedule. Dispose of in accordance with the approved dis¬ position instructions applicable to the records of which they are a part. Destroy when no longer needed for administrative use in accordance with FPMR 101-42.303-1. d. Are faulty or technically poor photography. Destroy immediately in accordance with FPMR 101-42.303-1. Sound Recordings Files . Sound recordings on tapes or discs that: a. Provide documentation of the Permanent. Offer to NARS organization, functions, policies, when no longer needed for procedures, and essential trans- administrative use or actions of an agency; or contain when 5 years old. information that is unique in substance, arrangement or manner of presentation and unavailable in another form; or document actual events or phenomena which are significant; or utilize a signifi¬ cant new technology and represent an advance in the state of the art. (1) Conventional mass-produced, multiple copy disc recordings - the master tape, matrix or stamper, and one disc pressing. (2) Magnetic audio tape recordings (reel-to-reel, cassette, or cartridge) - the original tape or the earliest generation of each recording and a "dubbing" if one exists. 4 GENERAL RECORDS SCHEDULE 21 ITEM NO. 4. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION b. Are included as part of a pro¬ ject file, case file, report or a similar type of record. c. Are not permanent records as described under item 3a of this schedule. Dispose of in accordance with the approved dis¬ position instructions applicable to the records of which they are a part. Dispose of when no longer needed for administrative use. d. Are faulty or technically poor recordings. Dispose of immediately. Video Recordings Files . Video recordings that: a. Provide documentation of the Permanent. Offer to NARS organization, functions, policies, when no longer needed for procedures, and essential trans- administrative use or actions of an agency; or contain when 5 years old. information that is unique in substance, arrangement or manner of presentation and unavailable in another form; or document actual events or phenomena which are significant; or utilize a signifi¬ cant new technology and represent an advance in the state of the art. Included are the original or earliest generation of the recording. b. Are included as part of a project file, case file, report or a similar type of record. c. Have been transferred by visual or electronic processes to motion picture film. d. Are not permanent records as de¬ scribed under item 4a of this schedule. Dispose of in accordance with the approved dis¬ position instructions applicable to the records of which they are a part. Dispose of after verifying the adequacy of the film copy. Dispose of when no longer needed for administrative use. 5 GENERAL RECORDS SCHEDULE 21 ITEM NO. 5. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION e. Are faulty or technically poor Dispose of immediately, recordings. Audiovisual Documentation files . Finding aids and documentation files relating to audiovisual records, including: a. Finding aids consisting of any of Dispose of in accordance the following: shelf lists, visual with instructions covering aid cards, data sheets, shot lists, the related audiovisual continuities, review sheets, index- records. es, caption lists, catalogs, or other documentation in a textual, microform, or machine-readable form that is necessary or helpful for the proper identification, retrieval, and use of the audio¬ visual records described in GRS 21, Items 1, 2, 3 and 4. b. Production files or similar files Dispose of in accordance which include production contracts, with instructions covering scripts, transcripts, and other the related audiovisual documentation bearing on the records. origin, acquisition, release, and ownership of the production. Explanatory Notes Item 1 a(1) Included are photographs of significant agency activities, personalities, procedures, programmatic responsibilities and developments which are made available to the public and those which are made and utilized in the course of agency business but which are intended for internal staff use and not normally available to the public. 6 GENERAL RECORDS SCHEDULE 21 Item la(2) Included are records that explain, instruct, advertise, or illustrate agency programs and functions. A representative sampling of these records should be made and identified as permanent records and offered to the National Archives and Records Service. Determinations as to the items to be selected as permanent records should be based upon the significance of their content and the uniqueness and quality of its presentation. Disposition of audio recordings that relate to filmstrips or slide sets should be in accord with instructions governing the associated filmstrip or slide set. Item lc Included are still photographs that have limited administrative use or interest such as photographs whose subject matter is transitory in nature or is of purely local interest. Such photographs might depict athletic events, social gatherings, or other activities not directly related to agency operations or responsibilities. Included also are photographs of low-level administrative staff functions and ceremonial activities showing award presentations and commendations. Item 2a Included are edited motion picture productions as well as unedited footage (outtakes and trims) that depict significant agency activities, personali¬ ties, procedures, programmatic responsibilities and developments. This item includes motion films made for distribution and intended to inform, teach, or entertain, and films made and utilized in the course of agency business for internal staff use and not necessarily available to the public. This item also includes television advertisements and announcements, commonly referred to as "TV spots," which describe, explain, or promote agency programs and activities. Frequently these announcements are produced in variant forms which describe the same program or activity and broadly speaking furnish the same basic information but in a slightly different arrangement, or they are of such a general nature that their informational and evidential value is inconsequential. Every TV spot produced by or for an agency is not a permanent record. A representative sampling of TV spots needs to be made and identified as permanent records and offered to the National Archives and Records Service. Determinations as to which TV spots possess sufficient value to warrant selection as permanent records should be based upon the significance of their content and the quality of its presentation. Those spots not selected as permanent records by an agency are disposable in accordance with the disposition instructions for item 2c. 7 GENERAL RECORDS SCHEDULE 21 Item 2c Included are motion picture productions as well as unedited footage (outtakes and trims) that have limited administrative use or interest such as motion picture films whose subject matter is transitory in nature or is of purely local interest. Such motion picture films might depict athletic events, social gatherings, or other activities not directly related to agency operations for responsibilities. Included also is motion picture footage of low level administrative staff functions and ceremonial activities showing award presentations and commendations. This item also includes motion pictures that present standard, well-known, widely available technical instruction or managerial training programs which were acquired from Government agencies having established Government¬ wide training functions and responsibilities such as the Civil Service Commission or the armed services. Item 3a Included are completed audio productions which are distributed on discs and intended to inform, teach, or entertain. Also included are "radio spot masters" of radio announcements which describe and explain significant agency programs and activities. Frequently these announcements are produced in variant forms which describe the same program or activity and broadly speaking furnish the same basic information but in a slightly different arrangement. In such cases only a sampling of representative radio spots pertaining to a specific agency activity or program need be considered permanent records. This item also includes sound recordings of significant speeches, conferences, committee meetings, and other recordings which may be made in the course of business but which are intended for internal staff use and not normally made available to the public. Those not selected as permanent records should be disposed of in accordance with the disposi¬ tion instructions for item 3c. Item 3c Included are sound recordings which have limited administrative use or interest such as recordings which were produced for and utilized in some other audiovisual production such as a motion picture or a slide show. Sound recordings whose subject matter is transitory or of a local interest nature are also included. Item 4a Included are video recordings which are distributed and intended to inform, teach, or entertain as well as video recordings of significant programmatic events, procedures, conferences, meetings, operations, and techniques, and other recordings made in the course of business but which are intended for internal staff use and not normally available to the public. This item also includes television advertisements and announcements, commonly referred 8 GENERAL RECORDS SCHEDULE 21 to as "TV spots," which describe, explain, or promote agency programs and activities. Frequently these announcements are produced in variant forms which describe the same program or activity and broadly speaking furnish the same basic information but in a slightly different arrangement or they are of such general nature that their informational and evidential value is inconsequential. Every TV spot produced by or for an agency should not be considered a permanent record. A representative sampling of TV spots needs to be made and identified as permanent records and offered to the National Archives and Records Service. Determinations as to which TV spots possess sufficient value to warrant selection as permanent records should be based upon the significance of their content and quality of their presentation. Those spots not selected as permanent records by an agency are disposable in accordance with the disposition instructions for item 4d. Agency originated video recordings and recordings acquired by anagency from non-Government sources that contain unique training and instruction material are included if such recordings provide documentation of or for agency programs and show their relation¬ ship to and impact on the public or present an historical account of some aspect of the agency's development. Item 4c Instructions governing the disposition of motion picture films that contain material that was originally in a video recording format will be found in item 2 of this schedule. Item 4d Included are video recordings which are purely transitory in nature and those which depict routine activities and functions having only marginal importance. Video recordings that present standard, well known, widely available technical instruction or managerial training programs which were acquired from Government agencies having established Government¬ wide functions or responsibilities such as the Civil Service Commission or the armed services, are included. 9 FPMR 101-11.4 May 19, 1977 GENERAL RECORDS SCHEDULE 22 Design and Construction Drawings and Related Records This schedule provides guidelines for the disposition of design and construction drawings and related records that have been created or received by agencies of the Federal government in connection with their official activities. Drawings refer to those graphic and engineering records that depict conceptual as well as precise measured information essential for the planning and construction of static structures such as buildings, bridges, canals, and other public works projects, as well as miscellaneous engineering projects such as machinery, weapons, and equipment. Related records are comprised chiefly of indexes and finding aids, specifications, and three-dimensional models. Most design and construction records lose their usefulness to the agency after specific periods of time. Generally speaking, drawings pertaining to the design process lose their administrative usefulness after the final construction plans are accepted; these records should be considered inactive after the completion of the construction project. Precise measured drawings which are used during the construction process have a continuing value during the life of the structure, especially for repair and maintenance projects. The original construction drawings as well as repair and alteration drawings (or microform copies) should be considered active while the structure is still used, maintained or owned by the Federal government. After the design and construction files are no longer useful to the agency, certain records have continuing historical value, particularly for the architectural historian, historic preservationist, and social historian. Since it is uneconomic and unnecessary to retain a complete set of drawings for each construction project sponsored by the Federal government, it is necessary to make a selection of records for permanent preservation. This selection must take into consideration not only the types of records but also the nature of the individual construction projects. The general intent of any selection should be based on documenting the structures and projects that are architecturally, historically, and technologically significant. Criteria for the selection of the significant records are contained in the notes following the schedule. The selection of individual buildings or projects should be made by agency personnel with appropriate historical training, subject to the approval of NARS. However, any records created prior to January 1, 1921, must be offered to NARS before applying the disposition instructions in this schedule. This schedule relates primarily to records on the design and construction of buildings. However, the principles established here can also be applied to other static structures and miscellaneous engineering projects. GENERAL RECORDS SCHEDULE 22 Those records which pertain to the design process generally consist of: Preliminary Drawings . Drawings and sketches that are conceptual in nature. These drawings, which are usually freehand studies that show the basic design of the structure, include the arrangement of rooms, general appearance of elevations and floor plans as well as other details under consideration. Presentation Drawings . Pictorial and unmeasured drawings prepared by the architect to present his ideas. They include color render¬ ings or perspective views of the outside elevations, as well as general floor plans. Models . Three dimensional, reduced-scale models which are prepared for illustrative or presentation purposes. The records which pertain to the construction process usually consist of: Intermediate and Prefinal Drawings. Intermediate stages of drawings which are created and reviewed in preparation of the final working drawings. Final Working Drawings . Architectural and engineering drawings which consist of the master tracings and acceptable reproducibles. These drawings provide information about various aspects of the construction of the building including architectural (floor plans, interior and exterior elevations, and sections), ornamental, structural, mechanical, electrical, and air-conditioning details, as well as site and land¬ scaping plans. This is probably the most important class of records since they provide not only detailed instructions for the erection of the building but also present a comprehensive and detailed picture of its design. "As Built 11 Drawings . Annotated copies of final working drawings or additional drawings which show changes in the initial construction from the original design. Shop Drawings . Detailed drawings prepared by construction contractors or subcontractors of particular parts of the building which they are to supply or by manufacturers of products to be assembled in their shops. These drawings which include plans for architectural embellishments and interior design such as tile and marble work, special cabinet work, elevators, or heating systems, not only provide instructions for assemblying the products on the job site, but may also be necessary for future repair and preservation projects. Repair and Alteration Drawings . Original drawings which depict repairs and alterations to the building as it was originally constructed. 2 GENERAL RECORDS SCHEDULE 22 Contract Drawings . Copies of the original working drawings on which contract negotiations are based. Standard Drawings . Final drawings for standard details and other documents created in their preparation. Project Specifications . Guides for individual construction projects which outline material requirements and explain the materials and manufactured items depicted on related drawings. Space Assignment Plan . Drawings which depict outline floor plans used for space assignments. ITEM NO. 1 . 2 . DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION Federal Structures Design Files . Preliminary and presentation drawings and models of Federal structures and engineering projects. a. Files selected for architectural, historical, and technological significance (see notes at end of schedule for selection criteria). (1) Drawings. Permanent. Offer to NARS within 5 years after completion of project. (2) Models. Submit SF 115, Request for Records Disposition Authority. b. Files not included under Item la of this schedule. Dispose of when no longer needed for administrative purposes. Federal Structures Construction Files . Intermediate and prefinal, final working, "as built", shop, repair and alteration, contract, and standard drawings; project specifications, with documents relating to their preparation; and space assignment plans of Federal structures and engineering projects. 3 GENERAL RECORDS SCHEDULE 22 ITEM NO. 3. 4 . DESCRIPTION OF RECORDS a. Files selected for architectural, historical, and technological significance (see notes at end of schedule for selection criteria). (1) Final Working Drawings. (2) "As Built" Drawings. (3) Shop Drawings. (4) Repair and Alteration Drawings. (5) Standard Drawings. (6) Specifications and related records. b. Files not included under Item 2a Dispose of when no longer of this schedule. needed for administrative purposes. Other Architectural and Engineering Drawings . Original manuscript and duplicate drawings submitted to Federal agencies by private firms or other Federal agencies to meet Federal minimum standards. AUTHORIZED DISPOSITION Permanent. Offer to NARS when file is inactive (see introduction to this schedule). a. Drawings interfiled with related case files. Dispose of in accordance with the approved dis¬ position instructions applicable to the records of which they are a part. b. Drawings filed separately from related case files. Submit SF 115, Request for Records Disposition Authority. Measured Drawings. Drawings produced by such agencies as the Historic American Buildings Survey and Historic American Engineering Record. Permanent. Offer to NARS when administrative use ceases unless another depository is specified by law. 4 GENERAL RECORDS SCHEDULE 22 ITEM NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 5. Finding Aids . Indexes and other finding aids to design and construction files. Dispose of in accordance with instructions covering the related design and construction records. 6 . Microform Files. Microform copies of design and construction files. Submit SF 115, Request for Records Disposition Authority. EXPLANATORY NOTES Items la and 2a . Criteria for the selection of architecturally, historically, and techno¬ logically significant files: Architectural Significance Original Design . Primary consideration should be given to those buildings which are essentially original in design. Although it may incorporate standard features, a uniquely designed building is one that was designed to meet specific needs or functions, and whose basic design is not repeated in another building. Standard or Repetitive Design . In cases where buildings use a standard or repetitive design, it is not necessary to retain permanently a file for each building. However, a file should be retained for the building most representative of the basic design, for each variant of standard designs, and for each repetitive but slightly different design. Architectural Style . Buildings which embody the distinguishing characteristics of either a period or a regional architectural style. Innovations . Buildings which include architectural or engineering innovations. 5 GENERAL RECORDS SCHEDULE 22 Historical Significance Administrative Functions and Activities . Buildings which are associated with the major functions of the Federal government (executive departments, agencies, and bureaus) and the major activities of the various Federal agencies (post office, customs houses court houses, forts, hospitals). National Events or Personalities . Buildings which are associated with events or persons who represent the broad history of the country. Noted Architect . Drawings by noted architects or engineers of both proposed and constructed buildings. Controversial . Buildings which were involved in controversy in regards to their design, construction, or utilization. Technological Significance This category includes files for such objects as ships, airplanes, spacecraft, weapons, machinery, eguipment, and furniture. Since this is a broad category which covers many different types of technical structures, specific details have not been attempted. However, permanent records relating to these objects can be chosen more selectively than records relating to buildings. In general, files which show how the project was designed, constructed, and altered, should be retained for a selection of the most unigue structures and for a representative sample of repetitive and similar structures. A selection which is to be based on engineering and historical significance should consider projects which include engineering innovations or prototypes, projects which have achieved national acclaim or controversy, or projects which represent the major product of an agency (such as NASA's spacecraft or TVA's hydroelectric projects). Representative samples should be based on the type of structure or project, cost, and regional variations. Structures and criteria used by the Historic American Engineering Record and similar comprehensive lists can serve as a guideline and minimum standard. It should be noted that comprehensive plans for projects such as river and harbor improvements, landscape plans, plans of systems related to a complex of buildings like military or educational institutions, or master plans for urban or regional parks, are closely related to maps. These comprehensive plans can be evaluated in terms of cartographic records (see General Records Schedule 17), while individual structures within the system can be evaluated on the basis of this schedule. 6 GENERAL RECORDS SCHEDULE 22 Item 2a(3) "As Built" drawings that are the same as or very similar to the final working drawing should not be retained permanently and are included for disposal under Item 2b. Item 6 The National Archives and Records Service generally does not recognize microfilm as an adequate substitute for design and construction drawings unless film, processing, and storage meet the standards as prescribed in FPMR 101-11.5, and unless the microimage meets certain minimum standards developed by NARS for legibility and mathematical accuracy. Only under these conditions and with the approval of NARS may original drawings or specifications be disposed of. However, microfilm should not be substituted for color renderings or drawings, or for final working drawings of buildings with major historical or architectural significance, such as those listed (or potentially listed) by the National Register of Historic Places and similar organizations. In this case microfilm should be used for reference purposes, but it should not be considered the permanent record copy. Microfilm is advised for those files which are extensive and repetitive, and for those buildings of lesser importance, particularly those with similar or repetitive designs or those which are not likely to be renowned historically or architecturally. 7 I GENERAL RECORDS SCHEDULES SUBJECT INDEX Schedule Item Accident, Motor Vehicle Reports 10 4 Accountable Officers' Returns 6 1 Accountability Classified documents 18 6 Forms, transportation requests 9 1,3 Transportation and travel 9 5 Accounting Accountable officers 1 returns 6 1 Availability of Funds 6 4 Collection of Funds 6 4 Correspondence 6 5 Custody of Funds 6 4 Deposit of Funds 6 4 Exception, Notices of, GAO 6 2 Machine-Readable Files 20 III 1, 2 Settlement, certificates of 6 3 Support documents 6 7, 8, 9 Surety, personnnel bond 6 6 Accounts Accounts, general 7 2 Allotment 7 3 Posting and control media 7 4 Acquisition of Real Property, Title Papers 3 2 Administrative Management Committees 16 12 Directives 16 1 Forms 16 4 Management improvement 16 5 Organization 16 13 Projects 16 7, 10 Publications 16 2 Records Management 16 3, 6, 11 Reports control 16 8 Schedule Item 1 Aerial Film 17 16 ADP (see Machine-Readable) Allotment Ledgers 7 3 Appeals and Grievances 1 26 Applications Employment 1 15 Grants 3 14 19 12 Housing 15 7 Apportionment and Reapportionment (see Budget) Apportionment Warrants 6 4 Arrests 18 15 Audiovisual Contracts 21 5b Film strips 21 1 Finding aids 21 5a Motion pictures 21 2 Production files 21 5b Photographs 21 1 Posters 21 1 Scripts 21 5b SI ides 21 1 Sound recordings 21 3 Still pictures 21 1 Video recordings (discs or tapes) 21 4 Awards (personnel) 1 12 Bid Files 3 6 Bills of Lading 9 1 Binding 13 3 Bonds Personnel Surety 6 6 Savings 2 5, 6, 8 2 ( Schedule Item Budget Apportionment Correspondence files Estimates Reports Work papers Building Space and Maintenance Allocation Correspondence Credentials Directory service Plans Release Reports Request for services Utilization Carrier (see Transportation) Cartographic Aerial film Charts Aeronautical Hydrographic Color Pulls Color Separation Sheets Composites Data tapes Field Survey Notes Finding Aids Globes and models Map histories Maps Computer Correction Hand drawn Microfilm Published Raised relief 5 5 5 5 5 6 1, 3 2 5 4 11 11 11 11 11 11 11 11 11 2 1, 2b 4a 3 2a 2 2b 5 2 17 16 17 1-6 17 1-6 17 2 17 2 17 2 17 17 17 9 17 18 17 7 17 4 17 6 17 2 17 1 17 5 17 3 17 7 3 Schedule Item Case Files < Certificates Emergency Planning 18 28 Grants 3 15 19 3 Informational Services Personnel 14 6 Incentive Awards 1 12a, 13 Security 18 23 Research and Development 19 3 Classified document destruction 18 4 Eligibles (employment) 1 5 Export 9 1 Performance rating 1 23 Settlement 6 3 Tax exemption 3 13 2 18 Title 3 2 Transit 9 1 Charts (see Cartographic) Civilian Personnel (see Personnel) Classified Documents Access control Accounting Container security Classified Information and Control Access Container security Correspondence Destruction certificates Inventory Receipt Clearance (see Personnel Security Clearance) 18 18 18 18 18 18 18 18 18 < 7 6 8 7 8 2 4 5 3 Commendation Letters 12c Committees 16 12 19 2 4 Schedule Item Communications Administrative 12 2 Correspondence 12 2 Equipment 12 2b, 2b (2) Long distance telephone reports 12 4 Messages 12 3b, 3c Operation 12 3a Reports Administrative 12 2b Statistical 12 2c Telephone 12 4 Vouchers 12 2d Complaints, Discrimination 1 26 Construction (see Design and Construction) Contracts 3 4 19 13 21 5b Contractors' Payrolls 3 12 Correspondence Accounting 6 5 Budget 5 1, 3 Building Space and Maintenance 11 1, 2b Classified Information and Control 18 2 Communications 12 2 Cost Accounting 8 2 Emergency Planning 18 27 Expenditure Accounting 7 1 Facilities, Security 18 9 Grants 3 17 Housing 15 1 Informational Services 14 4, 7 Motor Vehicle 10 1 Pay 2 2 Personnel 1 3, 17a, 17c, 18a Personnel Security 18 23 Plant Accounting 8 2 Printing 13 3 Procurement 3 3 Property Disposal 4 4 Research and Development 19 19 Security and Protective Service 18 9 5 Schedule Item Correspondence (cont) Space and Maintenance 11 1 Stores Accounting 8 2 Surplus Property 4 4 Transportation 9 5 Travel 9 5 Cost Accounting Correspondence 8 2 Ledgers 8 8 Reports 8 7 Credentials 11 4 18 13, 20a Deductions, Payroll 2 15 Design and Construction Drawings 4 7 22 1, 2, 3, 4 Finding aids 22 5 Microform files 22 6 Models 22 1(2) Specifications 22 2 Directives 16 1 Discrimination Complaints 1 26 Dispensary 1 20 Drawings (Design and Construction) A1teration 22 2 As-Built 22 2 Contract 22 2 Design 19 8 22 KD Manuscript 22 3 Measured 22 4 Microform 22 6 Preliminary 4 7 19 10 22 1 Presentation 22 1 6 Schedule Item Drawings (cont) Repair 22 Shop 22 Space Assignment 22 Standard 22 Driver Tests 10 Electronic Data Processing (see Machine-Readable) Emergency Planning Case files 18 Correspondence 18 Operations Tests 18 Plans 18 Reports 18 Equal Employment Opportunity Complaints 1 Erasable Media (see Machine-Readable) Estimates, Budget 5 Expenditure Accounting Allotment 7 Correspondence 7 Ledgers 7 Machine-Readable files 20 Posting and control 7 Facilities, Security Correspondence 18 Inspections and surveys 18 Investigation 18 Finding Aids Audiovisual 21 Cartographic 17 Design and Construction 22 2 2 2 2 7 28 27 31 29 30 26 2 3 1 2 III 1, 2 4 9 TO, 11 12 5 8, 18 5 7 Schedule Item Forms 16 4 Freedom of Information Act Files Administrative 14 20 Appeals 14 17 Control 14 18 Reports 14 16 Requests 14 19 Freight 9 1, 2 Gasoline Sales Tickets 6 7 General Accounting Office Machine-readable files 20 III 1, 2 Notices of exception 6 2 Site audit 6 t Support documentation 6 7, 8, 9 Government Losses in Shipment Act 9 2 Grants Applications 3 14 19 12 Case Files 3 15 19 3 Control files 3 16 Correspondence 3 17 Machine-readable files 20 III 3, 4 Products 3 18 Guard Service control 18 20 Logs and registers 18 21 Health Programs, Civilian Dispensary logs 1 20 Health record card 1 19 Individual cases 1 21 Machine-readable Files 20 III 5, 6,7,8 Reports 1 22 (I 8 Schedule Item Household Effects, Shipment of 9 1 Housing Applications 15 7 Assignment 15 5 Correspondence 15 1 Furnishings inventory 15 6 Lease 15 4 Machine-Readable Files 20 III 5, 6 Maintenance and repair 15 3 Reports 15 3 Tenant 15 5a Vacancy 15 5 Incentive Award Case Files 1 12 Informational Services Acknowledgement files 14 4 Bibliographies 14 8 Correspondence 14 4, 7 Freedom of Information 14 16-20 Information retrieval system 20 II 17-19 Press conference transcripts 14 1 Press releases 14 1 Press service files 14 5 Privacy Act files 14 25-29 Project case files 14 6 Publications 14 1 Requests 14 3 Speeches 14 1 Subject files 14 2 Inspections, Safety and Security Government - owned facilities 18 10 Privately - owned facilities 18 11 Identification credentials 11 4 Inventory 3 10 Investigation 18 12 Job Descriptions 1 7 Key Control, Security 18 17 9 Schedule Item Ledgers Allotment 7 3 Cost report 8 8 General accounts 8 2 Plant accounting 8 1, 6 Subsidiary 7 4 Levy and Garnishment 2 23 Losses in Shipment Act, Government Machine-Readable Records 9 2 Backup media 20 II 22, 23 Guides Information retrieval 20 I 8 Instructions 20 I 11,12,13 Master reference 20 II 17,18,19 Intermediate data Master files 20 II 12,13 Grant 20 III 3,4 Housekeeping 20 III 1,2 Loan 20 III 3,4 Re-formatted 20 III 12,13 Scientific 20 III 7,8,9,10 Statistical 20 III 5,6,14 Summary 20 III 11 Print file 20 II 21 Publications 20 II 20 Reports 20 I 10 Source data 8 8 20 II, 3, 4, 5, 6 7,8,9,10,11 Specifications 19 5 File 20 I 6,7 Output 20 I 9 System 20 I 1,2,3 Temporary media 20 II 1 Test data 20 II 2 Test documentation 20 I 4,5 Valid transaction 20 II 14,15,16 Work File 20 II 1 10 Schedule Item Mail Administration 12 6g Control 12 ' 6 Loss report 12 5c Messenger service 12 1 Penalty mail reports 12 7 Receipt and routing 12 6a Receipts 12 5a Registered mail 12 5a Stamps 12 6c, 6e Statistical Reports 12 6b, 6d Mailing Lists 13 5 Maintenance 11 1, 5 Management (see Administrative Management) Maps (see Cartographic) Messenger Service 12 1,6f ,6h Models Cartographic 17 7 Design and construction 22 1(2) Motion Pictures (see also Audiovisual) 21 2 Production files 21 5b Motor Vehicle Accidents 10 5 Correspondence 10 1 Cost and expense data 10 3 Maintenance 10 2b Operation 10 2a Releases 10 6 Reports 10 4 Nonerasable Media (see Machine-Readable) Notification of Personnel Action 1 14 2 11 Numerical Forms Files 16 4 11 Schedule Item Official Personnel Folders Organization Pay Allotments Applications for leave Bonds Authorization Purchase Receipt and transmittal Registration Budget authorization Correspondence Individual authorization Individual earnings and service Insurance deductions Leave Personnel Action, Notification of Time and attendance reports Payrol1 Change slips Fiscal schedules Levy and garnishment Machine-readable files Payrolls (memorandum copy) Registers Reports Administrative Retirement Taxes Taxes Wage survey Personnel (Civilian) Adverse action Affirmative Action Plans Applications for employment Appointments Awards Certificates of eligibles Conflict of interest Correspondence Counseling Discrimination cases 1 1 16 13 2 2 4 8 2 2 2 2 2 2 2 2 2 2 2 2 4 7 6 5 12 2 4 1 22 9,10 11 3 2 2 2 20 2 2 15 16 23 III 1,2 13 14 2 2 2 2 2 17 21 18c 18 24 1 1 1 1 1 1 1 1 1 1 31b 26h 15 4 12 5 25 3,17a,17c,18a 27 26 12 Schedule Personnel (Civilian) (cont) Dispensary logs Driver tests Employee interviews Employee record card Equal Employment Opportunity Financial interest statements Grievance Health record cases Health records, individual Health unit control files Incentive Awards Cases Reports Informational files Interviews Labor - Management relations Motor Vehicle operation Notification of Personnel Action Official Personnel Folder Performance ratings Personnel security case files Position classification Appeals Standards Survey Position descriptions Position identification strips Reports Statistical Time and attendance Retention registers Retirement Security clearance Security violation Service record card Standards of conduct Time and attendance Training Personnel Security Case files Correspondence Status Violations Photographs (see also Audiovisual) Item 1 10 1 1 1 1 1 1 1 1 20 7 8 2b 26 25 31a 21 19,21 20 1 1 1 1 1 10 1 1 1 18 12a 13 18 8 29 7 14 1,10 9,23 23 1 1 1 1 1 7d 7a 7c 7b 11 1 16,22,26f 1 1 18 18 1 1 2 1 17b 21 24 25 2a 28 3 30 18 18 18 18 23 22 24 25,26 21 1 13 Schedule Item Plant Accounting Account cards 8 1,6 Correspondence 8 2 Ledgers 8 1,6 Police Records 18 15 Postal Irregularities 12 8 Postal Records 12 5 Posters (see also Audiovisual) 21 1 Press Release and Press Conference Transcripts 14 1 Press Service 14 5 Printing Correspondence 13 2 Issuances 13 1 Mailing lists 13 5 Management 13 7 Planning 13 3b Projects 13 3a Pub!ications 13 1 Reports to Congress 13 6 Registers 13 4 Privacy Act Amendment cases 14 26 Control records 14 28 Disclosure 14 27 Reports 14 29 Requests 14 25 Procurement Bids 3 6 Bond and surety 3 4 Contracts 3 1,4 Contractors' payrolls 3 12 Correspondence 3 3 Inventories 3 10 14 Schedule Item Procurement (cont) Machine-readable Files 20 III 1,2 Purchase orders 3 1,4 Real property acquisition 3 2 Requisitions 3 1,4,7,8,9 Supply management 3 5 Survey, reports of 3 10 Tax exemption certificates 3 13 Telephone statements 3 11 Property Disposal Correspondence 4 4 Excess personal property reports 4 5 Excess real property reports 4 3 Real property disposal 4 7 Surplus property 4 1,2,6 Publications (see also individual subject) 13 1 14 1 16 2 20 II 20 Purchase Orders 3 1,4 Recordings Sound 21 3 Video 21 4 Records Disposition Files 16 3 Records Management 16 11 Reports Accident, Motor Vehicle 10 4 Budget 5 5 Building Space and Maintenance 11 2b Communications 12 2,4 Control 16 8 Cost Accounting 8 7 Emergency Planning 18 30 Freedom of Information 14 16 Health Programs, Civilian 1 22 Housing 15 3 Long Distance Telephone 12 4 15 Schedule Item Reports (cont) Machine- r eadable 20 I 10 Pay 2 3 Payrol1 2 17,18c,21 Privacy Act 14 29 Property Disposal 4 3,5 Space and Maintenance 11 2 Statistical Communications 12 2c Mail 12 6b,6d Personnel 1 16,22,26f Surplus Property 4 3,5 U. S. Savings Bonds 2 7 Requisitions Bindings 13 3 Duplication 13 3 Housing maintenance and repair 15 2b Nonpersonal 3 8 Printing 3 3 Procurement 3 1,4 Public Printer 3 7 Stamp 12 6c Supplies and equipment 3 9 Research and Development Committee and board files 19 2 Correspondence 19 1,9 Drawings and specifications 19 8 Indices 19 4 Investigative files 19 12 Laboratory notebooks 19 6 Machine-readable files 20 III Procurement 19 13 Program files 19 1 Progress reports 19 11 Project case files 19 3 Project control files 19 10 Reference files 19 14 Source data files 19 5 Technical reports 19 7 Retirement 2 21 Safety and Security Inspections 18 10 16 Schedule Item Science (see Research and Development) Security and Protective Services Correspondence 18 9 Guard assignment and strength 18 14 Guard force facility checks 18 19 Guard log and registers 18 21 Guard service control 18 20 Investigations 18 12 Key accountability 18 17 Lost or stolen property 18 16 Police files 18 15 Property pass files 18 13 Suryey and inspection 18 10,11 Visitor control files 18 18 Shortage and Demurrage Reports 9 1 Site Audit Records (see also GRS, 2, 9) 6 1 Space and Maintenance Allocation and utilization 11 2 Correspondence 11 1 Credentials 11 4 Directory Service listings 11 3 Maintenance 11 5 Reports 11 2 Specifications 4 7 19 8,10 22 2 Statement of Employment and Financial Interest 1 25 Statistical Master File 20 III 5,6 Still Pictures 21 1 Stores Accounting Correspondence 8 2 Invoices 8 3 Returns and reports 8 4 Work papers 8 5 17 Schedule Supply Inventory Management Requirements Requisitions Surety Bond files Surplus Property Correspondence Personal property Real property Reports Tax Exemption Certificates Tax Files Technology (see Research and Development) Telecommunications Telephone Statements and Toll Slips Title Papers Time and Attendance Reports Transit Certificates Transportation Accountability Bills of Lading Correspondence Freight records Lost or damaged shipment Travel Accountability Authorization Correspondence Orders Reimbursement Requests Vouchers Item 3 20 3 3 10 III 1,2 5 7,8,9 6 6 4 4 4 4 4 1,6 2,7 3,5 3 13 2 18 12 2,3 3 6 3 2 9 11 8 2 3 1 9 9 9 9 9 5 1 5 1 2 9 9 9 9 9 9 9 18 in co ir> co co Schedule U. S. Postal Service Records U. S. Savings Bonds Payroll savings Receipt and transmittal Registration Reports Video Recordings (see also Audiovisual) Discs Tapes Vouchers Communications General Passenger transportation Wage Survey Work Papers Administrative management Budget Publications Stores Accounting Item 12 5 2 4 2 6 2 5 2 7 21 4 21 4 12 6 9 2b 1 3 24 16 5 16 8 4b,10 4 10 5 19 ' t