**CHAPTER 9**

# DEPARTMENTAL RECORDS MANAGEMENT PROGRAM

**TABLE OF CONTENTS**

**SUBCHAPTER 9.1 - RECORDS MANAGEMENT**

# 9.101 Purpose 9.102 Scope 9.103 Reference 9.104 Definitions 9.105 Recordkeeping Requirements 9.106 Records Maintenance 9.107 Records Disposition 9.108 Electronic Records 9.109 Responsibilities

# SUBCHAPTER 9.2 - OFFICIAL RECORDS AND PERSONAL PAPERS  9.201 Purpose 9.202               Scope 9.203               Definitions 9.204    Guidelines for Personal Papers 9.205 Removal of Records by Departmental Officials and Employees Who Resign, Retire, or Leave the Department Involuntarily 9.206 Approval for Removal of Documents 9.207 Additional Information 

# SUBCHAPTER 9.3 - Standards for Creating Records Inventories

## 9.301               Purpose 9.302               Scope

## 9.303 Definition of Records Inventory 9.304               Policy 9.305    Responsibilities 9.306 Records Inventory Standards 9.307 Dating Records

# SUBCHAPTER 9.4 - RECORDS RETENTION AND DISPOSITION

# 9.401 Purpose 9.402               Scope 9.403               Definitions 9.404    Background 9.405 Responsibilities 9.406 General Guidelines and Procedures 9.407 Off-Site Storage of Inactive Records 9.408 Disposal of DOT Records 9.409 Destruction of Sensitive Records 9.410 Additional Information 

# SUBCHAPTER 9.1 - RECORDS MANAGEMENT 

# 9.101 Purpose 

# To establish policies and procedures governing the management of records created by the U.S. Department of Transportation (DOT) in the course of conducting business; including records created by employees through telecommuting. 

**9.102 Scope**

The policies and procedures outlined in this chapter apply to all DOT
Organizations.

**9.103 References**

-   [36 CFR Part 1220, Federal
    Records](http://www.archives.gov/about/regulations/part-1220.html)

-   [Basic Laws and Authorities of the National Archives and Records
    Administration](http://www.archives.gov/about/laws/)

-   [Federal Web Content Manager's
    Toolkit](http://www.firstgov.gov/webcontent/index.shtml)

-   [NARA Guidance on Managing Web
    Records](http://www.archives.gov/records-mgmt/policy/managing-web-records-index.html)

-   [NARA Transfer Instructions for Permanent Electronic
    Records](http://www.archives.gov/records-mgmt/initiatives/web-content-records.html)

-   [Records Management by Federal Agencies/Federal Records Act (U.S.C.
    Chapter 31)](http://www.archives.gov/about/laws/fed-agencies.html)

-   [Records Management Guidance for Agencies Implementing Electronic
    Signature Technologies (GPEA), October 18,
    2000](http://www.archives.gov/records-mgmt/faqs/pdf/electronic-signiture-technology.pdf)

-   [U.S. Government Electronic Library of GSA, Standard and Optional
    Forms](http://www.gsa.gov/forms/)

**9.104 Definitions**

-   **Adequacy of Documentation** is a standard of sufficiently and
    properly recording DOT actions and/or decisions which ensure
    adequate and proper documentation of information in official files
    and guarantees access to DOT personnel needing the information in
    the performance of official duties.

-   **Adequate and Proper Documentation** is a record that is complete
    and accurate to the extent required to provide evidence of DOT and
    its functions, policies, decisions, procedures, and essential
    transactions, and furnishes information necessary to protect the
    legal and financial rights of DOT or other entities directly
    affected by DOT's activities.

-   **Departmental Chief Information Officer (CIO)** is the senior
    management official responsible for the DOT Records Management
    Program.

-   **Departmental organizations** are offices within the Office of the
    Secretary, operating administrations, offices, divisions, and
    comparable elements of DOT.

-   **Non-Record Material** are those having no documentary or
    evidential value. These include stocks of publications; library and
    museum material made or acquired and preserved solely for reference
    or exhibition purposes; duplicate copies of record material
    maintained solely for convenience of reference; processed or
    published materials; catalogues and trade journals; and papers of
    transitory value, such as non-circulating drafts, worksheets,
    informal notes, and routing slips.

-   **Recordkeeping Requirements** are statements in statutes,
    regulations, or DOT's Departmental Information Resource Management
    Manual providing general and specific guidance on the particular
    records to be created and maintained by DOT.

-   **Records** are all books, papers, maps, photographs, machine
    readable materials, or other documentary materials, regardless of
    physical form or characteristics, created or received by DOT as
    evidence of DOT's organization, functions, policies, decisions,
    procedures, operations, or other activities, required to support one
    or more of the adequacy of documentation goals outlined in section
    9.104 II, below. For a more complete description on the distinction
    between record and non-record documentation, see DIRMM subchapter
    9.2, Official Records and Personal Papers.

-   **Records Creation** is the first stage of the records life cycle in
    which records are made or received.

-   **Records Disposition** is any of the following activities:

    -   Disposal of records no longer necessary for the conduct of
        business by destruction or donation;

    -   Transfer of records to storage facilities or record centers;

    -   Transfer of records determined to have enough historical or
        other value to warrant continued preservation to NARA; or

    -   Transfer of records to another Federal agency.

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-   **Records Disposition Schedule** is a schedule providing narrative
    descriptions of agency records at the program level, setting forth
    specific retention periods which determine when records are to be
    destroyed or transferred to NARA for historical research, and
    indicating when inactive records should be transferred from office
    space to less expensive off-site storage.

-   **Records Maintenance and Use** is any activity involving the
    storage, retrieval or handling of DOT records, including the
    selection and utilization of equipment and supplies associated with
    recordkeeping and copying.

-   **Records Management** is the planning, controlling, directing,
    organizing, training, promoting, and other managerial activities
    involved with respect to the creation, use, maintenance, and
    disposition of DOT records in order to achieve adequate and proper
    documentation of the policies and transactions of DOT. In accordance
    with NARA's regulations, DOT's records management policy assures
    effective and economical management of operations.

-   **Records Management Officer (RMO)** is the designated
    representative responsible for overseeing their organization's
    records program. The RMOs serve as the point of contact for the
    Departmental CIO.

-   **Records Liaison (RL)** is the designated representative
    (custodian) responsible for their respective office's records. This
    individual serves as the point of contact for their organization's
    RMO.

-   **System/Program Manager** is the individual responsible for the
    planning and budgeting of records management training, as well as
    ensuring inventory and records schedules are current and properly
    implemented. This individual also cooperates in the identification
    of vital records.

-   **Telecommuting** is working at an alternate work site away from the
    traditional office location, typically a satellite work center or
    the employee's residence. Any records created while telecommuting is
    the property of the Federal government and should be handled in
    accordance with this Records Management Program.

-   **Vital Records** are those that are critical for the Department to
    operate (i.e. to provide services), and are essential for
    maintaining continuity of operations.

-   **Web Site Related Records** include (1) Web content records, which
    represent information presented on a Web site, and (2) Web site
    administrative records, which provide evidence of the management and
    operations of the Web site.

**9.105 Recordkeeping Requirements**

I.  **Life Cycle Management**

Following established Departmental policies and procedures, records
should be managed throughout the three phases of their life cycle:
creation, maintenance, and disposition. To the maximum extent possible,
these policies and procedures shall be consistent with the guidelines
published by NARA and other external agencies implementing policies and
procedures.

II. **Objectives**

DOT shall create and maintain complete, adequate, and proper
documentation of its policies and transactions to promote the following
goals:

A.  Protect the legal and financial rights of the Department and
    individuals directly affected by its activities.

B.  Ensure continuity and consistency in administration.

C.  Assist DOT officials and their successors in making informed
    decisions.

D.  Provide the information required by Congress and others for
    overseeing the Department\'s activities.

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III. **General Recordkeeping Requirements**

At a minimum, recordkeeping requirements shall include the following:

A.  Documentation in memoranda for the file, or by some similar method,
    of important business decisions reached orally during telephone
    conversations or in meetings. If an organization utilizes an
    electronic system that incorporates staff annotations, oral
    discussions may be summarized in this manner.

B.  Documentation on formal meetings of committees and task forces which
    include the names and organizations of participants, agenda, a copy
    of materials distributed, discussion summary, decisions reached, and
    subsequent actions.

C.  Working files such as preliminary drafts, rough notes, and other
    similar materials which shall be maintained for the purpose of
    adequate and proper documentation if:

    1.  They were circulated or made available to employees, other than
        the creator, for official purposes such as approval, comment,
        action, recommendation, follow-up, or to communicate with agency
        staff about agency business.

    2.  They contain unique information, such as substantive annotations
        or comments included therein, that add to a proper understanding
        of the agency's formulation and execution of basic policies,
        decisions, actions, or responsibilities.

D.  For DOT contracts, provisions requiring the contractor to provide
    any program or administrative documentation needed by DOT for
    effective management and for documenting the work performed by the
    contractor.

E.  Personal papers of staff members. Personal papers shall be retained
    separately from official records and clearly identified. For a
    description on the distinction between personal papers and official
    records, see DIRMM subchapter 9.2.

F.  E-mails that are determined to be records.

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IV. **Confidentiality Requirements**

Exempt records as defined in [49 C.F.R. Part
10.61](http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?TITLE=49&PART=10&SECTION=61&YEAR=2000&TYPE=TEXT),
shall be maintained as confidential by all present and former employees
and may not be released outside DOT without written authorization as
provided in Part 10.61.

**9.106 Records Maintenance**

As instructed in NARA's regulations concerning the maintenance of
records, DOT shall maintain records in a manner that promotes rapid
access and enables proper disposition. DOT Order 0000.1B outlines the
subject classification system used by the Department as a guide to
organize and file documentation. To obtain a copy of DOT Order 0000.1B,
please visit [DOT's On-line Publication Web site](http://isddc.dot.gov/)
(at <http://isddc.dot.gov/>).

**9.107 Records Disposition**

The records of DOT shall be disposed of in accordance with records
disposition schedules. Any changes to the schedules shall be coordinated
with NARA. DOT records designated for permanent retention in the
National Archives by NARA shall be transferred in accordance with
instructions found in the schedules. If a delay in the destruction of
any DOT records is required, the Departmental organization's RMO shall
freeze the relevant records from disposition. Such actions shall be
carefully coordinated with the affected program offices and with DOT
General Counsel if the records are subject to litigation. For more
details on records disposition policies and procedures, see DIRMM
subchapter 9.4, Records Retention and Disposition.

**9.108 Electronic Records**

I.  **Preservation of Records Created on Electronic Media**

A substantial portion of DOT's institutional history is captured on
electronic media. Consequently, the policies and procedures prescribed
for records captured on paper by this chapter apply equally to records
captured on electronic media.

A.  DOT has not yet developed a Departmental electronic recordkeeping
    system that incorporates records management functions for the
    creation, maintenance, and disposition of Departmental records
    created at workstations such as memoranda, correspondence, and
    reports. Such systems must integrate records received by DOT with
    records created by DOT; ensure that once the record becomes final,
    no subsequent alteration may be made; include a mechanism for
    authenticating electronic signatures in those instances when
    signatures are required; and support the disposal of records when
    they are eligible for destruction. Therefore, paper copies of
    correspondence, memoranda, narrative reports, and similar
    documentation must be filed within division and office subject,
    correspondence, or case files. This approach is consistent with
    guidance issued by NARA.

B.  Conversely, information captured on large electronic data systems,
    such as DOT's Docket Management System, must be managed within the
    electronic environment. Capturing such records on paper would
    greatly restrict the Department's ability to manipulate and research
    data.

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II. **Electronic Mail Messages**

Often Departmental business is conducted through its electronic mail
system. When electronic messages are needed to support one or more of
the adequacy of documentation goals outlined in section 9.103 (a),
above, a paper copy of the message should be filed in division or office
subject or correspondence files. Electronic mail messages may also be
preserved in electronic format, provided that complete transmission
data, e.g. names of sender/requester, date/time group, etc. are
captured. Please refer to DIRMM Chapter 3 for further information on
Electronic Mail procedures.

**9.109 Responsibilities**

I.  **The Departmental CIO** is responsible for

    A.  Designating a Departmental Records Management Officer (RMO) who
        shall work with all Departmental organizations and other
        external agencies in implementing policies and procedures.

    B.  Developing appropriate internal records management procedures
        that are consistent with Departmental and Federal policies.  

    C.  Providing policy, direction, and guidance concerning records
        management.

    D.  Coordinating DOT's Records Management Program through a network
        of RMOs within each Departmental organization.

    E.  Promoting records management training for DOT RMOs.

    F.  Maintaining a liaison with NARA for appropriate guidance of
        records management.

II. **Heads of Departmental Organizations** are responsible for

    A.  Designating an RMO who shall work with the Departmental RMO in
        implementing policies and procedures. Changes to the designee
        shall be forwarded to the Departmental CIO immediately.

    B.  Promoting the creation of adequate documentation throughout
        their organization by defining the recordkeeping requirements
        for their programs in procedural manuals or other documentation.

    C.  Establishing records management programs within their
        organizations that are consistent with DOT policy and executed
        by division and office staff.

    D.  Ensuring electronic records are regularly backed up and stored
        at a site other than where the regular server is located.

    E.  Ensuring backups of original electronic records are periodically
        verified and validated to maintain integrity.

    F.  Developing plans for redundant or alternate server operations to
        ensure access to vital records during emergency situations.

III. **Records Management Officers** are responsible for

     A.  Developing and implementing records management procedures that
         are consistent with national records management policies within
         their Departmental organization.

     B.  Overseeing implementation of agency specific records management
         contracts.

     C.  Ensuring accurate inventories of inactive records are
         maintained prior to their transfer to off-site storage.

     D.  Coordinating the transfer, retrieval, and refile of inactive
         records to and from off-site storage.

     E.  Applying the dispositions identified in DIRMM subchapter 9.4,
         to records stored on and off-site.

     F.  Establishing procedures to ensure that only records eligible
         for destruction are destroyed, and implement procedures
         governing the disposal of agency records as provided in DIRMM
         subchapter 9.4, Records Retention and Disposition.

     G.  Coordinating and securing necessary approvals with NARA
         whenever records must be disposed and/or maintained beyond
         their authorized disposition date.

     H.  Providing technical assistance to program staff within their
         Departmental organization.

     I.  Promoting and conducting records management training within
         their Departmental organization.

     J.  Conducting periodic records management reviews within the
         organization to ensure compliance with applicable regulations
         and DOT standards and procedures, including protection of vital
         records.

     K.  Preparing annual reimbursable agreements for record storage
         with NARA.

     L.  Establishing contracts for records stored at a commercial
         storage facility.

     M.  Managing Web records in conjunction with NARA's Guidance on
         Managing Web Records, including ensuring the required Web
         management and operations records are created and maintained.

IV. **Records Liaisons** are responsible for

    A.  Coordinating the records management activities of a major
        component, whether at headquarters or in the regions.

    B.  Working with the agency OA RMO to ensure that each office within
        the component has a designated records custodian.

    C.  Ensuring that each office creates and maintains records
        documenting its program and administrative activities.

    D.  Working with the RMO to make sure that all the records of each
        office are listed in the office file plan and are described
        accurately in the agency\'s records schedule.

    E.  Working under the guidance of the OA RMO to ensure the transfer
        of eligible records to Federal records centers, the prompt
        disposal of temporary records when their retention periods
        expire, and the timely transfer of permanent records to the
        National Archives.

    F.  Ensuring the proper training of records custodians and employees
        and the proper briefing of program managers.

    G.  Promoting the records management program in assigned offices.

    H.  Conducting periodic evaluations of records management activities
        in assigned offices, in cooperation with the RMO and records
        custodians.

V.  **DOT Records System Program Managers** are responsible for

    A.  Coordinating with their RMOs during the life cycle of each
        system.

    B.  Performing regular reviews of the system's performance and
        compliance with legal and regulatory requirements.

    C.  Working with the RMOs to propose adequate retention periods for
        the information to be submitted to NARA for review and approval.

    D.  Identifying the official office of record for the records being
        created.

    E.  Specifying if the data being created is record or nonrecord
        material.

    F.  Ensuring that forms and reports produced on a system are subject
        to DOT's forms management and reports control programs.

    G.  Determining in what format the official record will be
        maintained for its life cycle, i.e. paper, microfilm, tape,
        disk, or diskette.

    H.  Working with their RMO and NARA to submit required documentation
        seeking authorization for destruction of certain media (e.g.
        paper).

    I.  Applying appropriate disposition instructions for the files
        being created.

    J.  Establishing appropriate levels of security to provide the
        necessary protection for records. Refer to DIRMM Chapter 10, "IT
        Security."

    K.  Implementing systems to back up electronic records to safeguard
        against the loss of records due to equipment malfunction,
        deterioration of the record medium, or human error.

    L.  Requiring that all modifications, upgrades, and changes to
        existing systems comply with this policy.

VI. **Contract Oversight Managers** are responsible for coordinating
    with the appropriate RMOs and RLs on the transfer of records from
    contractors to DOT.

VII. **DOT Employees** are responsible for

     A.  Documenting their business activities by implementing the
         recordkeeping requirements established by their divisions or
         offices.

     B.  Organizing their files in a manner that facilitates retrieval
         of information.

     C.  Ensuring that their files are complete and accessible only to
         authorized individuals by implementing their division or office
         guidelines for securing confidential information.

     D.  Coordinating with the appropriate RMOs and RLs regarding all
         aspects of records management (including applicable records
         retention and disposition schedules).

**SUBCHAPTER 9.2 - OFFICIAL RECORDS AND PERSONAL PAPERS**

# 9.201 Purpose 

# To provide policy and guidance for the handling of official records and personal papers by Departmental officials and employees, including records created by employees through telecommuting. 

**9.202 Scope**

The information outlined in this chapter applies to current Departmental
officials and employees, and to officials and employees upon separation
or retirement.

**9.203 Definitions**

-   **Official Records** are those that have documentary or evidential
    value. Such materials created or received in connection with the
    transaction of the Department\'s business are preserved as evidence
    of its organization, functions, policies, decisions, procedures,
    operations, or other activities because of their informational
    value.

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-   **Personal Papers** are documents that are not created, used or
    obtained in the course of Departmental business.

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-   **Records** are all books, papers, maps, photographs, machine
    readable materials, or other documentary materials, regardless of
    physical form or characteristics, created or received by DOT as
    evidence of DOT's organization, functions, policies, decisions,
    procedures, operations, or other activities, required to support one
    or more of the adequacy of documentation goals.

**9.204 Guidelines for Personal Papers**

I.  **Characteristics.** Personal papers of Departmental officials and
    employees are the files they have organized and maintained for their
    personal use as opposed to official use. They will not affect the
    conduct of Departmental business. Examples include:

    A.  Papers accumulated by an official before assuming office.

    B.  Materials pertaining solely to an individual\'s private affairs,
        such as outside business pursuits or private political
        associations.

    C.  Correspondence with friends, family members, professional
        associates, or other administration officials, which does not
        directly concern the work of the office and is not intended to
        be part of the official records of the office.

    D.  Personal appointment calendars, telephone logs, diaries,
        journals, or other personal notes, which are not prepared for
        transacting Departmental business.

II. **Maintenance.** Personal papers that are maintained in a
    Departmental office must be filed separately from official papers in
    order to:

    A.  Avoid inadvertent destruction or removal of official record
        material.

    B.  Facilitate retrieval of official files and thus enhance
        operational efficiency.

    C.  Eliminate the likelihood that personal papers will be confused
        with official records and be made available under the Freedom of
        Information Act (FOIA).

    D.  In cases where both private personal business and official
        business appear in the same document, that portion of the
        document relating to official business should be extracted and
        included in the official files.

III. **Donation to Presidential Libraries.**

Preservation of the papers of the President of the United States and the
personal papers of Presidential associates and contemporaries is
authorized by the Presidential Libraries Act of 1955 (44 U.S.C. 2107).
As a result of this Act, many officials donate their personal papers,
after leaving office, to the Presidential Library of the particular
President under whom they served. In this way, they ensure that a record
of their individual accomplishments is preserved. They also add to the
storage of source material that researchers will use in later years to
describe the historical significance of the administration. Departmental
officials who wish to donate personal papers to the Presidential Library
may obtain specific procedural guidance from the Appraisal Archivist
from NARA.

IV. **Personal Use of Extra Copies of Official Departmental Records**

    A.  Departmental officials and employees may accumulate, for
        convenience of reference, extra copies of papers and other
        materials, which they have drafted, reviewed, or otherwise acted
        upon. Such extra copies of documents are commonly regarded as
        nonrecord material and are usually disposable. The retention of
        any extra copies by Departmental officials and employees must
        not:

        1.  Diminish the official records of the Department.

        2.  Violate confidentiality required by national security,
            privacy, or other interests protected by law.

        3.  Exceed normal administrative economies.

    B.  In certain situations where extra copies of official papers and
        other nonrecord material have been maintained in the same
        collection as official record material of the office, NARA may
        consider it appropriate to preserve this nonrecord material with
        the record material to which it relates and with which it has
        been maintained, if donated to a Presidential Library. Future
        researchers interested in studying the history and operations of
        the Department would probably find the nonrecord material useful
        for analyzing the record material in the files and understanding
        the context in which it was created and accumulated.

    C.  Departmental officials and employees should be aware that,
        although they may accumulate and retain \"extra copies\" of
        papers and other materials which they have drafted, reviewed, or
        otherwise acted upon, the \"extra copy\" material may be
        considered Departmental official records if they are filed and
        maintained in official files.

**9.205 Removal of Records by Departmental Officials and Employees Who
Resign, Retire, or Leave the Department Involuntarily**

I.  **Prohibited Activities.** Officials and employees must **not**
    remove the following:

    A.  Official records from the files. This material is in their
        custody for official purposes only. As is stated in the U.S.
        Criminal Code (18 U.S.C. 2071), it is unlawful to remove or
        conceal, alter, mutilate, obliterate or destroy records or
        remove or attempt to remove records from official custody with
        the intent of performing any of the above actions.

    B.  Material which, if by being removed, would create a gap in the
        files so as to impair the completeness of the essential
        documentation.

    C.  Indexes or other finding aids necessary for the use of an
        official file.

    D.  National Security information. Such information shall remain
        classified, controlled or restricted as long as required to
        protect national security and/or DOT interest.

II. **Permitted Activities.** Officials and employees **may** remove the
    following:

    A.  Personal and private papers as described in section 9.204 I of
        this chapter.

    B.  Personal diaries that are really private records of public
        activities but designated as private property.

    C.  Such work aids as office diaries, logs, memoranda of conferences
        and telephone calls when elsewhere covered by adequate records.

    D.  Extra copies (carbon, xerox, etc.) of records under certain
        circumstances.

        1.  Prior to removal, it should be determined that there are no
            legal or policy reasons for keeping the information
            contained therein confidential, and that the record copy and
            other necessary copies are available.

        2.  If the copy is of a document originating with another
            agency, the wishes of that agency should be determined.

**9.206 Approval for Removal of Documents**

Officials and employees who resign, retire, or leave the Department
involuntarily shall not remove copies of documents from official files
(except for personal and private papers as described in section 9.204 I)
without prior written approval from the General Counsel or his designee.
DOT Form 3300.2 "Clearance Certificate for Property, Records, and
Indebtedness" includes DOT's Document Removal Form on the reverse side.

**9.207 Additional Information**

Any questions pertaining to the removal of personal papers, non-record
copy material, etc., or clarification of guidelines annotated in this
chapter should be addressed to the appropriate FOIA staff or legal
counsel, or records management staff in Washington, D.C. The principal
DOT-wide contact is the office of the Assistant General Counsel for
Environmental, Civil Rights, and General Law.

# SUBCHAPTER 9.3 - Standards for Creating Records Inventories

# 9.301 Purpose 

# To establish standards for inventories of records created by the U.S. Department of Transportation (DOT), including records created by employees through telecommuting.

**9.302 Scope**

The policies and procedures established by this chapter apply to all
inventories of inactive records created by DOT.

**9.303 Definition of Records Inventory:** a survey of agency records
and nonrecord materials that is conducted primarily to develop records
schedules and also to identify various records management problems, such
as improper applications of recordkeeping technology.

**9.304 Policy**

I.  When records reach their inactive stage and are no longer required
    on-site to support DOT business, they will be stored in less
    expensive, off-site locations including DOT warehouses, commercial
    records centers, or Federal Records Centers (FRCs) operated by NARA.

II. When possible, records created by DOT will be stored in FRCs. Prior
    to their off-site storage, they must be invento­ried to a level of
    detail that will support continuing reference needs and promote
    their timely disposition in accordance with established records
    disposition schedules.

III. The distinction between active and inactive records is relative.
     While the basic records management axiom that refer­ence activity
     declines as the records age applies, the point at which a
     collection of records becomes sufficiently inactive to warrant
     storage off-site is best determined by the office creat­ing the
     records in conjunction with Departmental organization records
     management personnel. Generally, records with a refer­ence activity
     between 7% and 12% may be stored off-site. (This rate is measured
     by dividing the number of retrievals made each year by the total
     number of containers stored off-site at the close of the year.)

IV. Each Departmental organization will be responsible for tracking
    their inventory of records stored off-site.

**9.305 Responsibilities**

I.  Records Management Officers (RMOs) and Records Liaisons (RLs) shall
    coordinate the preparation of inventories in accordance with the
    standards listed in section 9.306 below.

II. RMOs and RLs are responsible for ensuring invento­ries are prepared
    correctly and include accurate identification of records series and
    item numbers contained in records disposition schedules. This
    verifica­tion process must be completed prior to the transfer of
    inactive records to off-site storage.

**9.306 Records Inventory Standards**

I.  Inventory data is required for each container including:

    A.  Date of records;

    B.  Record media: paper, magnetic, or microform;

    C.  Name of DOT office of origin that created the records;

    D.  Disposition authority from DOT's records schedules; and

    E.  Levels of Inventory Control (Preparation of Box Lists).

II. All DOT generated records must be listed by individual file folder.
    The RMO may make exceptions to this requirement only when the
    arrangement of the files is so carefully maintained that a first and
    last file folder listing for the container is sufficient. When a
    container includes records from more than one series, for example,
    case files and terminated employee files, the records will also be
    inventoried at the file folder level.

III. On occasion, circumstance may require the preparation of more
     detailed inventories. RMOs must consider the cost of such
     inventories before autho­rizing their preparation by an outside
     party.

     307. **Dating Records**

Records are dated based on when case file folders are closed or when a
series of subject or correspondence file folders is arbitrarily cut off.
For example, a contract case file is destroyed 6 years and 3 months
after the contract is closed, not 6 years and 3 months after the
contract is awarded. Subject or correspondence files are generally cut
off at the end of a calendar year, a procedure that results in the
creation of multiple collections of records all dated in the same year.
Each collection is then destroyed when the appropriate retention period
has expired. These file breaks facilitate both reference activity and
records disposition. All records created by Departmental organizations
must be dated in accordance with the file cutoff instructions found in
the Departments\' records disposition schedules. See DIRMM subchapter
9.4, Records Retention and Disposition.

## SUBCHAPTER 9.4 - RECORDS RETENTION AND DISPOSITION 

# 9.401 Purpose 

# This chapter establishes policies and procedures governing the disposition of records, including records created by employees through telecommuting) of DOT and provides updated guidelines applicable to the maintenance and disposition of records.

**9.402 Scope**

The policies and procedures outlined below apply to all DOT
organizations and cover records created in the course of conducting
business.

**9.403 Definitions**

-   **Case Files** are a folder or other file unit containing material
    relating to a specific action, transaction, event, person, place,
    project, or subject. A case file contains documents, which cover one
    or many subjects that relate to the specific case An example of a
    case file is a contract file, which contains records on a specific
    contract, such as the procurement request, proposal, contract
    document, related correspondence, etc. Other types of case files
    include, but are not limited to, litigation/matter files, official
    personnel folders, surveys, and studies.

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-   **Electronic Files** are those that are stored in a machine readable
    form such as the electronic copies of e-mails, word processing
    documents, spreadsheets, and databases. This term encompasses many
    different physical types, including magnetic tape, optical and
    digital disks, diskettes, and audio and videotapes.

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-   **File Break** is the termination of a file at regular periodic
    intervals to facilitate continuous disposal or transfer of the file
    series. The interval is determined by the type of record. For
    example, Subject Files are generally kept on a calendar year with a
    break at year end. Case Files, however, may span several years, so
    the file break would generally occur at the termination of the case.

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-   **Inactive Files** are closed or superseded files. Inactive files
    may remain on-site immediately following closeout until such time as
    reference activity diminishes and the records are not needed to
    complete periodic reporting requirements.

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-   **Records Appraisal** occurs when NARA reviews the proposed
    dispositions, approves or modifies the retentions, and selects the
    records that will come to the National Archives. Once the scheduling
    and appraisal process is completed, the approved schedule is
    implemented and as part of that implementation, the records in
    question are assigned dispositions that authorize their destruction
    or transfer to the National Archives.

### Records Disposition is the action taken when records are no longer needed to conduct business. These include destruction of temporary records, transfer of permanent records to NARA, and the transfer of records from one Federal agency to another.

-   **Records Disposition Schedules** are one of the tools used by
    Federal agencies to manage the disposition of their records. They
    provide narrative descrip­tions of agency records at the program
    level, include specific retention periods which outline when the
    records are either destroyed or transferred to NARA for historical
    research, and indicate when inactive records should be transferred
    from office space to less expensive off-site storage.

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-   **Records Freeze** is the postponement of the scheduled destruc­tion
    of records because the records are needed to support some unforeseen
    business activity. For example, DOT may become party to litigation
    or the Office of Inspector General may be conducting an
    investigation or audit that would require continued retention of
    relevant records. In such circumstances, DOT will delay destruction
    by implementing a record freeze to be lifted only when the need for
    the records has expired.

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-   **Records Scheduling** is when an agency proposes how long each type
    of record should be retained. Agencies use NARA's Standard Form (SF)
    115 "Request for Records Disposition Authority"

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-   **Sensitive Records** are those that would not be releasable under
    the Freedom of Information Act or whose access is controlled by the
    Privacy Act. In some instances, these records are accessible to only
    selected individuals within DOT. Examples of DOT generated sensitive
    records include personnel records, employee health records, EEO
    complaint files, employee ethics files, attorney-client privileged
    documents, and investigative case files. The [Privacy
    Act](http://www.usdoj.gov/foia/privstat.htm) and
    [FOIA](http://www.dot.gov/foia/index.html) are listed here
    (respectively, <http://www.usdoj.gov/foia/privstat.htm> and
    <http://www.dot.gov/foia/index.html>) for further clarification.
    Within this manual, see DIRMM Chapter 8, "Privacy Protection."

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-   **Subject Files** are records arranged and filed based on their
    general informational content. Also known as Correspondence Files or
    General Correspondence Files. These consist mainly of general
    correspondence but may also include forms, reports, and other
    material that relate to programs and functions and not to a specific
    case or a particular person or organization. The purpose of
    establishing subject files is to bring together all papers on the
    same topic to facilitate information retrieval.

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-   **Technical Reference Materials** are copies of reports, studies,
    compilations of data, drawings, periodicals, clippings, etc., that
    are needed for reference and information but are not made a part of
    the official files. Such material shall be kept only as long as
    needed and may be periodically replaced with more current material.

**9.404 Background**

A.  The records of an organization are its primary method for
    documenting how it fulfills its function. Because the needs and
    focus of any organization may change over time, a typical Records
    Disposition Schedule must be updated to provide guidance on all
    organizational records, including those most recently created.

B.  The disposal of all Departmental records governed by DOT (and all
    Federal agencies) is approved by NARA. NARA's General Record
    Schedules (GRS) outlines the retention and disposition periods in
    which DOT follows.

**9.405 Responsibilities**

I.  **The Departmental CIO** is responsible for

    A.  Overseeing the DOT Records Retention and Disposition Schedules.

    B.  Providing policy direction, guidance and technical assistance to
        Departmental organizations for administering records retention
        and disposition programs that are consistent with NARA
        guidelines.

    C.  Maintaining a liaison with NARA for the appropriate retention
        and disposal of DOT records.

II. **Heads of Departmental Organizations** are responsible for
    designating records liaisons (RLs) that will be respon­sible for
    coordinating with the appropriate Records Management Officer (RMO)
    to insure the timely disposal of DOT records. See DIRMM subchapter
    9.1, section 9.106.

III. **Records Management Officers** (RMOs) are responsible for

     A.  Coordinating with the appropriate records management official
         to implement a record freeze when records, otherwise eligible
         for destruction, must be retained to support continuing
         investigations, litigation, or audits.

     B.  Managing the disposition process for their organization and
         work directly with NARA for purposes of scheduling hard copy
         and electronic records for disposal.

     C.  Coordinating the off-site storage of all hard copy records.

     D.  Coordinating the storage of electronic records (diskettes,
         magnetic tape, optical disks, etc.) and microfilm
         (microfilm/microfiche), and advising offices as to the
         standards for microfilming records.

     E.  Overseeing the maintenance and disposal of records in
         compliance with this chapter and NARA's GRS.

**9.406 General Guidelines and Procedures**

I.  At least once a year, offices shall purge files in accordance with
    the appropriate organizations' Records Retention and Disposition
    Schedule and NARA's GRS. To do so, offices shall:

    A.  Break files;

    B.  Prepare eligible inactive files for transfer to off-site
        storage;

    C.  Dispose of files authorized for destruction; and

    D.  Purge publication reference materials of obsolete items.

II. **Breaking of Files**

    A.  **Case Files**

> When case files become closed or inactive, clearly mark on the folder
> tab for ready identification the date the case became inactive.
> Arrange closed or inactive files in your usual office manner and
> separate from active files.

B.  **Electronic Files**

> Identify any electronic records presently used or maintained and
> retain until disposition period has been approved by the Archivist of
> the United States. Since scheduling of the Department's electronic
> records is still in process, an office should contact the RMO if there
> is a need to dispose of electronic records before the disposition has
> been approved.

C.  **Subject Files**

> At the beginning of each calendar year, each office shall establish a
> new set of file folders for the current year. (Material that will not
> be used during the current year should not be brought forward. When
> necessary, place a note in the previous year's file for individual or
> groups of papers moved forward.)

D.  **Technical Reference Materials**

> File breaks for all types of technical reference files have not been
> established. Some reference materials remain valuable until they are
> superseded. Keep reference material only as long as needed. If
> appropriate, replace with more current material when received. Review
> reference files and disposes of obsolete items at periodic intervals
> or at least annually.

III. **Destruction of Records**

Departmental records should be destroyed only in accordance with the
time frames cited in the GRS and/or Departmental organization records
schedules. Records which are privileged or which contain sensitive
information (even if subject to public disclosure on request) shall be
destroyed after expiration of the retention period by shredding,
pulping, or maceration. Other Departmental records with expired
retention periods may simply be trashed, considered for recycling, or
erased and reused, if appropriate, when the records consist of magnetic
tapes or comparable media. Early destruction requires authorization from
the Archivist of the United States, and delayed destruction adversely
affects implementation of the Schedule. Any file/record not designated
in the Schedule for destruction is not authorized for destruction.

IV. **Transferring Records to Off-Site Storage**

The Department will follow NARA's GRS and/or Departmental organization
records schedules when establishing specific time frames for the
transfer of records to off-site storage. The transfer procedure permits
the safe and economical storage of inactive records off-site, provides a
relatively easy method for their retrieval, and simplifies their
eventual disposition. The RMOs and/or RLs will process all necessary
paperwork, arrange for the physical transfer of boxes, and coordinate or
resolve any unusual incidents that might arise during transfer of
records to off-site storage.

V.  **Transferring Records to NARA**

Records designated as permanent are records which have been appraised as
being of historical value and, therefore, eligible for the eventual
transfer to NARA. The cited time frames for transferring permanent
records to NARA will be followed. At the time of transfer, NARA assumes
legal custody. All transfer of records to NARA will be coordinated
through the RMOs.

**9.407 Off-Site Storage of Inactive Records.**

DOT uses a variety of off-site storage facilities to store their
inactive records.

I.  **DOT-generated records** may be stored in commercial records
    centers or in Federal Records Centers (FRCs) operated by NARA.
    Before records are transferred to a commercial records storage
    facility, the OA must ensure that the facility meets all of the
    requirements for an agency records storage facility set by NARA.

II. All records designated for permanent retention may be transferred to
    a FRC and eventually will be offered to NARA for historical
    research. Prior to their transfer to FRCs, permanent records may be
    stored in commercial records centers, depending upon reference
    demand.

III. Records stored in FRCs remain in the legal custody of the creating
     Agency.

     A.  When permanent records are formally transferred to NARA using
         SF 258, they become the property of the National Archives of
         the United States and legal custody transfers to NARA.

     B.  RMOs will manage the formal process of transfer­ring their
         organization's permanent records.

**9.408 Disposal of DOT Records**

I.  The disposal process is documented by submitting a records
    disposition schedule (SF 115) to NARA for approval. No destruction
    will occur until all required approvals have been obtained. The
    process occurs in the following way:

    A.  If the records are maintained on-site in a DOT office, the RL
        will notify their RMO that a records series or system has been
        created or implemented.

    B.  The RMO will request the office to inventory the records, and
        begin working with the office to write a records disposition
        schedule.

    C.  The RMO or RL will be responsible for contacting NARA for
        guidance and implementation of the proposed schedule.

II. NARA, as well as commercial off-site storage facilities,
    automatically notifies agencies when the disposal date of records is
    nearing.

    A.  Each agency RMO will prepare inventories of records eligi­ble for
        destruction by making copies of existing paper SF-135s. See
        DIRMM subchapter 9.3, Standards for Creating Records
        Inventories, for more information on records inventories.

    B.  The RMO will forward the SF-135s to, and obtain approvals from,
        the office that created the records (or a successor office if
        the original office no longer exists) and either the Office of
        General Counsel or Chief Counsel for Departmental organization
        office records.

    C.  For more information on the SF-115 process, see
        <http://www.archives.gov/records-mgmt/publications/disposition-of-federal-records/chapter-5.html>
        and for information on the SF-135 process see
        <http://www.archives.gov/frc/records-transfer.html>.

III. Records identified by the FRC for destruction should be approved by
     the RMO within a 90-day period.

     A.  Any approving official seeking a delay in the disposal of
         records will provide a justification letter to NARA for that
         particular record accession.

     B.  If a freeze on disposition is requested, the agency's RMO will
         create a sus­pense file, using the date recommended for
         subsequent follow-up action.

IV. Following receipt of a SF 115 with the re­quired approvals, the RMO
    will either arrange for the destruction of the records or establish
    a disposal date. If the records pending destruction are stored in a
    commercial records center, the contractor will provide a destruction
    certificate. For records stored at an FRC, NARA will arrange for
    records destruction.

**9.409 Destruction of Sensitive Records**

All sensitive records, regardless of where they are physically stored,
must be destroyed by shredding, pulping, maceration, or in a similar
manner that prevents access to the information captured in the
disposable files.

410. **Additional Information**

Departmental organizations' RMOs must direct any changes or deletions of
their records schedules to the appropriate NARA Appraisal Archivist.