NUREG-0910

Revision 4

NRC Comprehensive

Records Disposition

Schedule

U.S. Nuclear Regulatory Commission

Office of Information Services

Washington, DC 20555-0001
NUREG-0910

Revision 4

NRC Comprehensive

Records Disposition

Schedule

Manuscript Completed: March 2005

Date Published: March 2005

Information and Records Services Division

Office of Information Services

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

0:
aAVAILABILITY OF REFERENCE MATERIALS

IN NRC PUBLICATIONS Y

NRC Reference Material

As of November 1999, you may electronically access

NUREG-series publications and other NRC records at

NRC's Public Electronic Reading Room at

httD://www.nrc.aov/readina-rm.html.

Publicly released records include, to name a few,

NUREG-series publications; Federal Register notices;

applicant, licensee, and vendor documents and

correspondence; NRC correspondence and internal

memoranda; bulletins and information notices;

inspection and investigative reports; licensee event

reports; and Commission papers and their attachments.

NRC publications in the NUREG series, NRC

regulations, and Title 10, Energy, in the Code of

Federal Regulations may also be purchased from one

of these two sources.

1. The Superintendent of Documents

U.S. Government Printing Office

Mail Stop SSOP

Washington, DC 20402-0001

Internet: bookstore.gpo.gov

Telephone: 202-512-1800

Fax: 202-512-2250

2. The National Technical Information Service

Springfield, VA 22161-0002

www.nds.gov

1-800-553-6847 or, locally, 703-605-6000

A single copy of each NRC draft report for comment is

available free, to the extent of supply, upon written

request as follows:

Address: Office of the Chief Information Officer,

Reproduction and Distribution

Services Section

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

E-mail: DlSTRIBUTION~nrc.gov

Facsimile: 301-415-2289

Some publications in the NUREG series that are

posted at NRC's Web site address

http:/lwww.nrc.aov/reading-rm/doc-collections/nuregs

are updated periodically and may differ from the last

printed version. Although references to material found

on a Web site bear the date the material was accessed,

the material available on the date cited may

subsequently be removed from the site.

Non-NRC Reference Material

Documents available from public and special technical

libraries include all open literature items, such as

books, journal articles, and transactions, Federal

Register notices, Federal and State legislation, and

congressional reports. Such documents as theses,

dissertations, foreign reports and translations, and

non-NRC conference proceedings may be purchased

from their sponsoring organization.

Copies of industry codes and standards used in a

substantive manner in the NRC regulatory process are

maintained atThe NRC Technical Ubrary

Two White Flint North

11545 Rockville Pike

Rockville, MD 20852-2738

These standards are available in the library for

reference use by the public. Codes and standards are

usually copyrighted and may be purchased from the

originating organization or, if they are American

National Standards, fromAmerican National Standards Institute

11 West 42nd Street

New York. NY 10036-8002

www.ansi.org

212-642-4900

Legally binding regulatory requirements are stated

only In laws; NRC regulations; licenses, including

technical specifications; or orders, not In

NUREG-series publications. The views expressed

in contractor-prepared publications in this series are

not necessarily those of the NRC.

The NUREG series comprises (1) technical and

administrative reports and books prepared by the

staff (NUREG-XXXX) or agency contractors

(NUREGICR-X)CXX), (2) proceedings of

conferences (NUREGICP-XXXX), (3) reports resulting from international agreements

(NUREGIIA-XXXX), (4) brochures

(NUREG/BR-XXXX), and (5) compilations of legal

decisions and orders of the Commission and Atomic

and Safety Licensing Boards and of Directors'

decisions under Section 2.206 of NRC's regulations

(NUREG-0750).
INTRODUCTION TO THE NRC COMPREHENSIVE RECORDS

DISPOSITION SCHEDULE

The NRC Comprehensive Records Disposition Schedule (CRDS) provides the authorized disposition for

all NRC records. Each record schedule has been approved by the appropriate NRC officials, and the

General Accounting Office, when appropriate, and is authorized by the Archivist of the United States.

Application of the disposition schedules is mandatory and is in accord with the National Archives and

Records Administration's regulations provided in 36 CFR Part 1228, "Disposition of Federal Records"

and statutory requirements set forth in Title 44 U.S. Code, "Public Printing and Documents." NRC's

implementing policies are contained in NRC Management Directive 3.53, "NRC Records Management

Program."

The CRDS is comprised of NRC Schedules (NRCS) that apply to NRC's unique administrative and

programmatic records, and General Records Schedules (GRS) 1-26 that apply to administrative records

that are common to most agencies. Records that do not have an applicable disposition schedule must be

retained until disposition authority is obtained. Procedures for establishing new schedules or revising the

retention period for existing schedules are provided in NRC Management Directive 3.53.

Official records are retained in a network of official file stations managed by File Custodians. Beginning

April 1, 2000, offices began maintaining many official record collections in the Agencywide Documents

Access and Management System (ADAMS). Each official file station has a "Files Maintenance and

Disposition Plan" (NRC Form 306) that correlates the record schedule with each collection retained at

the file location and each collection maintained in ADAMS.

Records Liaison Officers throughout NRC are responsible for maintaining a collection of these plans for

all official record collections within their respective offices (including ADAMS), reviewing the plans

annually to ensure they are complete and current, and making them available to staff.

Procedures for the retirement or disposal of NRC records are issued from the Records and FOIAIPrivacy

Services Branch (RFPSB), Office of Information Services. Comments or questions regarding the

Comprehensive Records Disposition Schedule or its application may be directed to RFPSB.
TABLE OF CONTENTS

NRC Schedule 1 RECORDS COMMON TO MOST OFFICES Page No.

Part 1 Administrative Files Common to Most Offices 1.1.1

Item 1. Employee Travel Files ........................... ; ................................ 1.1.1

Item 2. Office General Personnel Files ......................................................... 1.1.1

Item 3. Office Organization Reference Files .1.1.1

Item 4. Policy and Precedent Reference Files ............................... ; . ... 1.1.2

Item 5. Reading or Chronological Files ...................................................... 1.1.2

Item 6. Reference Publication Files .1.1.3

Item 7. Reimbursable Agreements and Contract Files .1.1.3

Item 8. Staff Working File .1.1.3

Item 9. Technical Reference Files .1.1.4

Item 10. Vu-graphs .. 1.1.4

Item 11. Weekly Status Reports .. 1.1.4

Part 2 Programmatic Files Common to Most Offices 1.2.1

Item 1. General Program Correspondence Files (Subject Files) .1.2.1

NRC Schedule 2 RECORDS OF NRC OFFICES

Part 1 Records of the Office of Administration 2.1.1

Item 1. Administrative Budget Control (ABC) .2.1.1

Item 2. Central Personnel Clearance Index (CPCI) ................................... 2.1.1

Item 3. Committee and Conference Records .2.1.2

Item 4. Classified Document Control System (CDCS) .2.1.6

Item 5. Contracts System ................. .................................... 2.1.6

Item 6. Directives Case Files .2.1.6

Item 7. General Correspondence Files (Subject Files) .2.1.9

Item 8. Grants Files....................2.................................................................................. .. 2.1.14

Item 9. Holding Action System (HAS) .......................... 2.1.17

Item 10. Organizational Records ..................... 2.1.17

Item 11. Property and Supply System (PASS) .2.1.18

Item 12. Regulatory History Files for Proposed and Final Rulemaking .......................... 2.1.19

Item 13. Rulemaking Documents Published in the Federal Register .2.1.21

Item 14. Security Policy Files...................... ; ; ................................. 2.1.22

Item 15. Security Violations (Felonies) Files .2.1.24

Item 16. Still Photography Files .................... ; 2.1.26

Item 17. Video Recording Files .2.1.27

Part 2 Records of the Advisory Committee on Nuclear Waste 2.2.1

March 2005 i NUREG-0910, Rev. 4
Item 1. ACNW Meeting Files .............................................................. 2.2.1

Item 2. ACNW Members' General Files .............................................................. 2.2.3

Item 3. ACNW Members' Personnel Files .............................................................. 2.2.4

Item 4. ACNW Project Case Files .............................................................. 2.2.5

Item 5. Committee and Conference Records .............................................................. 2.2.7

Item 6. Consultants' General Files .............................................................. 2.2.11

Item 7. Consultants' Personnel Files .............................................................. 2.2.13

Item 8. Program Correspondence Files ..................................... ......................... 2.2.14

Item 9. Transcripts of ACNW Meetings .............................................................. 2.2.15

Item 10. Waste Management Licensing Files .............................................................. 2.2.17

Part 3 Records of the Advisory Committee on Reactor Safeguards 2.3.1

Item 1. ACRS Meeting Files .............................................................. 2.3.1

Item 2. ACRS Members' General Files .............................................................. 2.3.3

Item 3. ACRS Members' Personnel Files .............................................................. 2.3.4

Item 4. Annual Reports of the ACRS to the U.S. Congress and/or U.S. NRC ............... 2.3.5

Item 5. Classified Defense Information File .............................................................. 2.3.6

Item 6. Committee and Conference Records .............................................................. 2.3.6

Item 7. Committee Files on Regulation Guidelines ........................................................ 2.3.10

Item 8. Consultants' General Files .............................................................. 2.3.12

Item 9. Consultants' Personnel Files .............................................................. 2.3.13

Item 10. General Program Correspondence Files ........................................................... 2.3.14

Item 11. Keyword In Context/Out of Context Index (KWIC/KWOC) . ............... 2.3.16

Item 12. Nuclear Power Plant Docket Files .............................................................. 2.3.17

Item 13. Nuclear Reactor Project Files .............................................................. 2.3.18

Item 14. Transcripts of ACRS Meetings .............................................................. 2.3.20

Part 4 Records of the Atomic Safety and Licensing Board Panel 2.4.1

Item 1. Advisory Screening Committee Consultant Personnel Files .............................. 2.4.1

Item 2. Committee and Conference Records .............................................................. 2.4.2

Item 3. General Program Correspondence Files (Subject Files) ..................................... 2.4.6

Item 4. Memoranda to Panel Board Members .............................................................. 2.4.11

Item 5. Minutes of Advisory Screening Committees ...................................................... 2.4.14

Item 6. Panel Board's Monthly Status Report to Commissioners ................................... 2.4.15

Item 7. Power Reactor License Docket Files of the ASLBP ........................................... 2.4.16

Item 8. Regulatory History Files for Proposed and Final Rulemaking ........................... 2.4.17

Item 9. Transcripts of ASLBP Hearings .............................................................. 2.4.19

Part 5 Records of the Office of the Chief Financial Officer 2.5.1

Item 1. Accounting System (CAB) ............................................................. 2.5.1

Item 2. Budget Files ............................................................. 2.5.1

Item 3. Committee and Conference Records ............................................................. 2.5.6

Item 4. Fee Determination Background Files ............................................................. 2.5.10

March 2005 ii NUREG-0910, Rev. 4
Item 5. General Program Correspondence Files (Subject Files) ..................................... 2.5.11

Item 6. Integrated Financial Management Information System (IFMIS) ........................ 2.5.15

Item 7. License Fee Branch Reporting System (FEES) .................................................. 2.5.16

Item 8. Payroll System (PAY) .............................................................. 2.5.16

Item 9. Regulatory History Files for Proposed and Final Rulemaking ........................... 2.5.16

Part 6 Records of the Office of Information Services 2.6.1

Item 1. ADAMS Legacy Libraries ....................... 2.6.1

Item 2. Annual Reports to the Attorney General on FOIA ........................ 2.6.2

Item 3. Automated Information Documentation System (AIDS) . .................. 2.6.3

Item 4. Bibliographic Retrieval System (BRS) ............................... 2.6.3

Item 5. Committee and Conference Records ............................................................ 2.6.3

Item 6. Duplicate Reference Files of the Public Document Room (PDR) . ........... 2.6.7

Item 7. Forms File ........................................... ................... 2.6.8

Item 8. General Program Correspondence Files (Subject Files) . ................... 2.6.11

Item 9. Graphic Arts Files ............................................................. 2.6.15

Item 10. Information Requirements Control Automated System (IRCAS) . ............ 2.6.18

Item 11. Manpower System (MPS) ....................... 2.6.18

Item 12. Nuclear Documents System (NUDOCS) Records ........................................... 2.6.18

Item 13. Project Management System (PMS) ................................. ........................... 2.6.20

Item 14. Publications....................................;........ ......................................................... 2.6.20

Item 15. Regulatory History Files for Proposed and Final Rulemaking ......................... 2.6.23

Item 16. Regulatory Information Tracking Systems - CIO (IRM-RITS) . ............. 2.6.26

Item 17. Statistical Information System For Operating Reactors (SISOR) .. ............ 2.6.26

Item 18. Technical Assignment Control System (TACS) ............................................... 2.6.26

Item 19. Telephone Directory System (TEL)................................................................... 2.6.27

Item 20. Timesharing Accounts Management System (TAMS) . ..................... 2.6.27

Part 7 Records of the Office of the Commission 2.7.1

Item 1. Commissioners' Chronological Files ............................................................ 2.7.1

Item 2. Office Files of the Chairman and Commissioners ..... 2.7.2

Item 3. Schedule of Daily Activities............................................................................S... 2.7.3

Part 8 Records of the Office of Commission Appellate Adjudication 2.8.1

Item 1. Appellate Adjudication Documents Files ........................................................... 2.8.1

Item 2. Draft Memorandum and Order Files .................................. 2.8.3

Item 3. OCAA Program Management and Operational Files .......................................... 2.8.4

Part 9 Records of the Office of Congressional Affairs 2.9.1

Item 1. Committee and Conference Records ........................................... 2.9.1

Item 2. Congressional Hearing Testimony and Transcript Files .................................... 2.9.5

Item 3. Congressional Correspondence Files ........................................... 2.9.6

Item 4. Congressional Correspondence System ........................................................... 2.9.7

March 2005 Hii NUREG-0910, Rev. 4
- K 'It

Item 5. General Program Correspondence Files (Subject Files) .................................... 2.9.8

Item 6. Legislative Files ............................................................. 2.9.12

Item 7. Senate and House Members Profile Files .......................................................... 2.9.13

Part 10 Records of the Office of Enforcement 2.10.1

Item 1. Committee and Conference Records ............................................................. 2.10.1

Item 2. Enforcement Action Case Files ............................................................. 2.10.5

Item 3. General Program Correspondence Files (Subject Files) .................................... 2.10.9

Item 4. Regulatory History Files for Proposed and Final Rulemaking .......................... 2.10.13

Part 11 Records of the Office of the Executive Director for Operations 2.11.1

Item 1. Committee and Conference Records ............................................................. 2.11.1

Item 2. EDO Action Item Files ............................................................. 2.11.5

Item 3. General Program Correspondence Files (Subject Files) .................................... 2.11.7

Item 4. Work Item Tracking System (WITS-U) ............................................................. 2.11.12

Part 12 Records of the Office of the General Counsel 2.12.1

Item 1. Commission Memorandum File .............................................................. 2.12.1

Item 2. Committee and Conference Records .............................................................. 2.12.3

Item 3. Conflict of Interest (Ethics Official) Files ......................................................... 2.12.7

Item 4. General Program Correspondence Files (Subject Files) .................................... 2.12.7

Item 5. Legislative Files .............................................................. 2.12.12

Item 6. Licensing Docket Formal Hearing Files ............................................................ 2.12.14

Item 7. Litigation Case Files .............................................................. 2.12.15

Item 8. Patent and Technical Data Files .............................................................. 2.12.17

Item 9. Personal Opinion Files .............................................................. 2.12.28

Item 10. Regulatory History Files for Proposed and Final Rulemaking . ............... 2.12.28

Part 13 Records of the Office of Human Resources 2.13.1

Item 1. Audio Cassettes for Technical Training ............................................................. 2.13.1

Item 2. Automated Personnel System (APS) ............................................................. 2.13.1

Item 3. Awards Files ............................................................. 2.13.2

Item 4. Committee and Conference Records ............................................................. 2.13.4

Item 5. Differing Professional View and Opinion Files ................................................. 2.13.8

Item 6. General Correspondence Files (Subject Files) ................................................... 2.13.11

Item 7. Training Aids ............................................................. 2.13.15

Part 14 Records of the Office of the Inspector General 2.14.1

Item 1. Audit Case Files ............................................................. 2.14.1

Item 2. Committee and Conference Records ............................................................. 2.14.2

Item 3. General Program Correspondence Files (Subject Files) .................................... 2.14.6

Item 4. Investigation Case Files ............................................................. 2 .14.10

Item 5. Investigation Records Made Publicly Available ................................................ 2.14.12

March 2005 iv NUREG-0910, Rev. 4
Item 6. Regulatory History Files for Proposed and Final Rulemaking ........................... 2.14.15

Part 15 Records of the Office of International Programs 2.15.1

Item 1. Committee and Conference Records ....................... 2.15.1

Item 2. Country Files, Exportflmport and International Safeguards Records . .......... 2.15.5

Item 3. Country Files, International Arrangements .......................................................... 2.15.6

I~~~~~~~~~tem4'xotInotLcneDce Files .............................................................. 2.1..8. Item 4. Export/Import License Docket Fie.2.15.8

Item 5. Files of Department of State Cables and Atomic International Forum Wires

(AlF) .............................................................. 2.15.9

Item 6. Foreign Visitor Files .............................................................. 2.15.10

Item 7. Formal Arrangement and Agreement Files ................................ 2.15.12

Item 8. General Program Correspondence Files (Subject Files) . ..................... 2.15.14

Item 9. International Organization Files .. ........................ 2.15.18

Item 10. International Programs Export/Import License Tracking System (IPELTS) 2.15.20

Item 11. Regulatory History Files for Proposed and Final Rulemaking ... 2.15.20

Item 12. Representation Fund Files . . .2.15.22

Part 16 Records of the Office of Investigations 2.16.1

Item 1. Allegation and Inquiry Files ........................ 2.16.1

Item 2. Confidential Source Files ...................... 2.16.1

Item 3. General Program Correspondence Files (Subject Files) . ..................... 2.16.2

Item 4. Investigation Case Files ..................... 2.16.7

Item 5. Investigation Procedures Manual and Investigative Guidance . .2.16.9

Item 6. Legal Interpretations ................................................... 2.16.10

Part 17 Records of the Office of Nuclear Material Safety and Safeguards 2.17.1

Item 1. Allegation Case Files .................... ; ................................. 2.17.1

Item 2. Certificate of Compliance Files ...................................................... 2.17.1

Item 3. Committee and Conference Records ............................................................-. 2.17.2

Item 4. Docket Files for the Disposal of High-Level Radioactive Wastes in Geologic

Repositories........................... ........................................................................ 2.17.6

Item 5. Docket Files for the Land Disposal of Radioactive Wastes . .2.17.8

Item 6. Fuel Facilities, Transportation, Byproduct, Source, and Special Nuclear

material Docket Files .. 2.17.10

Item 7. General Program Correspondence Files (Subject Files) . .2.17.20

Item 8. High-Level, Low-Level, and Uraniumn Recovery Docket Files . .2.17.25

Item 9. Independent Spent Fuel Storage Installation Docket Files (ISFSI) . .2.17.26

Item 10. International Safeguards Program Office (ISPO) . ....................................... ;... 2.17.30

Item 11. Licensee Mismanagement Files . . ........................... 2.17.30

Item 12. NMSS Case Work System (CASE) .............................. ;.;. 2.17.31

Item 13. NMSS Contract File Management System (FILNET) . ...................... 2.17.31

Item 14. Nuclear Material Management and Safeguards System (NMMSS) . .2.17.32

Item 15. Part 71 Safety Evaluation Reports ; ... ........................... 2.17.32

Item 16. Part 71 Quality Assurance Files ; ... ........................... 2.17.33

Item 17. Personnel Exposure Files ....................... ; .; 2.17.34

March 2005 v NUREG-0910, Rev. 4
It~

Item 18. Process Operator License Files .............................................................. 2 .17.36

Item 19. Radiation Protection Program Records ............................................................. 2.17.38

Item 20. Regulatory History Files for Proposed and Final Rulemaking ......................... 2.17.39

Item 21. Regulatory Information Tracking System - NMSS (NMSS-R1TS) .................. 2.17.42

Item 22. Sealed Source and Device Review Files ........................................................... 2.17.42

Item 23. Source and Special (SS) Material Accountability System Files ....................... 2.17.45

Item 24. Transport Approval Package Information System (TAPIS .............. ; ................ 2.17.45

Item 25. Uranium Mill Tailings Remedial Action Program (UMTRAP) Project

Licensing Case Files .............................................................. 2.17.46

Part 18 Records of the Office of Nuclear Reactor Regulation 2.18.1

Item 1. Allegation Case Files .............................................................. 2.18.1

Item 2. Antitrust Case Files .............................................................. 2.18.2

Item 3. Committee and Conference Records .............................................................. 2.18.3

Item 4. E-2 System (IRMS) .............................................................. 2.18.7

Item 5. General Program Correspondence Files (Subject Files) .................................... 2.18.7

Item 6. Headquarters and Regional Operator Licensing Files ........................................ 2.18.12

Item 7. Licensing Project Files .............................................................. 2.18.15

Item 8. Morning Reports .............................................................. 2.18.16

Item 9. Non-licensing Project Files .............................................................. 2.18.17

Item 10. NRC Inspection Manual .............................................................. 2.18.18

Item 11. Nuclear Power Plant Docket Files .............................................................. 2.18.19

Item 12. Regulatory Effectiveness Reviews (RER) ........................................................ 2.18.28

Item 13. Regulatory History Files for Proposed and Final Rulemaking ......................... 2.18.29

Item 14. Regulatory Information Tracking System - NRR (NRR-RITS) ....................... 2.18.31

Item 15. Safeguard Status Reports .............................................................. 2.18.32

Item 16. Seismic Qualification (SEISMIC) .............................................................. 2.18.32

Item 17. Statistical and Enforcement Text System (766) ................................................ 2.18.32

Item 18. Steam Generators............................................................................................... 2.18.33

Item 19. Vendor Case Files .............................................................. 2.18.33

Item 20. Vendor Topical Reports .............................................................. 2.18.34

Part 19 Records of the Office of Nuclear Regulatory Research 2.19.1

Item 1. Abnormal Occurrence Case Files ............................................................. 2.19.1

Item 2. Budget System, Research ............................................................. 2.19.3

Item 3. Case Study Report Files ............................................................. 2.19.3

Item 4. Committee and Conference Records ............................................................. 2.19.5

Item 5. Committee to Review Generic Requirements (CRGR) Files ............................ 2.19.9

Item 6. Experiment and Test Files ............................................................. 2.19.11

Item 7. Formal Arrangement and Agreement Files ........................................................ 2.19.14

Item 8. General Program Correspondence Files (Subject Files) .................................... 2.19.16

Item 9. Grants Files ............................................................. 2.19.21

Item 10. Laboratory Notebooks ............................................................. 2.19.25

Item 11. National Standards Committee Participation System (SDCOM) . .............. 2.19.26

Item 12. Nuclear Safety Research Review Committee Records (NSRRC) . .............. 2.19.27

Item 13. Nuclear Safety Standards Program Files ........................................................... 2.19.27

March 2005 vi NUREG-09 10, Rev. 4
Item 14. Personnel Monitoring Report Files ............................................................ 2.19.30

Item 15. Plans and Systems Design Descriptions ........................................ 2.19.35

Item 16. Radiation Exposure Information System (REIRS) .........................................-. 2.19.35

Item 17. Regulatory History Files for Proposed and Final Rulemaking .......................... . 2.19.36

Item 18. Rejected Research Project Proposals ............................................................ 2.19.38

Item 19. Research Program Files ............................................................ 2.19.39

Item 20. Research Project Case Files ............................................................ 2.19.42

Item 21. Scientific and Technical Reports ............................. 2.19.45

Item 22. Still Photographs Associated with Loss of Fluid Transfer (LOFT) .................. 2.19.48

Item 23. Video Recordings For Research Projects .......................................................... 2.19.49

Part 20 Records of the Office of Nuclear Security and Incident Response 2.20.1

Item 1. Committee and Conference Records ............................................................ 2.20.1

Item 2. Emergency Planning Files ............................................................ 2.20.5

Item 3. General Program Correspondence Files (Subject Files) .................................... 2.20.9

Item 4. International Safeguards Program Office (ISPO) Files ........................................ 2.20.14

Item 5. Safeguard Status Reports.;.. ................... 2.20.16

Item 6. Security Policy Files .2.20.17

Item 7. Systems Security Records .2.20.19

Part 21 Records of the Office of Public Affairs 2.21.1

Item 1. General Program Correspondence Files (Subject Files) ..................................... 2.21.1

Item 2. Information Files Containing Press Releases and Official Speeches ................ 2.21.6

Part 22 Records of the Office of the Secretary 2.22.1

Item 1. Commission's Decisional License Docket Files ................................................ 2.22.1

Item 2. Commission Decision-Making Files ............................................................ 2.22.3

Item 3. Commission Tracking System ............................................................ 2.22.5

Item 4. Committee and Conference Records ............................................................ 2.22.5

Item 5. General Program Correspondence Files (Subject Files) (Signed by the

Chairman maintained in paper).......................................................................... 2.22.9

Item 6. General Program Correspondence Files (Subject Files) (Signed below the

Chairman level maintained in ADAMS) ............................................................ 2.22.11

Item 7. Narrative Histories............................................................................................. 2.22.16

Item 8. Oral History Sound Recordings ............................................................ 2.22.18

Item 9. Regulatory History Files for Proposed and Final Rulemaking .......................... 2.22.18

Item 10. Rulemaking Docket Files ............................................................ 2.22.20

Item 11. Stenographic Tapes of Commission Meetings ............................. 2.22.21

Item 12. Transcripts of Commission Meetings ............................................................ 2.22.21

Part 23 Records of the Office of Small Business and Civil Rights 2.23.1

Item 1. General Program Correspondence Files (Subject Files) .................................... 2.23.1

Part 24 Records of the Office of State and Tribal Programs 2.24.1

March 2005 vii NUREG-0910, Rev. 4
-

- -

Item 1. Agreement State Files .............................................................. 2.24.1

Item 2. General Program Correspondence Files (Subject Files) ..................................... 2.24.5

Item 3. Non-Agreement State Files .............................................................. 2.24.9

Item 4. Training Files .............................................................. 2.24.10

Part 25 Records of the Regional Offices 2.25.1

Item 1. Action Item Tracking System (AITS)................................................................ 2.25.1

Item 2. Allegation Case Files .............................................................. 2.25.1

Item 3. Committee and Conference Records .............................................................. 2.25.2

Item 4. Duplicate Nuclear Power Plant Docket Files ...................................... .............. 2.25.6

Item 5. Emergency Planning Files .............................................................. 2.25.6

Item 6. Enforcement Action Case Files .............................................................. 2.25.9

Item 7. Fuel Facilities, Transportation, Byproduct, Source, and Special Nuclear

Material Docket Files .............................................................. 2.25.13

Item 8. General Program Correspondence Files (Subject Files) .................................... 2.25.24

Item 9. Headquarters and Regional Operator Licensing Files ........................................ 2.25.28

Item 10. High-Level, Low-Level, and Uranium Recovery Docket Files ......................... 2.25.32

Item 11. Improper Action Files .............................................................. 2.25.33

Item 12. Information Files .............................................................. 2.25.34

Item 13. Inspection and Enforcement Case Files ............................................................ 2.25.36

Item 14. Licensee Mismanagement Files .............................................................. 2.25.47

Item 15. Module Status Report System .............................................................. 2.25.49

Item 16. Nuclear Material Accountability Worksheets .............................................. 2.25.49

Item 17. Outstanding Item Systems (OIS) .............................................................. 2.25.50

Item 18. Personnel Exposure Files .............................................................. 2.25.50

Item 19. Radiation Protection Program Records ............................................................. 2.25.53

Item 20. Regulatory History Files for Proposed and Final Rulemaking ......................... 2.25.54

March 2005 viii NUREG-910, Rev. 4
NRC Schedule I

R . C.OMO , T . . .O

RECORDS COMMON TO MOST OFFICES

PART 1. ADMINISTRATIVE FILES COMMON TO MOST OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITIION CITATION

1. Emplovee Travel Files

Correspondence, requests, travel

authorizations and orders, itineraries,

travel vouchers, and similar papers

pertaining to employee travel exclusive,

of records maintained in the office of the

Chief Financial Officer.

Cut off at close of fiscal year.

Destroy when 1 year old.

NC1-431-81-5

Item 1.1.6

Record keeping system: Paper.

2. Office General Personnel Files

Documents that relate to the day-to-day

administration of personnel in

individual offices. Included are notices

of holidays and hours worked; notices

and lists of persons to attend training

sessions; papers concerning

participation in employee and

community affairs; campaigns and

drives; and comparable or related papers

arranged as appropriate.

Cut off at close of fiscal year.

Destroy when 2 years old.

NC1-43 1-81-5

Item 1.1.7

Record keeping system: Paper.

3. Office Or2anization Reference Files

Documents relating to the organization

and function of an office. Included are

copies of organization and functional

charts and statements; documents

relating to office staffing; and

documents concerning functional

assignments and changes. Also

included are documents reflecting minor

changes in the office organization or

Destroy when superseded,

obsolete, or no longer needed

for reference.

NC1-431-81-5

Item 1.1.4

March 2005 1.1.1 ' NUREG-0910, Rev. 4
NRC Schedule 1

RECORDS COMMON TO MIOST OFFICES

ITENI

NO.

INARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

functional assignments which are made

by the office chief.

Record keening system: Paper.

4. Policv and Precedent Reference Files

Copies of documents establishing policy

or precedents pertinent to future and

continuing actions. Normally, policy

and precedent files are maintained at

operating levels and consist of extra

copies of operating procedures,

statements of policy or procedure,

examples of typical cases, and other

documents duplicated in official files.

Original or official record copies will

NOT be placed in this file. This file

consists of non-record copies

maintained only for convenience of

reference.

Destroy when organizational

unit is discontinued or when

documents become obsolete or

are no longer needed for

operating or reference purposes.

NCI-431-81-5

Item 1.1.12

Record keeping system: Paper.

5. Reading or Chronological Files

Extra copies of correspondence

prepared and maintained by the

originating office, used solely as a

reading or reference file for the

convenience of personnel.

Cut off at close of fiscal year.

Destroy when 1 year old or

when reference value has been

exhausted, whichever is sooner.

NC1-43 1-81-5

Item 1.1.11

Exception

Applicable to the Commissioners'

chronological file of outgoing

correspondence comprised of letters

signed by the Commissioners. See Part

7, Item 1.

Record keeping system: Paper.

March 2005 1.1. 2 NUREG-910, Rev. 4
NRC Schedule I

RECORDS COMMON TO MOST OFFICES

ITEM

NO. DESCRIPTION OF RECORDS - AUTHIORIZED DISPOSITION

NARA

APPROVED

CITATION

6. Reference Publication Files

Copies of NRC internal and/or external

directives, and publications issued by ' * -

other Government agencies and non- -

governmental organizations maintained

for reference within an office.

Destroy when superseded,

obsolete, or no longer needed

for reference purposes.

NC1431-81-5

Item 1. 1.14

Record keeping system: Paper.

7. Reimbursable Aureements and

Contract Files

Includes all contractual and

reimbursable agreement files (under

Memorandum of Understanding -

DOE/NRC) pertaining to work done for

NRC by any outside source.

NCI-43 1-81-5

Item 1.1.9

GRS 3, Item 3a

(1)(a) and (b)

Record keeping system: ADAMS.

a. Transactions of more than $100,000

and all construction contracts - : - '

exceeding $2,000.

b. Transactions of $100,000 or less

and all construction contracts

exceeding under $2,000.

Destroy 6 years and 3 months

after final payment. -

Destroy 3 years after final

payment.

8. Staff Working File

Reference files maintained for

convenience by individual staff

members. Includes copies of docket

material and other records maintained in

official NRC files.

Destroy at the same time the

related subject file is destroyed

or earlier if no longer needed

for reference purposes.

NCI-431-81-5

Item 1.1.13

Record keeping system: Paper.

March 2005 1.1.3 NUREG-0910, Rev. 4
NRC Schedule 1

RECORDS COMMON TO MOST OFFICES

ITEM

NO.

NARA,

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

9. Technical Reference Files

Copies of documents retained strictly

for reference and informational

purposes and which are not part of the

official files. Include copies of reports,

studies, special compilations of data,

drawings, periodicals, book, clippings,

extra (nonrecord) copies of "policy and

precedent" files, brochures, catalogs,

vendor price lists, and publications

prepared internally and externally.

Note: Reference materials relevant to

permanent records accessioned by or

scheduled to be accessioned by the

National Archives should be offered to

NARA.

Review annually and destroy

material of no further reference

value.

Nonrecord

Material

Record keeping system: Paper.

10. Vu-graphs

Vu-graphs maintained in any NRC

office.

Destroy when one year old. NC1431-81-5

Item 1.1.8

Record keeping system: Transparencies.

11. Weekly Status Reports

Files consist of internal narrative reports

containing items of interest on program

activities submitted by NRC offices

weekly to the Commission.

Destroy when one year old. NC1-431-81-5

Item 1.1.8

Record keeping system: Paper.

March 2005 1.1.4 NUREG-09 10, Rev. 4
NRC Schedule 1

RECORDS COMMMON TO MOST OFFICES

PART 2. PROGRAMMATIC FILES COMMON TO MOST OFFICES

ITEM

NO.

NARA

APPROVED

DRSCRIPTION OF RECORDS I AUTHORIZED DISPOSITION CITATION

1. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies, z

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to NRC program

and staff activities.

NCI-431-81-5

Item 1.2.15

This schedule applies to classified,

safeguards information and other

sensitive unclassified subject file

collections not maintained in ADAMS

and not scheduled separately.

Record keeping system: Paper.

a. Program Correspondence Files at

the office level or above. These

files document policymaking

decisions or significant NRC

program management functions.

They are accumulated by the

Advisory Committee on Reactor

Safeguards (ACRS), the Secretary

of the Commission, Office Directors

reporting to the Commission, and

those reporting to the Office of the

Executive Director for Operations

and are filed in either large central

collections or in decentralized

locations. Excluded is that program

correspondence which documents

routine transactions and covered by

item I.c below.

Permanent. C ut off at close of

fiscal year. Hold 2 years and

retire to WNRC. Offer to

NARA when 20 years old.

March 2005 1.2.-1 NUREG-0910, Rev. 4
_____ _ U_

NRC Schedule 1

RECORDS COMMON TO MOST OFFICES

ITENI

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

b. Program Correspondence Files

maintained at the division level and

below in NRC Headquarters Offices

and in Regional Offices.

Cut off at close of fiscal year.

Hold 2 years and retire to

FARC/WNRC as appropriate.

Destroy 10 years after cutoff.

Destroy when two years old or

sooner if purpose has been

served.

c. Routine Program Correspondence

Files maintained at all

organizational levels. Files

documenting Program transactions

of a routine or recurring nature, the

record content of which is

summarized or duplicated in Item

l.a. or b. above.

March 2005 1.2.2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 1. RECORDS OF THE OFFICE OF ADMINISTRATION

The Office of Administration (ADM) is responsible for providing centralized administrative, contracts

and property management, and facilities and security services to the NRC staff and its external customers

and stakeholders.

The following record schedules were developed for records unique to ADM. Reference NRC Schedule

1, "Records Common to Most Offices," and the General Records Schedules 1 through 26 for other

applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

ITEM

NO. DFSCRIPTION OF RECORDS

NARA

APPROVED

Z AUTHORIZED DISPOSITION CITATION

1. Administrative Budget Control

(ABC)

This system is a budget and funds

control and management information

system for items of concern for the

Office of Administration.

Record keeping system: Electronic

Information System.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

-tape, etc.

NC1-431-81-2

Item 13.1.1

2. Central Personnel Clearance Index

(CPCI)

This batch-mode system maintains data

and information on the security

clearance status of NRC and NRC

contractor personnel. This system will

be replaced by a redesigned and;

upgraded online system.

- Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1431-81-2

Item 12.1.2

- , -, ; i, !: i

Record keeping svstem: Electronic

Information System.

March 2005 2.1..I NUREG-0910, Rev. 4.
II

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

3. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency. Excluding

routine internal committees and

conferences covered by GRS 26-l.a.

Record keeping system: ADAMS.

(I) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Permanent. Cut off when NRC

involvement terminates. 01S

will transfer to NARA 10 years

after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-004

Item 1.a(l)

N1431-004

Item I.a(2)

NI1431-004

Item 1.a(3)

March 2005 2.1.2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION D 'E . .. .. S. I O

DESCRIPTION OF RECORDS -1---:- -AUTHORIZED DISPOSITIONe-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that '

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

:Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-4

Item L.a(4)

N1-431-00-4

Item L.a(5)

March 2005 2.1.3 NUREG-0910, Rev. 4
~~J

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARt

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1431-00-4

Item 1.b(1)

N1-431-004

Item I.b(2)

NI-431-00-4

Item 1.b(3)

N1-431-004

Item l.b(4)

March 2005 2.1.4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS : -1AUTHORIZED DISPOSITION CITATION

ADAMS digital signature and

concurrence data.

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in a above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used tocreate ADAMS Portable -

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, tmail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of:

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee. -

Destroy 3 years after cutoff.

NI-431-00-4

Item L.c(l)

N1-431-00-4

Item 1.c(2)

N1-431-004

Item 1.c(3)

NI-431-004

Item 1.c(4)

March 2005 2.1.5 NUREG-0910, Rev. 4
Il

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

4. Classified Document Control

System (CDCS)

The system maintains data and

information for the review of document

classification for the determination of

declassification or continued

classification of national security

information and material according to

established criteria.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1431-81-2

Item 12.1.4

Record keeping system: Electronic

Information System.

5. Contracts Svstem

The system maintains data and

information on contract pre-award, postaward and status, such as: action

requested, date RFP issued, estimated

cost, dollar value, award date,

expiration date, contract type number,

contractor name, contract title, and

program office contact.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NCI-431-81-2

Item 13.1.2

Record keeping system: Electronic

Information System

6. Directives Case Files

Internal directives issued at the

Commission level maintained by ADM.

Record keeping system: ADAMS.

March 2005 2.1.6 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

a. Record copy documenting important -

aspects of the development of the

issuance.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files';

and ASCII files.

Permanent. Transfer to NARA

when 10 years old.

-Destroy paper documents

2 months after creation of

'ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

-reference or updating,

whichever is later.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OTS processing staff after''

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

NC1-431-81-5

Item 1.5.31.a

N1431-004

Item 2.a(2)

N1-431-00-4

Item 2.a(3)

N1-431-00-4

Item 2.a(4)

(4) ADAMSPDFfilesandTIFFT :Permanent. Cut off electronic

files. files upon issuance of directive.

Transfer to the National

Archives 2 years after cut-off.

- At the time of transfer, NARA

and NRC will determine

medium and format in which

' - - records will be transferred as

well as their arrangement.

Every effort will be made to

- transfer records electronically in

accordance with the standards

for permanent electronic

March 2005 2.1.7 NUREG-0910, Rev. 4-
-- LNRC Schedule 2

RECORDS OF NRC OFFICES

ITENI

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official record.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N 1-431-00-4

Item 2.a(5)

b. Working papers and background

material.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

Destroy 6 months after directive

is issued.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC 1-431-81-5

Item 1.5.31.b

N1431-004

Item 2.b(2)

N1-431-004

Item 2.b(3)

March 2005 2.1. 8 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS ---AUTHORIZED DISPOSITION . CITATION

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their,

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

issuance of directive. Destroy 6

- months after cutoff.

N1-431-00-4

Item 2b(4)

7. General Correspondence Files

(Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of

Administration (ADM) programs and

staff activities.

Record keeping system: ADAMS.

a. Correspondence Files at the.-

Office Director Level.

Files that document policy- making

decisions or significant management

of ADM functions that are signed

by or addressed to the ADM,

Director. Excluded is

March 2005 2.1.19 - NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

OTS. OIS will transfer to

NARA when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

NC1-431-81-5

Item 1.2.15.a

N1431-004

Item 3.a(2)

NI-431-00-4

Item 3.a(3)

N1431-00-4

Item 3.a(4)

March 2005 2.1.10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM.

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

: - AUTHORIZED DISPOSITION CITATION

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF.

- files and TIFF files, and

ADAMS data related to digitalsignatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1431-00-4

Item 3.a(5)

b. Correspondence Files Created or

Received Below the Office

Director Level.

Files that document policy making

decisions, significant management

of ADM functions and operations

that are signed by or addressed to

ADM management and staff below-:-

the office director level. Excluded

is program correspondence that

documents routine transactions for

which the record content is

March 2005 2.1.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

summarized or duplicated in higher

level documents. (See item c.

below.) Also excluded is

correspondence pertaining to

internal management and operations

that are scheduled by the General

Records Schedules.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through 01S. Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

NC 1-431-81-5

Item 1.2.15.b

N1431-00-4

Item 3.b(2)

N1-431-00-4

Item 3.b(3)

N1-431-004

Item 3.b(4)

March 2005 2.1.12 NUREG-0910, Rev. 4
NRC Schedule 2

RC, O.D F .NRCO. . F C

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS 'AUTHORIZED DISPOSITION

ADAMS digital signature and

concurrence data.

c. Routine Program

Correspondence Files Created or

Received at All Organizational

Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/0112000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files'stored

outside of ADAMS used to

create ADAMS Portable " '

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members andOIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally iuing -'

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

NC1431-81-5

Item 1.2.15.c

N1431-00-4

Item 3.c(2)

N1431-00-4

Item 3.c(3)

N1431-00-4

Item 3.c(4)

March 2005 2.1.13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

after cutoff.

8. Grants Files

(Also reference GRS 3-14, "Grant

Administrative Files.")

a. Case files of contracts, reports,

studies, agreements,

correspondence, and other records

relating to receipt, award, and

monitoring of grants.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

Destroy 6 years and 3 months

after case is closed.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI1431-81-5

Item 1.5.33.a

Nl-431-004

Item 4.a(2)

N1431-00-4

Item 4.a(3)

March 2005 2.1.14 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES'

ITEM -

NO. -DESCRIPTION OF RECORDS

NARA

APPROVED

'AUTHORIZED DISPOSITION CITATION

records received from outside

the agency.

(4) ADAMS PDF files and their ' - -

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and'

document packages; and

ADAMS digital signature and

concurrence data.

-Cut off electronic files when

case is closed. Destroy 6 years

and 3 months after cutoff.

N1-431-004

Item 4.a(4)

b. Reports, books, studies, or any other'-

final grant product and related

records accumulated by the Division

of Contracts and Property

Management, ADM.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files;

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InFormns, email, etc.) and electronic

Permanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI-431-81-5

Item 1.5.33.b

N1-431-004

Item 4.b(2)

N1431-00-4

Item 4.b(3)

March 2005 2.1.15 NUREG-0910, Rev. 4
II-1

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files when case is closed.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N 1-431-00-4

Item 4.b(4)

N1431-00-4

Item 4.b(5)

March 2005 2.1.16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

9. Holding Action System (HAS)

This system maintains locator

information on all documents in the

printing and distribution cycle.

AUTHORIZED DISPOSITION

Retain until it has been

determined by a competent

NRC Official that data are no

-.,longer needed; erase and reuse

tape etc.

NARA

APPROVED

CITATION

NC1-431-81-2

Item 13.1.9

Record keening system: Electronic

Information System.

10. Organizational Records

Official organization charts, telephone

books and related records which

document the organization and

functions of the agency. Record copy

maintained by ADM.

Record keeping system: ADAMS.

a. Paper records created before

04101/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files

Permanent. Transfer to NARA

- when 10 years old.

Destroy paper documents

,2 months after creation of

:ADAMS electronic record.

NC1-43 1-81-5

Item 1.5.35.a

NI-431-004

Item 5.b

c. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create ADAMS electronic record or

ADAMS Portable Docuriient when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

ASCII files that remain with staff whichever is later.

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency..

NI-431-00-4

Item 5.c

March 2005 2.1.17 NLJREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITENM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files at close of the fiscal year in

which issued. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically

in accordance with the

standards for permanent

electronic records contained in

36 CFR 1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N 1431-00-4

Item 5.d

N1-431-004

Item 5.e

It. Property and Supply System (PASS)

The Property and Supply System

maintains records of all NRC actions

concerning property and supplies.

Retain until it has been

determined by a competent

NRC Official that data are no

NC1431-81-2,

Item 13.1.4

March 2005 2.1.18 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS "AUTHORIZED ~ DISPOSITION CITATION

Examples such as: property and supply

transactions, maintenance transactions,

ware-house inventory, consumable

usage, stockage reorder points, NRC

item identification catalog, abnormal

maintenance incident rates, fiscal data

for contract renewal, and suspense items

overdue returned from the vendor.

longer needed; erase and reuse

tape, etc.

Record keeping system: ElectronicInfornation System.

12. Regulatorv History Files for

Proposed and Final Rulemakine

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards

comments, Commission papers, -.-.

transcripts, indexes, and Federal

Register Notices.- -

Record keeping system: ADAMS.,-,

a. Official case files created by ADM. _-

(1) Paper records created before Permanent. Cut off when

04/01/2000.- regulation is issued through

notice in the Federal Register.

OIS will transfer to NARA in 5-

year blocks when the earliest

closed case file is 25 years old

and the most recent case file is

20 years old.

NCI-43 1-85-1

Item L.a

March 2005 2.1.19 NUREG-0910, Rev. 4
U-.

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA.

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when regulation is issued

through notice in the Federal

Register. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

N1-43 1-004

Item 6.a(2)

NI-431-00-4

Item 6.a(3)

N1431-004

Item 6.a(4)

March 2005 2.1.20 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - - -AUTHORIZED DISPOSITION : CITATION

records will be converted to

- -, - paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF. files and

created for the management, -TIFF files. Transfer to NARA

search, and retrieval of the PDF- according to regulations found

files and TIFF files, and in 36 CFR § 1228.270 when the

ADAMS data related to digital PDF files and TIFF files are

signatures, and data that transferred. Destroy NRC copy

evidence final NRC 8 years after transferring record

management and staff to NARA.

concurrences in documents that

are linked to and considered

part of the official records.

N1-431-004

Item 6.a(5)

13. Rulemaking Documents Published in

the Federal Register

Copies of rulemaking documents sent to

the Office of the Federal Register forpublication, and related correspondence

and other documentation. Files solely

used to process the publications and

exclude documents contained in the

regulatory history case files that are

maintained for each rulemaking by the

originating office.

Record keeping system: ADAMS.

a. Paper records created before

(04/01/2000)

Destroy 5 years after the

completion (through adoption or

withdrawal) or rulemaking

- proceedings noticed in the

;". i:- Federal Resister.

N1-431-00-4

Item 7.a

March 2005 2.1.21 NUREG-0910, Rev. 4
UNRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and 01S processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files after the

completion (through adoption or

withdrawal) or rulemaking

proceedings noticed in the

Federal Regzister. Destroy 5

years after cutoff.

N 143 1-004

Item 7.b

N1-431-004

Item 7.c

NI-431-004

Item 7.d

14. Security Policy Files

Manuals, directives, plans, reports, and

correspondence reflecting policies and

procedures developed by NSIR, in the

administration and direction of security

and protective services programs.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Permanent. Transfer to NARA

when 10 years old.

NCI1431-81-5

Item 1.5.37

March 2005 2.1.22 NUREG-0910, Rev. 4
NRC Schedule 2

REOD. O

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Paper records used as the source to .-

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

--Destroy paper documents

:2 months after creation of

'ADAMS electronic record.

N1-431-00-4

Item 8.b

NI-431-00-4

'Item 8.c

c. Copies of electronic files stored - Destroy after creation of

outside of ADAMS used to create ADAMS electronic record or

ADAMS Portable Document when no longer needed for

Format (PDF) files, TIFF files, and 'reference or updating,

ASCII files that remain with staff whichever is later.

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files. Pennanent. Cut off electronic

files at close of the fiscal year.

Transfer to the National

-Archives 2 years after cut-off.

'At the time of transfer, NARA

and NRC will determine

medium and format in which

' records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

.accordance with the standards

for permanentfelectronic

'records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,'

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

NI-431-00-4

Item 8.d

March 2005 2.1-23 NUREG-0910, Rev. 4
-- --- a

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NA RA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

NI1431-004

Item 8.e

15. Security Violations (Felonies) Files

Case files relating to investigations of

alleged security violations of

exceptional historical and evidential

value. Maintained by Division of

Facilities and Security, ADM.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, ePermanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 1.5.38

N1-431-00-4

Item 9.b

NI1431-00-4

Item 9.c

March 2005 2.1.24 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

I- Is AUTHORIZED DISPOSITION . CITATION

mail, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files. Permnanent. Cut off electronic

files when case is closed.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

- for permanent electronic.

- records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

-is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

N1-431-004

Item 9.d

e. ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, search, TIFF files. Transfer to NARA

and retrieval of the PDF files and according to regulations found

TIFF files, and ADAMS data in 36 CFR § 1228.270 when the

related to digital signatures, and PDF files and TIFF files are

data that evidence final NRC transferred. Destroy NRC copy

management and staff concurrences ;-8 years after transferring record

in documents that are linked to and .- to NARA.

considered part of the official

records.

N1-431-00-4

Item 9.e

March 2005 2.1-25 NUREG-0910, Rev. 4
.

Ii

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

16. Still Photo2raphy Files

a. Portraits of NRC Chairman and

Commissioners, maintained by the

Audiovisual Support Services,

Management Support Staff, Office

of Administration, and photographs

of reactor sites and noteworthy

NRC related activities. Arranged by

name or subject.

Record keeping system: Polyester

negatives and photographic paper

prints.

(1) The original negative and

captioned print or contact sheet,

and inter-negative, if one

exists.

Permanent. Break file every

five years. Offer to NARA five

years after file break.

NCI431-814,

Item L.a

(2) Duplicate prints maintained in

any NRC office.

Destroy when no longer needed.

b. 35mm color slides of reactor sites,

maintained by Audiovisual Support

Services, Management Support

Staff, Office of Administration,

arranged by reactor name.

Record keeping system: Polyester

negatives and photographic paper

prints.

(1) The original transparency and

one duplicate, if one exists.

Permanent. Break file every

five years. Offer to NARA five

years after file break.

NC1431-81-4,

Item L.b

(2) Duplicate copies maintained by

any NRC office

Destroy when no longer needed.

March 2005 2.1.26 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION . D .C TF; .R .

DESCRIPT ION OF RECORDS - -. -AUTHORIZED DISPOSITION

c. Portraits of NRC officials below the

Commissioner level, and

photographs of routine activities

such as awards, retirements, and

administrative functions maintained

by the Audiovisual Support i

Services, Management Support

Staff, Office of Administration.

Destroy when no longer needed.

Record keeping system:

Photographic paper prints.

17. Video Recording Files

NRC-sponsored 3/4-inch video

productions intended for public

distribution. These include educational

programs produced by Los Alamos

Scientific Laboratory and distributed by

the National Audiovisual Center.

Record keeping system: Videotape.

a. Off-the-air recordings of media

coverage of NRC-related activities

and events, or appearances of NRC

officials

Permanent. Offer master and

one dubbing to NARA when no

longer in current distribution.

Erase and reuse when no longer

needed

NC1-431-81-4

Item 3a

NC1-431-81-4

Item 3b

Record keeping system: Videotape.

b. Original 3/4-inch video recordings

of public meetings, speeches,

conferences, testimony of NRC

officials before Congress and other

hearings made and maintained by

the Audiovisual Support Services,

Permanent. Break file every

five years. Offer master and

one dubbing to NARA five

years after file break.

NCI-431-81-4

Item 3c

March 2005 2.1-27 NIJREG-09 10,' Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NAXRA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Management Staff, Office of

Administration.

Record keeping system: Videotape.

c. Video productions purchased from

outside sources for technical

training of NRC staff and

maintained in the Audiovisual

Support Services, Management

Support Staff, Office of

Administration.

Destroy and reuse when no

longer needed.

NC1-431-81-4

Item 3d

Record keeping system: Videotape.

d. Duplicate dubbings of any recording

described in a, b, c, or d above

maintained by any NRC office.

Erase and reuse when no longer

needed.

NC1431-81-4

Item 3e

Record keeping system: Videotape.

March 2005 2. 1.28 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 2. RECORDS OF THE ADVISORY COMMITTEE ON NUCLEAR WASTE

The Advisory Committee on Nuclear Waste (ACNW) reports to and advises the Nuclear Regulatory

Commission (NRC) on all aspects of nuclear waste management, as appropriate, within the purview of

NRC's regulatory responsibilities. The primary emphasis is on disposal but also includes other aspects

such as handling, processing, transporting, storing, and safeguarding nuclear wastes including spent fuel,

nuclear wastes mixed with other hazardous substances, and uranium mill tailings. In performing its

work, the Committee examines and reports on specific areas of concern referred to it by the Commission

or designated representatives of the Commission. The Committee is authorized to undertake other

studies and activities on its own initiative, as appropriate, to carry out its responsibilities.

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

Schedule 1, "Administrative Records Common-to Most Offices," and General Records Schedules 1

through 26 for other applicable schedules. Applicable schedules have been identified on the "Files

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

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

ACNW Meeting Files

Master sets of notebooks, reports,

certified minutes of general and

working group meetings with all

attachments, and other items distributed

at ACNW meetings. Arranged

chronologically.

Record keeping system: ADAMS.

a. Paper records created before Permanent. Maintain for life of

04/01/2000. Committee. Transfer to NARA

5 years after Committee ceases

to exist.

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Irnage File -- 2 months after creation of

Format (TIFF) files and ASCII files.) ADAMS electronic record.

c. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create -ADAMS electronic record or

ADAMS Portable Document - when no longer needed for

Format (PDF) files, TIFF files, and' :' reference or updating,

ASCII files that remain with staff whichever is later.

N1-431-00-10

Item L.a

N1-431-00-10

- Item 1.b

-NI-431-00-10

-- Item l.c

March 2005 2.2.1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITENI

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

members and 01S processing staff

after creation of the ADAMS

rrecords. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 5 years after

Committee ceases to exist.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

5 years after Committee ceases

NI-431-00-10

Item L.d

N1431-00-10

Item L.e

March 2005 2.2. 2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS 'AUTHORIZED DISPOSITION CITATION

in documents that are linked to and

considered part of the official

records.

2. ACNW Members' General Files

to exist.

Correspondence, meeting summaries,

trip reports, technical reports, and

memoranda prepared by members.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File'

Format (TIFF) files and ASCII files

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

Cut off files when appointment

expires or member resigns.

Maintain for life of Committee.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for -

reference or updating,

whichever is later.

N1431-00-10

Item 2.a

N1-431-00-10

Item 2.b

N1-431-00-10

Item 2.c

d. ADAMS PDF files and their linked '-'-Cut off electronic files when NI-431-00-10

native application source files, appointment expires or member Item 2.d

ADAMS TIFF files and their linked resigns. Maintain for life of

ASCII files; ADAMS document ' 'Committee.

profiles and document packages; '

and ADAMS digital signature and

concurrence data.

March 2005 2.2.3 NUREG-0910, Rev.- 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DFSCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

3. ACNW Members' Personnel Files

Records pertaining to the background of

individual members of the Committee,

biographical, financial disclosure, and

other personnel information pertaining

to the qualifications and employment of

members appointed to the Committee,

and containing information on their

activities during their membership.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and GIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Maintain for life of Committee

then destroy immediately.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files when

appointment expires or member

resigns. Maintain for life of

Committee.

NI-431-00-10

Item 3.a

N1-431-00-10

Item 3.b

N1-431-00-10

Item 3.c

N1431-00-10

Item 3.d

March 2005 2.2.4 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

4. ACNW Proiect Case Files

Official project case files containing

records generated or received by

ACNW that reflect the committee's

analyses and recommendations on

specific activities relating to the

regulation and licensing of high-level

waste repositories and low-level waste'

disposal facilities. Such activities

include handling, processing,

transporting, storing and safeguarding

nuclear waste, including but not limited'

to spent fuel, nuclear waste rmixed with

other hazardous substances, and

uranium mill tailings..

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

' Permanent. Cut off files

annually and retire to OIS when

i' ' 2 years old. Transfer to NARA

I 5 years after Comnmittee ceases

to exist.

N1431-00-10

Item 4.a

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File 2 months after creation of

Format (TIFF) files and ASCII files.; ADAMS electronic record.

c. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create ADAMS electronic record or

ADAMS Portable Document' when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

ASCII files that remain with staff whichever is later.

members and QIS processing'staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

N1431-00-10

Item 4.b

N 1-43 1-00-10

Item 4.c

March 2005 2.2.' NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

e-mail, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 5 years after

Committee ceases to exist.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

5 years after Committee ceases

to exist.

N1431-00-10

Item 4.d

N1431-O0-10

Item 4.e

March 2005 2.2.6 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

LDS --- AUThORIZED DISPOSITION

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECOF

5. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency '- -

and international committees and:

conferences, and agenda, rminutes,''

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency. Excluding

routine internal committee and

conference records covered by

GRS 26-l.a.

Record keeping system:-ADAMS.:

(1) Paper records created before ' -Permanent. Cut off when NRC

04/01/2000. involvement terminates. OIS

will transfer to NARA 20 years

after cutoff.

(2) Paper records used as the source6 -Destroy paper documents

to create ADAMS Tagged -' 2 months after creation of

Image File Format (TIFF) files ''ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored - Destroy after creation of -

outside of ADAMS used to' ' 'ADAMS electronic record or

create ADAMS Portable 'when no longer needed for

Document Format (PDF) files, ': reference or updating,

TIFF files, and ASCII files that "' :whichever is later.-'

remain with staff members'and

OIS processing staffafter

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, eN1-431-00-10

Item 5.a(1)

N1-431-00-10

Item 5.a(2)

N1-431-00-10

Item 5.a(3)

March 2005 2.2.7 NUREG-0910, Rev. 4
-.1Ia

NRC Schedulc 2

RECORDS OF NRC OFFICES

ITENI

NO. DESCRIPTION OF RECORDS

NA RA

APPROVED

AUTHORIZED DISPOSITION CITATION

mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-10

Item 5.a(4)

N1431-00-10

Item 5.a(5)

March 2005 2.2. 8 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS ' AUTHORIZED DISPOSITION

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files

(3) Copies of electronic files sto'red

outside of ADAMS used to

create ADAMS Portable

'Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

-their linked ASCII files,:

ADAMS document profiles and

document packages; and

Destroy when 3 years old or

earlier if no'longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

-reference or updating,

*whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1431-00-10

Item 5.b(1)

N1431-00-10

Item 5.b(2)

N1431-00-10

Item 5.b(3)

N1-431-00-10

Item 5.b(4)

March 2005 2.2.9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NAIRA

APPROVED

AUTHORIZED DISPOSITION CITATION

ADAMS digital signature and

concurrence data.

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in 5.a above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-431-00-10

Item 5.c(I)

N 1-431-00-10

Item 5.c(2)

N1431-00-10

Item 5.c(3)

N1431-00-10

Item 5.c(4)

March 2005 2.2.10 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED :

DTFSCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

6. Consultants' General Files'

Correspondence, meeting summaries,

trip reports, technical reports, and

memoranda prepared by consultants.

Record keeping system: ADAMS.-

a. Paper records created before

04/01/2000.

' -Permanent. Cut off files

I 'annually and retire to OIS when

' - I 2 years old. Transfer to NARA

5 years after Committee ceases

-to exist.

NI-431-00-10

Item 6.a

b. Silver master and one diazo copy Permanent. Transfer to NARA

for each formal report created when 20 years old.

before 04/0112000.

c. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File ' 2 months after creation of

Format (TIFF) files and ASCII files.-- ADAMS electronic record.

d. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create - ADAMS electronic record or

ADAMS Portable' Documenti when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

ASCII files that remain with staff 'whichever is later.

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

NI-431-00-10

Item 6.b

N1-431-00-10

Item 6.c

N 1-43 1-00-10

Item 6.d

March 2005 2.2.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITENI

NO. DESCRIPTION OF RECORDS

NA RA

APPROVED

AUTHORIZED DISPOSITION CITATION

e. ADAMS PDF files and TIFF files.

f. ADAMS document profiles and

ADAMS document packages.

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 5 years after

Committee ceases to exist.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

5 years after Committee ceases

to exist.

N1431-00-10

Item 6.e

N1431-00-10

Item 6.f

March 2005 2.2.12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

7. Consultants' Personnel Files

Correspondence, biographical

information, contract, financial

disclosure, and other personnel

information pertaining to the

qualifications and employment of

outside technical advisors or consultants

under contract with ACNW.

Record keeping system: ADAMS.

a. Paper records created before Destroy 10 years after

04/01/2000. termination of contract.

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File 2 months after creation of

Format (TIFF) files and ASCII files. ADAMS electronic record.

c. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create ADAMS electronic record or

ADAMS Portable Document - when no longer needed for

Format (PDF) files, TIFF files, and -reference or updating,

ASCII files that remain with staff whichever is later.

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

N1-43 1-00-10

Item 7.a

N1431-00-10

Item 7.b

N1-431-00-10

Item 7.c

d. ADAMS PDF files and their linked Cut off electronic files upon

native application source files; termination of contract.

ADAMS TIFF files and their linked Destroy 10 years after cutoff.

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

* N1431-00-10

Item '7.d

March 2005 2.2.13 NIJREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITENM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

8. Program Correspondence Files

Records generated or received by

ACNW in the conduct of business that

are used as bases for advising the

Commission on all aspects of the

nuclear waste management program;

e.g., its direction and implementation,

and resulting documentation that

reflects Commnission policy making

decisions.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

Permanent. Cut off files

annually and retire to OIS when

2 years old. Transfer to NARA

5 years after Committee ceases

to exist.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

N1431-00-10

Item 8.a

N1431-00-10

Item 8.b

N1431-00-10

Item 8.c

N 1431-00-10

Item 8.d

March 2()05 2.2.14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM -;

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic -

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA: concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 5 years after

Committee ceases to exist;

NARA

APPROVED -

CITATION

e. ADAMS document profiles and Permanent. Cut off electronic:

ADAMS document packages files with related PDF files and

created for the management, search, TIFF files. Transfer to NARA "

and retrieval of the PDF files and according to regulations found

TIFF files, and ADAMS-data - in 36 CFR § 1228.270 when the

related to digital signatures, and , PDF files and TIFF files are

data that evidence final NRC - transferred. Destroy NRC copy

management and staff concurrences 5 years after Committee ceases

in documents that are linked to'and ' to exist.

considered part of the official.,

records.

N1431-00-10

Item 8.e

9. Transcripts of ACNW Meetings 3

Transcripts of verbatim accounts of ail

general and subcommittee meetings[.'_`

Record keening system: ADAMS.

March 2005 2.2.15 NUREG-0910, Rev.A
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUThORIZED DISPOSITION CITATION

a. Silver master and one diazo

duplicate of microfiche copies of

transcripts created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

Permanent. Transfer to NARA

when 2 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

N 143 1-00-10

Item 9.a

N1431-00-10

Item 9.b

NI1431-00-10

Item 9.c

N1431-00-10

Item 9.d

March 2()05 2.2.16 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM.

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

I . AUTHORIZED DISPOSITION. CITATION

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

e. ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, search, TIFF files. Transfer to NARA

and retrieval of the PDF files and according to regulations found

TIFF files, and ADAMS data in 36 CFR § 1228.270 when the

related to digital signatures, and i PDF files and TIFF files are

data that evidence final NRC transferred. Destroy NRC copy

management and staff concurrences'i 18 years after transferring'

in documents that are linked to and record to NARA.

considered part of the official -

records.

N1-43 1-00-10

Item 9.e

10. Waste Management Licensing Files

Copies of Waste Management Licensing

Files maintained by ACNW and used

for its review and analysis of waste

management issues and the formulation

of recommendations to the Commission

on the licensing of waste management

activities. These files reflect the

issuance of construction permits and the

licensing of the U.S. Department of

Energy to receive and possess

byproduct, source, and special nuclear '

material at a geologic repository'and the

licensing of companies, institutions, and

facilities to receive, possess, and

dispose of low-level radioactive wastes

containing byproduct, source, and

special nuclear material at a land

disposal facility pursuant to Parts 60

and 61, Title 10, Code of Federal

Regulations. Documents include

applications, site characterizations,

March 2005 2.2.17 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

licenses, license amendments, and

related documentation. The official

record copy is maintained in NRC's File

Center and/or ADAMS and is scheduled

under NRCS 2-17.4 and 2-17.5.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

Maintain for life of Committee.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1431-88-1

Item 5

NI1431-00-10

Item 10.b

N1-43 1-00-10

Item 10.c

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of license.

Maintain for life of Committee.

March 2005 2.2.18 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART3.-RECORDSOFTHEADVISORY.COMMWITTEEONREACTORSAFEGUARDS

The Advisory Committee on Reactor Safeguards (ACRS) reviews safety studies and applications for

construction permits and facility operating licenses, and makes reports thereon; advises'the Commission

with regard to hazards of proposed or existing reactor facilities and the adequacy of proposed reactor

safety standards; upon request of the Department of Energy (DOE), reviews and advises with regard to

the hazards of DOE nuclear activities and facilities; reviews any generic issues or otherirmatters referred

to it by the Commission for advice. On its own initiative may conduct reviews of specific generic

matters or nuclear facility safety-related items. Conducts studies of reactor safety research, prepares, and

submits annually to the U.S. Congress a report containing the results of such study.

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

Schedule 1, "Records Common to Most Offlces," and the General Records Schedules 1 through 26 for

other applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

ACRS Meeting Files

Master sets of notebooks, reports,

certified minutes of general and

subcommittee meetings with all

attachments, and other items distributed

at ACRS meetings. Arranged '

chronologically.

Record keeping system: ADAMS.

a. Paper records created before. Permanent. Maintain for life of

04/01/2000. - ' Committee. Transfer to NARA

5 years after Committee ceases

' to exist.

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File-- 2 months after cieation of

Format (TlFF) files and ASCII files.' " ADAMS electronic record.

c. Copies of electronic files stored : ' 'Destroy after creation of:

outside of ADAMS used to create. ",'ADAMS electronic rec'ord or

ADAMS Portable Docuinient 'when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

ASCII files that remain with staff -whichever is later.

N1-431-00-9

Item l.a

N1-431-00-9

Item L.b

NI-431-00-9

Item l.c

March 2005 2.3.1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InFonns, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 5 years after

Committee ceases to exist.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

5 years after Committee ceases

N1431-00-9

Item L.d

N1431-00-9

Item L.e

March 2005 2.3.2 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

in documents that are linked to and

considered part of the official

records.

2. ACRS Members' General Files

to exist.

Correspondence, meeting summaries,

trip reports, technical reports, and

memoranda prepared by members.

Record keeping system: ADAMS.

a. Paper records created before

04101/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

Cut off files when appointment

expires or member resigns.

Maintain for life of Committee.

- Destroy paper documents

-- 2 months after creation of

ADAMS electronic record.

N1431-00-9

Item 2.a

N143 1-00-9

Item 2.b

c. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create ADAMS electronic record or

ADAMS Portable Docunient' when no longer needed for

Format (PDF) files, TIFF files, and > ¢ reference or updating,

ASCII files that remain with staff 'whichever is later.

members and OIS processing staff '

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked Cut off electronic files when

native application source files; appointment expires or member

ADAMS TIFF files and their linked *' resigns. Maintain for life of

ASCII files; ADAMS document - Committee.

profiles and docuient packages; '-

N1-431-00-9

Item 2.c

-NI43 1-00-9

Item 2.d

March 2005 2.3.3 NUREG-0910, Rev. 4
q

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DFSCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

and ADAMS digital signature and

concurrence data.

3. ACRS MNembers' Personnel Files

Records pertaining to the background of

individual members of the Committee,

biographical, financial disclosure, and

other personnel information pertaining

to the qualifications and employment of

members appointed to the Committee,

and containing information on their

activities during their membership.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

Maintain for life of Committee

then destroy immediately.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files when

appointment expires or member

resigns. Maintain for life of

Committee.

N1431-00-9

Item 3.a

N1-431-00-9

Item 3.b

N143 1-00-9

Item 3.c

N 1-431-00-9

Item 3.d

March 2005 2.3.4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

'- - AUTHORIZED DISPOSITION CITATION

profiles and document packages;

and ADAMS digital signature and

concurrence data.

4. Annual Reports of the ACRS to the

U.S. Congress and/or US. NRC

Reports pertaining to ACRS evaluation

of the effectiveness of NRC effort in

reactor safety research issued as

NUREG documents. Permanent copy of

reports are maintained in the OIS's

NUREG collection.

Record keeping system: ADAMS.

a. Paper records created before

04101/2000.

b. Reference copies of microfiche

before 04/01/2000.

Destroy when microfiche copies

have been deteriuned to be and -

adequate substitute for original

records.

Maintain for life of Committee.

NI-431-00-9

Item 4.a

NC1-431-81-5

Item 3.8.b

Note: Maintenance of extra copies

of these NUREG reports in paper or

.in microfiche will be discontinued

when ADAMS is implemented on4/1/2000. ACRS will identify

appropriate ACRS NUREG reports'

as FACA documents in the

document profiles and the reports

will be obtainable from the records"

located in ADAMS. Accordingly,!"'

this series will be discontinued with

the implementation of ADAMS and

these dispositions applied only to

the files up to that date.'

March 2005 2.3.5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA,

APPROVED

AUTHORIZED DISPOSITION CITATION

S. Classified Defense Information File

Reports, correspondence, and other

records pertaining to DOD reactors and

to DOE production facilities, arranged

by subject.

Permanent. Offer to NARA

when 20 years old.

NC1431-81-5

Item 3.11

Record keeping system: Paper.

6. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency. Excluding

committee and conference records

covered by GRS 26-l.a.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

Permnanent. Cut off when NRC

involvement terminates. OTS

will transfer to NARA 20 years

after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

N1-431-00-9

Item 5.a(1)

N1-431-00-9

Item 5.a(2)

N1-431-00-9

Item 5.a(3)

March 2005 2.3.6 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED .

DESCRIPTION OF RECORDS - 'AUTHORIZED DISPOSITION CITATION

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF Permanent. Cut off electronic

files. files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

"NARA and NRC will determine

- i lmedium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

- applicable at the time. If

transfer in an electronic medium

- ~ is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, TIFF files. Transfer to NARA

search, and retrieval of the PDF according to regulations found

files and TIFF files, and in 36 CFR § 1228.270 when the

NI-431-00-9

Item 5.a(4)

N1-431-00-9

- Item 5.a(5)

March 2005 2.3.7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM%

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(I) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

Destroy when 3 years old or

ear'ier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1431-00-9

Item 5.b(I)

N1431-00-9

Item 5.b(2)

N 1-431-00-9

Item 5.b(3)

March 2005 2.3. 8 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF -NRC OFFICES

ITEM - .-.

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION -CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles an6id

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-431-00-9

Item 5.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in 5.a above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (THiFF) files

and ASCII files.

Destroy when 3 years old or

earlier if no longer needed for

reference. - I '

Destroy paper documents

2 months after creation of

ADAMS electronic record.

'N1431-00-9

- Item 5.c(1)

N1-431-00-9

Item 5.c(2)

(3) Copies of electronic files stored - Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable ' when'no longer needed for

Document Format (PDF) files, - reference or updating,

TIFF files, and ASCII files that - whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS -

records. Included are electronic'

records created internally using - '

office automation tools (e.g.,i'

WordPerfect, Lotus,

InForms, e-mail, etc.) and

N1-431-00-9

Item 5.c(3)

March 2005 2.3.9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

electronic records received from

outside the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-43 1-00-9

Item 5.c(4)

7. Committee Files on Re2ulation

Guidelines

Correspondence, memoranda, and

reports pertaining to committee and

public comments on the formulation of

all NRC regulations relating to nuclear

operating standards, arranged

numerically by NRC Regulatory Guide

number.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

Permanent. Transfer to NARA

5 years after Committee ceases

to exist.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NI-431-00-9

Item 6.a

N 1-431-00-9

Item 6.b

N 1431-00-9

Item 6.c

March 2005 2.3.10 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files. Permanent. Cut off electronic

files at the close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

-. well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic --

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 5 years after

Committee ceases to exist.

N1-431-00-9

Item 6.d

e. ADAMS document profiles and Permnanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, search, TIFF files. Transfer to NARA

and retrieval of the PDF files and according to regulations found

TIFF files, and ADAMS data in 36 CFR § 1228.270 when the

related to digital signatures, and PDF files and TIFF files are

data that evidence final NRC transferred. Destroy NRC copy

management and staff concurrences 5 years after Committee ceases

in documents that are linked to and to exist.

considered part of the official

records.

N1431-00-9

Item 6.e

March 2005 2.3.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

8. Consultants' General Files

Correspondence, meeting summaries,

trip reports, technical reports, and

memoranda prepared by consultants.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Permanent. Cut off files

annually and retire to OIS when

2 years old. Transfer to NARA

5 years after Committee ceases

to exist.

N 1-431-00-9

Item 7.a

b. Silver master and one diazo copy

for each formal report created

before 04/01/2000.

c. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

d. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

e. ADAMS PDF files and TIFF files.

Permanent. Transfer to NARA

when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permnanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

NC1431-81-5

Item 3-7

N 1-431-00-9

Item 7.c

N1431-00-9

Item 7.d

N 1431-00-9

Item 7.e

March 2005 2.3.12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED -- - AUTHORIZED DISPOSITION CITATION

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

- --transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

'applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

'records will be converted to

paper or to microform. Destroy

NRC copy 5 years after

Committee ceases to exist.

f. ADAMS document profiles and Permanent. Cut off electronic -

ADAMS document packages files with related PDF files and

created for the management, search, TIFF files. Transfer to NARA

and retrieval of the PDF files and according to regulations found

TIFF files, and ADAMS data in 36 CFR § 1228.270 when the

related to digital signatures, and PDF files and TIFF files are

data that evidence final NRC transferred. Destroy NRC copy

management and staff concurrences' 5 years after Committee ceases

in-documents that are linked to and '-'to exist.

considered part of the official

records.

N1-431-00-9

Item 7.f

9. Consultants' Personnel Files

Correspondence, biographical

information, contract, financial

disclosure, and other personnel

information pertaining to the

qualifications and employment of

March 2005 2.3.13 NUREG-09 10, Rev. 4
-

-! -

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NAlRA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

outside technical advisors or consultants

under contract with ACRS.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADANIS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Destroy 10 years after

termination of contract.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of contract.

Destroy 10 years after cutoff.

N 1431-00-9

Item 8.a

NI1431-00-9

Item 8.b

N 143 1-00-9

Item 8.c

N1431-00-9

Item 8.d

10. General Prouram Correspondence

Files

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

March 2005 2.3.14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED -. AUTHORIZED DISPOSITION CITATION

accomplishments, opinions, and

decisions pertaining to ACRS business ' -:i

and staff activities.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

. :

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files'and ASCII files

c. Copies of electronic files stored

outside of ADAMS used to create '

ADAMS Portable Document

Format (PDF) files, TIFF files,'and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

-Permanent. Transfer to NARA

5 years after Committee ceases

to exist.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

' Destroy after creation ofADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

-Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

N1-431-00-9

Item 9.a

N1-431-00-9

Item 9.b

-NI-431-00-9

Item 9.c

* N1-431-00-9

Item 9.d

March 2005 2.3.15 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 5 years after

Committee ceases to exist.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

5 years after Comnittee ceases

to exist.

NI-431-00-9

Item 9.e

11. Keyword In Context/Out of Context

Index (KWIC[KWOC)

The ACRS Keyword Index provides a

means to identify and physically located

any document that has been received or

generated by the ACRS. In addition, the

system can track any action required by

an ACRS member, staff, fellow, or

consultant in response to incoming

documents.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1-431-81-2

Item 13.K

Record keeping system: Electronic

Information System.

March 2005 2.3.16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM ;-

NO. --DESCRIPTION OF RECORDS

NARA

APPROVED

-;AUTHORIZED DISPOSITION -CITATION

12. Nuclear Power Plant Docket Files

Official records documenting licensing

of the construction and operation of

commercial nuclear reactors for power''

generation pursuant to Parts 2, 20, 50,

100, and 140 of Title 10, Code of

Federal Regulations. Material consists

of individual applicant case files,

identified by assigned docket numbers,

containing copies of all documents

received or generated in the review,

evaluation, and authorization stages of

the licensing process. Sources of

documents included in case files are:

applicant utility organization;

NRC/Regulatory Offices; Federal and

State agencies; safety boards and

committees; private organizations and

parties; intervenors; and individuals

commenting on licensing actions.

Record keeping system: ADAMS.

a. Paper records created before ' Maintain for life of Committee.-

04/01/2000.

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged InbgeFile' '2 months after creation of

Format (TIFF) files and ASCII files. ADAMS electronic record.

c. 'Copies of electronic files stored - Destroy after creation of

outside of ADAMS used to create ' ADAMS electronic record or

ADAMS Portable Docuinent when no longer needed for

Format (PDF) files, TIFF files, and - reference or updating,

ASCII files that remain with staff whichever is later.

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

NCI-431-81-5

Item 3.10

NI-43 1-00-9

* Item 10.b

.N1431-00-9

- Item I 0.c

March 2005 2.3.17 NUREG-09 10, Rev. 4
Ull

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files when

licenses are terminated.

Maintain for life of Committee.

N 1-43 1-00-9

Item 1O.d

13. Nuclear Reactor Proiect Files

Case files on individual nuclear reactors

including correspondence memoranda,

studies, reports, and analyses pertaining

to nuclear safety-related matters.

Arranged alphabetically by name of

reactor.

Record keepingi system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

Permnanent. Transfer to NARA

5 years after Committee ceases

to exist.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N 1431-00-9

Item I .a

N 1431-00-9

Item I Lb

N 1431-00-9

Item 1 1.c

March 2005 2.3.18 NUREG-09 10, Rev. 4
NRC Schedule 2

- RECORDS OF N OFC

RECORDS OF NRC OFFICES

ITEM

NO. - DESCRIPTION OF RECORDS

NARA

APPROVED

- AUTHORIZED DISPOSITION CITATION

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files. Permanent. Cut off electronic

files upon license termination.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

'and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in'

accordance with the standards

,for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 5 years after'

Committee ceases to exist.

e. ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, search, TIFF files. Transfer to NARA

and retrieval of the PDF files and according to regulations found

TIFF files, and ADAMS data in 36 CFR § 1228.270 when the

related to digital signatures, and - -PDF files and TIFF files are

data that evidence final NRC - transferred. Destroy NRC copy

management and staff concurrences i 5 years after Committee ceases

in documents that are linked to and to exist.

considered part of the official"' ' -

records.

N1-43 1-00-9

Item 1.d

N1-431-00-9

Item 1 1.e

March 2005 2.3.19 NUREG-0910, Rev. 4'
NRC Schedule 2

RECORDS OF NRC OFFICES

ITENM

NO.

NA RA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

14. Transcrints of ACRS Meetings

Transcripts of verbatim accounts of all

general and subcommittee meetings.

Record keeping system: ADAMS.

a. Silver master and one diazo

duplicate of microfiche copies of

transcripts created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

Permanent. Transfer to NARA

when 2 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files upon close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

NC1431-81-5

Item 3.4

N1-431-00-9

Item 12.b

N 1-431-00-9

Item 12.c

NI-431-00-9

Item 12.d

March 2005 2.3.20 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

NI-431-00-9

Item 12.e

March 2005 2.3.21 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 4. RECORDS OF THE ATOMIC SAFETY AND LICENSING BOARD PANEL

The Atomic Safety and Licensing Board Panel (ASLBP) develops procedures applicable to activities of

hearing boards and makes appropriate recommendations to the Commission relating to the conduct of

hearings, and hearing procedures for the guidance of the boards. ASLBP conducts such hearings as the

Commission may authorize or direct; make such intermediate or final decisions as the Commission may

authorize in proceedings to grant, suspend, revoke, or amend licenses or authorizations; and perform such

other regulatory functions as the Commission deems appropriate.

The following record schedules were deveioped for records unique to the ASLBP. Reference NRC

Schedule 1, "Records Common to Most Offices," and the General Records Schedules' 1 through 26 for

other applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

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

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Advisory Screenin2 Committee

Consultant Personnel Files

Correspondence, reports, and other

records pertaining to the qualifications

and employment of outside technical

advisors or consultants under contract

with the Committees.

Record keeniing system: ADAMS.

a. Paper records created before

04/01/2000.

Destroy 10 years after

termination of contract.

-NC1-431-81-5

Item 2.2.6

N1431-00-16

Item L.b

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File -I 2 months after creation of

Format (TIFF) files and ASCII files.' ADAMS electronic record.

c. Copies of electronic files stored ' - Destroy after creation of

outside of ADAMS used to create ADAMS electronic record or

ADAMS Portable Document Format'- when no longer needed for.7

(PDF) files, TIFF files, and ASCII .-reference or updating, whichever

files that remain with staff membeis is later.

and OIS processing staff after

creation of the ADAMS records.

Included are electronic records

created internally using office - -

NI-431-00-16

Item 1.c

March 2005 2.4. 1 ' ' NUREG-0910, Rev. 4
UNRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

automation tools (e.g., WordPerfect,

Lotus, InForms, e-mail, etc.) and

electronic records received from

outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files when

contract terminated. Destroy 10

years after cut off.

NI-431-00-16

Item 1.d

2. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and policy

of interagency, intra-agency and

international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged Image

File Format (TIFF) files and

ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

Permanent. Cut off when NRC

involvement terminates. OIS

will transfer to NARA 10 years

after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

N 1431-00-16

Item 2.a(1)

N1-431-00-16

Item 2.a(2)

N1431-00-16

Item 2.a(3)

March 2005 2.4.2 NUREG-09 10, Rev. 4
NRC Schedule 2

. RE . .O C

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

-. ',"AUTHORIZED DISPOSITION CITATION

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating, whichever

TIFF files, and ASCII files that is later.

remain with staff members an:d -

01S processing staff after

creation of the ADAMS records.-'

Included are electronic records

created internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the

agency.

(4) ADAMS PDFi

files.

files and TIFF Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

' NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement. Every

- effort will be made to transfer

- records electronically in

accordance with the standards

for permanent electronic records

contained in 36 CFR 1228.270 or

''standards applicable at the'time.

If transfer in an'electronic.

medium is not feasible, prior to

transfer, with NARA:

concurrence, records will be

converted to paper or to

microform. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-16

Item 2.a(4)

Nl-431-00-16

-Item 2.a(5)

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

Pennanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

March 2005 2.4.3 ' NUREG-0910, Rev. 4
-Aon

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC management

and staff concurrences in

documents that are linked to and

considered part of the official

records.

according to regulations found in

36 CFR § 1228.270, when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic records

stored outside of ADAMS used

to create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS records.

Included are electronic records

created internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating, whichever

is later.

NC143 1-81-5

Item 1.5.30.b.l.b

N 1-431-00-16

Item 2.b(2)

N1431-00-16

Item 2.b(3)

March 2005 2.4.4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

A_ DFSCR'IPTION ..Is ...................................................................................................................... OF RFCORDS ...Ax - - AUTHORIZED DISPOSITION CITATION

received from outside the

agency.

(4) ADAMS PDF files and their Cut off electronic files upon

-linked native application source termination of committee.

files; ADAMS TIFF files and Destroy 3 years after cutoff.

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

NI-431-00-16

Item 2.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records described

in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged Image

File Format (TIFF) files and

ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS records.

Included are electronic records

created internally using office

automation tools (e.g.,

Destroy when 3 years old or

earlier if no longer needed for

reference. -

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating, whichever

is later.

NC1-431-81-5

Item 1.5.30.b.2

N1-431-00-16

Item 2.c(2)

N1-431-00-16

'Item 2.c(3)

March 2005 2.4.5 NUREG-0910, Rev. 4
- - . L -

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEMN

NO.

NAR.A

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the

agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1431-00-16

Item 2.c(4)

3. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing plans,

policies, procedures, accomplishments,

opinions, and decisions pertaining to

Office of the Atomic Safety and

Licensing Board Panel (ASLBP)

program and staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at the

Office Director Level.

Files that document policy- making

decisions or significant ASLBP

program management functions that

are signed by or addressed to the

ASLBP Director or Deputy Director.

Excluded is program correspondence

that documents routine transactions

for which the record content is

summarized or duplicated in higher

level documents. (See item c. below.)

March 2005 2.4.6 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM .1 I

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(1) Paper records created before ' Permanent. Cut off at close of

04/01/2000. fiscal year. Hold 2 years and

.'' retire to the Washington National

Records Center through 01S.

'Transfer to NARA when 20

years old.

(2) Paper records used as the source '' Destroy paper documents

to create ADAMS Tagged Image '2 months after creation of

File Format (TIFF) files and ADAMS electronic record.

ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS us to create ADAMS electronic record or

ADAMS Portable Document ' '""'wheno longer needed for

Format (PDF) files, TIFF files, reference or updating, whichever

and ASCII files that remain with' is later.

staff members and 01S '

processing staff after creation'of

the ADAMS records. Included

are electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the

agency.

NC1-43 1-81-5

Item 1.2.15.a

NI-431-00-16

Item 3.a(2)

N1-43 1-00-16

Item 3.a(3)

(4) ADAMS PDF files and TIFF

files.

Permanent. Cutoff electronic

files at close fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine medium

and format in which records will

be transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance with

the standards for permanent

electronic records contained in

N1-431-00-16

Item 3.a(4)

March 2005 2.4.7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITENI

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTIIORIZED DISPOSITION CITATION

36 CFR 1228.270 or standards

applicable at the time. If transfer

in an electronic medium is not

feasible, prior to transfer, with

NARA concurrence, records will

be converted to paper or to

microform. Destroy NRC copy

8 years after transferring record

to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC management

and staff concurrences in

documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found in

36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N 1-431-00-16

Item 3.a(5)

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant ASLBP

program management functions and

program operations. They are signed

by or addressed to ASLBP

management and staff below the

Office Director level. Excluded is

program correspondence that

documents routine transactions for

which the record content is

summarized or duplicated in higher

level documents. (See item c. below.)

March 2005 2.4.8 NUREG-09 10, Rev. 4
NR l 2 NRC Schedule 2

RECORDS OFjNRC OFFICES

ITEM

NO.

NARA

APPROVED - DESCRIPTION OF RECORDS - - - AUTHORIZED DISPOSITION CITATION.

(1) Paper records created before

0410112000.

(2) Paper records used as the source

to create ADAMS Tagged Image

File Format (TIFF) files and

ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS records.

Included are electronic records

created internally using office -

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the

agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off at close of fiscal year. :

Hold 2 years and retire to the

Washington National Records

Center through OIS. Destroy 10

years after cutoff.

: Destroy paper documents

2 months after creation of

ADAMS electronic record.

i Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating, whichever

is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

'NCI-431-81-5

Item 1.2.15.b

N1-431-00-16

Item 3.b(2)

N1431-00-16

Item 3.b(3)

N1-431-00-16

Item 3.b(4)

- I, ;.: .1 

March 2005 2.4.9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program transactions

of a routine or recurring nature, the

record content of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged Image

File Format (TIFF) files and

ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS records.

Included are electronic records

created internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the

agency.

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating, whichever

is later.

NC1431-81-5

Item 1.2.15.c

Nl-43 1-00-16

Item 3.c(2)

N1-431-00-16

Item 3.c(3)

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NI-431-00-16

Item 3.c(4)

March 2005 2.4.10 NUREG-09 10, Rev. 4
NRC Schedule 2

RCR O NRC-. .OI

RECORDS OF NRC OFFICES

ITEM

NO.

4.

NARA

APPROVED

DESCRIPTION OF RECORDS - I CITATION

Memoranda to Panel Board Members '

AUTHORIZED DISPOSITION

Memoranda of an informational nature'

on technical matters of use to full-ti'me':

and part-time panel members, arranged

numerically by memorandum numbers

within fiscal years.

Record keeping system: ADAMS.

a. Legal Memos.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged Image

File Format (TIFF) files and

ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF)'files,

TIFF files, and ASCII files that

remain with staff members and'

OIS processing staff after

creation of the ADAMS records.

Included are electronic records

created internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the '

agency.

Permanent. Offer to NARA

when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating, whichever

is later.

NCI-431-81-5

Item 2.2.2

N1-431-00-16

Item 4.a(2)

NI-431-00-16

Item 4.a(3)

(4) ADAMS PDF files and TIFF ' '

files. ' I -

Permanent. -Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine medium

NI-431-00-16

Item 4.a(4)

March 2005 ' 2.4.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

and format in which records will

be transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance with

the standards for permanent

electronic records contained in

36 CFR 1228.270 or standards

applicable at the time. If transfer

in an electronic medium is not

feasible, prior to transfer, with

NARA concurrence, records will

be converted to paper or to

microform. Destroy NRC copy

18 years after transferring record

to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC management

and staff concurrences in

documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found in

36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring record

to NARA.

NI-431-00-16

Item 4.a(5)

b. Technical Memos.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged Image

File Format (TIFF) files and

ASCII files.

(3) Copies of electronic files stored

outside of ADAMS use to create

ADAMS Portable Document

Permanent. Offer to NARA

when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

NCl-431-81-5

Item 2.2.2

N1431-00-16

Item 4.b(2)

N1431-00-16

Item 4.b(3)

March 2005 2.4.12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

Format (PDF) files, TIFF files,'

and ASCII files that remain withf

staff members and OIS

processing staff after creation of

the ADAMS records. Included

are electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the

agency.

NARA

APPROVED

.AUTHORIZED DISPOSITION CITATION

reference or updating, whichever

^ 'is later.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut 6ff electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine medium

and format in which records will

be transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance with

the standards for permanent

electronic records contained in

36 CFR 1228.270 or standards

applicable at the time. If transfer

in an electronic medium is not

feasible, prior to transfer, with

NARA concurrence, records will

be converted to paper or to

microform. Destroy NRC copy

18 years after transferring record

to NARA.

NI-431-00-16

Item 4.b(4)

(5) ADAMS document profiles and ' 'Permanent. Cut off electronic

ADAMS document packages' files with related PDF files and

created for the management, 'TIFF files. Transfer to NARA

search, and retrieval of the PDF according to regulations found in

files and TIFF files, and 36 CFR § 1228.270 when the

ADAMS data related to digital PDF files and TIFF files are

signatures, and data that transferred. Destroy NRC copy

NI-431-00-16

Item 4.b(5)

March 2005 2.4!1 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS CITATION

evidence final NRC management

and staff concurrences in

documents that are linked to and

considered part of the official

records.

AUTHORIZED DISPOSITION

18 years after transferring record

to NARA.

5. Minutes of Advisory Screenina

Committees

Minutes of each advisory screening

committee and copies of other documents

related to the minutes.

Record keening system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document Format

(PDF) files, TIFF files, and ASCII

files that remain with staff members

and OIS processing staff after

creation of the ADAMS records.

Included are electronic records

created internally using office

automation tools (e.g., WordPerfect,

Lotus, InForms, e-mail, etc.) and

electronic records received from

outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages; and

ADAMS digital signature and

concurrence data.

Retain for life of committee.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating, whichever

is later.

Cut off electronic files upon

termination of committee.

Destroy immediately upon

cutoff.

NC1-431-81-5

Item 2.2.5

N1 431-00-16

Item 5.b

NI-431-00-16

Item 5.c

N1-431-00-16

Item 5.d

March 2005 2.4.14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS - - AUThORIZED DISPOSITION - --

NARA

APPROVED

CITATION

6. Panel Board's Monthly Status Report

to Commissioners

Reports from the Chairman of the Panel

to the Commission summarizing the

activities of the Board.

Record keeping system: ADAMS.

a. Paper records created before

0410112000.

b. 'Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files. -'

Cut off files annually. Destroy

when 10 years old.

' Destroy paper documents

- 2 months after creation of

' ADAMS electronic record.

NC1-431-81-5

Item 2.2.3

NI-431-00-16

Item 6.b

c. Copies of electronic files stored - Destroy after creation of

outside of ADAMS used to create ' ADAMS electronic record or

ADAMS Portable Document Format 'when no longer needed for

(PDF) files, TIFF files, and ASCII reference or updating, whichever

files that remain with staff members is later.

and OIS processing staff after

creation of the ADAMS records. -

Included are electronic records

created internally using office

automation tools (e.g., WordPerfect,

Lotus, InForms, e-mail, etc.) and

electronic records received from

outside the agency.

N1-431-00-16

Item 6.c

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages; aind

ADAMS digital signature and

concurrence data.

Cut off electronic files annually.: N1431-00-16

Destroy 10 years after cutoff. Item 6.d

March' 2005 2.4.15 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

7. Power Reactor License Docket Files of

the ASLBP

Case files containing copies of license

applications, staff papers, letters of

intervenors, letters from the Board, I & E

Reports, Commissioners' Reports, and

other docket-related documentation.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document Format

(PDF) files, TIFF files, and ASCII

files that remain with staff members

and OIS processing staff after

creation of the ADAMS records.

Included are electronic records

created internally using office

automation tools (e.g., WordPerfect,

Lotus, InForms, e-mail, etc.) and

electronic records received from

outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages; and

ADAMS digital signature and

concurrence data.

Cut off files upon completion of

ASLBP action. Retire inactive

files in annual blocks. Destroy

inactive files when 4 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating, whichever

is later.

Cut off electronic files upon

completion of ASLBP action.

Destroy 4 years after cutoff.

N1-431-89-3

Item 1

N1-431-00-16

Item 7.b

N1-431-00-16

Item 7.c

NI-431-00-16

Item 7.d

March 2005 2.4.16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - -AUTHORIZED DISPOSITION CITATION

8. Regulatorv History Files for

Proposed and Final Rulemakin2

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Commnittee to Review

Generic Requirements (CRGR) minutes '

and recommendations, Advisory

Committee on Reactor Safeguards

comments, Commission papers,

transcripts, indexes, and Federal

Register Notices.

Record keeping system: ADAMS.

a. Official case files created by the

ASLBP.

(1) Paper records created before' Permanent. Cut off when

04/01/2000. regulation is issued through

notice in the Federal Register.

:s ':Transfer to NARA in 5-year

blocks when earliest closed case

- - file is 25 years old and the most

recent case file is 20 years old.

NC1-43 1-85-1

Item L.a

(2) Papeir records used as the' source" Destroy paper documents

to create ADAMS Tagged Image 2 months after creation of

File Format (TIFF) files and ADAMS electronic record.

ASCII files.' '

(3) Copies of electronic files st6red -'Destroy after creation of

outside of ADAMS usedto " ADAMS electronic record or

create ADAMS Portable 'O. when no longer needed for

Document Format (PDF) files, - reference or updating, whichever

TIFF files, and ASCII files that'.-'is later.

remain with staff members and

OIS processing staff after -

creation of the ADAMS records.

Included are electronic records

N1431-00-16

Item 8.a(2)

N1431-00-16

Item 8.a(3)

March 2005 2.4.17 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

created internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the

agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC management

and staff concurrences in

documents that are linked to and

part of the official records.

Permanent. Cut off electronic

files when regulation is issued

through notice in the Federal

Register. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement. Every

effort will be made to transfer

records electronically in

accordance with the standards

for permanent electronic records

contained in 36 CER 1228.270 or

standards applicable at the time.

If transfer in an electronic

medium is not feasible, prior to

transfer, with NARA

concurrence, records will be

converted to paper or to

microform. Destroy NRC copy

15 years after transferring record

to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found in

36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

15 years after transferring record

to NARA.

N1431-00-16

Item 8.a(4)

<2

N1-431-00-16

Item 8.a(5)

March 2005 2.4.18 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

9. Transcripts of ASLBP Hearings

Verbatim transcripts of the formal

ASLBP hearings. These transcripts are

filed in the Commission's Official

Decisional Docket File (NRC Schedule

2, Part 22, Item 1).

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Destroy when no longer needed

for reference.

NCI-43 1-81-5

Item 2.2.4

Note: Maintenance in ASLBP of an extra

copy of transcripts of the formal ASLBP

hearings will be discontinued when

ADAMS can make those transcripts

available at remote hearing sites within

one hour of electronic receipt of the

transcripts for ADAMS processing.

March 2005 2.4.19 NUREG-0910, Rev. 4
N S NRC Schedule 2

RECORDS OF NRC OFFICES

PART 5. RECORDS OF THE OFFICE OF THE CHIEF FINANCIAL OFFICER

The Office of the Chief Financial Officer (CFO) oversees all financial management activities relating to

NRC's programs and operations and provides advice to the Chairman on financial management matters. In

accordance with the Chief Financial Officers Act of 1990, as amended, the CFO develops and maintains

an integrated agency accounting and financial management system, including-financial reporting and

internal controls; directs, manages, and provides policy guidance and oversight of agency financial

management personnel, activities, and operations; prepares and transmits an annual report to the Chairman

and the Director, Office of Management and Budget; monitors the financial execution of NRC's budget in

relation to actual expenditures, and prepares and submits to the Chairman timely cost and performance

reports; and reviews, on a periodic basis, fees and other charges imposed by NRC for services provided

and makes recommendations for revising those charges as appropriate. The CFO also establishes

financial management policy for the agency and provides policy guidance to senior managers on the

budget and all other financial management activities; and provides an agency-wide management control

program for financial and program managers that establishes internal control processes and provides for

timely corrective actions regarding material weaknesses that are disclosed to comply with the Federal

Manager's Financial Integrity Act of 1982.

The following record schedule was developed for records unique to the CFO. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other

applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Accounting System (CAB)

This system maintains data and Retain until it has been NC1431-81-2

information regarding NRC's financial determined by a competent Item 13.H.4

transactions such as: collections and NRC Official that data are no

disbursements, unexpended allotments, longer needed; erase and reuse

obligations, payments, costs, tape, etc.

- appropriation, and cash accounting

balance. Produces reports such as: ;

debits and credits, monthly transactions,

trial balance, and license fee invoices.

Record keeping system': Electronic

Information System.

2. Budget Files

a. Correspondence or subject files in

the Office of the' Chief Financial

Officer documenting Commission

March'2005 2.5.1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

policy and procedures governing

budget administration, and

reflecting policy decisions affecting

expenditures for agency programs.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

NC1-43 1-81-5

Item 1.5.29.a

NI-43 1-00-7

Item 1.a(2)

N1-43 1-00-7

Item 1.a(3)

<2

NI-43 1-00-7

Item l.a(4)

<2

March 2005 2.5.2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS -AUTHORIZED DISPOSITION CITATION

for permanent electronic

records contained in 36 CFR

i1228.270 or standards

applicable at the time. If

'transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and -

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.'-'

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

'8 years after transferring record

to NARA.

N1-431-00-7

Item L.a(5)

b. Copies of budget estimates and

justifications prepared and

maintained by the Division of '

Budget and Analysis." Included are

appropriation language sheets,

narrative statements, and related"i

schedules and data.

Record keeping system: ADAMS.

(1) Paper records created before' Permanent. Transfer to NARA

04/01/2000. - when 10 years old.

NC1-431-81-5

Item 1.5.29.b

(2) Paper records used as the'source'

to create ADAMS Tagged

Image File Format (TIFf) tiles -

and ASCII files. - ' ' i .. . . .. . I

' - Destroy paper documents

2 months after creation of

- ADAMS electronic record.

N1-431-00-7

Item L.b(2)

March 2005 2.5.3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES 'VI

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

NI-43 1-00-7

Item 1.b(3)

N1-43 1-00-7

Item 1.b(4)

NI-431-00-7

Item I.b(5)

K-'~

March 2005 2.5.4 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEMNO. DESCRIPTION OF RECORDS - -AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

c. Working papers and background

materials maintained at all

organizational levels.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to -

create ADAMS Portable

Document Format (PDF) files,;

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InFormsemail, etc.) and electronic

records received from outside

the agency.

Destroy 1 year after the close of

the fiscal year covered by the

budget.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

'ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy I year

NCI-431-81-5

Item 1.5.29.c

N1-43 1-00-7

Item l.c(2)

N1-431-00-7

Item 1.c(3)

N1-43 1-00-7

Item I.c(2)

(4) ADAMS PDF files and their

linked native application source

March 2005 2.5.5 NIJREG-0910, Rev. 4
'II

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

after the close of the fiscal year

covered by the budget.

3. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency. Excluding

routine internal committee and

conference records covered by GRS

26-l.a.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

Permanent. Cut off when NRC

involvement terminates. OIS

will transfer to NARA 10 years

after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1.43 1-00-7

Item 2.a(1)

N1-431-00-7

Item 2.a(2)

N143 1-00-7

Item 2.a(3)

March 2005 2.5.6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - -AUTHORIZED DISPOSITION CITATION

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital -

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

Permanent. Cutoff electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270.when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1431-00-7

Item 2.a(4)

NI-431-00-7

Item 2.a(5)

March 2005 2.5.7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

are linked to and considered

part of the official records.

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keepine system: ADAMS.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TITF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N143 1-00-7

Item 2.b(1)

N1-431-00-7

Item 2.b(2)

N1-431-00-7

Item 2.b(3)

N1431-00-7

Item 2.b(4)

March 2005 2.5.8 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS a AUTHORIZED DISPOSITION CITATION

ADAMS digital signature and

concurrence data.

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged : ' :

Image File Format (TIFF) files

and ASCII files.

Destroy when 3 years old or

Iearlier if no longer needed for

''reference.

i'Destroy paper documents

2 months after creation of

ADAMS electronic record.

N1-431-00-7

Item 2.c(l)

N1-431-00-7

Item 2.c(2)

(3) Copies of electronic files stored ''Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files,' reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff memribers and

OIS processing staff after'

creation of the ADAMS '

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

NI-431-00-7

Item 2.c(3)

- :.-.(4). ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and -

their linked ASCII files;' --

ADAMS document profiles and

document packages; and

Cut off electronic files upon

'termination of committee. -

Destroy 3 years after cutoff.

NI-431-00-7

Item 2.c(4)

March 2005 2.5.'9 NUREG-0910, Rev. 4
I Ila

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARY

APPROVED

AUTHORIZED DISPOSITION CITATION

ADAMS digital signature and

concurrence data.

4. Fee Determination Background Files

Correspondence, forms, messages,

reports, and other documents that

identify manpower, contractual, or other

costs used to develop and support fee

determinations.

Record keeping system: ADAMS.

a. Paper records created before

04101/2000.

b. Paper records used as the source to

create ADAMS Tagged Inage File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through OIS. Destroy 6

years and 3 months after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 6 years

and 3 months after cutoff.

N1-431-00-7

Item 3.a

NI-431-00-7

Item 3.b

N1-431-00-7

Item 3.c

N143 1-00-7

Item 3.d

<2

March 2005 2.5.10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION - -

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

and ADAMS digital signature and

concurrence data.

5. General Program Correspondence

Files (Subject Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of the

Chief Financial Officer (OCFO)

program and staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant OCFO

program management functions that

are signed by or addressed to the

CFO or Deputy CFO. Excluded is

program correspondence that'

documents routine transactions for

which the record content is

summarized or duplicated in higher

level documents. (See item c.

below.)

(1) Paper records created before Permanent. Cut off at close of

04/01/2000. - + fiscal year. Hold 2 years and

.retire to the Washington

National Record Center through

'OIS. OIS will transfer to

NARA when 20 years old.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged - -- 2 months after creation of

Image File Format (TIFF) files -ADAMS electronic record.

and ASCII files.

NC1431-81-5

Item 1.2.15.a

NI-431-00-7

Item 4.a(2)

March 2005 2.5.11i NUREG.0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

N 1-431-00-7

Item 4.a(3)

N1-431-00-7

Item 4.a(4)

<2y

N1-431-00-7

Item 4.a(5)

March 2005 2.5.12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

,CITATION

ITEM

NO. DESCRIPITION OF RECORDS

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

AUTHORIZED DISPOSITION

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

b. Program Correspondence Files

Created or Received Below the

.Office Director Level.

Files that document policy making

decisions, significant OCFO

program management functions and

program operations. They are

signed by or addressed to OCFO

management and staff below the

Office Director level. Excluded is

program correspondence that

documents routine transactions for

which the record content is

summarized or duplicated in higher

level documents. (See item c.

below.)

(1) Paper records created before

04/01/2000.

* Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

-Center through'OIS. Destroy 10

: - .years after cutoff.

NC1-431-81-5

Item 1.2.15.b

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged - 2 months after creation of

Image File Format (TIFF) files ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to - ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files,'' reference or updating,'

N1-431-00-7

Item 4.b(2)

N1-431-00-7

Item 4.b(3)

March 2005 2.5.33 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

whichever is later.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-00-7

Item 4.b(4)

<2

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

NC1-43 1-81-5

Item 1.2.15.c

N1-431-00-7

Item 4.c(2)

NI-431-00-7

Item 4.c(3)

March 2005 2.5.14 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS 'AUTHORIZED DISPOSITION CITATION

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally 'using

office automation tools (e.g.,-

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their Cut off electronic files at close

linked native application source of fiscal year. Destroy 2 years

files; ADAMS TIFF files and after cutoff.

their linked ASCII files;

ADAMS document profiles anddocument packages; and

ADAMS digital signature and -

concurrence data.

N1431-00-7

Item 4.c(4)

6. Integrated Financial Management

Information System (IFMIS)

The system maintains data and

information integrating accounting

functions such as: general ledger, funds

control, travel, accounts receivable,

accounts payable, plant and capital

equipment, and appropriation and funds.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc. - -

NC1-431-81-2

Item 13.H.l

Record keeping system: Electronic

Information System.

March 2005 2.5.15 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

7. License Fee Branch Reporting

System (FEES)

The system maintains data and

information on inspections conducted

for safety/safeguards, materials, test,

research or commercial reactors, and

fuel facilities and is used to establish a

basis for determining license fees.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC143 1-81-2

Item 13.C.2

Record keeping system: Electronic

Information System.

8. Payroll System (PAY)

Time and attendance cards are

processed to determine leave status and

deductions such as: health and life

insurance, credit union, Federal and

State taxes, bonds, pension,

dependencies (per W4 form), and CFC

contributions. The system prepares a

check tape, prints bonds, and time and

attendance slips.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc

NC143 1-81-2

Item 13.H.3

Record keeping system: Electronic

Information System.

9. Regulatory History Files for

Proposed and Final Rulemakin2

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards

comments, Commission papers,

March 2005 2.5.16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DSCRIPTION OF RECORDS . . ... A ORIZED DISPOSITION CITATION

transcripts, indexes, and Federal

Register Notices.

Record keeping system: ADAMS.

a. Official case files created by the

OCFO.

(1) Paper records created before

04/01/2000.

Permanent. Cut off when final

regulation is issued through

'- notice in the Federal Register.

- OIS will transfer to NARA in 5-

year blocks when the earliest

closed case file is 25 years old

and the most recent case file is

-20 years old.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored -'

outside of ADAMS used to' '

create ADAMS PortableDocument Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and ':

OIS processing staffafter

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

'- Destroy paper documents

'2 months after creation of

ADAMS electronic record.

:Destroy after creation of

ADAMS electronic record or

'when no longer needed for

reference or updating,

whichever is later.:

Permanent. Cut off electronic

files when regulation is issued

through notice in the Federal

Register. Transfer to the

National Archives 2 years after

NC1-43 1-85-1

Item l.a

N1-43 1-00-7

Item 5.a(2)

N1-431-00-7

Item 5.a(3)

NI-431-00-7

Item 5.a(4)

March'2005 2.5.17 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1431-00-7

Item 5.a(5)

March 2005 2.5.18 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 6. RECORDS OF THE OFFICE OF INFORMATION SERVICES

The Office of Information Services (01S) plans, directs, and oversees the NRC's information resources,

including information technology infrastructure and delivery of information mianagement services, to

meet the mission and goals of the agency. Provides principal advice to the Chairman to ensure that

information technology (IT) is acquired and information resources across the agency are managed in a

manner consistent with Federal information resources mnanagement (IRM) laws and regulations. Assists

senior management in recognizing where information technology can add value while improving NRC

operations and services deliver. Directs the implementation of a sound and integrated IT architecture to

achieve NRCs strategic and IRM goals. Monitors and evaluates the performance of information

technology and information management programs based on applicable performance measures and

assesses the adequacy of IRM skills of the agency. Provides guidance and oversight for the selection,

control, and evaluation of information technology investments.

The following record schedules were developed for records unique to the OIS. Reference NRC Schedule

1, "Records Common to Most Offices," and the General Records Schedules 1 through 26 for other

applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. ADAMS Legacv Libraries

Electronic bibliographic descriptions of

the older programmatic records that

were originally maintained in the

Nuclear Document System (NUDOCS)

and the Bibliographic Retrieval System

(BRS). Although the primary functioniis to provide computer assisted retrieval

of document images on microfiche,

some documents have abstracts or full

text files associated with them.

NUDOCS and BRS fiche collections

consisted of copies of official records

that were maintained in organized paper

files throughout the agency prior to

ADAMS.

Record keeping system: ADAMS.

a. Internal Lenacv Library Records.

ADAMS bibliographic data for all Destroy when 30 years old or NI-431-00-17

documents processed through when determined by the OIS Item l.a

March 2005 2.6.1 M 5NUREG-0910, Rev. 4
INRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

NUDOCS, including abstracts and

full text for certain documents.

that the data are no longer

needed, whichever is sooner.

b. Internal Legacy Library Microfiche.

Microfiche images of all documents

processed through NUDOCS. Destroy when 30 years old or

when determined by the QIS

that the data are no longer

needed, whichever is sooner.

N1431-00-17

Item 1.b

c. Public Legacv Library Records.

ADAMIS bibliographic data for

agency documents processed

through NUDOCS that have been

made publicly available, including

abstracts and full text for certain

documents.

Destroy when 30 years old or

when determined by the OIS

that the data are no longer

needed, whichever is sooner.

N1-431-00-17

Item 1.c

d. Public Legacy Library Microfiche.

Microfiche images of documents

processed through NUDOCS that

have been made publicly available.

Destroy when 30 years old or

when determined by the OIS

that the data are no longer

needed, whichever is sooner.

NI-431-00-17

Item 1.d

e. Public Legacy Library Indexes.

Hard copy indexes and references

used to access Public Document

Room (PDR) documents.

Destroy when 30 years old or

when determined by the OIS

that the data are no longer

needed, whichever is sooner.

N1431-00-17

Item I.e

2. Annual Reports to the Attorney

General on FOIA.

Annual reports to the Attorney General

of the United States relating to the NRC

Destroy when 2 years old. GRS 14-14

March 2005 2.6.2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS : AUTHORIZED DISPOSITION CITATION

implementation of the Freedom of

Information Act (5 U.S.C. 522).

Record keeping system: Paper.

3. Automated Information

Documentation System (AIDS)

This system utilizes data'sets which are; Retain until it has been

created and maintained via WYLBUR! - !determined by a competent

to produce various printouts needed to NRC Official that data are no

document the programs data files, and, longer needed; erase and reuse -

data elements comprising a given tape, etc

system.

NC1-431-81-2

Item 13.F.4

Record keeping system: Electronic

Information System.

4. Bibliographic Retrieval System (BRS)

The system provides access to

bibliographic data on NRC records

maintained in the NRC Public

Document Room.

Record keeping system: Electronic

Information System.

- - -Retain until it has been -

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1431-81-5

Item 1.3.20.d

5. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and'

policy of interagency, intra-agency

and international committees and

conferences, and agenda, Iminutes,

final reports, and related records

documenting accomplishrnents- fi

created by committees and

conferences when NRC is the':

sponsoring agency. Excluding'

March 2005 2.6.3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NAtRA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

routine internal committee and

conference records covered by

GRS 26-l.a.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off when NRC

involvement terminates. OIS

will transfer to NARA 10 years

after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

N1-431-00-17

Item 3.a(1)

N1431-00-17

Item 3.a(2)

N1-431-00-17

Item 3.a(3)

<2

N1431-00-17

Item 3.a(4)

March 2005 2.6.4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1431-00-17

Item 3.a(5)

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before Destroy when 3 years old or

04/01/2000. - earlier if no longer needed for

reference.

N1431-00-17

Item 3.b(1)

N1431-00-17

Item 3.b(2)

(2) Paper records used as the source

to create ADAMS Tagged ' -

Image File Format (TIFF) files

and ASCII files.

* 'Destroy paper documents

-2 months after creation of

ADAMS electronic record.

March 2005 2.6.5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

NI-431-00-17

Item 3.b(3)

N1-431-00-17

Item 3.b(4)

I<2-

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NI-431-00-17

Item 3.c(1)

NI.431-00-17

Item 3.c(2)

March 2005 2.6.6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS -- AUTHORIZED DISPOSITION

(3) Copies of electronic files stored 'Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

NI-431-00-17

Item 3.c(3)

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and - -

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-431-00-17

Item 3.c(4)

6. Duplicate Reference Files of the

Public Document Room (PDR) ;

Duplicate Nuclear Power Plant docket

files, materials licensing files, technical'

subject correspondence, and other files

and documents made available to thepublic in the PDR.

Record keeping system: ADAMS.

a. Paper documents created before

04/01/2000.

Cut off files on 04/01/2000.

Destroy files when 30 years old,

or when determined by the OIS

that the files no longer meet

public demand criteria for

continued maintenance,

whichever is sooner.

NI-431-00-17

Item 4.a

March 2005 2.6.7 NUREG-0910. Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

b. ADAMS Publicly Available

Records System (PARS) Library

documents consisting of copies of

ADAMS PDF files, TIFF files,

ASCII files, document profiles and

document packages, and ADAMS

digital signature and concurrence

data for permanent and temporary

records placed in the library for

public access.

Destroy at the same time the

record located in ADAMS is

destroyed.

N1431-00-17

Item 4.b

7. Forms Files

a. One record copy of each edition of

an NRC form created that is

maintained by the Publishing

Services Branch with related

instructions.

Record keeping system: ADAMS.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Formnat (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, ePermanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI 431-81-5

Item 1.5.32.a

N1431-00-17

Item 5.a(2)

N1-431-00-17

Item 5.a(3)

March 2005 2.6. 8 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files, bit-mapped

image files, ASCII files,

document profiles, data related

to a digital signature, and data

that evidence final NRC

management and staff

concurrence in a document that

is linked to and considered to be

part of the official record.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC'

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files when discontinued or

obsolete. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

--NARA and NRC will determine

medium and format in which

records will be transferred as

well'as their arrangement.

Every effort will be made to

-'transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after - transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

-to NARA.

N1-431-00-17

Item 5.a(4)

NN1-431-00-17

Item 5.a(5)

b. Working papers, background

materials, requisitions,

March 2005 2.6.'9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES K>1

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

specifications, processing data, and

control records maintained at the

Publishing Services Branch and at

the originating office at all

organizational levels.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy when related form is

discontinued, superseded, or

canceled.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files when

form is discontinued or

canceled, and immediately

destroy.

NC1431-81-5

Item 1.5.32.b

N1-431-00-17

Item 5.b(2)

N1-431-00-17

Item 5.b(3)

N1431-00-17

Item 5.b(4)

<2

March 2005 2.6.10 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS --AUTHORIZED DISPOSITION CITATION

8. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of

Information Services (01S) program and

staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy-'making

decisions or significant OIS

program management functions that

are signed by or addressed to the

OIS. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or -

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before - 'Permnanent. Cut off at close of

04/01/2000. fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

OIS. OIS will transfer to

NARA when 20 years old.

(2) Paper records used as the source- ' 'Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files- ADAMS electronic record.

and ASCII files.

NC1-431-81-5

Item 1.2.15.a

NI-431-00-17

Item 6.a(2)

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to 'ADAMS electronic record or

create ADAMS Portable 'when no longer needed for

N1-431-00-17

Item 6.a(3)

March 2005 2.6.11 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Document Formnat (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

reference or updating,

whichever is later.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

N1-431-00-17

Item 6.a(4)

NI-431-00-17

Item 6.a(5)

March 2005 2.6.12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

-AUTHORIZED DISPOSITION CITATION

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant or OIS

program management functions and

program operations. They are

signed by or addressed to OIS

management and staff below the

OIS level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through 01S. Destroy 10

; " ' years after cutoff.

NC1-431-81-5

Item 1.2.15.b

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged " ; 2 months after creation of

Image File Format (TIFF files 'ADAMS electronic record.

and ASCII files.

N1-431-00-17

Item 6.b(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files 'that

remain with staff members anrd

OIS processing staff after

creation of the ADAMS

Destroy after creation of

ADAMS electronic record or

when no longer needed for

- reference or updating, '

--'whichever is later.

N1-431-00-17

Item 6.b(3)

March 2005 2.6.13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES '-

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-00-17

Item 6.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI1431-81-5

Item 1.2.15.c

N1431-00-17

Item 6.c(2)

N1431-00-17

Item 6.c(3)

March 2005 2.6.14 NUREG-0910, Rev. 4
NRC Schedule 2

R E D . O - F . NRC O

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

. ~. APPROVED - AUTHORIZED DISPOSITION - CITATION

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source'

files; ADAMS TIFF files and,

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

* Cut off electronic files at close

of fiscal year. Destroy 2 years

- after cutoff.

NI-431-00-17

-Item 6.c(4)

9. Graphic Arts Files

a. Original artwork, half-tone

negatives, camera-ready copy, and

electronic final copy prepared for

brochures, posters,

and other NRC publications

by the Publishing Services Branch.

Record keeping system: ADAMS.:

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source'

to create ADAMS Tagged

Image File Format (TIMF) files

and ASCII files.

Destroy when no longer needed

- for publication or reprinting.

r,

iDestroy paper documents

2 months after creation of

ADAMS electronic record.

NCI-431-81-4

Item 2.a

'N1-431-00-17

Item 7.a(2)

(3) Copies of electronic files si6red '' Destroy after creation of

outside of ADAMS used to ''-' ''ADAMS electronic record or

create ADAMS Portable when'no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

.jNl-431-00-17

: Item 7.a(3)

Marchi 2005 2.6.15 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITENM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

acceptance of artwork. Destroy

2 years after cutoff.

N1431-00-17

Item 7.a(4)

b. Record set of posters distributed

agency-wide or to the public and

maintained by the Publishing

Services Branch. Arranged

chronologically.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

O1S processing staff after

creation of the ADAMS

Permanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI-43 1-81-4

Item

N1-431-00-17

Item 7.b(2)

N1-431-00-17

Item 7.b(3)

March 2005 2.6.16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS ; AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

Permnanent. Cut off electronic

files upon close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy when NARA

confirms receipt of the

transferred files.-

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy'NRC copy

when NARA confirms receipt

of the transferred files.

N1-431-00-17

Item 7.b(4)

N1-431-00-17

Item 7.b(5)

March 2005 2.6.17 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

are linked to and considered

part of the official records.

10. Information Requirements Control

Automated System (IRCAS)

The system, as an information locator, is

used to plan and control NRC

information collection requirements.

Information is controlled at the subject

or title level which includes cost,

number of respondents, originator,

prescribing authority, staff-hours, and

whatever other administrative .

information is required.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc

NC1431-81-2

Item 13.1.13

Record keeping system: Electronic

Information System.

11. Manpower System (MPS)

The system maintains a data base of

staff-hours charged against projects and

programs, providing management with

data for manpower analysis,

reallocation, planning, budget validation

and license-fee purposes.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc

NC1-431-81-2

Item 13.F.1

Record keeping system: Electronic

Information System.

12. Nuclear Documents System

(NUDOCS) Records

NUDOCS system files consisting of

bibliographic data and microfiche

addresses, abstracts and full text

documents (when captured); related

systems development, maintenance, or

operational files, system programming,

and project files; and any system copies

March 2005 2.6.18 NUJREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS : '"AUTHORIZEDISPOSITION CITATION

or backups that remain after copying the

related data to the Agencywide

Documents Access and Management

System (ADAMS). Included are

supporting data bases such as document

type codes, lists of authors and

recipients, and data supporting

distribution of processed documents.

NUDOCS document images are

contained on microfiche'to provide staffease of reference. The official versions

of NUDOCS documents are maintained

in hard copy.

Record keeping system: ADAMS.

a. Electronic records and data bases,

including migration data bases used

to input data into ADAMS.

Record keeping system: Electronic

Information System.

Cutoff upon system termination

following transfer of records to

ADAMS. Destroy data after

verifying successful transfer of

records to ADAMS, or when

OIS determines there is no

further administrative or

operational value, whichever is

later.

N1-431-00-17

Item 8.a

b. User manuals, project files, Cutoff upon system termination

technical directions, and all other following transfer of records to

supporting developmental, ADAMS. Destroy files after

operational, and maintenance verifying successful transfer of

documents in paper format. ' - 'records to ADAMS, or when

-IS determines there is no

Record keeping system: Paper. further administrative or

operational value, whichever is

- -- later.

c. NUDOCS microfiche collections Cutoff upon system termination

consisting of copies of internal use following transfer of records to

only documents (the whole :ADAMS. Destroy in

collection) and the subset of accordance with schedules for

documents made publicly available.'- ' intemal and public legacy

- library microfiche.

Record keeping system: Microfiche. -(e.g., destroy when 30 years old -

N1-431-00-17

Item 8.b

NI-431-00-17

Item 8.c

March 2005 2.6.19 ' ' NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

or when determined by the

OIS that the data are no longer

needed, whichever is sooner.)

13. Project Management System (PNIS)

The system will maintain data and

information to monitor and interrelate

End-User Support Services Branch

efforts on contracts, purchase orders,

projects, tasks or subtasks, work orders,

and invoices.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc

NC1431-81-2

Item IJj.I

Record keeping system: Electronic

Information System.

14. Publications

a. Record copy of regulations,

regulatory guides, NUREG-series

publications or the last manuscript,

if not published, and other

pamphlets, reports, leaflets, and

manuals relating to NRC matters

located in the Reproduction and

Distribution Services Section's

Archival collection.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

Permanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-43 1-81-5

Item 1.5.36.a.(1)

N1431-00-17

Item 9.a(2)

N1-431-00-17

Item 9.a(3)

K -'

March 2005 2.6.20 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED - AUTHORIZED DISPOSITION CITATION

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,.

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic*'

records contained in 36 CFR

1228.270 or standards

applicable at the time. If -

transfer in an electronic medium

is not feasible, prior to transfer,'

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after'

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

N1431-00-17

Item 9.a(4)

NI-431-00-17

Item 9.a(5)

March 2005 2.6.21 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA.

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

to NARA.

b. Authorizations to Publish consisting

of NRC Form 426 and 426a,

Release to Publish, any copyright

authorizations, or similar

documentation providing a release

to publish.

[Withdrawn from schedules for

revision and re-submission as a

non-permanent collection.]

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked native application

source files.

Schedule Pending.

Schedule Pending.

Schedule Pending.

Schedule Pending.

NA

NA

NA

NA

March 2005 2.6.22 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM ; ,

NO. DESCRIPTION OF RECORDS - -- -

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

c. Work papers and background

materials.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy 6 months after

publication.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 1.5.36.b

NI-431-00-17

Item 9.c(2)

Nl-431-00-17

Item 9.c(3)

(4) ADAMS PDF files and their Cut off electronic files upon

linked native application source publication. Destroy 6 months

files; ADAMS TIFF files and' after cutoff.

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

N1431-00-17

Item 9.c(4)

15. Regulatory History Files for

Proposed and Final Rulemakinz

Case files documenting proposed and

final rulemakings. Contents include

March 2005 2.6.23 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES <-I

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards

comments, Commission papers,

transcripts, indexes, and Federal

Register Notices.

Record keeping system: ADAMS.

a. Official case files created by the

O1S.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OTS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

Permanent. Cut off when

regulation is issued through

notice in the Federal Register.

Transfer to NARA in 5-year

blocks when the earliest closed

case file is 25 years old and the

most recent case file is 20 years

old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1431-85-1

Item L.a

NI-431-00-17

Item 10.a(2)

N1-431-00-17

Item 10.a(3)

March 2005 2.6.24 NUREG-0910. Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM.

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

-'AUTHORIZED DISPOSITION CITATION

records received from outside

the agency.

(4) ADAMS PDF files and TIFF'

files.

Permanent. Cut off electronic

-files when regulation is issued

through notice in the Federal

Register. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time; If

transfer in an electronic medium

-is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

N1-431-00-17

Item 10.a(4)

(5) ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management,- TIFF files.- Transfer to NARA

search, and retrieval of the PDF -according to regulations found

files and TIFF files, and in 36 CFR § 1228.270 when the

ADAMS data related to digital PDF files and TIFF files are

signatures, and data that transferred. Destroy NRC copy

evidence final NRC 8 years after transferring record

management and staff to NARA.

concurrences in documents that

are linked to and considered

part of the official records.

N1-431-00-17

Item 10.a(5)

March 2005 2.6-25 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES VITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

16. Reiulatory Information Tracking

Systems - CIO (IRNI-RITS)

IRM-RITS is an integration of two

computer systems (Technical

Assignment Control System [TACS]

and Manpower System [MPS] which are

updated weekly. Data within the system

are retained by staff member, licensee,

and technical assignments. The system

retains current and historical data on

project schedules and staff resources.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1-43 1-81-2

Item 1.F.H

Record keeping system: Electronic

Information System.

17. Statistical Information System

For Operating Reactors (SISOR)

The system maintains records of

monthly operating data for each nuclear

power plant in commercial operation.

Record keeping system: Electronic

Information System.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1-43 1-81-2

Item I I.E.1

18. Technical Assignment Control

System (TACS)

A computer data base containing items

of information identifying, describing,

documenting, and accounting for the

recording and status reporting of all

non-case related work in an office.

TACS is a tool which allows for the

systematic control of the total office

work effort. (Both case and non-case

work).

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1431-81-2

Item 12.F.1

Record keeping system: Electronic

Information System.

March 2005 2.6.26 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

19. Telephone Directory System (TEL)

System telephone lines to users

(employees) and identity of retired

phone lines and changes; ensures rapid

certification and payment of all long

distance toll charges.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc

NC1-431-81-2

Item 13.1.3

Record keeuing system: Electronic

Information System.

Timesharing Accounts Management

System (TAMS)

20.

This system provides detailed cost data

on computer timesharing expenditures

at NIH/DCRT.

Record keening system: Electronic

Information System.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc

NC1-431-81-2

Item 13.F.3

March 2005 2.6.27 NUREG-910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 7. RECORDS OF THE OFFICE OF THE COMMISSION

The Commission (OCM) is responsible for licensing and regulating nuclear facilities and materials, and

for conducting research in support of the licensing and regulatory process, as mandated by the Atomic

Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and the Nuclear

Nonproliferation Act of 1978; and in accordance with the National Environmental Policy Act of 1969, as

amended, and other applicable statutes. These responsibilities include protecting public health and

safety, protecting the environment,-protecting and safeguarding materials and plants in the interest of

national security, and assuring conformity with antitrust laws. Agency functions are performed through:

standards-setting and rulemaking; technical reviews and studies; conduct of public hearings; issuance of

authorizations, permits, and licenses; inspection, investigation, and enforcement; evaluation of operating

experience; and research. The Commission is composed of five members, appointed by the President and

confirmed by the Senate, one of whom is designated by the President as Chairman. The Chairnnan is the

principal executive officer and the official spokesman of the Commission.

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

Schedule 1, "Records Common to Most Offices," and the General Records Schedules 1 through 26 for

other applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITIO? : ~CITATION

1. Commissioners' Chronological Files

a. Copies of all outgoing

correspondence and reports

prepared by the individual

commissioners, arranged

chronologically.

Permanent. Transfer to NARA

when 20 years old.

NC1-431-02-2

Item l.a

Record keeping system: Paper.

b. Electronic records created or

received used as the source to create

paper records that are filed in the

Commissioner's Chronological

Files. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, Email, etc.) and electronic records

received internally and from outside

the agency.

Create paper record of the NC1-431-02-2

electronic document on the day Item L.b

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immediately after

creating official record copy or

when no longer needed for

reference or updating,

whichever is later.

March 2005 2.7.1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

2. Office Files of the Chairman and

Commissioners

a. Notes, memoranda, correspondence,

copies of e-mail, and other papers

accumulated in the offices of the

Chairman or the Commissioners

that are written by or exchanged

between a Commissioner and

members of his/her personal staff or

written by or exchanged between

members of the Commissioner's

staff, received by the Commissioner

or his/her staff from another

Commissioner or member of his/her

staff that were not circulated to

other Commissioner offices,

received from any other NRC

source, from Congress, from other

government agencies, or from

members of the public that were not

circulated to other Commissioner

offices, and transcripts of telephone

conversations relating to agency

business, and copies of agency

records on which Commissioners

make their own notations. Office

files contain original documents

received by the Commissioner, and

may contain copies of records

maintained by other NRC offices

when germane to the Chairman's or

Commissioners' subjects, projects

or actions to which the files pertain.

However, Office Files of th&

Chairman and Commissioners do

not include extra unannotated

copies of records maintained as part

of the Commission's Official Flies.

Permanent. Retire to WNRC

through OIS at end of

Commissioners' term. Transfer

to NARA when 20 years old.

NC1431-02-2

Item 2.a

Record keeping system: Paper.

b. Electronic records created or Create paper record of the NCI-431-02-2

March 2005 2.7.2 NUREG-0910. Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

received used as the source to create

paper records that are filed in the

Office Files of the Chairman and

Commissioners. Included are

electronic records created internally

using office automation tools (e.g.,

WordPerfect, Lotus, InForms, Email, etc.) and electronic records

received internally and from outside

the agency.

electronic document on the day

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immediately after

creating official record copy or

when no longer needed for

reference or updating,

whichever is later.

Item 2.b

Record keeping system: Paper.

3. Schedules of Daily Activities

a. Calendars, appointment books,

schedules, logs, diaries, and similar

records documenting meetings,

appointments, telephone calls, trips,

visits, and other activities by the

Chairman and Commissioners while

serving at NRC, excluding materials

determined to be personal.

Permanent. Retire to WNRC

through OIS at end of

Commissioners' term. Transfer

to NARA when 20 years old.

NCI-431-02-2

Item 3.a

Record keeping system: Paper.

b. Electronic records created or

received used as the source to create

paper records that are filed in the

Schedules of Daily Activities.

Included are electronic records

created internally using office

automation tools (e.g., WordPerfect,

Lotus InForms, E-mail, Electronic

Calendaring, etc.) and electronic

records received internally and from

outside the agency.

Create paper record of the

electronic document on the day

created or received, or upon a

weekly, monthly, or other

appropriate interval, and file in

the official files. Destroy

electronic version immediately

after creating official record

copy or when no longer needed

for reference or updating,

whichever is later.

NC1-431-02-2

Item 3.b

Record keeping system: Paper.

March 2005 2.7.3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 8. RECORDS OF THE OFFICE OF COMMISSION APPELLATE ADJUDICATION

The Office of Commission Appellate Adjudication (OCAA) is responsible for monitoring cases pending

before presiding officers; providing the Commission with analyses of any adjudicatory matter requiring a

Commission decision (e.g., petitions for review of initial licensing board decisions, certified questions,

Interlocutory referrals, stay requests) including available options; drafting any necessary decisions

pursuant to the Commission's guidance after presentation of options; and consulting with the Office of

the General Counsel in identifying options to be presented to the Commission and in drafting the final

decision to be presented to the Commission.

The following record schedules were developed for records unique to (OCAA). Reference NRC

Schedule 1, "Records Common to Most Offices," and the General Records Schedules 1 through 26 for

other applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

ITEMNO.

NARA

- APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION - CITATION

1. Appellate Adiudication Documents

Files.

OCAA files consisting of informational

legal memoranda from the OCAA

Director to Commissioners, no-action

memoranda, and legal memoranda

signed by the Director or by line i

attorneys pertaining to cases monitored

by OCAA, and other adjudicatory

matters monitored by or directed to

OCAA for action, excluding draft

memorandum and order related

documents.

Record keeping svstem: ADAMS.

a. Paper records created before " Permanent. Cut off at close of

04/01/2000. . . fiscal year. Transfer to NARA

when 20 years old.

b. Paper records used as the source Destroy paper documents

to create ADAMS Tagged Image ; 2 months after creation of

File Format (TIFF) files and '- fADAMS . electronic record.

ASCII files.

c. Copies of electronic files stored Destroy after creation ofN1-431-99-9

Item l.a

N1-431-99-9

Item L.b

N1431-99-9

March 2005 2.8.1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files,

and ASCII files that remain with

staff members and OIS

processing staff after creation of

the ADAMS records. Included

are electronic records created

internally using office automation

tools (e.g., WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Item 1.c

d. ADAMS PDF files and TIFF

files.

e. ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and ADAMS

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

N1-431-99-9

Item L.d

N1-431-99-9

Item L.e

March 2005 2.8.2 NUREG-09 10, Rev. 4
RCi S -chde -

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

data related to digital signatures,

and data that evidence final NRC

management and staff

concurrences in documents that

are linked to and considered part

of the official records.

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

2. Draft Memorandum and Order Files

Draft memorandum and orders prepared

as Commission Legal Issuances (CAI),

Office of Commission Appellate

Adjudication (OCAA) reviews of

ASLBP appeals, and opinions that are

submitted to the Office of the Secretary

as Adjudicatory Issue - Affirmation

Commission (SECY) Papers signed by

the Director, OCAA, for review,

signature, and formal issuance by the

Secretary of the Commission. Files are

arranged by SECY Paper number and

include internal correspondence, notes,

copies of vote sheets, revised CAI, and

related documents. Office of the

Secretary maintains their copies of these

records permanently as well as records

of the final signed and issued CLIs.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Cut off at close of fiscal year.

Destroy 10 years after cutoff.

N1431-99-9

Item 2.a

b. Paper records used as the source

to create ADAMS Tagged Iniage

File Format (TIFF) files and

ASCII files.

Destroy paper documents

: 2 months after creation of

ADAMS electronic record.

N1-431-99-9

Item 2.b

.. . -;

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files,-

and ASCII files that remain with

Destroy after creation of

ADAMS electronic record or

;when no longer needed for

reference or updating,.

whichever is later.

N1-431-99-9

Item 2.c

March 2005 2.8.3 NUREG-0910, Rev. 4
I .

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

staff members and OIS

processing staff after creation of

the ADAMS records. Included

are electronic records created

internally using office automation

tools (e.g., WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

d. ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files; ADAMS

document profiles and document

packages; and ADAMS digital

signature and concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-99-9

Item 2.d

3. OCAA Program Management and

Operational Files

Files that document OCAA program

management and operational functions at

all levels. Files include letters,

memoranda, OCAA assignment lists,

messages, studies, reports, forms, and

other data documenting and/or

implementing plans, policies,

procedures, and accomplishments of

OCAA program and staff activities.

Record keening system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source

to create ADAMS Tagged Image

File Format (TIFF) files and

ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

Cut off at close of fiscal year.

Destroy 10 years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

N1431-99-9

Item 3.a

N1431-99-9

Item 3.b

N1-431-99-9

Item 3.c

March 2005 2.8.4 NUREG-09 10. Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

ADAMS Portable Document

Format (PDF) files, TIFF files,

and ASCII files that remain with

staff members and OIS

processing staff after creation of

the ADAMS records. Included

are electronic records created

internally using office automation

tools (e.g., WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

when no longer needed for

reference or updating,

whichever is later.

d. ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files; ADAMS

document profiles and document

packages; and ADAMS digital

signature and concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-99-9

Item 3.d

March 2005 2.8.5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 9. -RECORDS OF THE OFFICE OF CONGRESSIONAL AFFAIRS

The Office of Congressional Affairs (OCA) provides advice and assistance to the Chairman,

Commission, and NRC staff on all NRC relations with Congress and views of Congress toward NRC

policies, plans, and activities; maintains liaison with Congressional committees and members of

Congress on matters of interest to NRC; serves as primary contact point for all NRC communications

with Congress, reviewing and concurring in all outgoing correspondence to members of Congress;

coordinates NRC internal activities with Congress; participates in planning and developing NRC's

legislative program; and monitors legislative proposals, bills, and hearings.

The following record schedules were developed for records unique to OCA. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules I through 26 for other

applicable schedules. Applicable schedules have been identified on'the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION -CITATION

Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments -

created by committees and

conferences when NRC is the

sponsor agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the sourc

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Cut off when NRC NI-431-99-2

involvement terminates. OIS Item .a(l)

will transfer to NARA 10 years

after cutoff.

e Destroy paper documents N1-431-99-2

2 months after creation of Item I.a(2)

ADAMS electronic record.

March 2005 2.9.1, t NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES K-,,2

ITEM

NO. DESCRIPTION OF RECORDS

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

AUTHORIZED DISPOSITION

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when NRC involvement

terminates. Convert image files

to paper, microform, magnetic

tape, 3480 class tape cartridge,

or any other medium and fornnat

that meets NARA regulations

found in Subchapter B of 36

CFR Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

NARA

APPROVED

CITATION

N1.431-99-2

Item L.a(3)

N1-43 1-99-2

Item L.a(4)

NI-431-99-2

Item L.a(5)

March 2005 2.9.2 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS -- AUTHORIZED DISPOSITION

NARA

APPROVED

- -CITATION

are linked to and considered

part of the official records.

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keening system: ADAMS.

(1) Paper records created before Destroy when 3 years old or

04/01/2000. earlier if no longer needed for

reference.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TiEFF files, and ASCII files that whichever is later.

remain with staff members and--'

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g., -

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1-431-99-2

Item l.b(l)

N1-431-99-2

Item L.b(2)

N1-431-99-2

Item I.b(3)

(4) ADAMS PDF files and their Cut off electronic files upon

linked native application source termination of committee.

- files; ADAMS TIFF files and - i Destroy 3 years after cutoff.

their linked ASCII files; - :

Nl-431-99-2

Item l.b(4)

March 2005 2.9. 3 ' NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES <-/~

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

N1431-99-2

Item L.c(1)

NI-431-99-2

Item 1.c(2)

N1.431-99-2

Item 1.c(3)

N1-431-99-2

Item 1.c(4)

March 2005 2.9.4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM,. APPROVED

NO. DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

files; ADAMS TIFF files and - - Destroy 3 years after cutoff.-

their linked ASCII files; -

ADAMS document profiles aind

document packages; and

ADAMS digital signature and

concurrence data.

2. Coneressional Hearing Testimony

and Transcript Files --

Testimony and transcript files located in

the Office of Congressional Affairs that

document NRC presentations before

Congressional House and Senate

Committees with respect to NRC's

policies, programs, plans, budgets and

activities that are made by the

Chairman, the Commissioners, the

Executive Director for Operations, the

Chief Information Officer, the Chief

Financial Officer, or other NRC

representative, as appropriate. Files

include correspondence, documentation,

and significant background information

created for pre-hearing meetings and

briefings, Congressional transcripts and

testimonies, and post-hearing

correspondence documenting any

related questions and responses. The

files, reflecting the hearing subject and

House or Senate Committee names, are

arranged by hearing date.

Record keeping system: ADAMS.

a. Paper records created before Cut off at the close of the fiscal N1431-00-14

04/0112000. year. Hold 2 years and retire to Item L.a

theWashingtonNational

:: - Records Center through 1S.

Destroy 20 years after cutoff.

March 2005 2.9.5 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 20 years

after cutoff.

N1-431-00-14

Item L.b

N 1-431-00-14

Item I.c

NI-43 1-00-14

Item L.d

3. Conzressional Correspondence Files

Correspondence with individual

congressmen, chairmen of congressional

committees, and their staff relating to

the activities and programs of the

agency.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Cut off file every 2 years.

Retire to WNRC through OIS

2 years after file break. Destroy

when 10 years old.

NCI-43 1-81-5

Item 2.5.14

March 2005 2.9.6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. -

NARA

APPROVED

DESCRIPTION OF RECORDS I- AUTHORIZED DISPOSITION CITATION

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g., WordPerfect, Lotus, InForms, e-mail,

etc.) and electronic records received

from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

* N1-431-99-2

Item 2.b

IN1431-99-2

- Item 2.c

N1431-99-2

Item 2.d

4. Congressional Correspondence

System

This system maintains a comprehensive : Retain until it has been

index and a brief description of ; determined by a competent

information sent to Congress in letters,- NRC Official that data are no

and questions and answers. The longer needed; erase and reuse

information is retrievable by subject - tape, etc.

category, date, recipient, congressional

committee, or author.

Record keeping svstem: Electronic' -

Information System. ''

NC1-4312-81-2

Item 13.F.5

Marc'h'2005 2.9.7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

5. General Program CorresDondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of

Congressional Affairs (OCA) program

and staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant OCA

program management functions that

are signed by or addressed to the

OCA Director or Deputy Director.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to Washington National

Records Center through OIS.

Transfer to NARA when 20

years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NC1-431-81-5

Item 1.2.15.a

N1431-99-2

Item 4.a(2)

March 2005 2.9.8 NUREG-0910, Rev. 4
C . I_ ,. _

NRC Schedule'2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages'

created for the management$

search, and retrieval of the PDF

files and TIFF files,'and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Destroy after creation of ' :

ADAMS electronic record or '

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cutoff electronic

files at close of fiscal year.

Convert image files to'paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

-NARA regulations found in

Subchapter B of 36 CFR

Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

'Destroy NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

'files withrelated PDF files and

TIFF files. Transfer io NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.'

NI-431-99-2

Item 4.a(3)

- N1-431-99-2

Item 4.a(4)

'N1-431-99-2

Item 4.a(5)

March 2005 2.9.9 ' NUREG-0910, Rev.-4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant OCA program

management functions and program

operations. They are signed by or

addressed to OCA management and

staff below the Office Director

level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created prior to

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

Cut off at close of fiscal year.

Hold 2 years and retire to

Washington National Records

Center through OIS. Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1431-81-5

Item 1.2.15.b

N1-431-99-2

Item 4.b(2)

NI-43 1-99-2

Item 4.b(3)

March 2005 2.9.10 NUREG-0910, Rev. 4
NRC Schedule 2

N.

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS -AUTHORIZED DISPOSITION - CITATION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1431-99-2

Item 4.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Orianizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record

content of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/0112000.

Destroy when 2 years old, or

; ' sooner if purpose has been

served.

NC143 1-81-5

Item 1.2.15.c

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged '; 2 months after creation of

Image File Format (TIFF) files', -ADAMS electronic record.''

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable . when no longer needed for

Document Format:(PDF) files,, ' reference or updating,

TIFF files, and ASCII files that whichever is later.

N1-431-99-2

Item 4.c(2)

N1-431-99-2

Item 4.c(3)

March 2005 2.9.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES \<--'

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

N1431-99-2

Item 4.c(4)

6. Legislative Files

Copies of proposed House and Senate

bills relating to NRC operation and

related correspondence.

Record keeping system: ADAMS.

a. Paper records created prior to

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

Destroy when legislation is

passed or when no longer

needed.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 2.5.16

N1431-99-2

Item 5.b

N1431-99-2

Item 5.c

March 2005 2.9.12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

''AUTHORIZED DISPOSITION .CITATION

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g., WordPerfect, Lotus, InForms, e-mail,

etc.) and electronic records received

from outside the agency.

d. ADAMS PDF files and their linkid

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

"Cut off electronic files upon

close of fiscal year. Destroy

5 years after cutoff.

N1 -431-99-2

Item 5.d

7. Senate and House Members Profile

Files

Files containing biographical

information on members of the U.S.

* Congress.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TRF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

Cut off files upon close of fiscal

year. Destroy 5 years after

cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI-431-81-5

Item 2.5.15

N1431-99-2

Item 6.b

N1-431-99-2

Item 6.c

March 2005 2.9.13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using

office automation tools (e.g., WordPerfect, Lotus, InForms, e-mail,

etc.) and electronic records received

from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files upon

close of fiscal year. Destroy

5 years after cutoff.

N1-431-99-2

Item 6.d

March 2005 2.9.14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 10. RECORDS OF THE OFFICE OF ENFORCEMENT

The Office of Enforcement (OE) develops policies and programs for enforcement of NRC requirements,

manages major enforcement actions, and assesses effectiveness and uniformity of Regional enforcement

actions.

The following record schedules were developed for records unique to OE. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other

applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and,

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments -

created by committees and

conferences when NRC is the ;

sponsoring agency. Excluding

routine internal committee and

conference records covered by

GRS 26-1.a.

Record keeping system: ADAMS.

(I) Paper records created before - Permanent. Cut off when NRC

04/01/2000. involvement terminates. OIS

will transfer to NARA 10 years

- after cutoff.

(2) Paper records used as the source- - Destroy paper documents

to create ADAMS Tagged z ,,2 months after creation of

Image File Format (TIFF) files ,- -ADAMS electronic record.

and ASCII files. -

N1431-00-5

Item L.a(l)

N1-431-00-5

Item 1.a(2)

March 2005 ' 2.10. 1 - NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES I>

ITEM

NO. DESCRIPTION OF RECORDS

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

N 1-431-00-5

Item L.a(3)

NI-431-00-5

Item l.a(4)

March 2005 2.10. 2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital.

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

AUTHORIZED DISPOSITION

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the'

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

NARA

APPROVED

CITATION

N1-431-00-5

Item L.a(5)

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

Destroy when 3 years old or

, earlier if no longer needed for

reference.

'Nl431-00-5

Item l.b(l)

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files -ADAMS electronic record.

and ASCII files.

N1-431-00-5

Item L.b(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and,' '

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

Destroy after creation of

ADAMS electronic record or

when 'no longer needed for

'reference or updating,

whichever is later.

-N1431-00-5

Item L.b(3)

March 2005 2.10. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1431-00-5

Item 1.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keening system: ADAMS.

<2

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Nl-431-00-5

Item 1.c(l)

N1431-00-5

Item 1.c(2)

N1-431-00-5

Item 1.c(3)

March 2005 2.10. 4 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DI

NARA

APPROVED.

ESCRIPTION OF RECORDS - ' AUTHORIZED DISPOSITION . CITATION

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-43 1-00-5

Item 1.c(4)

2. Enforcement Action Case Files

Case files located in the Office of

Enforcement and in the Regions

documenting enforcement actions and

violations in all activity areas at all

severity levels. Case files include

Orders, Notices of Violations with and

without Civil Penalties, Orders

Imposing Civil Penalties, Letters of

Reprimand, and Demands for

Information; licensee responses to the'

actions; and other relevant documents!

pertinent to the action. Case files are -

arranged by Individual Action number

as actions are issued. Unclassified

safeguards information will not be

maintained in ADAMS, but will

continue to be maintained in paper

format. (See Items a(l), and b(l),

below).

Record keeping system: ADAMS.,

March 2005 2.10. 5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

.'. '

AUTHORIZED DISPOSITION

a. Significant Enforcement Actions

Enforcement actions that have

exceptional value because of the

historical significance of their

contents or their uniqueness.

Included are files that:

- Result in significant judicial

decisions or legislation that affect

the functions and activities of NRC;

- Result in significant changes in

regulatory activities and procedures;

- Were the subject of congressional

investigation or were of great public

interest; or

- Contributes substantive

information supporting docket files

identified for permanent retention.

(1) Paper records created before

04/01/2000, and all paper

unclassified safeguards

information.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

Permanent. Cut off files when

case is closed. Hold 5 years and

retire to the Washington

National Record Center through

OIS. 01S will transfer to

NARA with related indexes

when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-00-5

Item 3.a(1)

N1-431-00-5

Item 3.a(2)

N1-431-00-5

Item 3.a(3)

March 2005 2.10. 6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. -

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION .- CITATION

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency. -

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the managerment,-

search, and retrieval of the PDFfiles and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Permanent. Cut off electronic

files when case is closed.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

'-according to regulations found

in 36 CFR § 1228.270 when the

-PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

NI-431-00-5

Item 3.a(4)

N1-431-00-5

Item 3.a(5)

March 2005 2.10. 7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

record to NARA.

b. All Other Enforcement Actions and

Violations

(1) Paper records created before

04/01/2000, and all paper

unclassified safeguards

informnation.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

Cut off files when case is

closed. Hold 2 years and retire

to the Washington National

Record Center through QIS.

Destroy 10 years after the

enforcement actions are cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files when

case is closed. Destroy 10 years

after the enforcement actions

are cutoff.

N1-431-00-5

Item 3.b(l)(a)

N1-431-00-5

Item 3.b(1)(b)

N1431-00-5

Item 3.b(1)(c)

N1431-00-5

Item 3.b(1)(d)

March 2005 2.10. 8 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

: '. . AUTHORIZED DISPOSITION CITATION

ADAMS digital signature and

concurrence data.

3. General Program Correspondence

Files (Subject Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of - .

Enforcement (OE) program and staff:

activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant OE program

management functions including

those developing enforcement

policy, enforcement guidance --

memoranda, and the Enforcement -

Manual. Files also include

documents that are signed by or

addressed to the OE Director and

Deputy Director. Excluded is - :: -

program correspondence that

documents routine transactions for

which the record content is

summarized or duplicated in higher:

level documents. (See item c.**.-:

below.)

(1) Paper records created before :. - . Permanent. Cut off at close of

04/01/2000. .V:-I fiscal year. Hold 2 years and

- : -- retire to the Washington

-- - National Record Center through

NC1-431-81-5

Item 1.2.15.a

March 2005 2.10. 9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

01S. 01S will transfer to

NARA when 20 years old.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

N1-431-00-5

Item 4.a(2)

N1.43 1-00-5

Item 4.a(3)

N1-431-00-5

Item 4.a(4)

March 2005 2.10. 10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM -

NO. -DESCRIPTION OF RECORDS -- : - AUTHORIZED DISPOSITION

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and -'Perrnanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, TIFF files. Transfer to NARA

search, and retrieval of the PDF according to regulations found

files and TIFF files, and in 36 CFR § 1228.270 when the

ADAMS data related to digital PDF files and TIFF files are

signatures, and data that transferred. Destroy NRC copy

evidence final NRC 18 years after transferring

management and staff record to NARA.

concurrences in documents that

are linked to and considered

part of the official records.

NI-431-00-5

Item 4.a(5)

b. Program Correspondence Files

Created or Received Below the

Office Director LeveL

Files that document policy making

decisions, significant or OE

program management functions and

program operations. They are

signed by or addressed to OE

management and staff below the OE

Director and Deputy Director level.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

Cut off at close of fiscal year.:

Hold 2 years and retire to the

Washington National Record

Center through QIS. Destroy 10

years after cutoff.

e NC1-431-81-5

- Item 1.2.15.b

March 2005 2.10. 11 ' NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-00-5

Item 4.b(2)

N1-431-00-5

Item 4.b(3)

NI-43 1-00-5

Item 4.b(4)

c. Routine Prozram Correspondence

Files Created or Received at All

Orizanizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

March 2005 2.10. 12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and '-'

their linked ASCII files-;"'

ADAMS document profiles and

document packages; aand

ADAMS digital signature and

concurrence data.

-AUTHORIZED DISPOSITIO] N

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

-reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NARA

APPROVED

.-CITATION

NC1431-81-5

. Item 1.2.15.c

N1431-00-5

Item 4.c(2)

N143 1-00-5

-Item 4.c(3)

N1-43 1-00-5

Item 4.c(4)

4. Regulatorv History Files for

Proposed and Final Rulemaking

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

March 2005 2.10. 13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

comments, Committee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards

comments, Commission papers,

transcripts, indexes, and Federal

Register Notices.

Record keeping system: ADAMS.

a. Official case files created by OE.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Permnanent. Cut off when final

regulation is issued through

notice in the Federal Register.

Transfer to NARA in 5-year

blocks when the earliest closed

case file is 25 years old and the

most recent case file is 20 years

old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI-43 1-85-1

Item L.a

N1-43 1-00-5

Item 5.a(2)

N1-43 1-00-5

Item 5.a(3)

March 2005 2.10. 14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files when regulation is issued

through notice in the Federal

Register. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. copy 8

years after transferring record to

NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

N1431-00-5

Item 5.a(4)

N1-431-00-5

Item 5.a(5)

8 years after transferring record

to NARA.

March 2005 2.10. 15 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 11. RECORDS OF THE OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS

The operational activities of NRC carried out by several program and staff offices, are supervised and

coordinated by the Executive Director for Operations (EDO). The EDO is also responsible for

implementation of Commission policy directives pertaining to all program and staff offices reporting to

the EDO.

The following record schedule was developed for records unique to the EDO. Reference NRC Schedule

1, "Records Common to Most Offices," and the General Records Schedules 1 through 26 for other

applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and': -

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and --

conferences when NRC is the -

sponsoring agency. Excluding

routine internal committee and

conference records covered by

GRS 26-1.a.

Record keeping system: ADAMS. -

(1) Paper records created before; Permanent. Cut off when NRC

04/01/2000. - . involvement terminates. OIS

- ~- -will transfer to NARA 10 years

,after cutoff.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged:; 2 months after creation of

Image File Format (TIFF) files- -l-ADAMS electronic record.

and ASCII files.

N1431-00-6

Item 1.a(l)

NI-431-00-6

Item L.a(2)

March 2005 2.11.1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

N1431-00-6

Item L.a(3)

N143 1-00-6

Item l.a(4)

N1431-00-6

Item L.a(5)

March 2005 2.11.2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

-transferred. Destroy. NRC copy

-8 years after transferring record

to NARA.

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the sot

to create ADAMS Tagged

Image File Format (TIFF) fil

and ASCII files.

(3) Copies of electronic files sto;

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) file

TIFF files, and ASCII files ti

remain with staff members ai

OIS processing staff after

creation of the ADAMS

records. Included are electro

records created internally usi

office automation tools (e.g.,

WordPerfect, Lotus, InForms

mail, etc.) and electronic

Destroy when 3 years old or

' earlier if no longer needed for

-reference.

irce Destroy paper documents

2 months after creation of

es ADAMS electronic record.

red Destroy after creation of

ADAMS electronic record or

when no longer needed for

s, - reference or updating,

iat whichever is later.

NI-431-00-6

Item L.b(l)

NI-43 1-00-6

Item L.b(2)

NI-431-00-6

Item L.b(3)

March 2005 2.11.3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES <-I

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-431-00-6

Item l.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, eDestroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-00-6

Item 1.c(1)

N1-431-00-6

Item L.c(2)

NI-43 1-00-6

Item I.c(3)

March 2005 2.11.4 NUREG-0910, Rev. 4 -
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

-:. AUTHORIZED DISPOSITION CITATION

mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their ;

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

-:- Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-43 1-00-6

Item I.c(4)

2. EDO Action Item Files

EDO Action Item Files (Green Ticket

Items and EDO Work Item Tracking

System Items) consisting of action

tickets, incoming correspondence,

responses including copies of responses

made by other offices, enclosures to

responses, pertinent background

information and all related documents

for each EDO Action Item assigned. - -

Files include those assigned to and

completed by the EDO, the

Commission, or other NRC office.

Record keeping system: ADAMS.

a. Paper records created before "Permanent. Cut off at close of

04/01/2000. 'fiscal year. Hold 2 years and

retire to the Washington

-National Record Center through

Q:OIS. OIS will transfer to

NARA when 20 years old.

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File - 2 months after creation of

Format (TIFF) files and ASCII files.* ADAMS electronic record.

N1-43 1-00-6

Item 2.a

N1431-00-6

Item 2.b

March 2005 2.11. 5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARAI

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

N 1-431-00-6

Item 2.c

N1-43 1-00-6

Item 2.d

N143 1-00-6

Item 2.e

March 2005 2.11.6 NUREG-0910, Rev. 4
------

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS -AUTHORIZED DISPOSITION CITATION

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

- in 36 CFR § 1228.270 when the

-PDF files and TIFF files are

transferred. Destroy NRC copy

'8 years after transferring record

I to NARA.

3. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies"':

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of the

Executive Director for Operations

(OEDO) program and staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant OEDO

program management functions that

are signed by or addressed to the '

EDO and Deputy EDOs. Excluded'

is program correspondence thai

documents routine transactions for '-

which the record content is

summarized or duplicated in higher

level documents. (See item c. -

below.)

(1) Paper records created before ' Permanent. Cut off at close of

04/01/2000. -' - fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

NCI-431-81-5

Item 1.2.15.a

March 2005 2.11.7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

01S. OIS will transfer to

NARA when 20 years old.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of trainsfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

N1-431-00-6

Item 3.a(2)

NI-431-00-6

Item 3.a(3)

N1-431-00-6

Item 3.a(4)

March 2005 2.11.8 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED . - - AUTHORIZED DISPOSITION CITATION

-- with NARA concurrence,

' -records will be converted to

; paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and -!Permanent. Cut off electronic

ADAMS document packages f ; files with related PDF files and

created for the management,"-' TIFF files. Transfer to NARA

search, and retrieval of the PDF according to regulations found

files and TIFF files, and in 36 CFR § 1228.270 when the

ADAMS data related to digital PDF files and TIFF files are

signatures, and data that transferred. Destroy NRC copy

evidence final NRC 8 years after transferring record

management and staff to NARA.

concurrences in documents that

are linked to and considered

part of the official records.

N1431-00-6

Item 3.a(5)

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant or OEDO

program management functions and

program operations. They are

signed by or addressed to EDO

management and staff below the

EDO and Deputy EDO level.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through OIS. Destroy 10

years after cutoff.

NC1-431-81-5

Item 1.2.15.b

March 2005 2.11.9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

AUTHORIZED DISPOSITION

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

NARA

APPROVED

CITATION

N143 1-00-6

Item 3.b(2)

NI-43 1-00-6

Item 3.b(3)

N1431-00-6

Item 3.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

March 2005 2.1 1.10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

AUTHORIZED DISPOSITION

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NARA

APPROVED

CITATION

-NCI-43 1-81-5

Item 1.2.15.c

NI-431-00-6

Item 3.c(2)

N1-431-00-6

Item 3.c(3)

N1-431-00-6

Item 3.c(4)

March 2005 2.11.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

4. Work Item Trackin2 System (WITSLI)

The system provides a common data

base for Commission action items which

can be shared by all NRC offices.

Record keeping system: Electronic

Information System.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC 1-431-81-2

<21-

March 2005 2.11.12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 12. RECORDS OF THE OFFICE OF THE GENERAL COUNSEL

The Office of the General Counsel (OGC) directs matters of law and legal policy, providing opinions,

advice, and assistance to the agency with respect to all of its activities; reviews and prepares appropriate

draft Commission decisions on decisions and rulings, public petitions seeking direct Commriission action,

and rulemak~ing proceedings involving hearings; provides interpretation of laws, regulations, and other

sources of authority, and the legal form and content of proposed official actions; prepares or concurs in

all contractual documents, interagency agreements, delegations of authority, regulations, orders, licenses,

and other legal documents and prepares legal interpretations thereof; reviews and directs intellectual

property work; represents and protects the interests of the NRC in legal matters and in court proceedings,

and in relation to other government agencies, administrative bodies, Committees of Congress, foreign

governments, and members of the public.

The following record schedules were developed for records unique'to OGC. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other

applicable schedules. Applicable schedules have been identified on the "Files Maintenance and

Disposition Plans" retained by the office Records Liaison Officer.

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Commission Memorandum File

Copies of memoranda to Commissioners

containing legal opinions on a variety of

subjects. Memoranda are numbered

sequentially within years.

Record keepinn system: ADAMS.

a. Record set consisting of one copy of

each memorandum.

(1) Paper records created before -Permanent. Retire to

04/01/2000. Washington National Records

Center when 10 years old.

Transfer to NARA when 20

- - years old.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Formnat (TIFF) files -ADAMS electronic record.

and ASCII files.

NCI-431-81-5

Item 2.4.12.a

NI-431-00-18

Item L.a(2)

March 2005 2.12.1 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

AUTHORIZED DISPOSITION

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

NARA

APPROVED

CITATION

N 1431-00-18

Item l.a(3)

N1-431-00-18

Item L.a(4)

<21

March 2005 2.12. 2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

-AUTHORIZED DISPOSITION -- CITATION

(5) ADAMS document profiles and' -Permanent. Cut off electronic

ADAMS document packages' files with related PDF files and

created for the management, `-TIFF files. Transfer to NARA

search, and retrieval of the PDF' -according to regulations found

files and TIFF files, and ''- 9 ' ' ' in 36 CFR § 1228.270 when the

ADAMS data related to digital PDF files and TIFF files are

signatures, and data that transferred. Destroy NRC copy

evidence final NRC 18 years after transferring

Management and staff record to NARA.

concurrences in documents that

are linked to and considered

part of the official records.

N1-431-00-18

Item 1.a(5)

2. Committee and Conference

Records

a. Records relating to establishmienit,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments'

created by committees and

conferences when NRC is the

sponsoring agency. Excluding

routine internal committee and

conference records covered by

GRS 26-l.a.

Record keeping system: ADAMS.'

(1) Paper records created before! "Permanent. Cut off when NRC

04/01/2000. ' involvement terminates. 01S

will transfer to NARA 10 years

-' after cutoff.

NI-431-00-18

Item 2.a(1)

(2) Paper records used as the so'urce '-

to create ADAMS Tagged '' i

Image File Format (TIFF) files

and ASCII files. ' -' -

Destroy paper documents

i-2 months after creation of

ADAMS electronic record.

N1-43 1-00-18

Item 2.a(2)

March 2005 2.12.3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NAR,

APPROVED

AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

NI-431-00-18

Item 2.a(3)

N1-431-00-18

Item 2.a(4)

N1-431-00-18

Item 2.a(5)

March 2005 2.12.4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS : ;: AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

are linked to and considered

part of the official records.

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

'PDF files and TIFF files are

- transferred. Destroy NRC copy

8 years after transferring record

to NARA.

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/0112000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) and

ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable -- :

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and .

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

Destroy when 3 years old or

earlier if no longer needed for

- reference.

Destroy paper documents

*2 months after creation of

ADAMS electronic record.

Destroy after creation of

* ADAMS electronic record or

when no longer needed for

reference or updating,

- whichever is later.

NC1-43 1-00-18

Item 2.b(1)

NI-431-00-18

Item 2.b(2)

N1-431-W0-18

Item 2.b(3)

March 2005 2.12.5 NUREG-0910, Rev. 4
-~ -

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARAk

APPROVED

AUTHORIZED DISPOSITION CITATION

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1431-00-18

Item 2.b(4)

c. All other records created by

committees regardless of whether NRC

is the sponsor agency, excluding the

agenda, minutes, final reports and

related records described in Item a,

above.

Record keeping system: ADAMS.

(1) Paper records created before

10/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Formnat (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1431-81-5

Item 1.5.30.b.2

N1431-00-18

Item 2.c(2)

NI-431-00-18

Item 2.c(3)

March 2005 2.12.6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS . ' -AUTHORIZED DISPOSITION CITATION

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

NI-431-00-18

Item 2.c(4)

3. Conflict of Interest (Ethics Official)

Files

Paper records consisting of Policy and

Precedent Files maintained in subject

order that consist of letters, messages,

memoranda, studies, reports, forms, and

other data interpreting or applying

requirements or policies. These

documents establish policies or :

precedents needed to provide ethics

advice.

Record keening system: Paper.

4. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures, -

accomplishments, opinions, and

Cut off at close of fiscal year.

Destroy 25 years after cutoff.

NI-431-00-18

Item 3.a

March 2005 2.12.7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

decisions pertaining to Office of the

General Counsel (OGC) program and

staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant OGC

program management functions that

are signed by or addressed to the

OGC Director or Deputy Director.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

OIS. OIS will transfer to

NARA when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 1.2.15.a

N1-431-00-18

Item 4.a(2)

N1431-00-18

Item 4.a(3)

March 2005 2.12.8 NUREG-0910, Rev. 4
-----

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM -

NO. DESCRIPTION OF RECORDS

NARA

APPROVED - ; 'AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

N1-431-00-18

Item 4.a(4)

(5) ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, TIFF files. Transfer to NARA

search, and retrieval of the PDF '- according to regulations found

files and TIFF files, and ' in 36 CFR § 1228.270 when the

ADAMS data related to digital PDF files and TIFF files are

signatures, and data that transferred. Destroy NRC copy

evidence final NRC 8 years after transferring record

Management and staff to NARA.

-N1431-00-18

Item 4.a(5)

March 2005 2.12. 9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARY

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

concurrences in documents that

are linked to and considered

part of the official records.

b. Program Corresnondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant OGC program

management functions and program

operations. They are signed by or

addressed to OGC management and

staff below the Office Director

level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through OIS. Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1 431-81-5

Item 1.2.15.b

N1-431-00-18

Item 4.b(2)

N1431-00-18

Item 4.b(3)

March 2005 2.12.10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

-. -. AUTHORIZED DISPOSITION CITATION

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-00-18

; Item 4.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before Destroy when 2 years old, or

04/01/2000. sooner if purpose has been

served.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files :ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ;ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members-and--'l

* NCI-431-81-5

Item 1.2.15.c

N1-431-00-18

Item 4.c(2)

N1-431-00-18

Item 4.c(3)

March 2005 2.12.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

<-I NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

N1431-00-18

Item 4.c(4)

5. Leeislative Files

Case files of legislation proposed by

NRC consisting of proposals, staff

comments, internal memos,

correspondence with the Office of

Management and Budget (OMB),

testimony, and draft bills. Arranged

numerically by bill number or by

subject if more than one bill is involved.

Record keeping system: ADAMS.

a. Paper records created prior to

04/01/2000.

b. Paper records used as the source to

Permanent. Retire to

Washington National Records

Center when 10 years old.

Transfer to NARA when 20

years old.

Destroy paper documents

NCI-431-81-5

Item 2.4.13

N1-431-00-18

March 2005 2.12.12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

-: - AUTHORIZED DISPOSITION CITATION

create ADAMS Tagged Image File --- ' 2 months after creation

Format (TIFF) files and ASCII files. - -

Item 5.b

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and:

ASCII files that remain with staff -

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

-: Destroy after creation of

- -ADAMS electronic record or

when no longer needed for

-reference or updating,

,' whichever is later.

N1-431-00-18

Item 5.c

N1-431-00-18

Item 5.d

d. ADAMS PDF files and TIFF files. Permanent. Cut off electronic

files biannually at close of each

Congress. Transfer to the.

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

;:-' with NARA concurrence,

-.records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

-transferring record to NARA.

March 2005 2.12.13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

Management and staff concurrences

in documents that are linked to and

considered part of the official

records.

AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

N1-431-00-18

Item 5.e

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

6. Licensina Docket Formal Hearinz

Files

Case files maintained by the Office of

the General Counsel on hearings before

the Commission, Boards, Presiding

Officers, and Panels relating to antitrust

actions, and applications for

construction permits and operating

licenses for individual nuclear facilities,

as well as for combined licenses,

renewed licenses, reactor and senior

reactor operator licenses, materials and

facilities licenses, waste storage and

disposal licenses, and enforcement

actions. Files consist of

correspondence, briefs, pleadings,

hearing transcripts, and related records

on cases and are used by OGC staff in

arguing cases.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Silver master and one diazo copy of

microfiche.

Destroy after verification that

microfiche copies are adequate

substitutes for original records.

Offer to NARA. If not accepted

by the National Archives,

NCI-431-81-5

Item 1.3.19.a

NC1-431-81-5

Item 1.3.19.b

March 2005 2.12.14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION .D -IO A S - AUTHORIZED DISPOSITION

maintain until no longer needed

by agency.

NOTE: The creation of a microfiche

copy of OGC's Licensing Docket

Formal Hearing Files will be

discontinued when ADAMS is

implemented and verified to be

operating correctly. Documents can be

obtained from the Electronic Hearing

Docket maintained in ADAMS and

output to a variety of media and

formats. Accordingly, this series will be

discontinued on 04/01/2000 with the

implementation of ADAMS and this'

disposition applied only to the files up

to that date.

7. Litigation Case Files

Correspondence and copies of all papers

filed in actions brought by or against the

NRC. Arranged alphabetically by thename of the party involved in the suit.-

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000. -

i Permanent. Retire closed files

to Washington National

' Records Center 7 years after

- ' cases are closed. Transfer to

NARA 20 years after cases are

closed.

NC1-431-81-5

Item 2.4.11

b. Paper records used as the source to' - Destroy paper documents

create ADAMS Tagged Image File', 2 months after creation

Format (TIFF) files and ASCII files'" -

c. Copies of electronic files stored Destroy after creation of:

outside of ADAMS used to create 'ADAMS electronic record or

ADAMS Portable Document when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

NI-431-00-18

-. Item 7.b

N1-431-00-18

Item 7.c

March 2005 2.12;15', NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

whichever is later.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

Permanent. Cutoff electronic

files when case closed.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

NI-431-00-18

Item 7.d

N1431-00-18

Item 7.e

March 2005 2.12.16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

data that evidence final NRC

Management and staff concurrences

in documents that are linked to and

considered part of the official

records.

-transferred. Destroy NRC copy

18 years after transferring

record to NARA.

8. Patent and Technical Data Files

a. Invention dockets containing copy

of invention disclosure and

pertinent correspondence.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

Destroy 10 years after file is

closed.

Destroy paper documents

2 months after creation

Destroy after creation of

ADAMS electronic record or

when no longer needed for

- reference or updating,

whichever is later.

Cut off electronic files when

file is closed. Destroy 10 years

NC1-431-81-5

Item 4.2.3.a

N1-431-00-18

Item 8.a(2)

N1-431-00-18

Item 8.a(3)

NI-431-00-18

Item 8.a(4)

March 2005 2.12.17 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

\-i

AUTHORIZED DISPOSITION

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

b. Case files of U.S. patent

applications containing record of

invention disclosure, record of

invention, draft of patent

application with inventor's notes,

copy of patent application as filed in

Patent Office, pertinent

correspondence, amendments,

reports, and references as follows.

Record keeping system: ADAMS.

(1) Abandoned patent applications.

after cut off.

(a) Paper records created

before 04/01/2000

(b) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII

files.

(c) Copies of electronic files

stored outside of ADAMS

used to create ADAMS

Portable Document Format

(PDF) files, Tiff files, and

ASCII files that remain with

staff members and OIS

processing staff after

creation of the ADAMS

records. Included are

electronic records created

internally using office

automation tools (e.g.,

Destroy 10 years after

application is abandoned.

Destroy paper documents

2 months after creation

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 4.2.3.b. I

N143 1-00-18

Item 8.b(1)(b)

N1-431-00-18

Item 8.b(1)(c)

March 2005 2.12.18 NUREG-0910, Rev. 4
NRC Schedule 2

R O. O N. C F RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

WordPerfect, Lotus,

InForrns, e-mail, etc.) and

electronic records received

from outside the agency.

(d) ADAMS PDF files and

their linked native

application source files;

ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles

and document packages;

and ADAMS digital

signature and concurrence

data.

'Cut off electronic:files when

application is abandoned.

Destroy 10 years after cut off.

N1-431-00-18

Item 8.b(1)(d)

(2) Issued patents.

(a) Paper records created

before 04/01/2000.

(b) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII

files.

(c) Copies of electronic files

stored outside'of ADAMS

used to create ADAMS

Portable Document Format

(PDF) files, TIFF files, and

ASCII files that remain with'

staff members and 01S

processing staff after

creation of the ADAMS

records. Included are

electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

Destroy 25 years after patent is

issued.

Destroy paper documents

2 months after creation.

Destroy after creation of

'ADAMS electronic record or

;when no longer needed for

.reference or updating,

'whichever is later.

NC1-431-81-5

Item 4.2.3.b.2

N1-431-00-18

Item 8.b(2)(b)

N1-431-00-18

Item 8.b(2)(c)

March 2005 2.12.19 NUREG-0910, Rev. 4 -
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

electronic records received

from outside the agency.

(d) ADAMS PDF files and

their linked native

application source files;

ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles

and document packages;

and ADAMS digital

signature and concurrence

data.

Cut off electronic files after

patent is issued. Destroy 25

years after cutoff.

NI-431-00-18

Item 8.b(2)(d)

c. Files on contracts, subcontracts, and

purchase orders containing

miscellaneous correspondence and

related papers pertaining to

negotiation of contract patent

provisions, inventions, or

discoveries conceived under

contract, reports and papers

reviewed for patent clearance, and

patent clearance of terminated

contracts.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

Destroy 10 years after patent

clearance.

Destroy paper documents

2 months after creation.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 4.2.3.c

N1-431-00-18

Item 8.c(2)

NI-431-00-18

Item 8.c(3)

March 2005 2.12.20 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files after N1-431-00-18

patent clearance. Destroy 10 - Item 8.c(4)

years after cut off.

d. License agreement and assignment

files containing license agreements

and assignments in U.S. patents and

pertinent correspondence regarding

execution of license agreements and

royalty payments.

(1) Paper records created before

04/01/2000.

Destroy 25 years after issuance

of patent.

NCI-431-81-5

Item 4.2.3.d

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation.

Image File Format (TIFF) files -

and ASCII files. - - .

N1-431-00-18

Item 8.d(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-00-18

Item 8.d(3)

March 2005 2.12.21 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files after

issuance of patent. Destroy 25

years after cut off .

NL-431-00-18

Item 8.d(4)

e. Patent Agreement Forms,

"Agreement Covering Discoveries,

Inventions, and Improvements,"

signed by all employees at time of

employment. <21-

(I) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

Destroy when 56 years old.

Destroy paper documents

2 months after creation.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 4.2.3.e

N1-431-00-18

Item 8.e(2)

N1431-00-18

Item 8.e(3)

March 2005 2.12.22 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED . AUTHORIZED DISPOSITION CITATION .

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 56 years

after cut off.

NI-431-00-18

Item 8.e(4)

f. Docket files containing findings,

determinations, and statements of

reason, decisions, backup material,

and correspondence with the Patent

Compensation Board, U.S. Court of

Appeals, and U.S. Court of Claims.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged' " -

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to"

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files ihat

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy when 25 years old.

Destroy paper documents

2 months after creation

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 4.2.3.f

NI-431-00-18

Item 8.f(2)

N1-431-00-18

Item 8.f(3)

March 2005 2.12.23 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 25 years

after cut off.

N1431-00-18

Item 8.f(4)

g. Infringement files containing

copies of patents which have been

or possibly might be infringed;

pertinent correspondence regarding

use of patented process, device, or

material; copies of purchase orders

and other backup material; and

Court of Claims petitions and

actions.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIfFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy when 30 years old.

Destroy paper documents

2 months after creation

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI-431-81-5

Item 4.2.3.g

N1431-00-18

Item 8.g(2)

N1431-00-18

Item 8.g(3)

March 2005 2.12.24 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS -AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 30 years

after cut off.

N1-431-00-18

Item 8.g(4)

h. Case files containing

correspondence with contractors

regarding U.S. patent applications

referred for review under sections

151 and 152 of the Atomic Energy

Act.

(1) 151 "C" Reports and

Applications.

(a) Paper records created

before 04/01/2000.

(b) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII ',

files.

'Destroy 25 years after date of

last action.

Destroy paper documents

2 months after creation

NC1431-81-5

Item 4.2.3.h. 1

N1-431-00-18

Item 8.h(1)(b)

(c) Copies of electronic files' Destroy after creation of

stored outside of ADAMS ADAMS electronic record or

used to create ADAMS when no longer needed for

Portable Document Format reference'or updating,'

(PDF) files, TIFF files and whichever is later.

ASCII files that remain with

staff members and OIS

processing staff after

creation of the ADAMS

records. Included are

electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

NI-431-00-18

Item 8.h(1)(c)

March 2005 2.12-25 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

RnD AUTHORIZED DISPOSITION

ITEM

NO.

NARA

APPROVED

.

nES(RIPTION ^ . . _ . . _ . _ 

OF _ 

RECOF _ [Eva .

CITATION

electronic records received

from outside the agency.

(d) ADAMS PDF files and

their linked native

application source files;

ADAMS TIFF files and

their finked ASCII files;

ADAMS document profiles

and document packages;

and ADAMS digital

signature and concurrence

data.

Cut off electronic files after last

action. Destroy 25 years after

cut off.

N 1431-00-18

Item 8.h(1)(d)

(2) 152 Applications.

(a) Paper records created

before 04/01/2000.

(b) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII

files.

(c) Copies of electronic files

stored outside of ADAMS

used to create ADAMS

Portable Document Format

(PDF) files, TIFF files, and

ASCII files that remain with

staff members and OIS

processing staff after

creation of the ADAMS

records. Included are

electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received

from outside the agency.

Destroy 10 years after patent

expires.

Destroy paper documents

2 months after creation

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI-431-81-5

Item 4.2.3.h.2

N1-431-00-18

Item 8.h(2)(b)

N1-431-00-18

Item 8.h(2)(c)

March 2005 2.12.26 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

(d) ADAMS PDF files, files in

their native applications,

TIFF files, ASCII files, and

document profiles.

i. Ledgers and log record showing

invention disclosures reported date,

disposition, and U.S. office actions.

AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

NI-431-00-18

Item 8.h(2)(d)

Cut off electronic files when

patent expires. Destroy 10

'' years after cut off.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools

(e.g.,WordPerfect, Lotus,

InForms, e-mail, etc.) and',

electronic records received from

outside the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;'

ADAMS document profiles and

Destroy 10 years after last

entry.

Destroy paper documents

2 months after creation

Destroy after creation of

ADAMS electronic record or

when no longer needed for -

reference or updating,

whichever is later.

-Cut off at end of fiscal year.

Destroy 10 years after cut off.

NC143 1-81-5

Item 4.2.3.i

N1431-00-18

Item 8.1(2)

N1 431-00-18

Item 8.1(3)

N1-431-00-18

Item 8.1(4)

document packages; and '

ADAMS digital signature and

concurrence data.

March 2005 2.12.27 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

V\

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

9. Personal Opinion Files

Paper records consisting of personal

opinions of the General Council related

to sensitive personnel matters.

Record keeping system: Paper.

Cut off at close of fiscal year.

Destroy when 1 year old or

when reference value has been

exhausted, whichever is sooner.

N1-431-00-18

Item 9

10. Regulatory History Files for

Proposed and Final Rulemaking

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards

comments, Commission papers,

transcripts, indexes, and Federal

Register Notices.

K>

Record keeping system: ADAMS.

a. Official case files created by the

OGC.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Cut off when

regulation is issued through

notice in the Federal Register.

OIS will transfer to NARA in 5-

year blocks when the earliest

closed case file is 25 years old

and the most recent case file is

20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NC1-431-85-1

Item l.a

N1-431-00-18

Item 10.a(2)

March 2005 2.12.28 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

DO -.T F .

DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files7 that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when regulation is issued

through notice in the Federal

Register. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

N1-431-00-18

Item 10.a(3)

NI-431-00-18

Item 10.a(4)

NI-431-00-18

Item 10.a(5)

March 2005 2.12.29 - NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

are linked to and considered

part of the official records.

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

<2

March 2005 2. 12.30 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 13. RECORDS OF THE OFFICE OF HUMAN RESOURCES

The Office of Human Resources (HR) provides overall leadership and management of human resources

policy and program development and human resources services delivery. Plans and implements NRC

policies, programs, and services to provide for employment services and operations, labor relations,

organizational development, training, and human resources information and analysis. Administers and

manages the NRC occupational safety and health programs including oversight of the workers'

compensation and employee assistance programs; and the headquarters child care facility, health unit, and

fitness center. Provides advice and support for the planning, development, implementation, oversight, and

evaluation of HR information systems. Conducts HR budget formulation, justification, and execution;

manages the development and implementation of HR accounting systems and carries out financial

management coordination. Develops and implements the HR strategic plan; devises both short and longrange plan consistent with agency wide programmatic goals and objectives; assists and advises NRC

management in the planning and implementation of HR goals consistent with agency policies and mission.

The following record schedules were developed for records unique to HR. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other applicable

schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition Plans"

retained by the office Records Liaison Officer.

ITEM

NO.

* NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Audio Cassettes for Technical

Training!

Audio Cassettes purchased from outside Erase and reuse when no longer

sources for technical training of NRC: needed.

staff.

NC1-431-81-4

Item 4

Record keeping system: Audio cassette.

2. Automated Personnel System (APS)

The Automated Personnel System Retain until it has been

maintains records on NRC personnel determined by a competent

regarding previous employment, history NRC Official that data are no

of NRC employment, and present status. longer needed; erase and reuse

Information and data regarding various tape, etc.

employee actions are input to the

system. These actions are: accessions,

transfers, terminations; and/or regular

reports, such as: notice of in-grade step,

employment trends, minority

employment, skills and levels, grades by

NC1-431-81-2

-Item 13.1.6

March 2005 2.13. 1 NUREG-0910, Rev. 4
I --- ----- - L,

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

<-/

AUTHORIZED DISPOSITION

sex or minority and anticipated

retirement levels.

Record keeping system: Electronic

Information System.

3. Awards Files

a. Records relating to meritorious and

distinguished service awards made

at the commission level and

maintained by the Office of Human

Resources.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permnanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

NC1-431-81-5

Item 1.5.28.a

N1-431-00-15

Item 1.a(2)

N1-431-00-15

Item 1.a(3)

N1-431-00-15

Item 1.a(4)

March 2005 2.13. 2 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM -

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

--. . -AUTHORIZED DISPOSITION CITATION

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered:

part of the official records. :

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found,

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1431-00-15

Item L.a(5)

b. Copies of records described in a.:-

above exclusive of those filed in

Official Personnel Folders.-

Record keeping system: ADAMS.-

(1) Paper records created before

04/01/2000.

Destroy 2 years after award is

- made.

NC1-431-81-5

Item 2.22.3.b

March 2005 2.13. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARIA

APPROVED

AUTHORIZED DISPOSITION CITATION

Note: The maintenance of extra

copies of award records in this

series will be discontinued when

ADAMS is implemented as the

records will be obtainable from the

records located in ADAMS.

Accordingly, this series will be

discontinued on 04/01/2000 with

the implementation of ADAMS and

this disposition applied only to the

files up to that date.

4. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency. Excluded are

records of EEO Committee meeting

records including minutes and

reports covered by GRS 1-25.g.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

Permanent. Cut off when NRC

involvement terminates. OIS

will transfer to NARA 10 years

after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

N1-431-00-15

Item 2.a(1)

NI-431-00-15

Item 2.a(2)

N1-431-00-15

Item 2.a(3)

March 2005 2.13. 4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

- AUTHORIZED DISPOSITION CITATION

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

i when no longer needed for

reference or updating,

whichever is later.

(4) ADAMS PDF files and TIFF Permanent. Cut off electronic

files. files when NRC involvement

terminates. Transfer to the

-National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

ifor permanent electronic

'records contained in 36 CFR

1228.270 or standards

applicable at thetime. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

N1431-00-15

Item 2.a(4)

N1-431-00-15

-Item 2.a(5)

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

March 2005 2.13. -5 1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

K>

AUTHORIZED DISPOSITION

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OTS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-00-15

Item 2.b(1)

N1-431-00-15

Item 2.b(2)

NI-431-00-15

Item 2.b(3)

March 2005 2.13. 6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS CITATION i .I .AE D P O: T 

- -AUTHORIZED DISPOSITION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

' termination of committee.

Destroy 3 years after cutoff.

N143 1-00-15

Item 2.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Nl-431-00-15

'Item 2.c(1)

Nl-431-00-15

'Item 2.c(2)

- (3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ' - ADAMS electronic record or

create ADAMS Portable' when no longer needed for

Document Format (PDF) files, 'reference or updating,

TiFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after ' '

creation of the ADAMS '

records. Included areelectronic'

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,"email, etc.) and electronic . .....

records received from outside

the agency.

N1-431-00-15

Item 2.c(3)

March 2005 2.13. 7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1431-00-15

Item 2.c(4)

5. Differing Professional View and

Opinion Files

a. Differing Professional View (DPV)

Files

Case files documenting the informal

evaluation and satisfactory

resolution of an employee's

differing professional views within

an office or region pertaining to

NRC mission issues. Records

include the initial DPV, the DPV

panel reports, decision memoranda,

document lists, and related

correspondence.

Record keeping system: ADAMS.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Cut off files when case is closed

by final office or regional

decision and completion of

internal processing. Transfer to

the Washington National

Records Center 2 years after

cutoff if the records consist of

at least I cubic foot. Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

N1-431-00-15

Item 3.a(1)

N143 1-00-15

Item 3.a(2)

March 2005 2.13. 8 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. - DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION . TS -AUTHORIZED DISPOSITION

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic'

records created internally'usingi

office automation tools'(e.g.,-''

WordPerfect, Lotus, InForms, e-'

mail, etc.) and electronic

records received from outside

the agency.

N1-431-00-15

Item 3.a(3)

(4) ADAMS PDF files and their: ' -Cut off electronic files-when -

linked native application'source case is closed by final office or

files; ADAMS TIFF files and regional decision and

their linked ASCII files; completion of internal

ADAMS document profiles and processing. Destroy 10 years

document packages; and -"'-after cutoff.

ADAMS digital signature and

concurrence data.

N1431-00-15

Item 3.a(4)

b. Differing Professional Opinion

(DPO) Files

Case files documenting the formal

EDO or Commission evaluation and

resolution of an employee's

differing professional views and

opinions pertaining to NRC mission

issues that are not satisfactorily

resolved at the office director or

regional administrator level.

Records include the initial -

unresolved Differing Professional -

View (DPV), the DPO, the DPV

and DPO panel reports, decision

memoranda, document lists, and

related correspondence. Case files

also contain the sanitized copy

March 2005 2.13. 9 NUREG-09l0, Rev. 4
In.

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

K-)

AUTHORIZED DISPOSITION

containing documents released to

the public.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Cut off files when case is closed

by final EDO or Commission

decision and completion of

internal processing. Transfer to

the Washington National

Records Center 2 years after

cutoff if the records consist of

at least 1 cubic foot. Destroy 30

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 30 years

after cutoff.

N1-431-00-15

Item 3.b(1)

N1-431-00-15

Item 3.b(2)

NI-431-00-15

Item 3.b(3)

N143 1-00-15

Item 3.b(4)

March 2005 2.13. 10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

6. General Correspondence Files

(Sublect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of Human

Resources (HR) programs and staff

activities.

Record keeping system: ADAMS.

a. Correspondence Files at the Office

Director Level.

Files that document policy- making

decisions or significant management

of HR functions that are signed by

or addressed to the HR Director.

Excluded is correspondence that

documents routine transactions for'

which the record content is

summarized or duplicated in higher

level documents. (See item c.

below.)

(1) Paper records created before 'Permanent. Cut off at close of

04101/2000. - .....fiscal year. Hold 2 years and

-- - retire to the Washington

- - National Record Center through

. IS. OIS will transfer to

-.NARA when 20 years old.

(2) Paper records used as the source '-Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Forrmat (TIFF) files ' ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored- Destroy after creation of

outside of ADAMS used to - ; ADAMS electronic record or

create ADAMS Portable :*'.when no longer needed for

NC143 1-81-5

Item 1.2.15.a

(NUREG-0910

NRCS 1-2.2.a)

NI-431-00-15

Item 4.a(2)

N1-431-00-15

Item 4.a(3)

March 2005 2.13.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA\

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

reference or updating,

whichever is later.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Pennanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

NI-431-00-15

Item 4.a(4)

K)/

N1-431-00-15

Item 4.a(5)

V'

March 2005 2.13. 12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS 'AUTHORIZED DISPOSITION CITATION

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

b. Correspondence Files Created or

Received Below the Office Director

Level.

Files that document policy making

decisions, significant management

of HR functions and operations that

are signed by or addressed to HR.

management and staff below the

office director level. Excluded is

program correspondence that

documents routine transactions for

which the record content is

summarized or duplicated in higher

level documents. (See item c.

below.) Also excluded is

correspondence pertaining to

internal management and operations

that are scheduled by the General

Records Schedules.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (Ti1FF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to :

create ADAMS Portable

Document Format (PDF) files,

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

-Center through QIS.- Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,;

NC1-431-81-5

Item 1.2.15.b

NI-431-00-15

Item 4.b(2)

N1-431-00-15

,Item 4.b(3)

March 2005 2.13.13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITENI

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

whichever is later.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N 1431-00-15

Item 4.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

NC1431-81-5

Item 1.2.15.c

N1431-00-15

Item 4.c(2)

NI-431-00-15

Item 4.c(3)

March 2005 2.13.1l4 NrUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS -

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

reference or updating,

whichever is later.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and ,

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NL-431-00-15

Item 4.c(4)

7. Training Aids

a. One copy of each manual, syllabus,

textbook, and other training aid for' '

management and technical subjects

developed by the Commission a'nd'

maintained by the Human'

Resources Development staff, HR, ' '1

and the Technical Training Center, '

Chattanooga, Tennessee.

Record keening system: ADAMS.'

(1) Paper records created before'- Permanent. Transfer to NARA

04/01/2000. --; '' ' ; 'when 10 years old.

(2) Paper records used as the source ' Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF)'files -:-'ADAMS electronic record.

and ASCII files.

NC1-431-81-5

Item 1.5.40.a

N1-43 1-00-15

Item 5.a(2)

March 2005 2.13. 15 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

N1431-00-15

Item 5.a(3)

N 1431-00-15

Item 5.a(4)

N1-431-00-15

Item 5.a(5)

March 2005 2.13. 16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

. AUTHORIZED DISPOSITION CITATION

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

b. Training aids from other agencies or

private institutions.

Record keening system: ADAMS.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

Destroy when superseded or

obsolete.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files when

superseded or determined to be

obsolete. Destroy 1 year after

cutoff.

NCI-431-81-5

Item 1.5.40.b

N1-431-00-15

Item 5.b(2)

NI-431-00-15

Item 5.b(3)

NI-431-00-15

Item 5.b(4)

March 2005 2.13.17 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

March 2005 2.13. 18 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 14. RECORDS OF THE OFFICE OF THE INSPECTOR GENERAL

The Office of the Inspector General (OIG) conducts investigations and inspections to ascertain and verify

the integrity of all NRC operations; investigates allegations of NRC employee misconduct, equal

employment opportunity, and civil rights complaints; develops policies and standards governing the

Commission's financial and management audit program, and administers Commission's day-to-day audit

activities; serves as point of contact with the General Accounting Office (GAO) on matters affecting NRC's

financial and management audit function; maikes such reports to the Commission as necessary to keep the

Commission fully informed on its financial 1mana'gement responsibilities, and on the results of investigations

and inspections; hears individual employee concerns regarding NRC operations and activities; refers

criminal matters to the Department of Justice (DOJ) and maintains liaison with DOJ and other law

enforcement agencies.

The following record schedules were developed for records unique to OIG. Also reference NRC Schedule

1, "Records Common to Most Offices," and the General Records Schedules 1 through 26 for other

applicable schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition

Plans" retained by the office Records Liaison Officer.

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Audit Case Files

Case files for program evaluations that

assist management in identifying,

analyzing and resolving program and

organizational performance/policy

issues, studies of areas of specific

concern, and internally generated study

initiatives designed to achieve

- organizational improvement. Case files

include survey questionnaires, notes,

rough draft proposals, correspondence,

and other working files used to prepare

final recommendations and reports.

Record keeping system: ADAMS.

a. Paper records used as the source to Destroy paper documents 2 N1-43 1 -00-1

create ADAMS Tagged Image File months after creation of Item 1.b

Format (TIFF) files and ASCII files. ADAMS electronic record.

b. Copies of electronic files stored Destroy after creation of Nl-431-00-1

outside of ADAMS used to create ADAMS electronic record or Item 1.c

ADAMS Portable Document when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

March 2005 2.14. 1 NUREG-0910, Rev. 4
ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

whichever is later.

c. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files when

case is closed. Destroy 10 years

after cutoff.

NI-431-00-1

Item L.d

2. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency. Excluding

internal committee records covered

by GRS 26-l.a.

Record keepine system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Cut off when NRC

involvement terminates. OIS

will transfer to NARA 10 years

after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NI-431-00-1

Item 2.a( 1)

N1431-00-1

Item 2.a(2)

March 2005 2.14. 2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored' Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files,, . reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1-431-00-1

Item 2.a(3)

(4) ADAMS PDF files and TIFF Permanent. Cut off electronic

files. files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

; transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

:'is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

N1-43 1-00-1

Item 2.a(4)

March 2005 2.14.3 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-1

Item 2.a(5)

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-00-1

Item 2.b(1)

N1-431 -00-1

Item 2.b(2)

N1-431 -00-1

Item 2.b(3)

March 2005 2.14. 4 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED : . -

- AUTHORIZED A O, DS. DISPOSITION PS CITATION

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their Cut off electronic files upon

linked native application source termination of committee.

files; ADAMS TIFF files and ; Destroy 3 years after cutoff.

their linked ASCII files;

ADAMS document profiles and

document packages; and

'ADAMS digital signature and

concurrence data.

N1431-00-1

Item 2.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1431-00-1

Item 2.c(1)

N1431-00-1

Item 2.c(2)

N1431-00-1

Item 2.c(3)

March 2005 2.14.5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITENI

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

' -'

AUTHORIZED DISPOSITION

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N 1-431-O00-1

Item 2.c(4)

3. General Proram Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of the

Inspector General (QIG) program and

staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant OIG

program management functions that

are signed by or addressed to the

Inspector General and Deputy

Inspector General. Excluded is

program correspondence that

documents routine transactions for

which the record content is

summarized or duplicated in higher

level documents. (See item c.

below.)

March 2005 2.14. 6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION . CITATION

(1) Paper records created before Permanent. Cut off at close of

04/01/2000. fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

01S. OIS will transfer to

-NARA when 20 years old.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files - ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to - ADAMS electronic record or

create ADAMS Portable - when no longer needed for

Document Format (PDF) files, -- reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF Permanent. Cut off electronic

files. files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determiine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

2 7records contained in 36 CFR

- - ;-1228.270 or standards

NCl-431-81-5

Item 1.2.15.a

N1-431-00-1

Item 3.a(2)

N1-431-00-1

Item 3.a(3)

N1-431-00-1

Item 3.a(4)

March 2005 2.14. 7 NUREG-0910, Rev. 4
IIINRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

NI-431-00-1

Item 3.a(5)

<112

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant or OIG

program management functions and

program operations that are signed

by or addressed to OIG management

and staff below the Inspector

General and Deputy Inspector

General level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before*

04/01/2000.

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

NC1-43 1-81-5

Item 1.2.15.b

March 2005 2.14. 8 NUREG-0910, Rev. 4
RNRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS ' '' ' '-'-'ATITHORIZED DISPOSITION CITATION

* Center through OIS. Destroy 10

years after cutoff.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files:

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, e

mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

_-Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

NI-431-00-1

Item 3.b(2)

NI-431-00-1

Item 3.b(3)

NI-431-00-1

Item 3.b(4)

c. Routine Progrram Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

March 2005 2.14. 9 NUREG-0910, Rev. 4
I .

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS

Portable Document Format

(PDF) files, TIFF files, and

ASCII files that remain with

staff members and OIS

processing staff after creation of

the ADAMS records. Included

are electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NC1431-81-5

Item 1.2.15.c

NI-431-00-1

Item 3.c(2)

N 1-431-00-1

Item 3.c(3)

N1-431-00-1

Item 3.c(4)

4. Investization Case Files

Case files resulting from Office of the

Inspector General Investigations of

alleged fraud, waste, abuse, and

irregularities and violations of laws and

regulations. Case files relate to agency

personnel and programs, and operations

March 2005 2.14.10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS I - :AUTHORIZED DISPOSITION CITATION

administered or financed by the agency,

including contractors and others having

a relationship with the agency and used

to prepare a concise final report.

Record keeping system: Paper.

a. All final investigation reports.

Permanent. Cut off at close of

fiscal year in which report is

issued. Hold reports in OIG for

-2 years, then retire to WNRC

through OIS. Transfer to

NARA 20 years after cutoff.

-N1431-00-2

Item l.a

b. Investigation case files meeting one Permanent. Cut off when case

or more of the following criteria: is closed. Hold files in OIG for

2 years, then retire to WNRC

(1) The subject of the investigation through 0IS. Transfer to

is a Chairman or Comrnissioner, NARA 20 years after cutoff.

an agency office director or

deputy director, or another high

ranking official reporting to

these positions;

NI-431-00-2

Item L.b

(2) The case attracts national or

regional media attention;

(3) The case results in a

Congressional investigation; or

(4) The case resulted in substantive

changes in agency policies and

procedures.

c. Investigation case files that do not

meet criteria for permanent

retention.

d. Files containing allegations and '

information of an investigative'

nature that do not result in the

establishment of a formal

Cut off when case is closed.

Hold files in OIG for 2 years,

then retire to WNRC through

OIS. Destroy 10 years after

cutoff.

-'Cut off files upon close of fiscal

1year. Destroy 5 years after

cutoff.

N143 1-00-2

Item I.c

NI-43 1-00-2

Item l.d

March 2005 2.14.11 - NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

K->

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

investigation. The files include

vague allegations not warranting an

investigation, matters referred to

other offices or agencies for

handling, and support files

providing general information

which may prove useful in Inspector

General investigations.

e. Electronic records created or

received used as the source to create

paper records that are filed in the

investigation files. Included are

electronic records created internally

using office automation tools (e.g.,

WordPerfect, Lotus, InForms, Email, etc.) and electronic records

received internally and from outside

the agency.

Create paper record of the

electronic document on the day

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immediately after

creating official record copy or

when no longer needed for

reference or updating.

Nl-431-00-2

Item L.e

5. Investigation Records Made Publicly

Available

Copies of final investigation reports and

other investigative records duplicating

paper records from Office of the

Inspector General (OIG) investigations

of alleged fraud, waste, abuse, and

irregularities and violations of laws and

regulations that are made publicly

available. The official investigation

reports and case file records are

maintained by the OIG in paper files.

Record keeping system: ADAMS.

a. Copies of final investigation reports

made publicly available.

(1) ADAMS PDF files and TIFF

files.

Permanent. Cutoff electronic

files at close of fiscal year in

which report is issued. Transfer

to the National Archives 2 years

N1-431-00-1

Item 4.a(l)

March 2005 2.14.12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

after cut-off. At the time of

transfer, NARA and NRC will

- determine medium and format

in which records will be

- ~transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance

- .with the standards for

- permanent electronic records

contained in 36 CER 1228.270

or standards applicable at the

time. If transfer in an electronic

medium is not feasible, prior to

transfer, with NARA

concurrence, records will be

converted to paper or to

-microform. Destroy NRC copy

-; - 18 years after transferring

record to NARA.

(2) ADAMS document profiles

created for the management,: -

search, and retrieval of the PDF

files and TIFF files.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1431-00-1

Item 4.a(2)

b. Copies of investigation case file

documents from case files

determined to be permanent.

(1) ADAMS PDF files and TIFF - . Permanent. Cut off electronic

files. files at close of fiscal year in

which document is released to

public. Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

N143 1-00-1

Item 4.b(1)

March 2005 2.14. 13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

-Ij

AUTHORIZED DISPOSITION

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(2) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-1

Item 4.b(2)

c. Copies of investigation case file

documents from case files

determined not to be permanent.

(1) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year in which

document is released to public.

Destroy 10 years after cutoff.

N1431-00-1

Item 4.c(1)

March 2005 2.14.14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - '-AUTHORIZED DISPOSITION CITATION

6. Regulatory History Files for

Proposed and Final Rulemakina

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes'

and recommendations, Advisory

Committee on Reactor Safeguards'

comments, Commission papers,

transcripts, indexes, and Federal

Register Notices.

Record keeping system: ADAMS.

a. Official case files created by 01G.'

(1) Paper records created before" Permanent. Cut off when final

04/01/2000. regulation is issued through

notice in the Federal Register.

OIS will transfer to NARA in 5-

year blocks when the earliest

;Closed case file is 25 years old

'and the most recent case file is

20 years old.

NC1-431-85-1

Item l.a

(2) Paper records used as the source

to create ADAMS Tagged ' - -

Image File Format (TIFF) files

and ASCII files. ' ' ' ' ''.

Destroy paper documents

''2 months after creation of

ADAMS electronic record.

I

N1431-00-1

Item 5.a(2)

- .: N1431-00-1

Item 5.a(3)

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable ' ' when no longer needed for

Document Format (PDF) files,' -reference or updating,

TIFF files, and ASCII files that :'''whichever is later.

remain with siaff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

March 2005 2.14.15 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

Permanent. Cut off electronic

files when regulation is issued

through notice in the Federal

Register. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1431-00-1

Item 5.a(4)

N1-431-00-1

Item 5.a(5)

March 2005 2.14. 16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

concurrences in documents that

are linked to and considered

part of the official records.

March 2005 2.14. 17 NUREG-0910, Rev. 4
NRC Scledule 2

RECORDS OF NRC OFFICES

PART 15. RECORDS OF THE OFFICE OF INTERNATIONAL PROGRAMS

The Office of International Programs (OIP) formulates and recommends policies concerning nuclear exports

and imports, international safeguards, international physical security, non-proliferation matters, and

international cooperation and assistance in nuclear safety and radiation protection. Plans, develops, and

implements programs to carry out policies established in these areas. Plans, develops, and manages

international nuclear safety information exchange programs and coordinates international research

agreements. Obtains, evaluates, and uses pertinent information from other NRC and U.S. Government

offices in processing nuclear export and import license applications.

OIP also establishes and maintains working relationships with individual countries and international nuclear

organizations, as well as other involved U.S. Government agencies. Assures that all international activities

carried out by the Commission and staff are well coordinated internally and Government-wide and are

consistent with NRC and U.S. policies.

The following record schedules were developed for records unique to OIP. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other applicable

schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition Plans"

retained by the office Records Liaison Officer.

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION -CITATION

1. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency.

Record keeping system: ADAMS.

(1) Paper records created before Permanent. Cut off when NRC N1431-99-3

04/01/2000. involvement terminates. OIS Item 1.a(l)

- - will transfer to NARA 10 years

after cutoff.

March 2005 2.15. 1 - NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

IK>-

DESCRIPTION OF RECORDS AUTHIORIZED DISPOSITION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when NRC involvement

terminates. Convert image files

to paper, microform, magnetic

tape, 3480 class tape cartridge,

or any other medium and format

that meets NARA regulations

found in Subchapter B of 36

CFR Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

N1-43 1-99-3

Item L.a(2)

NI-43 1-99-3

Item l.a(3)

N 1-431-99-3

Item L.a(4)

N1-431-99-3

Item L.a(5)

March 2005 2.15. 2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. -- DESCRIPTION OF RECORDS

NARA

APPROVED , AUTHORIZED DISPOSITION CITATION

ADAMS data related to digital -

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

7 PDF files and TIFF files are

transferred.

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files'

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and';

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-99-3

Item 1.b(l)

N1-431-99-3

Item L.b(2)

N1431-99-3

Item 1.b(3)

March 2005 2.15. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N 1-431-99-3

Item l.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsoring agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy when 3 years old or

earlier if longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1431-99-3

Item Lc(l)

N1431-99-3

Item 1.c(2)

N143 1-99-3

Item I.c(3)

'<2

March 2005 2.15. 4 NUREG-09 10, Rev. 4
: Schdul 2

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - -- AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-431-99-3

Item l.c(4)

2. Country Files, Export/Import and

International Safeguards Records

Files on individual foreign countries,

including correspondence and other

documents pertaining to international

safeguards in handling nuclear

materials, components and facilities,

analyses of physical security, and

agreements for cooperation. Filed

alphabetically by name of country.

Record keeping system: ADAMS.

a. Paper records created prior to

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and 01S processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside'the agency.

Permanent. Offer to NARA

when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1431-81-5

- Item 4.5.13

N1-431-99-3

Item 2.b

* N1-431-99-3

Item 2.c

March 2005 2.15. 5 NUREG-0910, Rev. 4
'I,

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permnanent. Cut off electronic

files at close of fiscal year.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

NI-431-99-3

Item 2.d

N1-431-99-3

Item 2.e

3. Country Files, International

Arrangements

Case files containing correspondence,

studies, analyses, and copies of formal

bi-lateral arrangements and documents

pertaining to NRC formal arrangements.

Program to exchange nuclear regulatory

and safety information and to cooperate

on the development of regulatory and

safety standards. Also included are

March 2005 2.15. 6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM - . .

NO. DESCRIPTION OF RECORDS - -AUTHORIZED DISPOSITION

copies of research agreements and

related correspondence.

Record keeping system: ADAMS.

a. Paper records created prior to

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

Permanent. Offer to NARA

when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

- NC -431-81-5

Item 4.5.14

N1-431-99-3

Item 3.b

' ' N1431-99-3

Item 3.c

Permanent. Cut off electronic N 1-43.1-99-3

files at close of fiscal year. Item 3.d

' -Convert image files to paper,

' microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

''Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

.NRC will determine the

medium and format in which

: the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.'

March 2005 2.15. 7 NUREG-0910, Rev. 4
NRC Schedule 2 . Z

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

N1431-99-3

Item 3.e

4. Export/Import License Docket Files

Case files and related control logs

pertaining to the licensing of companies

and individuals pursuant to 10 CFR Part

110 to export or import nuclear

material, equipment, nuclear

components, and facilities. Included are

license applications, a copy of the

license, and all other documentation

pertaining to the licensing process

arranged numerically by license

number.

K)

Record keeping system: ADAMS.

a. Paper records created prior to

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

Permanent. Retire to WNRC

when 10 years old. Offer to

NARA 10 years after license

has expired.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 1.3.21

N1431-99-3

Item 4.b

N1-431-99-3

Item 4.c

March 2005 2.15. 8 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS - ' AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.' ~ Permanent. Cut off electronic

--files upon license termination.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets'

NARA regulations found in

-Subchapter B of 36 CFR

Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and formnat in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

N1-431-99-3

Item 4.d

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and'

TIFF files. Transfer to NARAaccording to regulatioris'found

in 36 CFR § 1228.270 when the

PDF files -and TIFF files are

transferred.

Nl-431-99-3

Item 4.e

5. Files of Department of State Cables

and Atomic International Forum

Wires (AIF)

Copies of State Department cables and

AIF wires relating to nuclear regulations

March 2005 2.15. '9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

and safeguards sent to NRC for

information.

Record keeping system: ADAMS.

a. Paper records created prior to

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and 01S processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off files annually. Destroy

when 1 year old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 1 year

after cutoff.

NCI-431-81-5

Item 4.5.18

N1-43 1-99-3

Item 5.b

N1431-99-3

Item 5.c

NI-43 1-99-3

Item 5.d

6. Foreirn Visitor Files

Correspondence, memoranda, reports,

program curricula, biographical data

pertaining to the visit to NRC of foreign

nationals for the purpose of exchanging

March 2005 2.15.10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

information on nuclear safety and

safeguards.

Record keeping system: ADAMS.

a. Files on incidental visitors.

(1) Paper records created prior to

0410112000.

(2) Paper records used as the'isource

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g., i' .

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off files annually. Destroy

when 5 years old.

'Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later. -

Cut off electronic files'at close

of fiscal year. Destroy 5 years

after cutoff.

NCI-431-81-5

Item 4.5.16.a

N1-431-99-3

Item 6.a(2)

N1-431-99-3

-Item 6.a(3)

N1-431-99-3

Item 6.a(4)

b. Files on visitors who have long term

(3 to 6 months or longer)

assignments working with NRC.

March 2005 2.15. 11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

'byDESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(1) Paper records created prior to

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy 10 years after

termination of assignment.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of assignment.

Destroy 10 years after cutoff.

NC1431-81-5

Item 4.5. 16.b

N1-431-99-3

Item 6.b(2)

N 1-431-99-3

Item 6.b(3)

N1-431-99-3

Item 6.b(4)

7. Formal Arrangement and Agreement

Files

Signed bi-lateral arrangement

documents and original research

agreements with foreign governments.

Arranged alphabetically by name of

foreign country.

Record keeping system: ADAMS.

March 2005 2.15. 12 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

a. Paper records created prior to --Permanent. Cut off file when

04/01/2000, and original signed bi- arrangement expires. Offer to

lateral arrangement documents and NARA 10 years after expiration

research agreements in paper format of arrangement.

created after that date.

NC1I431-81-5

Item 4.5.15

b. Paper records used as the source t6

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

.Return to Official File Station

for maintenance and disposition

in accordance with item 7.a,

above after ADAMS

processing.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-99-3

Item 7.b

* N1-431-99-3

Item 7.c

N1-431-99-3

Item 7.d

Permanent. Cut off electronic

files upon revocation or

termination of agreement.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

March 2005 2.15.13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

NI-.431-99-3

Item 7.e

8. General Proeram Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of

International Programs (01P) program

and staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant OIP

program management functions that

are signed by or addressed to the

OIP Director or Deputy Director.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

K)j

(1) Paper records created before

04/01/2000.

Permanent. Cut off at close of

fiscal year. Hold 2 years and

NC1431-81-5

Item 1.2.15.a

March 2005 2.15.14 NUREG-0910, Rev. 4
NRC Schedu'le 2

RECORDS OF NRC OFFICES

ITEM

NO.:-

NARA

APPROVED

DR-SCRIPTION OF RECORDS - ''' AUTHORIZED DISPOSITION CITATION

1' - retire to the Washington

National Record Center through

1 0S. QI 01S will transfer to

. NARA when 20 years old.

(2) Paper records used as the source

to create ADAMS Tagged- "

Image File Format (TIFF files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCIII files that

remain with staff members and

015 processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and TIFF

files.

'Destroy paper documents

-2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NI-431-99-3

Item 8.a(2)

N1-431-99-3

Item 8.a(3)

N1-431-99-3

.Item 8.a(4)

Permanent. Cut off electronic

files at close of fiscal year. ,

Convert image files to paper,

microform, magnetic tape, 3480

,class tape cartridge, or any other

-medium and format that meets

NARA regulations found in

2 .-Subchapter B of 36 CFR

Chapter XII and transfer to

NARA 2 years after cutoff.

-Prior to transfer, NARA- and

NRC will determine the

medium and format in which

the records will be transferred..

Destroy NRC copy 8 years after

Ttransferring record to NARA.

March 2005 2.15.15 Marc 200 2.1.0, 15NUREG-09 Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

N1431-99-3

Item 8.a(5)

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant OIP program

management functions and program

operations. They are signed by or

addressed to OIP management and

staff below the Office Director

level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through OIS. Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

NCI1431-81-5

Item 1.2.15.b

N1431-99-3

Item 8.b(2)

N1431-99-3

Item 8.b(3)

March 2005 2.15. 16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - - - 'AUTHORIZED DISPOSITION CITATION

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electroni

records created internally usinE

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

mail, etc.) and electronic

records received from outside

the agency.

" Iwhen no longer needed for

-reference or updating,

whichever is later.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-99-3

Item 8.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Orianizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files ':

and ASCII files.

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

-ADAMS electronic record.

NC1-431-81-5

Item 1.2.15.c

N1-431-99-3

Item 8.c(2)

March 2005 2.15.11i NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

K>

AUTHORIZED DISPOSITION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS re

Electronic records used as the

source to create ADAMS PDF

files, bit-mapped image files,

cords. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

N1-431-99-3

Item 8.c(3)

N1-431-99-3

Item 8.c(4) K2

9. International Organization Files

Correspondence, memoranda, reports,

and other records pertaining to NRC

involvement with international

organizations regarding nuclear

safeguards. Arranged alphabetically by

name of organization.

Record keening system: ADAMS.

a. Paper records created prior to

04101/2000.

Permanent. Cut off file when

NRC involvement with

organization terminates. Offer

to NARA 10 years later or

NCI-431-81-5

Item 4.5.17

March 2005 2.15.18 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS -. .AUTHORIZED DISPOSITION CITATION

sooner if purpose has been

served.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and,

ASCII files that remain with staff

members and QIS processing staff

after creation of the ADAMS

records. Included are electronic''

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

N1431-99-3

Item 9.b

N1431-99-3

Item 9.c

N1-431-99-3

Item 9.d

e. ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, search, TIFF files. Transfer to NARA

and retrieval of the PDF files and ' according to regulations found

TIFF files, and ADAMS related to : in 36 CFR § 1228.270 when the

N1-431-99-3

Item 9.e

March 2005 2.15.19 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTIHORIZED DISPOSITION CITATION

digital signatures, and data that

evidence final NRC management

and staff concurrences in documents

that are linked to and considered

part of the official records.

PDF files and TIFF files are

transferred.

10. International Programs

Export/Import License Tracking

System (IPELTS)

The system maintains a centralized

collection of data necessary to track and

monitor all applications for nuclear

material for export to foreign countries.

U.S. import of nuclear material is also

monitored.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1431-81-2

Item 12.G.I

Record keeping system: Electronic

Information Systerm

11. Regulatory History Files for

Proposed and Final Rulemaking

<2

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards

comments, Commission papers,

transcripts, indexes, and Federal

Register Notices.

Record keeping system: ADAMS.

a. Official case files created by the

OIW.

(1) Paper records created before

04/01/2000.

Permanent. Cut off when

regulation is issued through

NC1431-85-1

Item l.a

March 2005 2.15.20 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTIONOFRECORDS : ' . -AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

notice in the Federal Register.

Transfer to NARA in 5-year

blocks when the earliest closed

case file is 25 years old and the

most recent case file is 20 years

old.

(2) Paper records used as the source - Destroy paper documents

to create ADAMS Tagged ' -; 2 months after creation of

Image File Format (TIFF) files ' ' ADAMS electronic record.

and ASCII files.

N1-431-99-3

Item I0.a(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-99-3

Item I 0.a(3)

N1-431-99-3

Item 10.a(4)

(4) ADAMS PDF files and TIFF Permanent. Cut off electronic

files. ' fileswhen regulation is issued

'-"through notice in the Federal

-Register. Convert image files to

paper, microform, magnetic

tape, 3480 class tape cartridge,

or any other medium and format

- ithat meets NARA regulations

-* - found in Subchapter B of 36

CFR Chapter XII and transfer to

NARA 2 years after cutoff.

' - - Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

March 2005 2.15.21 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

Destroy NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

N1431-99-3

Item 10.a(5)

12. Representation Fund Files

Files consisting of correspondence,

forms, messages, records of memento

purchases and distributions, quarterly

expense reports and related documents

used by OIP to manage funds

appropriated for international

cooperation activities and other official

representation functions.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through OIS. Destroy 6

years and 3 months after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating.

N1-431-00-14

Rtem 2.a

N1431-00-14

Item 2.b

NI-431-00-14

Item 2.c

Marcli 2005 2.15.22 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 6 years

and 3 months after cutoff.

N1-431-00-14

Item 2.d

March 2005 2.15.23 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 16. RECORDS OF THE OFFICE OF INVESTIGATIONS

The Office of Investigations (01) conducts investigations of licensees, applicants, their contractors or

vendors and all allegations of wrongdoing by individuals other than NRC employees and NRC contractors;

supervision and quality control of all investigative functions; develops policy, procedures and quality

control standards for the conduct of OI investigations; ensures that all OI investigators are properly trained;

keeps abreast of inquiries and of NRC licensee, applicant, contractor, or vendor operations and advises the

Commission, the Executive Director of Operations, and Administrators on the need of formal investigations;

keeps the Agency informed of matters under investigation as they affect safety matters; and advises and

assists the Office of the Inspector General in appropriate referrals to the Department of Justice.

The following record schedules were developed for records unique to the 01. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other applicable

schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition Plans"

retained by the office Records Liaison Officer.

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Allegation and Inquiry Files

Official case files located at NRC - Hold closed allegation case files NC1-431-83-6

Headquarters documenting allegations in office 2 years then retire to Item I

of possible wrongdoing by licensees, WNRC. Destroy 10 years afterapplicants, contractors or vendors. cases are closed.

Contains statements, interviews,

summary reports, reports of inquiry,

recommendations, and other related

material.

Record keeping system: Paper.

2. Confidential Source Files

Confidential source records located at

headquarters and OI regional field

offices used to control the limited

access to the identity of confidential

sources and secure documented

information obtained from confidential

sources that may be pertinent to OI

investigations. Records include logs

and confidential source files containing

recruitment information, reports,

debriefings, summaries, messages, and

March 2005 2.16. 1I NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

all other documentation pertaining to

confidential sources.

Record keeping system: Paper.

a. 01 Master Confidential Source Log

and Field Office Logs.

b. Confidential Source Files.

c. Electronic records created or

received used as the source to create

paper records that are filed in the

confidential source files. Included

are electronic records created

internally using office automation

tools (e.g., WordPerfect, Lotus,

InForms, E-mail, etc.), and

electronic records received

internally and from outside the

agency.

Cut off logs when all related

case files are closed. Retain in

secured office files; Destroy 75

years after cutoff.

Cut off files upon termination

of source's relationship with

NRC. Retain in secured office

files. Destroy 75 years after

cutoff.

Create paper record of the

electronic document on the day

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immnediately after

creating official record copy or

when no longer needed as

possible evidence or for

reference or updating,

whichever is later.

N1-431-00-11

Item l.a

NI-431-00-11

Item l.b

N 1-43 1-00-1 1

Item l.c

3. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of

Investigations (01) program and staff

activities.

Record keeping system: ADAMS.

March 2005 2.16. 2 NUREG-910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

, ., APPROVED

DESCRIPTION OF RECORDS : --AUTHORIZED DISPOSITION CITATION

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant'OI program

management functions that are

signed by or addressed to the 01

Director. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before -

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

'0IS. OIS will transfer to

NARA when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NC1-431-81-5

Item 1.2.15.a

N1-431-00-12

Item l.a(2)

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to 'ADAMS electronic record or

create ADAMS Portable -' = - when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Nl-431-00-12

Item L.a(3)

March 2005 2.16. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NAM

APPROVED

AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF and TIFF files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-12

Item 1.a(4)

K)'j

N1-431-00-12

Item 1.a(5)

March 2005 2.16. 4 NUREG-0910, Rev. 4
NRC Schedule 2

REORD ONRC. O FIE RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS i.- 'AUTHORIZED DISPOSITION CITATION

. .

b. Program Correspondence Files

'Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant or OI program

management functions and program

operations. They are signed by or

addressed to OI management and

staff below the 01 Director level.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

Cut off at close of fiscal year. -

.Hold 2 years and retire to the

Washington National Record

'Center through OIS. Destroy 10

years after cutoff.

: NCI-431-81-5

Item 1.2.15.b

(2) Paper records used as the source Destroy paper documents

' to create ADAMS Tagged - 2 months after creation of

Image File Format (TIFIF)files ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stoied 'Destroy after creation of

outside of ADAMS used to- ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files,'- reference or updating,

TIFF files, and ASCII files thai ' whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1-431-00-12

Item 1.b(2)

NI-431-00-12

Item 1.b(3)

March'2005 2.16. 5' - NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-00-12

Item 1.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1431-81-5

Item 1.2.15.c

N1-431-00-12

Item I.c(2)

N1-431-00-12

Item 1.c(3)

March 2005 2.16. 6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS ; AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

N1-431-00-12

Item L.c(4)

4. Investigation Case Files

Official case files documenting

investigations of licensees, applicants, i

contractors, or vendors and any

wrongdoing by individuals other than

NRC employees and NRC contractors.

Files include statements, interviews,

support information relating to the

investigation, interim reports and the

reports of investigation. Files also

include evidence files and chain of

custody records. Records are created in

the regional field offices and transferred

to headquarters for final processing.

Record keeping system: Paper.

a. Official case files created by field -Perrnanent. Cut off files when

investigators and maintained at case is closed. Hold in field

regional field offices that are -: office for 6 months then

selected by NRC because they meet; forward to headquarters for

one or more of the following processing. Headquarters will

criteria: combine with its files, hold for

2 years, then retire to WNRC.

(1) Received wide attention from-- NRC will select cases for

the news media; - - archival retention before

retiring records to WNRC,

(2) Was of significant interest to using criteria listed above. The

Congress, the White House, or cases selected between 1984

NRC commissioners; and 1992 will be transferred to

(3) Was involved in extensive NARA in 2012, and subsequent

litigation; 10 year blocks will be

transferred at 10 year intervals

N1-43 1-01-1

- Item L.a

March 2005 2.16. 7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(4) Was involved in a major policy

discussion and/or change in the

Office of Investigations or in

the Nuclear Regulatory

Commission as a whole; and

(5) Prompted significant changes in

designs or procedures by or

relating to the nuclear industry.

thereafter.

b. Other official case files created by

field investigators and maintained at

regional field offices that do not

meet the criteria for permanent

retention.

c. Headquarter's copy..

d. Electronic records created or

received used as the source to

create paper records that are filed

in the investigation files.

Included are electronic records

created internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, Email, etc.) and electronic records

received internally and from

outside the agency.

Cut off files when case is

closed. Hold in field office for

6 months then forward to

headquarters for processing.

Headquarters will combine with

its files, hold for 2 years, then

retire to WNRC through OIS.

Destroy 20 years after cases are

closed.

Cut off files when case is

closed. Combine with the field

office files and process in

accordance with items a and b,

above.

Create paper record of the

electronic document on the day

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immediately after

creating official record copy or

when no longer needed for

reference or updating,

whichever is later.

Nl-431-01-1

Item 1.b

N1-431-01-1

Item 1.c

N1-431-01-1

Item L.d

March 2005 2.16. 8 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

5. Investigation Procedures Manual and

Investigative Guidance

Record keeping system: ADAMS.

OI official record set of formal issuances

maintained at NRC Headquarters.

a. Paper records created before'

04/01/2000.

b. Paper records used as the source

to create ADAMS Tagged Imag

File Format (TIFF) files and -'

ASCII files;-

Permnanent. Transfer a complete

- set to NARA in 2002 and at 10

year intervals thereafter.

e Destroy paper documents

e '2 months after creation of

ADAMS electronic record.

N1-431-00-12

Item 3.a

N1431-00-12

Item 3.b

c. Copies of electronic files stored ' ; Destroy after creation of

outside of ADAMS used to create', ADAMS electronic record or

ADAMS Portable Document - when no longer needed for

Format (PDF) files, TIFF files, 'reference or updating,

and ASCII files that remain with whichever is later.

staff members and QIS

processing staff after creation of

the ADAMS records. Included

are electronic records created

internally using office automation

tools (e.g., WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

N1431-00-12

Item 3.c

d. ADAMS PDF and TIFF files. Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

-A -and NRC will determine

medium and format in which

:records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

N1-431-00-12

Item 3.d

March 2005 2.16. 9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

e. ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and ADAMS

data related to digital signatures,

and data that evidence final NRC

management and staff

concurrences in documents that

are linked to and considered part

of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-12

Item 3.e

6. Legal Interpretations

Legal interpretations provided by the

Office of General Counsel, Regional

Counsels, Department of Labor, and

other sources providing guidance or

establishing precedents for

investigations, and other legal matters

pertinent to 01 functions.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Permanent. Cut off at files on

03/31/00. Retire to Washington

National Records Center

thorough OIS 10 years after

cutoff. Transfer to NARA 20

years after cutoff.

N1-431-00-12

Item 4.a

March 2005 2.16.10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - IAUTHORIZED DISPOSITION CITATION

b. Paper records used as the source -'Destroy paper documents

to create ADAMS Tagged Image 2 months after creation of -

File Format (TIFF) files and ADAMS electronic record.

ASCII files.

c. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create - ADAMS electronic record or

ADAMS Portable Document when no longer needed for

Format (PDF) files, TIFF files' reference or updating,

and ASCII files that remain with whichever is later.

staff members and OIS

processing staff after creation of

the ADAMS records. Included

are electronic records created

internally using office automation

tools (e.g., WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

N1-431-00-12

Item 4.b

N1-431-00-12

Item 4.c

d. ADAMS PDF and TIFF files. Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

N1-431-00-12

Item 4.d

March 2005 2.16.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

V>

AUTHORIZED DISPOSITION

e. ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and ADAMS

data related to digital signatures,

and data that evidence final NRC

management and staff

concurrences in documents that

are linked to and considered part

of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

NI-431-00-12

Item 4.e

March 2005 2.16. 12 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 17. RECORDS OF THE OFFICE OF NUCLEAR MATERIAL SAFETY AND

SAFEGUARDS (NMSS)

The records described in this schedule document NRC responsibility for ensuring public health and safety,

protection of the national security, and protection of environmental values in the licensing and regulation of

all facilities and materials licensed under the Atomic Energy Act of 1954, as amended, associated with the

processing, transport, and handling of nuclear materials, including the review and assessment of their

safeguards against potential threats, thefts, and sabotage.

The following record schedules were developed for records unique to NMSS. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other applicable

schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition Plans"

retained by the office Records Liaison.

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Allegation Case Files

Official case files located in NMSS

documenting the receipt, evaluation, and

resolution of allegations that pertain to

issues associated with NRC licensees

and nuclear industry vendors. Case files

include, for example, the original

incoming document, minutes and

summaries of allegation review panel

meeting, correspondence with allegers

and licensees, memos to and from 01,

inspection reports, staff safety

evaluations, Allegation Management

System printouts, documents showing

staff resolution, and closure documents

to the alleger.

Cut off files upon final

resolution of allegation. Retain

in office for two years or until

no longer needed for current

activities, then retire to the

Federal Records Center.

Destroy 10 years after cut off.

N1431-00-13

Item l.a

Record keeping system: Paper.

2. Certificate of Compliance Files

Original of NRC Certificates of

Compliance documenting approval of

licensee transportation of radioactive

materials package design under 10 CFR

Part 71. These certificates are

published by NRC and a copy of all

March 2005 2.17. 1 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

certificates are filed in applicable

docket file.

Record keeping system: ADAMS.

a. Paper records created before Retain current certificates in NCI-43 1-81-5

04/01/2000. notebook. Destroy when Item 4.6.20

certificates are revised.

Note: The maintenance of a separate

collection of certificates will be

discontinued when ADAMS is

implemented as access to all certificates

can be obtained by searching the

ADAMS records. Accordingly, this

series will be discontinued on

04/01/2000 with the

implementation of ADAMS and this

disposition applied only to the files up

to that date.

3. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency.

Record keeping system: ADAMS.

March 2005 2.17. 2 NUREG-0910, Rev. 4
NRC Scliedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS - 'AUTHORIZED DISPOSITION CITATION

(1) Paper records created before Permanent. Cut off when NRC

04/01/2000. involvement terminates. OIS

will transfer to NARA 10 years

after cutoff.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files -. ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to :- ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files; reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF Permanent. Cut off electronic

files. files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as -

well as their arrangement.

i Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

'1228.270 or standards

* applicable at the time. If

"transfer in an electronic medium

N1-431-00-13

Item 3.a(1)

N1-431-00-13

Item 3.a(2)

N1-431-00-13

Item 3.a(3)

N1-431-00-13

Item 3.a(4)

March 2005 2.17. 3: NIJREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITENI

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

NI-431-00-13

Item 3.a(5)

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1431-00-13

Item 3.b(l)

N1431-00-13

Item 3.b(2)

N1-431-00-13

Item 3.b(3)

March 2005 2.17. 4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS i AUTHORIZED DISPOSITION CITATION

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

' Cut off electronic files upon

i; ' termination of committee.

Destroy 3 years after cutoff.

N1-431-00-13

Item 3.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files. - -

(3) Copies of electronic files stor id

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,'

TIFF files, and ASCII files that

remain with staff members and

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

"Destroy after creation of

-ADAMS electronic record or

when no longer needed for

'reference or updating,

whichever is later.

N1-431-00-13

Item 3.c(l)

N1-431-00-13

Item 3.c(2)

N1-431-00-13

Item 3.c(3)

March 2005 2.17. 5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1431-00-13

Item 3.c(4)

4. Docket Files for the Disposal of HighLevel Radioactive Wastes in Geologic

ReDositories

Case files documenting the licensing of

the U.S. Department of Energy to

receive and possess source, special

nuclear, and byproduct material at a

Geologic Repository Operations Area

pursuant to 10 CFR Part 60. Included

are license application, site

characterization, environmental report,

license, amendments, and all other

related documentation.

Record keeping system: ADAMS.

a. Paper records created before

04101/2000.

Permanent. Retire to WNRC 10

years after expiration or

termination of license. Transfer

to NARA in 5-year blocks after

license expiration or

termination.

NC1-431-83-2

Item 1

March 2005 2.17. 6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS : AUTHORIZED DISPOSITION

b. Paper records used as the source to -:_Destroy paper documents

create ADAMS Tagged Image File - 2 months after creation of

Format (TIFF) files and ASCII files.- ADAMS electronic record.

CITATION

N1-431-00-13

Item 4.b

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

-Destroy after creation of

-:: ADAMS electronic record or

l when no longer needed for

-reference or updating,

whichever is later.

NI-431-00-13

Item 4.c

N1-431-00-13

Item 4.d

d. ADAMS PDF files and I EiFF files. Pernanent. Cut off electronic

files upon expiration or

termination of license. Transfer

to the National Archives 2 years

after cut-off. At the time of

transfer, NARA and NRC will

determine medium and format

in which records will be

transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance

with the standards for

permanent electronic records

1contained in 36 CFR 1228.270

or standards applicable at the

time. If transfer in an electronic

- medium is not feasible, prior to

transfer, with NARA

concurrence, records will be

converted to paper or to

microform. Destroy NRC copy

8 years after transferring record

to NARA.

March 2005 2.17. 7 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-13

Item 4.e

5. Docket Files for the Land Disposal of

Radioactive Wastes

Case files documenting the licensing of

persons, companies, institutions, and

facilities to receive, possess, and

dispose of low-level radioactive wastes

containing byproduct, source, and

special nuclear material at a land disposal facility. Records include

application, environmental report,

license and license amendments, and all

other related documentation.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Permnanent. Retire to WNRC 10

years after expiration or

termination of license. Transfer

to NARA in 5-year blocks after

license expiration or

termination.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

NC1431-83-3

Item 1

N1-431-00-13

Item 5.b

N1431-00-13

Item 5.c

March 2005 2.17. 8 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Format (PDF) files, TIFF files, and.'

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

e-mail, etc.) and electronic records

received from outside the agency.

reference or updating,

whichever is later.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

Permanent. Cut off electronic

files upon expiration or

termination of license. Transfer

to the National Archives 2 years

after cut-off. At the time of

transfer, NARA and NRC will

determine medium and format

in which records will be

transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance

with the standards for

permanent electronic records

contained in 36 CFR 1228.270

or standards applicable at the

time. If transfer in an electronic

medium is not feasible, prior to

transfer, with NARA

concurrence, records will be

converted to paper or to

microform. Destroy NRC copy

8 years after transferring record

to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

N1-431-00-13

Item 5.d

. I..

N1-431-00-13

Item 5.e

March 2005 2.17. 9' NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA <2

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

management and staff concurrences 8 years after transferring record

in documents that are linked to and to NARA.

considered part of the official

records.

6. Fuel Facilities. Transportation,

Byproduct, Source, and Special

Nuclear Material Docket Files

Case files documenting the licensing or

certifying of persons, institutions,

facilities, or companies to use

byproduct, source, and special nuclear

material, and to transport nuclear

material as defined in 10 CFR Parts 30,

40, 50, 70, 71, 73, 74, 75, and 76.

Included are the application, license or

certificate and amendments, and all

related licensing or certifying

documentation. This series also

includes general licenses, NRC Form ,K)

241, issued to Agreement States

licensees to conduct business outside of

the Agreement State. Decommissioning

records for these licenses or certificates

are permanent and require maintenance

as a subset of each case file as specified

in SECY 90-316. Reference Item c.

below for authorized disposition of

decommissioning files.

Excluded are case files (under 10 CFR

Part 40) with license prefix of "SUA"

which are covered by the High-Level,

Low-Level, and Uranium Recovery

Docket File schedule. Post 1983

Regional case files include the

Inspection and Enforcement Case File

documentation described in the

Inspection and Enforcement Case File

schedule and are retained as one case

file under this schedule. For the

purposes of applying the authorized

March 2005 2.17. 10 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS : AUTHORIZED DISPOSITION CITATION

disposition instructions, a withdrawn or

denied license or certificate application

is considered terminated on the date of

withdrawal or denial.

Also excluded are classified and

safeguards information records that will

not be maintained in ADAMS,

but will be maintained in paper format.

Record keeping system: ADAMS.

a. Case Files covering licensee for

which licensing or certifying

jurisdiction is transferred to the

State under agreement covering

transfer of function.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that,-:-

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic -

records created internally using -

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Transfer to Agreement States.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-00-13

Item 6.a(1)

N1431-00-13

Item 6.a(2)

-N1431-00-13

Item 6.a(3)

March 2005 2.17.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA rev

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document

packages; and ADAMS digital

signature and concurrence data.

Cut off electronic files upon

request for transfer. Convert to

media acceptable to NRC and

Agreement State (paper,

electronic, microform).

Transfer to Agreement States.

Destroy NRC copy 3 years after

cutoff.

N1431-00-13

Item 6.a(4)

b. Official case files of the NMSS and

the Regional offices including the

decommissioning segment,

determined by the NRC to have

exceptional value because of the

historical significance of their

contents or their uniqueness.

Included are files that:

- Result in judicial decisions or

legislation that affect the functions

and activities of NRC;

- Result in significant changes in

regulatory activities and procedures;

or

- Were the subject of Congressional

investigation or were of great public

interest.

<21

(1) Paper records created before

04/01/2000.

Permnanent. Cut off upon

license or certificate

termination, following

completion of decommissioning

procedure. Retire to WNRC

through OIS at end of fiscal

year. Transfer to NARA 20

years after termination of

license.

N 1431-00-13

Item 6.b( 1)

March 2005 2.17. 12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS -AUTHORIZED DISPOSITION CITATION

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files' `ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored ' 'Destroy after creation of

outside of ADAMS used to ' 'ADAMS electronic record or

create ADAMS Portable "when no longer needed for

Document Formnat (PDF)'files, ;- reference or updating,

TIFF files, and ASCII files th'at -' whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1-431-00-13

Item 6.b(2)

'N1431-00-13

Item 6.b(3)

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off electronic

files upon licence termination

following completion of

decommissioning procedure.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer-in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

N1431-00-13

Item 6.b(4)

March 2005 2.17.13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-13

Item 6.b(5)

c. Decommissioning records segment

of disposable licensing or certifying

case files located at the NRC File

Center consisting of the following

types of documents:

1. All license or certificate

applications, amendment requests,

and renewal requests.

2. Complete license or certificate,

including all amendments.

3. Termination amendment.

4. Licensee request for license or

certificate termination and all

supporting documentation including

plans for completion of

decommissioning.

5. Forms dealing with disposition

of material (NRC/AEC Form 314,

AEC Form HQ-277, and other

,j

March 2005 2.17. 14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

forms) and/or letters from licensees

dealing with disposition and status

of material.

6. Reports of NRC closeout

inspections.

7. Letter of certification from NRC

official stating that license or

certificate can be terminated

8. Any closeout survey by NRC,

the licensee, or a contractor working

for either NRC or the licensee.

9. Any additional documents

dealing with disposition of waste or

other material or residual

contamination on the site, including

records of on-site burials.

10. All documents related to

determining the appropriate

amounts for decommissioning of

facilities, including cost estimates,

certifications of financial assurance

for decommissioning or

decommissioning funding plans.

This item excludes documents

related to funding methods, standby

trust agreements, letters of credit,

insurance policies, self-guarantee

documents, or other monetary

instruments that are maintained by

NMSS or the Regions. (See Item

6.d)

11. Records of spills and other

unusual occurrences involving the

spread of contamination in and

around the facility, equipment, or

site.

March 2005 2.17. 15 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA <2

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

12. As-built drawings and

modifications of structures and

equipment in restricted areas where

radioactive materials were used or

stored and locations of possible

inaccessible contamination

13. Any additional documents

which refer to decommissioning,

decontamination, or termination of

the license or certificate, including

interim or partial decommissioning

or specific facilities at any time

during the history of licensed

operations

14. Any enforcement documents

related to decommissioning and

decontamination activities.

(1) Paper records created before K-)

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

Permanent. Cut off upon

license or certificate

termination, following

completion of decommissioning

procedure. Retire to WNRC

through OIS at end of fiscal

year. Transfer to NARA 20

years after termination of

license or certificate.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1431-92-3

Item 1.c

N1431-00-13

Item 6.c(2)

N1431-00-13

Item 6.c(3)

March 2005 2.17.16 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cutoff electronic

files upon licence termination

following completion of

decommissioning procedure.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically'in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

N1-431-00-13

Item 6.c(4)

N1-431-00-13

Item 6.c(5)

:, I : --

(5) ADAMS document profiles'atid

ADAMS document packages

created for the management,>.

search, and retrieval of the PDF:

files and TIFF files, and'

ADAMS data related to digital

signatures, and datathat '

evidence final NRC

management and staff

'Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

:in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

March 2005 . . 2.17. 17 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA K2

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

concurrences in documents that

are linked to and considered

part of the official records.

d. All documents related to funding

methods for financial assurance for

decommissioning, including standby

trust agreements, letters of credit,

surety bonds, statements of intent,

certificates of deposit, government

securities, external sinking funds,

parent company or self guarantees,

standby trust agreements,

decommissioning cost estimates,

financial tests, or other financial

assurance instrument

documentation.

(1) Paper records created before

04101/2000, and those created

after that date.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Formnat (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

Cut off upon license or

certificate termination following

completion of decommissioning

procedure. Return documents

to licensee in accordance with

Management Directive (MD)

8.12.

Forward paper documents to the

Financial Assurance Instrument

Custodian for storage in an

approved container per MD

8.12. Upon termination of

license or certificate or

superseding of the document,

return the superceded

documents to the licensee.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1431-00-13

Item 6.d(1)

N1-431-00-13

Item 6.d(2)

N1431-00-13

Item 6.d(3)

K)j

March 2005 2.17.18 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS - - - AUTHORIZED DISPOSITION CITATION

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files, ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles'and

document packages; and'

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

license or certificate termination

following decommissioning

procedure. Destroy 20 years

after cutoff.

Nl-431-00-13

Item 6.d(4)

e. Other case files, excluding the

decommissioning segment, that do

not meet the criteria for permanent

retention.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

Cut off upon license or

certificate termination,

following completion of

decommissioning procedure.

Retire to WNRC through OIS at

the end of fiscal year. Destroy

20 years after termination of

license or certificate.

Destroy paper documents

2 months after creation'of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-92-3

Item 1.d

N1-431-00-13

Item 6.e(2)

N1-431-00-13

Item 6.e(3)

March 2005 2.17.19' NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITENM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

license or certificate termination

following completion of

decommissioning procedure.

Destroy 20 years after cutoff.

NI-431-00-13

Item 6.e(4)

7. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of

Nuclear Material Safety and Safeguards

(NMSS) program and staff activities.

Excluded are classified and safeguards

information records that will not be

maintained in ADAMS, but will be

maintained in paper format.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant NMSS

<2'

March 2005 2.17.20 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

program management functions that''

are signed by or addressed to the

NMSS Director and Deputy

Director. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or"

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

OIS. OIS will transfer to

NARA when 10 years old.

NC1-431-81-5

Item 1.2.15a

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files -ADAMS electronic record.'

and ASCII files.

(3) Copies of electronic files stored -Destroy after creation of

outside of ADAMS used to 'ADAMS electronic record or

create ADAMS Portable when no longer'needed for

Document Format (PDF) files,' reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1-431-00-13

Item 7.a(2)

N1-431-00-13

Item 7.a(3)

(4) ADAMS PDF files and TIFF

files.

Permanent. Cutoff electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of.transfer, NARA

N1-43 1-00-13

Item 7.a(4)

March 2005 2.17.-21 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARY

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-13

Item 7.a(5)

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant or NMSS

program management functions and

program operations. They are

signed by or addressed to NMSS

management and staff below the

NMSS Director and Deputy

March 2005 2.17.22 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Director level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

i Center through OIS. Destroy 10

years after cutoff.

NCOV431-81-5

Item 1.2.15.a

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files - -ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and;

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their Cut off electronic files at close

linked native application source of fiscal year. Destroy 10 years

files; ADAMS TIFF files and after cutoff.

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

N1-431-00-13

Item 7.b(2)

N1-431-00-13

Item 7.b(3)

N1-431-00-13

Item 7.b(4)

March 2005 2.17.23 NtJREG-910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

c. Routine Proaram Correspondence

Files Created or Received at All

Oruanizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NC1431-81-5

Item 1.2.15.c

N143100-13

Item 7.c(2)

N1431-00-13

Item 7.c(3)

N1-431-00-13

Item 7.c(4)

K)

March 2005 2.17.24 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM -

NO. -DESCRIPTION OF RECORDS . - : AUTHORIZED T I. D.P DISPOSITION OSTO .- CITATION

8. High-Level, Low-Level, and Uraniumr'

Recovery Docket Files

Case Files documenting the licensing'of

high-level, or low-level and uranium

recovery operations including'mills,'

solution mining, and heat leaching of

ion exchange facilities in nonAgreement States as defined in 10 CER '

40 with license transfer prefix of

"SUA." Includes applications, licenses

and amendments, and other related

material. The files are arranged by

docket number.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source t(

create ADAMS Tagged Image File

Format (TIFF) files and ASCII file

'Permanent. Transfer to NARA

I when 10 years old.

D Destroy paper documents

e_ -2 months after creation of

1s. ' 'ADAMS electronic record.

NC1-431-81-5

Item 1.3.23

N1-431-00-13

Item 8.b

c. Copies of electronic files stored'-' Destroy after creation of

outside of ADAMS used to create 'ADAMS electronic record or

ADAMS Portable Document 'when no longer needed for

Format (PDF) files, TIFF files, and - 'reference or updating,

ASCII files that remain with staff 'whichever is later.

members and OIS processing staff -

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

NI-431-00-13

Item 8.c

d. ADAMS PDF files and TIFF files. Permanent. Cut off electronic

files upon licence termination

following completion of

decommissioning procedure.

Transfer to the National

N1-431-00-13

Item 8.d

March 2005 2.17.25 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records-electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

K)j

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

.Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1.431-00-13

Item 8.e

9. Independent Spent Fuel Storage

Installation Docket Files (ISFSI)

Case files documenting the licensing to

possess power reactor spent fuel and

other radioactive materials associated

with spent fuel storage, in an

Independent Spent Fuel Storage

Installation (ISFSI) as defined in 10

CFR Part 72. Each license issued is for

March 2005 2.17.26 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS . -AUTHORIZED DISPOSITION CITATION

a period of 20 years. Records consist of

all required licensing documents

including license application, license,

and amendments; all required periodic

reports; and all other related

documentation.

Record keeping system: ADAMS.

a. Official ISFSI Docket files

corresponding to Nuclear Power

Plant Docket files selected for

permanent retention.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the sour

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files store

outside of ADAMS used to'

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files tha

remain with staff members anc

OIS processing staff after

creation of the ADAMS

records. Included are electron

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

mail, etc.) and electronic

records received from outside

the agency.

Permanent. Cutofffilesupon

termination of license. Retire

files to RMB 1 year after cut

off. Transfer to National

-Archives 20 years after

termination of license.

ce Destroy paper documents

2 months after creation of

ADAMS electronic record.

~d Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

t' whichever is later.

N1431-89-4

Item l.a

N1-431-00-13

Item 9.a(2)

N1-431-00-13

Item 9.a(3)

March 2005 2.17.27 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permnanent. Cutoff electronic

files upon termination of

license. Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-13

Item 9.a(4)

\K)'

N1-431-00-13

Item 9.a(5)

b. Official ISFSI Docket files not

selected for permanent retention.

(1) Paper records created before

04/01/2000.

Cut off files upon termination

of license. Retire files to RMB

1 year after cut off. Destroy

NI-431-894

Item L.b

March 2005 2.17.28 NUREG-09 10, Rev. 4
NRC Schedule 2

. . .. .I.F N RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

20 years after termination of

license.

(2) Paper records used as the source - Destroy paper documents

to create ADAMS Tagged l - 2 months after creation of

Image File Format (TIFF) files ADAMS electronic record.

and ASCII files.

N1-431-00-13

Item 9.b(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of license. Destroy

20 years after cutoff.

N1-431-00-13

Item 9.b(3)

-NI-431-00-13

- Item 9.b(4)

. _

March 2005 2.17.29 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA K-'

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

10. International Safeguards Program

Office (ISPO)

International Safeguards Program Office

copies of reports developed by U.S.

contractors under the Program for

Technical Assistance to the

International Atomic Energy Agency

(IAEA) Safeguards (POTAS). The

ISPO is part of the Brookhaven National

Laboratory and is responsible for

coordinating the comments and

development process of the POTAS

reports. Also included in the files are

correspondence between ISPO and

NRC, DOE response to ISPO requests

for comments on draft reports, and

copies of final reports.

Permanent. Offer to NARA

when 20 years old.

NCI-431-81-5

Item 4.6.24

Record keeping system: Paper.

11. Licensee Mismanagement Files

Licensee reports and other records

relating to incidents of the

mismanagement of radiation

administered to individuals by licensees

(primarily doctors or other

medical facilities) containing name of

individuals and other data pertaining to

the mismanagement.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Files to be maintained by

licensee or State office of

radiological safety for 75 years

from date of report. If records

are deposited with NRC,

destroy 75 years from date of

report.

NCI-431-81-5

Item 1.4.26

March 2005 2.17.30 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

-AUTHORIZED DISPOSITION CITATION

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g., -

WordPerfect, Lotus, InForms, email, etc.) and electronic records'

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

'ADAMS electronic'record or

when no longer needed for

reference or updating,

whichever is'later.

Cut off electronic files at close

of fiscal year. Destroy 75 years

after cutoff.

N1-431-00-13

Item 1.b

NI-431-00-13

'Item 1 .c

NI-431-00-13

Item 1 .d

12. NMSS Case Work System (CASE)

System provides management with a

means to identify and track the status of

all case work items relative to licensing

nuclear fuel facilities and materials.

Record keeping system: Electronic

Information System.

Retain until it has been ' -

determined by a competent ' ' '-

NRC Official that data are no

longer needed; erase and reuse:

tape, etc

NC1431-81-2

'Item 12.B.4

13. NMSS Contract File Management

System (FILNET)

Record keeping system: Electronic -'

Information System. '

March 2005 2.17.31 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA K->

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

a. DOE Contracts of more than

$100,000 (NMSS maintains the

records).

b. Commercial Contracts (Division of

Contracts, ADM, maintains the

records).

Destroy 6 years and 3 months

after final payment.

Destroy upon termination or

completion.

GRS 3-3.a(1)(a)

Non record

14. Nuclear Material Mana2ement and

Safeguards System (NMMSS)

The NMMSS is a national nuclear

material accounting system. It provides

information needed to track and regulate

production transfer, possession, use,

import, and export of nuclear materials.

The system maintains information on

the location and quantities of special

nuclear materials, in possession of DOE

and NRC licensees. The system is

operated by NAC International,

Norcross, GA.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc

NCI-431-81-2

Item 11.B.2

K)

Record keeping system: Electronic

Information System.

15. Part 71 Safety Evaluation Reports

NRC narrative reports and revisions

describing actions taken by applicants

and NRC, and individual aspects of

radioactive material package design

under the requirements of 10 CFR Part

71. Safety Evaluations for other parts

are filed in their licensing docket files.

(See Item 6)

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Destroy in accordance with the

authorized disposition for

schedule 2-17.6.b, c, d, and e.

N1431-00-13

Item 12.a

March 2005 2.17.32 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS -;- AUTHORIZED DISPOSITION CITATION

Note: The maintenance of a separate

collection of safety evaluation reports

will be discontinued when ADAMS is

implemented as the safety evaluation -

reports will be filed in the docket files

and can be obtained by searching the

ADAMS records. Accordingly, this

series will be discontinued on

04/01/2000 with the implementation of

ADAMS and this disposition applied

only to the files up to that date.

16. Part 71 Oualitv Assurance Files

Originals of NRC 311 or its equivalent

documenting NRC determination that

licensee meets requirements of Sec.

71.51 of 10 CFR Part 71 (Quality

Assurance Program on Radioactive

Material Packages). QA files for other

parts are filed in their licensing docket

files (See Item 6).

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the' source t

create ADAMS Tagged Image Fil

Format (TI;F) files and ASCII fil

i- "Destroy 5 years after

termination of license.

to Destroy paper documents

e -2 months after creation of

es. ADAMS electronic record.

NI 431-00-13

Item 13.a

NI-431-00-13

Item 13.b

c. Copiesofelectronic files stored ' ~-Destroy after creation of

outside of ADAMS used to create' -ADAMS electronic record or

ADAMS Portable Document when no longer needed for

Format (PDF) files, TIFF files, and,' - -reference or updating,

ASCII files that remain with staff whichever is later.

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

NI-431-00-13

Item 13.c

March 2005 2.17.33 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

e-mail, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files upon

license termination. Destroy

5 years after cutoff.

N1-431-00-13

Item 13.d

17. Personnel Exposure Files

Records accumulated to measure the

degree of radiation exposure of

individuals to external radiation and

internally deposited isotopes.

Record keeping system: ADAMS.

a. Individual NRC personnel folders

containing data and radiation

exposure.

'-I

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

Destroy 75 years from the date

of the creation of the record.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 1.4.25.a

N1431-00-13

Item 14.a(2)

N1-431-00-13

Item 14.a(3)

March 2005 2.17.34 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS - - ~AUTHORIZED DISPOSITION CITATION

WordPerfect, Lotus, InForms, e-'

mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 75 years

after cutoff.

N1-431-00-13

Item 14.a(4)

b. Personal Dosimetry Processing

Reports.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TITF) files

and ASCII files.

(3) Copies of electronic files stored !

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

0IS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g., -

WordPerfect, Lotus, InFornis, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

Destroy 75 years from date of

report.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

-ADAMS electronic record or

-when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 75 years

NI-431-00-13

Item 14.b(1)

N1-431-00-13

Item 14.b(2)

*N1-431-00-13

Item 14.b(3)

N1-431-00-13

* Item 14.b(4)

March 2005 2.17.35 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA KJ

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

after cutoff.

18. Process Operator License Files

Case files documenting the licensing of

process operators in reprocessing plants

including new and/or renewal

applications, medical certificates,

licenses and amendments, examinations

and results, and related correspondence,

including denial information.

Record keeping system: ADAMS.

a. Latest applications and related

correspondence, license,

examinations, and results; all

medical certificates and data; and

all examiners reports.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OTS processing staff after

creation of the ADAMS

records. Included are electronic

Destroy 4 years after expiration

or termination of license or

issuance of denial letter.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1431-81-5

Item 4.6. 19.a

N1-431-00-13

Item 15.a(2)

N1-431-00-13

Item 15.a(3)

March 2005 2.17. 36 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS -- AUTHORIZED DISPOSITION CITATION

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their :

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

expiration or termination of

license or issuance of denial

letter. Destroy 4 years after

cutoff.

N1-431-00-13

Item 15.a(4)

b. Superseded applications and related

correspondence, licenses,

examinations, and

results; denial letters.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

Destroy when 2 years old or

when superseded, whichever is

later.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 4.6.19.b

NI-431-00-13

Item 15.b(2)

N1431-00-13

Item 15.b(3)

March 2005 2.17.37 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA 'Ky

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year in which

superseded or denial letter

issued. Destroy 2 years after

cutoff.

N 1-431-00-13

Item 15.b(4)

19. Radiation Protection Program

Records

Files located in NMSS and the Regions

documenting the management and

implementation of the NRC's internal

radiation protection program, and

compliance

by the NRC and its employees with the

provisions of NRC Management

Directive (MD) 10. 13 1.

Records include reports of lost, stolen,

or missing radioactive material; reports

of overexposure, excessive levels, and

concentrations of radioactive material;

surveys and records documenting

equipment calibrations, and

computations determining radiation

exposure hazard or compliance with the

requirements of Management Directive

10.13 1; records of measurements and

calculations to evaluate the release of

radioactive effluent to the environment;

records documenting compliance with

the dose limit for individual members of

the public; records of waste disposal;

and all correspondence, reports,

surveys, audits, and reviews related to

March 2005 2.17.38 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS -: - - AUTHORIZED DISPOSITION CITATION

the implementation, compliance, and

management of the NRC Radiation

Protection Program.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create":

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing'staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,'

WordPerfect, Lotus, InForms,'email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;'

ADAMS TIFF files and their linked

ASCII files; ADAMS document-'

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off at close of fiscal year.

Retain 2 years then retire to OIS

in annual blocks. Destroy when

75 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

'-Cut off electronic files at close

of fiscal year. -Destrdoy75 years

after cutoff.'

N1431-00-13

-Item 16.a

N1-431-00-13

Item 16.b

N1-431-00-13

Item 16.c

N1431-00-13

Item 16.d

20. Regulatorv History Files for

ProDosed and Final Rulemakin2

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

March 2005 2.17.39 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

documents relied upon to prepare

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards and

Nuclear Waste comments, Commission

papers, transcripts, indexes, and Federal

Register Notices.

Record keeninin system: ADAMS.

a. Official case files created by

NMSS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Cut off when final

regulation is issued through

notice in the Federal Register.

OIS will transfer to NARA in 5-

year blocks when the earliest

closed case file is 25 years old

and the most recent case file is

20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

N1-431-00-13

Item 17.a(1)

VN1-431-00-13

Item 17.a(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-00-13

Item 17.a(3)

March 2005 2.17.40 NUREG-0910, Rev. 4
-NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS - .AUTHORIZED DISPOSITION CITATION

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off electronic

files when final regulation is

issued through notice in the

Federal Register. Transfer to

the National Archives 2 years

after cut-off. At the time of

transfer, NARA and NRC will

determine medium and format

in which records will be

transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance

with the standards for

permanent electronic records

contained in 36 CFR 1228.270

or standards applicable at the

time. If transfer in an electronic

medium is not feasible, prior to

transfer, with NARA

concurrence, records will be

converted to paper or to

microform. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-13

Item 17.a(4)

(5) ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, TIFF files. Transfer to NARA

search, and retrieval of the PDF according to regulations found

files and TIFF files, and in 36 CFR § 1228.270 when the

ADAMS data related to digital PDF files and TIFF files are

signatures, and data that transferred. Destroy NRC copy

evidence final NRC . , 8 years after transferring record

management and staff: to NARA.

concurrences in documents that -

are linked to and considered ,,,

part of the official records.

N1-431-00-13

Item 17.a(5)

March 2005 2.17.41 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES 'J

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

21. Reaulatorv Information Trackini

Svstem - NMISS (NNMSS-RITS)

NMSS-RITS is an integration of three

computer systems (Technical

Assignment Control System [TACS1,

Manpower System [MPS], and Program

Operating Plan System [POPS]) which

are updated weekly. Data within the

system are retained by staff member,

licensee, and technical assignments.

The system retains current and historical

data on project schedules and staff

resources.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1431-81-2

Item 12.13.3

Record keeping system: Electronic

Information System.

22. Sealed Source and Device Review

Files

Case files which document NRC review

and approval of the design of sealed

sources and/or devices containing

licensed radioactive materials. A

certificate or registration for sealed

sources and/or devices is issued when

the design is considered acceptable for

licensing. Included are copies of

applications, Certificates of Registration, safety analysis summaries, and

related correspondence.

Record keeping system: ADAMS.

a. Case files located with NRC.

<-I

(1) Paper records created before

04/01/2000.

Permanent. Cut off files upon

assignment of inactive status.

Transfer to Washington

National Records Center 2 years

after cutoff. NRC to retain

ownership and custody of

NI-431-00-13

Item 18.a(1)

March 2005 2.17.42 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS-OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OFRECORDS ' . -.: AUTHORIZEDDISPOSITION CITATION - -

-- -records for permanent

-- reference.

(2) Paper records used as the source- ' Destroy paper documents

to create ADAMS Tagged 2 months after creation of

' Image File Format (TIFF) files ADAMS electronic record.

and ASCII files.' " - '

N1431-00-13

Item 18.a(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

- Destroy after creation of

ADAMS electronic record or

'when no longer needed for

reference or updating, ! whichever is later.

N1-431-00-13

Item 18.a(3)

N1-431-00-13

Item 18.a(4)

(4) ADAMS PDF files and TIF

files.

F 'Permanent. Cutoff electronic

files upon assignment of

inactive status. Transfer to the

' National Archives 2 years after

- cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

'Every effort will be made to

xtransfer records electronically in

- accordance with the standards

-for permanent electronic

records contained in 36 CFR

1228.270 or standards -

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

March 2005 2.17.43 ; NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARY

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

records will be converted to

paper or to microform. Retain

NRC copy for permanent

reference.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Retain NRC copy

for permanent reference.

N1-431-00-13

Item 18.a(5)

b. Case Files covering licensee or

which licensing jurisdiction is

transferred to the State under

agreement covering transfer of

function.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Formnat (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

Transfer to Agreement States.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 4.6.23

N1-431-00-13

Item 18.b(2)

N1431-00-13

Item 18.b(3)

March 2005 2.17.44 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF-NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

WordPerfect, Lotus, InForms,

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

request for transfer. Convert to

media acceptable to NRC and

Agreement State (paper,

electronic, microform).

Transfer to Agreement States.

Retain NRC copy for permanent

- Ireference.

N1-431-00-13

Item 18.b(4)

23. Source and Special (SS) Material

Accountability System Files

DOE/NRC Forms DP-741 or equivalent,- Destroy when 3 fiscal years old.

used in the transfer of source and

special nuclear materials, or other

special nuclear materials, or "other

material controlled by the SS Materials

Accountability System at Oak Ridge

National Laboratory.

NC1-431-81-5

Item 4.6.254.c

Record keeping system: Paper.

24. Transport Approval Package , -- -

Information System (TAPIS) ~ -- '

The system maintains data and

information regarding all packages

approved by NRC for use in the

transportation of radioactive material."

Included are description of package,i

approval particulars, and all licensed

users.

- 'Retain until it has been

determined by a competent

: 'NRC Official that data are no

' ' longer l needed; erase and reuse . . p. - -- tape, etc.

NC1-431-81-2

Item I 1.B.1

Record keeping system: Electronic i

Information System.

March 2005 2.17.45 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

25. Uranium Mill Tailings Remedial

Action Program (UMTRAP) Proiect

Licensing Case Files

Project files documenting the

concurrence and licensing activities for

UMTRAP, pursuant to the Uranium

Mill Tailings Radiation Control Act of

1978.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Permanent. Cut off files in

1995 and retire in 5 year blocks

thereafter. Retire to

Washington National Records

Center 1 year after cutoff. Case

files are to remain in NRC

custody until licenses are

terminated, expired, or 75 years

old, whichever is earlier.

Review and transfer terminated

or expired licenses and material

more than 75 years old to

NARA at 20 year intervals

beginning year2O2O.

NC1431-89-1

Item I

KJy

Note: Transfer textual finding

aid to NARA at the time of

transfer of official files

corresponding to finding aid.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1431-00-13

Item 19.b

N1431-00-13

Item 19.c

March 2005 2.17.46 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForns, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cutoff electronic

files upon termination,

expiration, or latest document is

75 years old. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after cutoff.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after cutoff.

NI-431-00-13

Item 19.d

N1-431-00-13

Item 19.e

March 2005 2.17.47 NUREG-0910, Rev. 4
NRC Schedule 2

. OF N. C O RECORDS OF NRC OFFICES

PART 18. RECORDS OF THE OFFICE OF NUCLEAR REACTOR REGULATION (NRR)

The records described in this schedule document the NRC licensing functions associated with construction

and operation of nuclear reactors and with receipt, possession, ownership, and use of special nuclear and

byproduct material used at reactor facilities; the review of applications and issue of licenses for reactor

facilities required to be licensed under the Atomic Energy Act of 1954, as amended and the evaluation of

health, safety, and environmental aspects of facilities and the development of sites; regulations; the analysis

of reactor design concepts; the evaluation of methods of transporting nuclear materials and radioactive

wastes on reactor sites; and the monitoring and testing of operating reactors, recommending upgrading of

facilities and modification of regulations, as appropriate.

The following record schedules were developed for records unique to NRR. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other applicable

schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition Plans"

retained by the office Records Liaison Officer.

ITEh

NO.

4

DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

1. Allegation Case Files

Official case files located in NRR

documenting the receipt, evaluation, and

resolution of allegations that pertain to

issues associated with NRC licensees

and nuclear industry vendors. Case files

include, for example, the original

incoming document, minutes and

summaries of allegation review panel

meeting, correspondence with allegers

and licensees, memos to and from 01,

inspection reports, staff safety

evaluations, Allegation Management

System printouts, documents showing

staff resolution, and closure documents

to the alleger.

Record keeping system: Paper.

Cut off files upon final

resolution of allegation. Retain

in office for two years or until

no longer needed for current

activities, then retire to the

Federal Records Center.

Destroy 10 years after cut off.

NI-431-00-8

Item l.a

March 2005 2.18. 1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

\<-I

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Antitrust Case Files

Files consist of copies of licensee

applications with antitrust information

on applicant, correspondence with the

Office of the General Counsel, and

Department of Justice relating to

findings on the applicant's financial

background.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Destroy 20 years after license is

approved.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

license approval. Destroy

20 years after cutoff.

NC1-431-81-5

Item 4.7.26

N1-431-00-8,

Item 2.b

N1-431-00-8,

Item 2.c

N1431-00-8,

Item 2.d

March 2005 2.18. 2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED --DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

3. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records "-

documenting accomplishments'-

created by committees and

conferences when NRC is the

sponsoring agency. Excluding

routine committee and conference

records covered by GRS 26-l.a.

Record keeping system: ADAMS.

(1) Paper records created before Permanent. Cut off when NRC

04/01/2000. involvement terminates. OIS

will transfer to NARA 10 years

after cutoff.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged ' -2 months after creation of

Image File Format (TIFF) files " ADAMS electronic record.

and ASCII files.

NI-431-00-8,

Item 3.a(1)

N1-431-00-8,

Item 3.a(2)

(3) Copies of electronic files' stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

e-mail, etc.) and electronic

records received from outside

the agency.

IDestroy after creation of

ADAMS electronic record or

;when no longer needed for

'-: 'reference or updating,

whichever is later.

N1431-00-8,

Item 3.a(3)

March 2005 2.18. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring records to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1431-00-8,

Item 3.a(4)

N1-431-00-8,

Item 3.a(5)

March 2005 2.18. 4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

: AUTHORIZED DISPOSITION CITATION

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

(6) Paper records created before'-'

04/01/2000.

' '' -Destroy when 3 years old or

' ' 'earlier if no longer needed for

- reference.

N1-43 1-00-8,

Item 3.b(1)

(7) Paper records used as the source -'Destroy paper documents

to create ADAMS Tagged ' : ' ' ' -2 months after creation of

Image File Format (TIFF) files-' 'ADAMS electronic record.

and ASCII files.

NI-431-00-8,

Item 3.b(2)

(8) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable' ' ' '

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

'Destroy after creation of

ADAMS electronic record or

"when no longer needed for

*reference or updating,

' whichever is later.

N1-431-00-8,

Item 3.b(3)

(9) ADAMS PDF files and their Cut off electronic files upon

linked native application source - termination of committee.

files; ADAMS TIFF files and - Destroy 3 years after cutoff.

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

: -* N1-431-00-8,

Item 3.b(4)

March 2005 2.18. 5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

<2

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

(I) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

NI-431-00-8,

Item 3.c(1)

NI-43 1-00-8,

Item 3.c(2)

N1-431-00-8,

Item 3.c(3)

N1-431-00-8,

Item 3.c(4)

March 2005 2.18. 6 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS -.: ''AUTHORIZED - DISPOSITION - CITATION

4. E-2 System (IRMS)

The system produces manpower '-:;;-Retain until it has been

computational tables (E-2) and budget determined by a competent

estimate tables (E-3A, E-3, and E-4). NRC Official that data are no

These tables reflect manpower "longer needed; erase and reuse

requirements for inspections of facilities tape, etc.

by type, phase of construction, or

operation and age.

NC1-431-81-2

Item 13.C.4

Record keeping system: Electronic

Information System.

5. General Prograin Correspondence

Files (Subject Files)

Letters, memoranda, messages, studies, -

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to

Office of Nuclear Reactor Regulation

(NRR) program and staff activities.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making. -

decisions or significant NRR

program management functions that -

are signed by or addressed to the

NRR Director and Deputy Director.-'

Excluded is program

correspondence that documents - -

routine transactions for which the -

record content is summarized or

duplicated in higher level

documents. (See item c. below.):

Record keeping system: ADAMS.

March 2005 2.18. 7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

AUTHORIZED DISPOSITION

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

01S. OIS will transfer to

NARA when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NARA

APPROVED

CITATION

NC1431-81-5

Item 1.2.15.a

N1431-00-8,

Item 4.a(2)

NI-431-00-8,

Item 4.a(3)

K>

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

N1-431-00-8,

Item 4.a(4)

March 2005 2.18. 8 NUREG-0910, Rev. 4
NRC Schedule 2

RECR. .DS NC . ..OFIC. RECORDS OF NRC'OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS CITATION . A T OI. D

AUITHORIZED DISPOSITION

: -applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

N NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the mranagement, -, TIFF files. Transfer to NARA

search, and retrieval of the-PDF according to regulations found

files and TIFF files, and in 36 CFR § 1228.270 when the

ADAMS data related to digital PDF riles and TIFF files are

signatures, and data that transferred. Destroy NRC copy

evidence final NRC 18 years after transferring

management and staff records to NARA.

concurrences in documents that

are linked to and considered

part of the official records.

NI-431-00-8,

Item 4.a(5)

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant or NRR

program management functions and

program operations. They are -

signed by or addressed to NRR

management and staff below the

NRR Director and Deputy Director

level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

Record keeping system: ADAMS.

March 2005 2.18. 9 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

'<1y

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through OIS. Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

NC143 1-81-5

Item 1.2.15.b

N1-431-00-8,

Item 4.b(2)

NI-431-00-8,

Item 4.b(3)

K)

N1-431-00-8,

Item 4.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

March 2005 2.18. 10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM.

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION : CITATION

of which is summarized or

duplicated in Item a. or b. above.

Record keeping system: ADAMS.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to;

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NC1-431-81-5

Item 1.2.15.c

N1-43 1-00-8,

Item 4.c(2)

N1-431-00-8,

Item 4.c(3)

N1-431-00-8,

Item 4.c(4)

March 2005 2.18. 1 I NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

6. Headquarters and Regional Operator

Licensing Files

The information pertaining to the

licensing of operators at power and nonpower reactors.

a. 10 CFR Part 55 Docket Files

Case files containing information

pertaining to 10 CFR Part 55

applicants for a license, licensed

operators, and individuals who

previously held licenses.

Documentation includes

applications for a license, licenses,

denial letters and related licensing

correspondence, correspondence

pertaining to actions taken against a

licensee, 10 CFR Part 50.74

notifications, certifications of

medical examinations and related

medical information, fitness for

duty information, examination

results summary sheet (Power 303-

1, Non-Power 303N-1), and other

docket information.

Cutoff files upon latest license

expiration/revocation/terminnation, application denial or

withdrawal, or issuance of

denial letter. Retire to FRC

when 3 years old. Destroy

when 10 years old.

N1-431-904

Item 1

K)

Record keeping system: Paper.

b. Examination Packages

Files containing information

pertaining to 10 CFR Part 55

Operators Licensing examinations

at power and non-power reactors.

Documentation includes corporate

notification letter, examination

assignment sheet, and related

licensing correspondence as

described in NUREG-1021, ES-501.

Record keeping system: ADAMS.

March 2005 2.18. 12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES:

ITEM

NO. ' DESCRIPTION OF RECORDS

NARA

APPROVED -.- : : AUTHORIZED DISPOSITION CITATION

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Cut off examination on file

upon receipt of the facility's

next exam. Destroy 4 years

after cutoff.

Destroy paper documents

2 months after creation of

-ADAMS electronic record.

NI-431-00-8,

Item 5.b(l)

NI-431-00-8,

Item 5.b(2)

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electroiic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, e--

mail, etc.) and electronic

records received from outside

the agency.

N1-431-00-8,

Item 5.b(3)

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic examination

files upon receipt of the

facility's next exam. Destroy 4

years after cutoff.

NI-431-00-8,

Item 5.b(4)

c. General Correspondence

Any internal memoranda, forms,

notes, Power Plant Examination

Results Summary Sheet (ES 501-2),

Non-Power Plant Examination

Results Summary Sheet (ES 50IN1) or correspondence between the

March 2005 2.18. 13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

NRC and the facility licensees that

does not directly pertain to a 55

Docket File or Exam Package.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

Cut off at close of fiscal year.

Retire to the Washington

National Record Center through

OIS when 3 years old. Destroy

10 years after cutoff.

N1431-00-8,

Item 5.c(1)

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1431-00-8,

Item 5.c(2)

N1431-00-8,

Item 5.c(3)

N1-431-00-8,

Item 5.c(4)

March 2005 2.18. 14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS : AUTHORIZED DISPOSITION CITATION

7. Licensing Proiect Files

Applications for construction permits

and/or licensing and related records on

withdrawn or otherwise cancelled

projects.

Record keeping system: ADAMS.

a. Files under 10 CFR Part 50.

(1) -Paper records created before -:Destroy 20 years after

04/01/2000. : withdrawal or cancellation.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using !

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their Cut off electronic files upon

linked native application source withdrawal or cancellation.

files; ADAMS TIFF files and Destroy 20 years after cutoff.

their linked ASCII files; - -

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

NC1-431-81-1

Item l.a

N1-431-00-8,

Item 6.a(2)

N1-431-00-8,

Item 6.a(3)

NI-431-00-8,

Item 6.a(4)

March 2005 2.18.15 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

b. Files under other applicable parts of

10 CFR.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy 1 year after withdrawal

or cancellation.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

withdrawal or cancellation.

Destroy 1 year after cutoff.

NC1431-81-1

Item 1.b

N1-431-00-8,

Item 6.b(2)

N1-431-00-8,

Item 6.b(3)

K)

N1-43 1-00-8,

Item 6.b(4)

8. Mornin2 ReDorts

Reports containing items of interest

distributed at both headquarters and

Regional offices, containing

management information of interest to

Destroy when 6 months old. NC1-431-81-5

Item 4.4.11

March 2005 2.18. 16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED,

DESCRIPTION OF RECORDS - - ::: AUTHORIZED DISPOSITION CITATION

staff. Report is required by NRC

Inspection Manual.

Record keeping system: Paper.

9. Non-licensing Project Files

Reports and correspondence relating to,

specific DOE developmental projects

involving use of nuclear materials.

Record keeping system: ADAMS.

a. Paper records created before Destroy 20 years after

04/01/2000. completion of project.

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File; 2 months after creation of

Format (TIFF) files and ASCII files. -ADAMS electronic record.

c. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create ADAMS electronic record or

ADAMS Portable Document when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

ASCII files that remain with staff whichever is later.

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.-

d. ADAMS PDF files and their linked .-"-Cut off electronic files upon

native application source files; -completion of project. Destroy

ADAMS TIFF files and their linked -20 years after cutoff.

ASCII files; ADAMS document - - -

profiles and document packages;

and ADAMS digital signature and

concurrence data.

NCI-431-81-1

Item 2

NI-431-00-8,

Item 7.b

N1-431-00-8,

Item 7.c

N1-43 1-00-8,

Item 7.d

March 2005 2.18. 17 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARR,

APPROVED

CITATION

\<-12

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

10. NRC Inspection Manual

Record copy of the NRC Inspection

Manual including all changes thereto.

Record keeping system: ADAMS.

a. Paper records created before

04101/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

Permanent. Transfer to NARA

at periodic intervals when

superseded or obsolete.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files upon complete

republishing of manual.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

NC1-43 1-81-5

Item 4.4.8

N 1-431-00-8,

Item 8.b

N1-431-00-8,

Item 8.c

\K)

NI-431-00-8,

Item 8.d

March 2005 2.18. 18 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS -.- .POII AUTHORIZED O DISPOSITION CITATION

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring' record to NARA.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulationslfound

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-8,

Item 8.e

11. Nuclear Power Plant Docket Files

Records documenting licensing of the

construction and operation of

commercial nuclear reactors for power

generation and non-power reactors

pursuant to Parts 2,20, 50, 52, 54, 100,

and 140 of Title 10, Code of Federal

Regulations. Material consists of

individual applicant case files,

identified by assigned docket numbers,

containing copies of all documents

received or generated in review,

evaluation, and authorization stages of:

the licensing process. Each operating'

license issued is for a fixed time period

specified in the license document but n '

no case exceeds 40 years. Licenses may

be renewed by the NRC upon the

expiration of the initially authorized

March 2005 2.18.19 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

operating period. Decommissioning

records for these licenses are permanent

and require maintenance as a subset of

each case file as specified in SECY 90-

316. Reference item b. below for

authorized disposition.

Record keeping system: ADAMS.

a. Official docket files of the Office of

Nuclear Reactor Regulation,

including the decommissioning

segment, located at the NRC File

Center, determined by the NRC to

have exceptional value because of

the historical significance of their

contents or their uniqueness.

Included are files that:

1. Result in judicial decisions or

legislation that affect the

functions and activities of NRC,

e.g., Enrico Fermi No. 1 (Power

Reactor Demonstration Co.

Reactor);

2. Result in significant changes in

regulatory activities and

procedures, e.g., Brown's Ferry;

or

3. Were the subject of

Congressional investigation or

were of great public interest

e.g., TMI.

(1) Paper records created before

04/01/2000.

Permanent. Retain current

fiscal year and last four years in

NRC File Center. Retire, by

facility, to Washington National

Records Center through OIS

annually if the records consist

of at least one cubic foot and

N1431-92-2

Item L.a

March 2005 2.18.20 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS -

NARA

APPROVED:

' , AUTHORIZED DISPOSITION CITATION

are over five years old. Closing

date is the termination date

following completion of

decommissioning procedure

(which is the license date plus

- 40 years). Transfer to NARA

20 years after termination of

..license.

(2) Paper records used as the source', 'Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files'' 'ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored ' Destroy after creation of

outside of ADAMS used to' -ADAMS electronic record or

create ADAMS Portable '- ':' ''when no longer ieeded for

Document Format (PDF) files, ' reference or updating,

TIFF files; and ASCII files that 'whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N143 1-00-8,

Item 9.a(2)

-N1-431-00-8,

Item 9.a(3)

(4) ADAMS PDF files and TIFF

files.

Permanent. Cutoff electronic

files upon license termination

following completion of

decommissioning procedure.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made'to

transfer records electronically in

N1-431-00-8,

Item 9.a(4)

March 2005 2.18.21I NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring records to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CER § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1431-00-8,

Item 9.a(5)

K-)/

b. Decommissioning records segment

of disposable licensing case files

located at NRC File Center

consisting of the following types of

records:

1. Application for PossessionOnly license.

2. Possession-Only license

amendment and any associated

technical specifications (TS).

3. Decommissioning or

Dismantling Plan and

associated TS changes.

March 2005 2.18.22 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM -APPROVED

NO. DISCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

4. Requests for additional

information on applications for

Possession-Only licenses,

Decommissioning and

Dismantling Plans, and

responses from licensee.

5. Federal Register Notices for

applications for PossessionOnly licenses and

Decommissioning and

Dismantling Plans.

6. Decommissioning and

Dismantling Orders.

7. Final site surveys by licensee.

8. Final site surveys by

regional inspectors.

9. All license amendments and

associated TS changes

following the initial

application by the licensee for

Possession-Only license.

10. All documents related to

determining the appropriate

amounts for decommissioning

of facilities, including cost

estimates, certifications of

financial assurance for

decommissioning or,

decommissioning funding,-

plans. This item excludes'

documents related to funding

methods, standby trust

agreements, letters of credit,

insurance policies, selfguarantee documents, or otherf

monetary instruments that are

March 2005 2.18.23 NITREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

<2

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

maintained by NMSS or the

Regions.

11. Records of spills and other

unusual occurrences involving

the spread of contamination in

and around the facility,

equipment, or site.

12. License termination orders and

associated safety evaluations.

13. As-built drawings and

modifications of structures and

equipment in restricted areas

where radioactive materials

were used or stored and

locations of possible

inaccessible contamination.

14. Any additional documents

which refer to

decommissioning,

decontamination, or termination

of the license, including interim

or partial decommissioning of

specific facilities at any time

during the history of licensed

operations.

15. Any enforcement documents

related to decommissioning and

decontamination activities.

\'j

(1) Paper records created before

04/01/2000.

Permnanent. Retain current

fiscal year and last four years in

NRC File Center. Retire, by

facility, to Washington National

Records Center through OIS

annually if the records consist

of at least one cubic foot and

are over five years old. Closing

date is the termination date

N1-431-00-8,

Item 9.b(1)

March 2005 2.18.24 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

. : AUTHORIZED DISPOSITION CITATION

following completion of

- decommissioning procedure

: -- (which is the license date plus

40 years). Transfer to NARA

:--20 years after termination of

license.

(2) Paper records used as the-source '- Destroy paper documents

to create ADAMS Tagged -2 months after creation of

Image File Format (TIFF) files 'ADAMS electronic record.

and ASCII files.

N1-431-00-8,

Item 9.b(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that"

remain with staff members and -

OIS processing staff after

creation of the ADAMS -.

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

"whichever is later.

Permanent. Cut off electronic

files upon license termination

following completion of

decommissioning procedure.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

.N1431-00-8,

Item 9.b(3)

N1-431-00-8,

Item 9.b(4)

March 2005 2.18.25. NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring records to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permnanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270. when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1431-00-8,

Item 9.b(5)

c. NRR copies of hearing and

intervention correspondence and

information; hearing transcripts of

boards and panels; inspection

reports and related correspondence;

and any other documentation

duplicated in the permanent file

described in a. above and NRC

Schedule 2, Part 25, Item 3

(Commission's Decisional License

Docket File) and NRC Schedule 2,

Part 24, Item 7.b (Permanent

Regional Inspection and

Enforcement Case Files).

(1) Paper records created before

04/01/2000.

Destroy when 5 years old. NCI-431-81-5

Item 1.3.20.c

March 2005 2.18.26 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

Note: NRR maintenance of separate

organized collections of hearing' ' ""

correspondence, hearing transcripts,

inspection reports of boards and

panels, inspection reports and

related correspondence will be

discontinued when ADAMS is

implemented as access to these

records can be obtained by

searching the ADAMS.

Accordingly, this series will be

discontinued on 04/01/2000 with

the implementation of ADAMS and

this disposition applied only to the

files up to that date.

d. Other docket files of NRR,

excluding the decommissioning

segment, that do not meet the

criteria for permanent retention.

(1) Paper records created before

04/01/2000.

Retain current fiscal year and

last four years in NRC File

Center. Retire, by facility, to

Washington National Records

Center through OIS annually if

the records consist of at least

one cubic foot and are over five

years old. Closing date is the

termination date following

completion 'of decommissioning

procedure (which is the license

date plus 40 years). Destroy 20

years after termination of

license.

N1431-92-2

Item 1.c

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files' -'ADAMS electronic record.

and ASCII files. -

(3) Copies of electronic files stored `* 'Destroy after creation of

outside of ADAMS used to 'ADAMS electronic record or

NI-431-00-8,

Item 9.d(2)

N1-431-00-8,

Item 9.d(3)

March 2005 2.18.27 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

when no longer needed for

reference or updating,

whichever is later.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

license termination following

completion of decommissioning

procedure. Destroy NRC copy

20 years after cutoff.

N1-431-00-8,

Item 9.d(4)

\K)

12. Re2ulatory Effectiveness Reviews

(RER)

Case files documenting the evaluations

of the overall effectiveness of

regulations under which a Nuclear

Power Plant operates. Included are

team inspections comprising "Vital

Area Analyses," "Facility Systems

Analysis Reports," internal memoranda,

Regulatory Effectiveness Review

Reports, and related correspondence.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Cut off when all RER findings

are closed (normally 1-5 years).

Retire to WNRC one year after

cutoff. Destroy 10 years after

cutoff.

NC1431-88-5

Item I

March 2005 2.18.28 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS -:.- AUTIhORIZED DISPOSITION CITATION

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File 2 months after creation of

Format (TIFF) files and ASCII files. 'ADAMS electronic record.

c. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create "ADAMS electronic record or

ADAMS Portable Document when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

ASCII files that remain with staff.. - whichever is later.

members and QIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

N1-43 1-00-8,

Item 10.b

N1-431-00-8,

Item 10.c

d. ADAMS PDF files and their linked - --Cut off electronic files when all

native application source files; -i -: :RER findings are closed.

ADAMS TIFF files and their linked - Destroy 10 years after cutoff.

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

N1431-00-8,

Item 10.d

13. Reaulatorv History Files for

Proposed and Final Rulemaking

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare - -

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes,';

and recommendations, Advisory -' - -

Committee on Reactor Safeguards and

Nuclear Waste cornments, ConiMission

papers, transcripts, indexes, and Federal

Register Notices.

Record keeping system: ADAMS.

March 2005 2.18.29 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

-I'

AUTHORIZED DISPOSITION

a. Official case files created by NRR.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off when final

regulation is issued through

notice in the Federal Register.

01S will transfer to NARA in 5-

year blocks when the earliest

closed case file is 25 years old

and the most recent case file is

20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when final regulation is

issued through notice in the

Federal Register. Transfer to

the National Archives 2 years

after cut-off. At the time of

transfer, NARA and NRC will

determine medium and format

in which records will be

transferred as well as their

arrangement. Every effort will

N1-431-00-8,

Item 11.a(1)

N1-431-00-8,

Item 1 1.a(2)

NI-431-00-8,

Item 1 .a(3)

N1431-00-8,

Item I1 .a(4)

March 2005 2.18.30 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

- -- -AUTHORIZED DISPOSITION CITATION

be made to transfer records

electronically in accordance

with the standards for

permanent electronic records

contained in 36 CFR 1228.270

or standards applicable at the

time. If transfer in an electronic

medium is not feasible, prior to

transfer, with NARA

concurrence, records will be

converted to paper or to

microform. Destroy NRC copy

8 years after transferring

records to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

-to NARA.

N1-431-00-8,

Item 1 .a(5)

14. Regulatory Information Tracking

System - NRR (NRR-RITS)

NRR-RITS is an integration of three : - Retain until it has been

computer systems (Technical -determined by a competent

Assignment Control System [TACS], - ; NRC Official that data are no

Manpower System [MPS], and Program _ longer needed; erase and reuse

Operating Plan System [POPS]) which. tape, etc.

are updated weekly. Data within the

system are retained by staff member,

licensee, and technical assignments.

NC1-431-81-2

Item 12.A.4

March 2005 2.18.31 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

The system retains current and historical

data on project schedules and staff

resources.

Record keeping system: Electronic

Information System.

15. Safeguard Status Reports

Monthly computer printouts containing

an inventory of all nuclear material

located in NRC licensed facilities

throughout the United States. Reports

are derived from information furnished

by regional inspectors.

Destroy when superseded by

new report.

NC1-431-81-5

Item 4.4.9

Record keeping system: Paper.

16. Seismic Oualification (SEISMIC)

The system maintains data and

information regarding seismic

equipment qualifications for NRC staff

review and evaluation.

Record keeping system: Electronic

Information System.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC 1431-8 1-2

Item 13.C.1

'<2v

17. Statistical and Enforcement Text

System (766)

The system maintains data and

information regarding inspection,

investigation, inquiry activities, and

associated enforcement actions. Textual

information concern items of

noncompliance, licensee identified item,

and deviation identified during an

inspection activity

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1431-81-2

Item 13.C.1

Record keeping system: Electronic

Information System.

March 2005 2.18.32 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS : * e AUTHORIZED DISPOSITION CITATION

18. Steam Generators

The system maintains a data base of Retain until it has been

engineering information regarding determined by a competent

reactor power plant steam generator NRC Official that data are no

operating experience. It is used to ' longer needed; erase and reuse

evaluate the qualitative and quantitative - tape, etc.

aspects of steam generator operating

experience.

NC1-431-81-2

Item 1 1.A.3

Record keeping system: Electronic

Information System.

19. Vendor Case Files

Case files documenting NRC

inspections of vendor facilities,

notifications of inspection findings, and

correspondence documenting the

corrective actions taken. Case files

include vendor inspection reports,

Notices of Violations, Notices of -

Nonconformance, correspondence

related to resolving deficiencies, and

correspondence to vendors related to

their Quality Assurance programs, Part

21 programs, and other regulatory

requirements about the their products.

Record keeping system: ADAMS.

a. Paper records created before Cut off case file when notified

04/01/2000. that vendor is no longer in

business or when latest

document is more than 10 years

old, whichever is earlier. Retire

- to the Washington National

- -.. Records Center through the OIS

2 years after cutoff. Destroy 10

-years after cutoff.

-. NI-431-00-8,

Item 13.a

March 2005 2.18.33 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and 01S processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files when

notified that vendor is no longer

in business or when latest

document is more than 10 years

old, whichever is earlier.

Destroy 10 years after cutoff.

NI-431-00-8,

Item 13.b

NI-431-00-8,

Item 13.c

NI-431-O0-8,

Item 13.d

20. Vendor Topical Reports

Reports submitted as part of licensing

requirements by nuclear steam supply

systems vendors or nuclear vendors

containing information of use to utility

companies as well as the Commission.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Cut off files at close of fiscal

year. Retire to the Washington

National Records Center

through the OIS 20 years after

cutoff. Destroy 60 years after

cutoff.

N1-431-00-8,

Item 14.a

March 2005 2.18.34 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 60 years

after cutoff.

N1-431-00-8,

Item 14.b

NI-431-00-8,

Item 14.c

N1-431-00-8,

Item 14.d

March 2005 2.18.35 NUREG-0910, Rev. 4
NRC Schedule 2

R . O O N - . C OF RECORDS OF NRC OFFICES

PART 19. RECORDS OF THE OFFICE OF NUCLEAR REGULATORY RESEARCH (RES)

The records in this schedule document the planning and implementation of the programs of nuclear

regulatory research which the Commission deems necessary for the performance of its licensing and related

regulatory functions.

The following record schedules were developed for records unique to RES. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules I through 26 for other applicable

schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition Plans"

retained by the office Records Liaison Officer.

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS -AUTHORIZED DISPOSITION CITATION

Abnormal Occurrence Case Files

All formal correspondence with detailed

background documentation relating to

preparation of abnormal occurrence

reports submitted quarterly to Congress.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

- Permanent. Cut off files every

3 years and retire to

Washington National Record

Center. Transfer to NARA

- - ': when 20 years old.

NI-43 1-87-1

Item 1

b. Paper records used as the source to -Destroy paper documents

create ADAMS Tagged Image File 2 months after creation of

Format (TIFF) files and ASCII files>. ADAMS electronic record.

N1431-00-19

Item L.b

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

e-mail, etc.) and electronic records

received from outside the agency.

- Destroy after creation of

ADAMS electroinic record or

when no longer needed for -

reference or updating, - --

whichever is later.

N1 -431-00-19

Item 1.c

March 2005 2.19. 1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

<2

AUTHIORIZED DISPOSITION

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

Management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files when 3 years old. Transfer

to the National Archives 2 years

after cut-off. At the time of

transfer, NARA and NRC will

determine medium and format

in which records will be

transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance

with the standards for

permanent electronic records

contained in 36 CFR 1228.270

or standards applicable at the

time. If transfer in an electronic

medium is not feasible, prior to

transfer, with NARA

concurrence, records will be

converted to paper or to

microform. Destroy NRC copy

15 years after transferring

record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

15 years after transferring

record to NARA.

NI-431-00-19

Item L.d

K)

N1-431-00-19

Item L.e

March 2005 2.19. 2 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

2. Budget System, Research

An automated budget, contract, and

financial plan system, maintains data

and information regarding laboratory

contract proposals, 189's, of the Office

of Research; controls, executes, and

records monthly cost performance of -

approximately four hundred R&D tasks

throughout the budget and financial plan

cycles.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NCI-431-81-2

Item 13.D.3

Record keeping system: Electronic'

Information System.

3. Case Study Report Files

Copies of reports with all background

documentation providing detailed

information on formal evaluations of

events with the highest potential risk to

the public as identified by prior

screening of Licensee Event Reports

(LERs) by Office of Nuclear Regulatory

Research (RES) engineers. Arranged

numerically by case study number.

Record keeping system: ADAMS.

a. Paper records created before -Permanent. Transfer to NARA

04/01/2000. when 20 years old.

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File - 2 months after creation of

Format (TIFF) files and ASCII files. ADAMS electronic record.

c. Copies of electronic files stored -- Destroy after creation of

outside of ADAMS used to create : ADAMS electronic record or

ADAMS Portable Document when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

ASCII files that remain with staff whichever is later.

members and OIS processing staff

after creation of the ADAMS

NC1-431-81-5

Item 4.1.2

N1431-00-19

Item 2.b

NI-431-00-19

Item 2.c

March 2005 2.19. 3; NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

Management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1431-00-19

Item 2.d

N1-431-00-19

Item 2.e

March 2005 2.19. 4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

4.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Committee and Conference :

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,;-

final reports, and related records'

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency.

Record keening system: ADAMS.;-

(1) Paper records created before

04/01/2000.

Permanent. Cutoff when NRC

involvement terminates. OIS

will transfer to NARA 10 years

NC1-431-81-5

Item 1.5.30.a.1

after cutoff.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable - -

Document Format (PDF) files,

TIFF Tfiles, and ASCII files that'

remain with'staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy paper documents

- 2 months after creation of

ADAMS electronic record.

Destroy after creation of

- ADAMS electronic record or

'i when no longer needed for

reference or updating,

-whichever is later. --

N1-431-00-19

Item 3.a(2)

Ni -431-00-19

Item 3.a(3)

March 2005 2.19. 5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

NI-431-00-19

Item 3.a(4)

<2'

N1-431-00-19

Item 3.a(5)

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

March 2005 2.19. 6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee..

Destroy 3 years after cutoff.

NC1-431-81-5

Item 1.5.30.b.L.b

NI-431-00-19

Item 3.b(2)

N1-431-00-19

Item 3.b(3)

N1-431-00-19

Item 3.b(4)

March 2005 2.19. 7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

<2

AUTHORIZED DISPOSITION

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keening system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

NC1-431-81-5

Item 1.5.30.b.2

NI-43 1-00-19

Item 3.c(2)

NI-43 1-00-19

Item 3.c(3)

NI-431-00-19

Item 3.c(4)

March 2005 2.19. 8 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

5. Committee to Review Generic

Requirements (CRGR) Files

Case files documenting CRGR reviews

of proposed rulemakings and other

generic NRC regulatory requirements.

Records include requests for reviews,'

meeting agendas, issue sheets and other

background information, meeting

minutes, member comments,

recommendations, documentation of

final actions, bulletins to licensees, and

related correspondence. Case files are

arranged by meeting date.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

Permanent. Cut off meeting

case files at the close of the

fiscal year in which meeting

occurred. Retire to the

'Washington National Record

Center 5 years after cutoff.

Transfer to NARA 20 years

after cutoff.

N1-43 1-00-19

Item 4.a

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File 2 months after creation of

Format (TIFF) files and ASCII files. - ADAMS electronic record.

c. Copies of electronic files stored Destroy after creation of

outside of ADAMS used to create ADAMS electronic record or

ADAMS Portable Document when no longer'needed for

Format (PDF) files, TIFF files, and 'reference or updating,

ASCII files that remain with staff' whichever is later.

N1431-00-19

Item 4.b

N1-431-00-19

Item 4.c

March 2005 2.1'9. 9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

members and 01S processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

Management and staff concurrences

in documents that are linked to and

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-19

Item 4.d

N1-431-00-19

Item 4.e

March 2005 2.19.10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS . -.- '- - AUTHORIZED DISPOSITION CITATION

considered part of the oficial- -

records.

6. Experiment and Test Files

Experiment and test records that consist

of various types of motion picture films,

oscillograms, magnetic tapes, etc., on

which are recorded raw or unevaluated

data; and evaluation data resulting from

study of above material, including

memoranda, graphs, tabulations,

reports, and related papers referred to

collectively as "Reduced Data."

a. Plans and procedures for conducting

the experiment or test.

Destroy when 5 years old. NC1431-89-5

Item L.a

Record keeping system: Paper.

b. Record print of edited still and

motion picture film resulting from

experiments and tests.

(1) Still Photography.

(a) Photographs corresponding

to case files which have

exceptional value because'

of the highly significant -

nature of the research -

involved, or the uniqueness

of the case files and images.

Record keeping system:

Still photographic prints

and negatives.

Permanent. Transfer to NARA

when 20 years old. For black

and white photography, transfer

an original negative and

captioned work print when

feasible. For color

photography, transfer whenever

.:feasible any existing finding

aids, the original color

transparency or color negative,

a captioned print, and an internegative if one exists.- Existing

finding aids should be included

in the transfer. (NOTE: During

archival processing NARA may

destroy without further agency

NC1431-89-5

Item L.b(l)(a)

March 2005 2.19. 11 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

concurrence any material found

to be lacking in permanent

value.)

(b) Photographs corresponding

to case files which lack

permanent value.

Destroy after 20 years. NC1-431-89-5

Item 1.b(1)(b)

Record keeping system:

Photographic prints and

negatives.

(2) Motion Picture and Videotape

records.

(a) Records corresponding to

case files which have

exceptional value because

of the highly significant

nature of the research

involved, or the uniqueness

of the case files and images.

Record keeping system:

Film and videotape.

(b) Records corresponding to

case files which lack

permanent value.

Permanent. Transfer to NARA

when 20 years old. For motion

pictures, transfer an original

negative or color original plus

sound and projection print

whenever feasible. For video

recordings, transfer the original

or earliest generation of the

recording and a dubbing

whenever feasible. Existing

finding aids should be included

in the transfer. (NOTE:

During archival processing

NARA may destroy without

further agency concurrence any

material found to be lacking in

permanent value.)

Destroy after 20 years.

NC1431-89-5

Item 1.b(2)(a)

NC1-431-89-5

Item L.b(2)(b)

Record keeping system:

Film and videotape.

March 2005 2.19. 12 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES*

ITEM

NO.

NARA

APPROVED,

DESCRIPTION OF RECORDS : ' .AUTHORIZED DISPOSITION CITATION

c. Summary Data and related records.

Record keeping system: Various

media.

(1) Summary data, and/or records -: Destroy when 7 years old.

reflecting significant findings or

containing scientific data not*

duplicated elsewhere which

serve as backup for notebook

entries and/or reports.

(2) Summary data, and/or records Destroy when 2 years old or

that do not reflect significant-- - sooner, if no longer needed.

findings, that are routine or

duplicative in nature, or those

that do not serve as backup for

notebook entries and/or reports.

NC1-431-89-5

Item L.c(l)

NC1-431-89-5

Item L.c(2)

d. Source data files, punch cards,

magnetic tapes, recorder charts,

preliminary drawings, film

questionnaires, survey etc., used to

collect and assemble data of a

preliminary or intermediate

character generated from such

processes as experiments or

observations of a routine, repetitive

nature and used for reference in

arriving at determinations in the

conduct of research projects.

Reduced data as described above.

Record keeping system: Various

media as described.

(1) Textual records. Destroy when the program

manager determines that the

- - records have no probable value.

NC1-431-89-5

Item 1.d(1)

March 2005 2.19.13- NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(2) Electronic record files.

(3) Raw test data consisting of

Mitchell camera film, Askania

Phototheodilite film, and Fastex

film; film recorded charts,

graphs trajectory data

oscillograms, and telemetry

oscillograms.

e. Raw data, summary data, and other

background materials recommended

by the Project Manager for

permanent retention due to its

continuing research and background

value.

Record keening system: Various

media.

Destroy when Program

Manager determines that the

records have no probable value,

erase, and reuse tapes.

Destroy when 5 years old or 1

year after completion or final

evaluation report of test project,

whichever comes first.

Permanent. Cut off files upon

completion of the project and

retire to RFPSB when 2 years

old. Transfer to NARA when

20 years old. (NOTE: During

archival processing, NARA may

destroy without further agency

concurrence any material found

to be lacking in permanent

value.)

NC1431-89-5

Item L.d(2)

NC1-431-89-5

Item 1.d(3)

NC1431-89-5

Item L.e

\ < 2

7. Formal Arraneement and Agreement

Files

Signed bi-lateral arrangement

documents and original or certified

copies of research agreements with

foreign governments or other foreign

organizations. Arranged alphabetically

by name of foreign country.

Record keeping system: ADAMS and

Paper.

a. Paper records created prior to

04/01/2000, and signed bi-lateral

arrangement documents and

research agreements in paper format

Permanent. Cut off file when

arrangement expires. Offer to

NARA 10 years after expiration

of arrangement.

N1431-00-19

Item 5.a

March 2005 2.19.14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

created after that date.

b. Paper records used as the source to

create ADAMS electronic bitmapped image files and ASCII files

c. Copies of electronic files stored

outside of ADAMS used to createADAMS PDF files, bit-mapped

image files, and ASCII files that

remain with staff members and OIS

processing staff after creation of the

ADAMS records. Included are

electronic records created internally

using office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

- Return to Official File Station

for maintenance and disposition

in accordance with item 5.1,

above after ADAMS

processing.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files upon revocation or

termination of agreement.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

NI-431-00-19

Item 5.b

N143 1-00-19

Item 5.c

NI-431-00-19

Item 5.d

March 2005 2.19. 15 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

Management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

NI-431-00-19

Item 5.e

8. General Program Correspondence

Files (Subject Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of

Nuclear Regulatory Research (RES)

program and staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant RES

program management functions that

are signed by or addressed to the

RES Director or Deputy Director.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

March 2005 2.19. 16 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS . : AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

OIS. OIS will transfer to

NARA when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National.

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

NC1-431-81-5

Item 1.2.15.a

N1-43 1-00-19

Item 6.a(2)

N1-431-00-19

Item 6.a(3)

N1-431-00-19

Item 6.a(4)

March 2005 2.19. 17 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1 431-00-19

Item 6.a(5)

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant RES program

management functions and program

operations. They are signed by or

addressed to RES management and

staff below the Office Director

level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

March 2005 2.19. 18 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files, -

TIFF files, and ASCI files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForm s, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through OIS. Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

NC1-431-81-5

Item 1.2.15.b

N1-431-00-19

Item 6.b(2)

N1-431-00-19

Item 6.b(3)

N 1-431-00-19

Item 6.b(4)

March 2005 2.19. 19 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NC1-431-81-5

Item 1.2.15.c

NI-431-00-19

Item 6.c(2)

N1-43 1-00-19

Item 6.c(3)

N143 1-00-19

Item 6.c(4)

March 2005 2.19.20 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS 11 : ",AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

ADAMS digital signature and

concurrence data.

9. Grants Files

a. Case files of contracts, reports,

studies, agreements,

correspondence, and other records

relating to receipt, award, and

monitoring of grants.

Record keeping system: ADAMS.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files'

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to-'

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency. :

(4) ADAMS PDF files and their . -

linked native application source

files; ADAMS TIFF files and -

their linked ASCII files; -

ADAMS document profiles and

Destroy 6 years and three

months after case is closed.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files when

case is closed. Destroy 6 years

and three months after cutoff.

NC1-431-81-5

Item 1.5.33.a

N1-431-00-19

Item 7.a(2)

N1-431-00-19

Item 7.a(3)

N1-431-00-19

Item 7.a(4)

March 2005 2.19.21 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA <21-

APPROVED

CITATION

ITEM'

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

document packages; and

ADAMS digital signature and

concurrence data.

b. Reports, books, studies, or any other

final grant product and related

records.

Record keeping system: ADAMS.

(I) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

NC1431-81-5

Item 1.5.33.b

N1431-00-19

Item 7.b(2)

N1-431-00-19

Item 7.b(3)

NI-431-00-19

Item 7.b(4)

<2

March 2005 2.19.22 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED -- -.AUTIhORIZED DISPOSITION CITATION

-. well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

: applicable at the time. If

: transfer in an electronic medium

'is not feasible, prior to transfer,

with NARA concurrence,

records will be convened to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA. -

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

NI-431-00-19

Item 7.b(5)

c. Unsuccessful grant application files

consisting of applications,

correspondence, and other

records relating to unsuccessful

(rejected or withdrawn)

applications.

Record keeping system: ADAMS.

(1) Paper records created before Destroy 3 years after rejection

04/01/2000. or withdrawal.

GRS 3-13

March 2005 2.19.23 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES '<2y

ITEM

NO. DESCRIPTION OF RECORDS

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

AUTHORIZED DISPOSITION

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 3 years

after cutoff.

NARA

APPROVED

CITATION

NI-431-00-19

Item 7.c(2)

N1-431-00-19

Item 7.c(3)

N1-431-00-19

Item 7.c(4)

d. Grant administrative files consisting

of correspondence and/or subject

files relating to routine operations

and daily activities in administration

of the grant program.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

Destroy when 2 years old. GRS 3-14

March 2005 2.19.24 NUREG-09 10, Rev. 4 \
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

NARA

APPROVED

!-CITATION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Destroy paper documents

.2 months after creation of

ADAMS electronic record.

NI-431-00-19

Item 7.d(2)

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files,-, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1-431-00-19

Item 7.d(3)

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and -_

ADAMS digital signature and_,

concurrence data.

Cut off electronic files at end of

fiscal year. Destroy 2 years

after cutoff. -

NI-431-0O-19

- Item 7.d(4)

10. Laboratory Notebooks

Scientists' notebooks containing

scientific and technical data resulting

from research work, as follows:

Record keeping system: Paper

a. Notebooks containing data essential

in establishing patent or invention

rights excluding those retained

permanently under Item 5.b below.

Cut off files upon completion of

project. Destroy 6 years and 3

months after completion or

termination of the related

NCI-43 1-89-5

Item 5.a

March 2005 2.19.25 NUREG-910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

project(s), or one year after

final patent action, whichever is

later.

b. Notebooks corresponding to

permanent Research Project Case

Files and containing significant

scientific and technical data

required for complete

documentation of experiments some

of which may contain patent and

invention rights data.

c. Notebooks containing data

determined by competent scientific

or technical personnel either to be

duplicated in technical reports or

elsewhere in project case files, or to

be of such routine or fragmentary

nature that their retention would not

add significantly to the project file.

Permanent. Cut off upon

completion of project. Retire to

RFPSB 1 year after

approval/disapproval of the

patent office, whichever is later.

Transfer to NARA when 20

years old.

Destroy when 5 years old or I

year after completion of final

report, whichever is sooner.

NC1-431-89-5

Item 5.b

NC1-431-89-5

Item 5.c

K)

11. National Standards Committee

Participation System (SDCOM)

The system maintains a computer file of

NRC personnel involved in the

development of nuclear standards. A

Nuclear Standards Directory is

produced which associates corporations,

committee members, and particular

standards activities.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1-43 1-81-2

Item 13.E.1

Record keeping system: Electronic

Information System.

March 2005 2.19.26 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

12. Nuclear Safety Research Review

Committee Records (NSRRC)

a. Records of the NSRRC

Records of the NSRRC consisting of

agendas, minutes, briefing materials,

transcripts of full committee and

subcommittee meetings, reports

describing committee and subcommittee

findings and recommendations, subject

files consisting of internal

memorandum, incoming and outgoing

correspondence, special studies project

files on topics requested by the Office

Director or the Commission, and all

other documents pertaining to the

functions, policies, and program

responsibilities of the committee.

Cutoff in 5 year blocks and

retire to the Washington

National Records Center. Offer

in 5 year blocks to NARA when

20 years old.

N1-431-90-3

Item 1

Record keeping system: Paper.

b. General Administration Files - I '

General administrative files

pertaining to the routine internal

management or general

administration of the NSRRC such

as budget, travel, procurement, etcJ

rather than the function for which

the NSRRC exists.

Cut off at close of fiscal year.

Destroy when 2 years old or

sooner if purpose has been

served.

GRS 23-1

Record keening system: Paper.

13. Nuclear Safety Standards Proeram

Files

a: Records accumulated in connection

with the development of nuclear

safety standards and guides

pertaining to the siting of suitable

location, design of nuclear power

March 2005 2.19.27 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

plants, etc. Included are draft

standards and guides, comments

from staff offices and the public,

and related records. Standards are

formally published as NRC

Regulations, NUREGS, Guides, or

Technical Specifications, which are

retained permanently in ADAMS.

See NRCS 2, Part 6, Item 14a.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

Destroy when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at end of

fiscal year. Destroy when 20

years old.

NCI-431-81-5

Item 4.9.37

N1-431-00-19

Item 8.a(2)

Nl-431-00-19

Item 8.a(3)

N1-431-00-19

Item 8.a(4)

March 2005 2.19.28 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM -

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION ..

ADAMS digital signature and

concurrence data.

b. Record copy of nuclear safety

standards and guides pertaining to'

the siting of suitable location,

design of nuclear power plants,-etc'

Standards are formally published las'

NRC Regulations, NUREG, Guides,:

or Technical Specifications.

Record keepine system: ADAMS. - ;

(1) Paper records created before 'Permanent. Transfer to NARA

04/01/2000. when 20 years old.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged ' 2 months after creation of

Image File Format (TIFF) files ADAMS electronic record.

and ASCII files.

N1-43 1-00-19

Item 8.b(l)

N1-431-00-19

Item 8.b(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable -

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permnanent. Cut off electronic

files at end of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

Nl-431-00-19

Item 8.b(3)

N1-431-00-19

Item 8.b(4)

March 2005 2.19.29 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1431-00-19

Item 8.b(5)

14. Personnel Monitoring Report Files

Personnel monitoring reports and

related information consisting of reports

of individual monitoring from licensees

required under 10 CFR Part 20.

Documents consist of annual personnel

monitoring reports and periodic reports

of overexposures including NRC Form

5, the information from which is

March 2005 2.19.30 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - - -' AUTHORIZED DISPOSITION CITATION

maintained on magnetic tapes accessed

using the Radiation Exposure

Information Reporting System (REIRS)

at Oak Ridge National Lab.

Record keeping system: ADAMS.

a. Personnel monitoring reports and

personnel overexposure reports

submitted by licensees, from which

all data are entered into the

Radiation Exposure Information ,-

System (REIRS).

(1) Paper records created before - - Destroy 2 years after data are

04/01/2000. I - input into REIRS.

NCI-431-89-6

Item l.a

(2) Paper records used as the source

to create ADAMS Tagged"

Image File Format (TIFF) files

and ASCII files.

.(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy paper documents

2 months after creation of

-ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,'

whichever is later.

Nl-431-00-19

Item 9.a(2)

NI-431-00-19

Item 9.a(3)

(4) ADAMS PDF files and their Cut off electronic files at end of

linked native application source ii fiscal year. Destroy 2 years -

files; ADAMS TIFF files and * -: after cutoff.

their linked ASCII files;

NI-431-00-19

Item 9.a(4)

March 2005 2.19.31 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

b. Personnel monitoring reports and

personnel overexposure reports that

are not placed in the REIRS or of

which only selected data are entered

into REIRS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools

(e.g.,WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off at end of

fiscal year. Retire to

Washington National Record

Center in 5 year blocks.

Transfer to NARA when 20

years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at end of fiscal year.

Transfer to the National

NC1-431-89-6

Item L.b

N1-431-00-19

Item 9.b(2)

N1-431-00-19

Item 9.b(3)

N1-431-00-19

Item 9.b(4)

March 2005 2.19.32 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

I AUTHORIZED DISPOSITION CITATION

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

-applicable at the time. If

'transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to'microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff -

concurrences in documents that

are linked to and considered

part of the official records.; '

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-19

Item 9.b(5)

c. Electronic records of personnel Permanent. Transfer data copy

monitoring report data, 1978- - immediately on magnetic tape

present (maintained at'Oak Ridge' ;- ''according to NARA technical

National Laboratory). (Reference requirements. Transfer revised

NRCS 2-21.12 "REIRS Systemn."' data copies to the NARA every

- 5 years.

N1-431-89-6

Item I.c

March 20.05 2.19.33 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

d. REIRS system programming and

documentation.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Transfer to NARA

on an ongoing basis in

conjunction with item 9c.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at end of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

NC1-431-89-6

Item L.d

N1431-00-19

Item 9.d(2)

N1-431-00-19

Item 9.d(3)

NL-431-00-19

Item 9.d(4)

March 2005 2.19.34 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

-- - AUTHORIZED DISPOSITION CITATION

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations foundin 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-19

Item 9.d(5)

15. Plans and Systems Design

Descriptions

Drawings and plans of 64 systems

associated with the LOFT (loss of fluid

test) reactor. Maintained by the

research contractor at the facility.- -::

Permanent. Offer to NARA

when 20 years old.

NC1I431-81-3

Item 2

Record keeping system: Paper.

16. Radiation Exposure Information

System (REIRS) -

The system maintains radiation '1- : '-permanent. Transfer data copy

exposure data reported by NRC licensee immediately on magnetic tape

according to category such as: - according to NARA technical

commercial reactors, industrial requirements. Transfer revised

radiographers, fuel fabricators and ' data copies to the National

processors, and commercial distributors Archives every 5 years. (Initial

NC1-431-89-6

Item l.c

March 2005 2.19.35 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

CITATION

K)1-

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

of specified quantities of by product

material. Such data assist in the

evaluation of the effectiveness of

NRC's regulatory program.

transfer occurred 8124/90)

Record keeping system: Electronic

Information System.

17. Regulatory History Files for

Proposed and Final Rulemaking

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards

comments, Commission papers,

transcripts, indexes, and Federal

Register Notices.

'K)/

Record keeping system: ADAMS.

a. Official case files created by the

RES.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Cutoff when

regulation is issued through

notice in the Federal Register.

OIS will transfer to NARA in 5-

year blocks when the earliest

closed case file is 25 years old

and the most recent case file is

20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NCI-43 1-85-1

Item l.a

Ni-431-00-19

Item 10.a(2)

March 2005 2.19. 36 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

1 -- - -ATITHnRn7F) DlISPOSITION

NARA

APPROVED

CITATION

ITEM

NO. MRECRIPTION OF RECOT ko v s ... \. i. .. ma., .

(3) Copies of electronic files stored - - Destroy after creation of

outside of ADAMS used to - '- ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic"'

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

NI-431-00-19

Item 10.a(3)

(4) ADAMS PDF fi

files.

les and TIFF Permanent. Cut off electronic NJ

files when regulation is issued Ite

through notice in the Federal

Register. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

'.transfer records electronically in

accordance with the'standards

for permanent electronic

records contained in 36 CFR'

1228.270 or standards

"applicable at the time. If

transfer in an electronic medium

'is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

'14310019

em 10.a(4)

March 2005 2.19.37 NUREG-0910, Rev. 4 -
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic -

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N 1431-00-19

Item 1O.a(5)

18. Reiected Research Proiect Proposals

All proposals for research projects

consisting of unsolicited contract

proposals from individuals and

organizations which were not funded by

NRC.

Record keeping system: ADAMS.

K)J

a. Paper records created before

04101/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Formnat (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Destroy 2 years after

disapproval of funding.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-89-5

Item 2

N1431-00-19

Item 1I .b

N1-431-00-19

Item 11.c

March 2005 2.19.38 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS . I .. AUTHORIZED DISPOSITION CITATION

e-mail, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files upon

disapproval of funding. Destroy

2 years after cutoff.

NI-431-00-19

Item 1 .d

19. Research Program Files

Records consisting of documents, data,

and correspondence relating to the

formulation, planning, direction, review,

and evaluation of research in major

program areas.

Record keeping system: ADAMS.

a. Documents generated, received,

signed, or maintained at the Office

Director level.

(1) Paper records created before -Permanent. Cut off files

04/01/2000. annually and retire to OIS when

-2 years old. Transfer to NARA

-.when 20 years old.

N1-431-89-5

Item 3.a

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files :.

and ASCII files.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

N1-431-00-19

Item 12.a(2)

N1-431-00-19

Item 12.a(3)

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ' ADAMS electronic record or

create ADAMS Portable '';when no longer needed for

Document Format (PDF) files,~-; reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

March 2005 2.19. 39. NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

Permnanent. Cut off electronic

files annually. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-19

Item 12.a(4)

Ni-431-00-19

Item 12.a(5)

March 2005 2.19.40 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. -DESCRIPTION OF RECORDS I AUTHORIZED DISPOSITION

are linked to and considered

part of the official records.

b. Documentation at the division level

and below.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off files annually. Destroy

10 years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-89-5

Item 3.b

N1-431-00-19

Item 12.b(2)

N1 431-00-19

Item 12.b(3)

N1-431-00-19

Item 12.b(4)

March 2005 2.19.41 ' NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

20. Research Project Case Files

Technical documents, memoranda,

monthly or quarterly highlight reports,

program reports, status reports,

management letters, original of tracings

of drawings, specifications, and

duplicate photographs of completed

products, or apparatus, and references

pertinent to a project maintained by the

project manager.

Record keeping system: ADAMS.

a. Case files deemed by the NRC or

NARA to have exceptional value

because of the highly significant

nature of the research involved or

uniqueness of the case file.

Included are files that (1) show

development of new and significant

techniques, (2) relate to new and

significant methodology and

materials, (3) were the subject of

Congressional investigation or came

under intensive public scrutiny, (4)

result in judicial decisions or

legislative activities affecting the

functions and activities of the NRC,

or (5) result in significant changes

in regulatory activities and

functions of the NRC.

(1) Paper records created before

04/01/2000.

Permanent. Cut off files after

completion or termination of the

project and retire to OIS when 2

years old. Transfer to NARA in

annual blocks when 20 years

old.

N143 1-89-5

Item 4.a

N1-431-00-19

Item 13.a(2)

(2) Paper records used as the source

to create ADAMS Tagged

Destroy paper documents

2 months after creation of

March 2005 2.19.42 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM .

NO. DESCRIPTION OF RECORDS -. - AUTHORIZED DISPOSITION

Image File Format (TIFF) files ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ' 'ADAMS electronic record or

create ADAMS Portable - -when no longer needed for

Document Format (PDF) files', '-'-reference or updating,

TIFF files, and ASCII files that, whichever is later.

remain with staff members and'

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1-431-00-19

Item 13.a(3)

(4) ADAMS PDF files and TIFF Permanent. Cut off electronic

files. files upon completion or

termination of the project.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

* Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NI-431-00-19

Item 13.a(4)

March 2005 2.19.43 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

Management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-19

Item 13.a(5)

b. All other case files.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-89-5

Item 4.b

NI-431-00-19

Item 13.b(2)

NI-431-00-19

Item 13.b(3)

<_//

March 2005 2.19.44 NUREG-09 I1, Rev. 4 \j
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS : ;- - -AUTHORIZED . DISPOSITION

NARA

APPROVED

CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

completion or termination of the

project. Destroy when 20 years

old.

NI-431-00-19

Item 13.b(4)

21. Scientific and Technical Reports

These are published and unpublished,

scientific and technical reports, as

defined in NRC Management Directive

3.8.

Record keeping system: ADAMS.

a. Record copy officially designated

by the originating NRC office or

contractor.

(1) Published reports. - ;

(a) Paper records created

before 04/01/2000.

Permanent. Transfer to NARA

when 10 years old.

NC1-431-81-5

Item 4.8.28.a. 1

(b) Paper records used as the Destroy paper documents

source to create ADAMS 2 months after creation of

Tagged Image File Format ADAMS electronic record.

(TIFF) and ASCII files..

(c) Copies of electronic files ----. Destroy after creation of

stored outside of ADAMS ; ADAMS electronic record or

used to create ADAMS- :.-; when no longer needed for

Portable Document Format reference or updating,

(PDF) files, TIFF files, andi -whichever is later.

ASCII files that remain with

staff members and OIS

processing staff after -

creation of the ADAMS

records. Included are

N1-431-00-19

Item 14.a(1)(b)

N1431-00-19

Item 14.a(1)(c)

March 2005 2.19.45 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

<1-I NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS

electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received

from outside the agency.

AUTHORIZED DISPOSITION

(d) ADAMS PDF files and

TIFF files.

(e) ADAMS document profiles

and ADAMS document

packages created for the

management, search, and

retrieval of the PDF files

and TIFF files, and

ADAMS data related to

digital signatures, and data

that evidence final NRC

Management and staff

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

NI-431-00-19

Item 14.a(1)(d)

KJ

NI-431-00-19

Item 14.a(1)(e)

March 2005 2.19.46 NUREG-09 IO, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS ? --i AUTHORIZED DISPOSITION CITATION

concurrences in documents

that are linked to and

considered part of the

official records. -

(2) Unpublished reports.

(a) Paper records created

before 04/0112000.

(b) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) and ASCII files.

(c) Copies of electronic files

stored outside of ADAMS

used to create ADAMS

Portable Document Format

(PDF) files, TIFF files, and

ASCII files that remain with

staff members and OIS

processing staff after

creation of the ADAMS

records. Included are

electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received

from outside the agency.

(d) ADAMS PDF files and

TIFF files.

-Permanent. Cut off files at

close of fiscal year. Transfer to

NARA in annual blocks when

20 years old.

Destroy paper documents

-2 months after creation of

-ADAMS electronic record.

.Destroy after creation of

ADAMS electronic record or

-when no longer needed for

reference or updating,

whichever is later.

Ni-431-81-5

Item 4.8.28.a.2

N1-431-00-19

Item 14.a(2)(b)

N1-431-00-19

Item 14.a(2)(c)

NI-431-00-19

; Item 14.a(2)(d)

;Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

March 2005 2.19.47 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(e) ADAMS document profiles

and ADAMS document

packages created for the

management, search, and

retrieval of the PDF files

and TIFF files, and

ADAMS data related to

digital signatures, and data

that evidence final NRC

Management and staff

concurrences in documents

that are linked to and

considered part of the

official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

Nl-431-00-19

Item 14.a(2)(e)

K)

22. Still Photographs Associated with

Loss of Fluid Transfer (LOFT)

Still photographs of instruments,

facilities, procedures, and special visits

associated with the LOFT reactor.

Prints are maintained in the Office of

Nuclear Regulatory Research, and

Permnanent. Break file every

five years. Offer negative and

print to NARA five years after

file break.

NCI-431-81-4

Item L.e

March 2005 2.19.48 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

negatives are maintained by the research

contractor arranged by subject.

Record keeping system: Prints and

negatives.

23. Video Recordings For Research

Projects

Experiment and Test records for

research projects, as follows:

Record keeping system: Videotape.

a. Edited, educational motion picture

film or video recordings on the

LOFT program. Originals may be

maintained by contractors and prints

or dubbings maintained in the

Office of Nuclear Regulatory

Research.

b. Unedited documentary motion

picture film or video recordings

resulting from LOFT experiment

and tests.

Permanent. Offer original,

intermediate copy and print or

dubbing to NARA when five

years old.

Destroy when no longer needed.

NC1431-81-4

Item 3.F

NC1-431-81-4

Item 3.F.b

March 2005 2.19.49 NUREG-0910, Rev. 4
-NRC Schedule 2

RECORDS OF NRC OFFICES

PART 20. OFFICE OF NUCLEAR SECURITY AND INCIDENT RESPONSE (NSIR)

The Office of Nuclear Security and Incident Response (NSIR) develops overall agency policy and provides

management direction for evaluation and assessmeit of technical issues involving security at nuclear

facilities, and is the agency safeguards and security interface with the Department of Homeland Security

(DHS), the intelligence and law enforcement communities, Department of Energy (DOE), and other

agencies. Develops and directs the NRC program for response to incidents, and is the agency incident

response interface with the DHS, Federal Emergency' Management Agency (FEMA) and other Federal

agencies.

The following record schedules were developed for records unique to NSIR. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other applicable

schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition Plans"

retained by the office Records Liaison Officer.

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency. Excluding

routine committee and conference

records covered by GRS 26-1.a.

Record keeping system: ADAMS.--

(1) Paperrecordscreatedbefore. - : Permanent. Cutoff when NRC N1-431-03-1

04/01/2000, and classified and involvement terminates. OIS Item L.a(l)

safeguards unclassified material will transfer to NARA 10 years

maintained in paper form. after cutoff.

(2) Paper records used as the source - Destroy paper documents NI-431-03-1

to create ADAMS Tagged 2 months after creation of Item 1.a(2)

March 2005 2.20. 1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Image File Format (TIFF) files

and ASCII files.

ADAMS electronic record.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

NI-431-03-1

Item L.a(3)

N1-431-03-1

Item l.a(4)

March 2005 2.20. 2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED ;

CITATION

ITEM

NO. DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION

paper or to microform. Destroy

NRC copy 8 years after

transferring records to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic -

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-03-1

'Item 1.a(5)

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000, and classified and

safeguards unclassified material

maintained in paper formi.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NI-431-03-1

Item l.b(1)

N1-431-03-1

Item I.b(2)

NI-431-03-1

Item L.b(3)

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, - reference or updating,'

TIFF files, and ASCII files that whichever is later.

March 2005 2.20. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForrns, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

Nl-431-03-1

Item L.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000, and classified and

safeguards unclassified material

maintained in paper form.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

N143 1-03-1

Item I.c(l)

N1431-03-1

Item 1.c(2)

N1431-03-1

Item I.c(3)

March 2005 2.20. 4 NUREG-0910, Rev. 4
NRC Schedule 2

. I .'. .. ;

RECORDS OF NRC OFFICES

RDS -- AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

ITEM

NO. DE1SCRIPTION OF RECOI

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using'

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

when no longer needed for

reference or updating,

whichever is later.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1431-03-I

Item I.c(4)

2. Emeraencv Planning Files

a. Case Files accumulated in NSIR,

consisting of a record copy of each

plan or directive issued, with related

background papers.

Record keeping system: ADAMS.-

(1) Paper records created before;-,

04/0112000, and classified and

safeguards unclassified material

maintained in paper form.

'Permanent. Cut off at close of

'fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

QIS. OIS will transfer to

NARA when 20 years old.

NC1431-81-1

Item 3.a

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

N1-431-03-1

Item 2.a(2)

March 2005 2.20.' 5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

Image File Format (TIFF) files

and ASCII files.

ADAMS electronic record.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

N143 1-03-1

Item 2.a(3)

N1-431-03-1

Item 2.a(4)

March 2005 2.20. 6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM .

NO. DESCRIPTION OF RECORDS -AUTHORIZED DISPOSITION

- NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that:

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-03-1

Item 2.a(5)

b. Record set of NRC reports of

operation tests accumulated in

NSIR, consisting of consolidated or

comprehensive reports reflecting

NRC-wide results of tests -

conducted under emergency plans.

Record keeping system: ADAMS.'

(1) Paper records created before Permanent. Cut off at close of

04/01/2000, and classified ind ' -'fiscal year. Hold 2 years and

safeguards unclassified material retire to the Washington

maintained in paper form. National Record Center through

OIS. OIS will transfer to

-NARA when 20 years old.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files'," ADAMS electronic record.

and ASCII files.

NCI-431-81-1

Item 3.b

N143 1-03-1

Item 2.b(2)

(3) Copies of electronic files stored

outside of ADAMS used to '

create ADAMS Portable - ''

Document Forrnat (PDF) files,'

"Destroy after creation of

; 'ADAMS electronic record or

'when no longer needed for

reference or updating,

N1-431-03-1

Item 2.b(3)

March 2005 2.20. 7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

whichever is later.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

Permanent. Cutoff electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

N1-431-03-1

Item 2.b(4)

N1-431-03-1

Item 2.b(5)

March 2005 2.20. 8 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. --

NARA

APPROVED

DESCRIPTION OF RECORDS - - AUTHORIZED DISPOSITION' CITATION

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

'PDF files and TIFF files are

' transferred. Destroy NRC copy

'18 years after transferring

record to NARA.

3. General Program Correspondence

Files (Subiect Files) . I

Letters, memoranda, messages, studies, '

reports, forms, and other data ' ' '- -

documenting and/or implementing:

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to

Office of Nuclear Security and Incident

Response (NSIR) program and staff

activities.

. 1 I

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant NSIR : " ''.

program management functions that

are signed by or addressed to the

NSIR Director and Deputy Director.

Excluded is program

correspondence that documents

routine transactions for which the-l

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paperrecordsicreated before -"

04/01/2000, and classified and

safeguards unclassified material

-'Permranent. Cut off at close of

- fiscal year. Hold 2 years and

' retire to the Washington

NCI-431-81-5

Item 1.2.15.a

March 2005 2.20. 9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

maintained in paper form. National Record Center through

QIS. 01S will transfer to

NARA when 20 years old.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permnanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

N 1431-03-1

Item 3.a(2)

N1431-03-1

Item 3.a(3)

N1-431-03-1

Item 3.a(4)

March 2005 2.20. 10 NUREG-0910, Rev. 4
NRC Schedule 2

R . COD; NRC * ICE

RECORDS OF NRC OFFICES

ITEM -

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

tiansfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform.- Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages..

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA'

-,according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring''

records to NARA.

N1-431-03-1

Item 3.a(5)

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant or NSIR

program management functions and

program operations. They are

signed by or addressed to NSIR

management and staff below the

NSIR Director and Deputy Director

level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000, and classified and

Cut off at close of fiscal year.-

Hold 2 years and retire to the

NC1-431-81-5

' Item 1.2.15.b

March 2005 2.20.'11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NA RA

APPROVED

AUTHORIZED DISPOSITION CITATION

safeguards unclassified material

maintained in paper form.

Washington National Record

Center through OIS. Destroy 10

years after cutoff.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-43 1-03-1

Item 3.b(2)

N1-431-03-1

Item 3.b(3)

N1431-03-1

Item 3.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

March 2005 2.20.12 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM - .

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000, and classified and

safeguards unclassified material

maintained in paper form.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating-,'

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NCI-431-81-5

Item 1.2.15.c

NI-431-03-1

Item 3.c(2)

N1-431-03-1

Item 3.c(3)

N1-431-03-1

Item 3.c(4)

March 2005 2.20.'13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES K)

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

4. International Safeiuards Program

Office (ISPO) Files

The ISPO is a part of the Brookhaven

National Laboratory and is responsible

for coordinating the comments and

development process or the POTAS

reports. ISPO files include copies of

reports developed by U.S. contractors

under the Program for Technical

Assistance to the International Atomic

Energy Agency (IAEA) Safeguards

(POTAS); reviews of the international

safeguards and physical protection

technical aspects of export and import

licencing and retransfer requests (some

are classified); the technical evaluations

of the safeguards provisions of

agreements for cooperation (some are

classified); the evaluations of efforts to

support the strengthening of IAEA

safeguards (some are classified); the

onsite reviews of foreign physical

programs (classified); reports of efforts

to enhance safeguards programs in other

countries including the republics of the

former Soviet Union (some are

classified); and reports of activities in

support of implementation of IAEA

safeguards agreement (company

proprietary). Also included in the files

are correspondence between ISPO and

NRC, DOE, and DOJ and NRC

response to ISPO requests for comments

on draft reports and copies of final

reports.

Record keeping system: Unclassified -

ADAMS; Classified and SGI - Paper.

March 2005 2.20. 14 NUREG-09 10, Rev. 4
NRC Schedule 2 I .

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - - IAUTHORIZED DISPOSITION CITATION

a. Paper records created before

04/01/2000, and classified and

safeguards unclassified material

maintained in paper form.

b. Paper records used as the source ti

create ADAMS Tagged Image File

Format (TFF) files and ASCII file

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, an

ASCII files that remain with staff

members and QIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

Permanent. Transfer to NARA

when 20 years old.

3 Destroy paper documents

- 2 months after creation of

es. ADAMS electronic record.

"Destroy after creation of

ADAMS electronic record or

when no longer needed for

d .- reference or updating,

whichever is later.

N1-431-03-1

Item 4.a

N1-431-03-1

Item 4.b

N1431-03-1

Item 4.c

NI-431-03-1

Item 4.d

d. ADAMS PDF files and TIFF files. Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

:well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

"for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

March 2005 2.20. 15 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-03-1

Item 4.e

S. Safe2uard Status Reports

Monthly computer printouts containing

an inventory of all nuclear material

located in NRC licensed facilities

throughout the United States. Reports

are derived from information furnished

by regional inspectors.

Record keeping system: Unclassified -

ADAMS; Classified and SG1 - Paper.

a. Paper records created before

04101/2000, and classified and

safeguards unclassified material

maintained in paper form.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCH files.

c. Copies of electronic files stored

outside of ADAMS used to create

Destroy when superseded by

new report.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

NC1-431-81-5

Item 4.4.9

N1-431-03-1

Item 5.b

N1-431-03-1

Item 5.c

March 2005 2.20.16 NUREG-0910, Rev. 4
; - *:::T: : ,W :

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION -

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

when no longer needed for

reference or updating,

whichever is later.

d. ADAMS PDF files and their linkednative application source files;

ADAMS TIFF files and their linked;

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files when

superseded by a new report and

destroy immediately.

N1-431-03-1

Item 5.d

6. Security Policy Files

Manuals, directives, plans, reports, and

correspondence reflecting policies and..

procedures developed by NSIR, in the

administration and direction of security

and protective services programs.

Record keeping system: ADAMS. -

a. Paper records created before - Permanent. Transfer to NARA

04/01/2000. - - when 10 years old.

N1-431-03-1

Item 6.a

b. - Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File 2 months after creation of

Format (TIFF) files and ASCII files. ADAMS electronic record.

c. Copies of electronic files stored- Destroy after creation of

outside of ADAMS used to create, ADAMS electronic record or

ADAMS Portable Document - -. when no longer needed for

Format (PDF) files, TIFF files, and reference or updating,

N1-431-03-1

Item 6.b

N1-431-03-1

Item 6.c

March 2005 2.20.1.7 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES \1/

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

ASCII files that remain with staff

members and 01S processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

whichever is later.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

Permanent Cut off electronic

files at close of the fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permnanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

N1431-03-1

Item 6.d

\K-)

NI-431-03-1

Item 6.e

March 2005 2.20.18 NUREG-0910, Rev. 4
r 1 ,"1- ; _ .

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

8 years after transferring record

to NARA.

7. Svstems Securitv Records

a. Access Request Files

Requests and authorization for

individuals to have access to

communication security (COMSEC)

information.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Destroy 2 years after

authorization expires.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NC1-431-81-5

Item 1.5.39.a

NI-431-03-1

Item 7.a(2)

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files,. reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

NI-431-03-1

Item 7.a(3)

March 2005 2.20.19 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files when

authorization expires. Destroy

2 years after cutoff.

N1-431-03-1

Item 7.a(4)

b. Document and Material Transfer

Records

COMSEC document and material

transfer records, package receipts

and COMSEC material reports, SF

153.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Destroy 2 years after

completion of transaction.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC 1431-81-5

Item 1.5.39.b

N1431-03-1

Item 7.b(2)

N1-431-03-1

Item 7.b(3)

K)

March 2005 2.20.20 NUREG-0910, Rev. 4
---------- --.-

NRC Schedule 2

CORDS OF NRC OFFICES

- ~AUTHORIZED DISPOSITION

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

completion of transaction.

Destroy 2 years after cutoff.

N1-431-03-1

Item 7.b(4)

c. Inventory of COMSEC Documents

and Material

(1) Periodic inventories of

COMSEC documents and

material in cases where no

discrepancies exist.

Record keeping system:

ADAMS.

(a) Paper records created

before 04/01/2000.

(b) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII -

files.

(c) Copies of electronic files

stored outside of ADAMS

used to create ADAMS -

Portable Document Format

(PDF) files, TIFF files, and

ASCII files that remain with

staff members and OIS

Destroy after the succeeding

inventory is submitted and

verified.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

!ADAMS electronic record or

-when no longer needed for

reference or updating,

whichever is later.

NCI-431-81-5

Item 1.5.39.c.1

NI-431-03-1

Item 7.c(1)(b)

N1-43 1-03-1

Item 7.c(l)(c)

March 2005 22.20. 21 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

processing staff after

creation of the ADAMS

records. Included are

electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received

from outside the agency.

(d) ADAMS PDF files and

their linked native

application source files;

ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles

and document packages;

and ADAMS digital

signature and concurrence

data.

Cut off electronic files after the

succeeding inventory is

submitted and verified. Destroy

immediately.

N1-431-03-1

Item 7.c(1)(d)

)j

(2) Periodic inventories of

COMSEC documents and

material where discrepancies

exist.

Record keeping system:

ADAMS.

(a) Paper records created

before 04/01/2000.

(b) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII

files.

Destroy after the succeeding

inventory is submitted and

verified and all discrepancies

resolved.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NC143 1-81-5

Item 1.5.39.c.2

N1431-03-1

Item 7.c(2)(b)

March 2005 2.20. 22 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. . DESCRIPTION OF RECORDS

NARA

APPROVED

. AUTHORIZED DISPOSITION CITATION

(c) Copies of electronic files

stored outside of ADAMS

used to create ADAMS

Portable Document Format

(PDF) files, TIFF files, and

ASCII files that remain with

staff members and OIS

processing staff after

creation of the ADAMS

records. Included are l

electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received

from outside the agency.

(d) ADAMS PDF files and

their linked native

application source files;

ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles

and document packages;

and ADAMS digital

signature and concurrence

data.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files after the

succeeding inventory is

submitted and verified and all

discrepancies resolved. Destroy

immediately.

NI-431-03-1

Item 7.c(2)(c)

NI-431-03-1

Item 7.c(2)(d)

(3) Inventories conducted on

change or absence or COMSEC

custodian.

Record keeping system:

ADAMS.

(a) Paper records created

before 04/01/2000.

Destroy 1 year after conducted,

verified, and all discrepancies

resolved.

N1431-03-1

Item 7.c(3)(a)

March 2005 2.20. 23, NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA%

APPROVED

AUTHORIZED DISPOSITION CITATION

(b) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII

files.

(c) Copies of electronic files

stored outside of ADAMS

used to create ADAMS

Portable Document Format

(PDF) files, TIFF files, and

ASCII files that remain with

staff members and OIS

processing staff after

creation of the ADAMS

records. Included are

electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received

from outside the agency.

(d) ADAMS PDF files and

their linked native

application source files;

ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles

and document packages;

and ADAMS digital

signature and concurrence

data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or*

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

inventory being conducted,

verified, and all discrepancies

resolved. Destroy I year after

cutoff.

N1431-03-1

Item 7.c(3)(b)

N143 1-03-1

Item 7.c(3)(c)

K)l

N1431-03-1

Item 7.c(3)(d)

March 2005 2.20. 24 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS :; - AUTHORIZED DISPOSITION CITATION

(4) Inventories conducted

periodically or on change or

absence of COMSEC custodian

where irregularities exist or

have existed.

Record keeping system:

ADAMS.

(a) Paper records created

before 04/01/2000.

(b) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII

files.

(c) Copies of electronic files -;

stored outside of ADAMS

used to create ADAMS

Portable Document Format

(PDF) files, TIFF files, and

ASCII files that remain with

staff members and OIS0 :

processing staff after

creation of the ADAMS

records. Included are

electronic records created:.

internally using office

automation tools (e.g., -

WordPerfect, Lotus, ; -

InForms, e-mail, etc.) and

electronic records received

from outside the agency.

(d) ADAMS PDF files and

their linked native

application source files;

ADAMS TIFF files and

their linked ASCII files;

Destroy when all purposes have

been served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

-Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files when all

purposes have been served.

Destroy immediately..

NC1-431-81-5

Item 1.5.39.c.4

N1-431-03-1

Item 7.c(4)(b)

NI-431-03-1

Item 7.c(4)(c)

N1-431-03-1

Item 7.c(4)(d)

March 2005 2.20. 25 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES <2

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

ADAMS document profiles

and document packages;

and ADAMS digital

signature and concurrence

data.

d. Loss or Compromise of

Accountable COMSEC Documents

or Material

Message reports, letter reports, or

other documents relating to loss or

compromise of accountable

COMSEC documents or material.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Destroy only after

accountability established or

evidence of compromise

negated.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-5

Item 1.5.39.d

N1431-03-1

Item 7.d(2)

N143 1-03-1

Item 7.d(3)

\Il

March 2005 2.20. 26 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM .

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

.. - AUTHORIZED DISPOSITION CITATION

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files after

accountability established or

evidence of compromise

negated. Destroy immediately.

N1-43 1-03-1

Item 7.d(4)

e. Document and Material Destruction

Key card disposition record, key list

disposition record, and other

records of destruction of

accountable COMSEC documents

or material.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source,

to create ADAMS Tagged

Image File Format (TIFF) files: -

and ASCII files.

Destroy when 2 years old.

I Destroy paper documents

2 months after creation of

ADAMS electronic record.

NC1-431-81-5

Item 1.5.39.e

NI-43 1-03-1

Item 7.e(2)

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files; reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

N1-431-03-1

Item 7.e(3)

March 2005 2.20. 27 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

close of fiscal year. Destroy 2

years after cutoff.

N1-43 1-03-1

Item 7.e(4)

f. Reportable Telecommunications

Insecurities

Reports of any deviation or incident

which could adversely affect the

security of a telecommunication

system.

Record keeping system: ADAMS.

'Il

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

Destroy 5 years after all action

has been completed.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1l431-81-5

Item 1.5.39.f

N1-431-03-1

Item 7.f(2)

N1431-03-1

Item 7.f(3)

March 2005 2.20. 28 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using '

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

completion of final action.

Destroy 5 years after cutoff.

N1-431-03-1

Item 7.f(4)

g. Security Proposals for the

Establishment of Centers and Use of

Equipment

Security proposals for the

establishment of secure

communications centers, installation

of equipment, or systems.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files'1-

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Destroy 2 years after the center

is deactivated, equipment has

been replaced or system is

changed.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

NCI-431-81-5

Item 1.5.39.g

-N1-431-03-1

Item 7.g(2)

N1-43 1-03-1

Item 7.g(3)

March 2005 2.20. 29 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES K-)

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

reference or updating,

whichever is later.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

center deactivation, equipment

replacement, or system change.

Destroy 2 years after cutoff.

N1-431-03-1

Item 7.g(4)

K-)

h. Equipment

List of equipment comprising a

secure telecommunications system

(e.g., terminal equipment,

cryptographic equipment and

modems).

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Destroy when no longer

applicable.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NC1-431-81-5

Item 1.5.39.h

N1431-03-1

Item 7.h(2)

March 2005 2.20. 30 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. D E S TI RI N FD .D.S A..U... S T I

DESCRIPTION OF RECORDS -. . AUTHORIZED DISPOSITION

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ' ADAMS electronic record or

create ADAMS Portable -when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are'electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

* N1-431-03-1

Item 7.h(3)

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files when list

is no longer applicable. Destroy

immediately.

N1-43 1-03-1

Item 7.h(4)

i. Floor Plans

Floor plans of secure

communications centers showing

the location of equipment, the

construction of walls, floors, and

ceilings of the room(s), or separate

architectural details such as doors,

windows, or ducts.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

Destroy when secure

communications centers have

been relocated.

NC1431-81-5

Item 1.5.39.I

March 2005 2.20. 31 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,-

whichever is later.

Cut off electronic files upon

relocating secure

communication center. Destroy

immediately.

NI-431-03-1

Item 7.1(2)

NI-431-03-1

Item 7.1(3)

N1431-03-1

Item 7.1(4)

j. Installation Drawings

Installation drawings, e.g., wiring

diagrams and conduit plans for the

secure telecommunications

equipment.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

Destroy when equipment has

been replaced.

NCI-431-81-5

Item 1.5.39.j

March 2005 2.20. 32 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TIFF) files ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1431-03-1

Item 7.j(2)

N1431-03-1

Item 7.j(3)

(4) ADAMS PDF files and their

linked native application source"

files; ADAMS TIFF files and'

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files when

equipment is replaced. Destroy

immediately.

N1431-03-1

Item 7.j(4)

k. Standard Operating Instructions

Standard operating instructions for

secure communications centers.

Record keeping system: ADAMS.

(1) Paper records created before

04101/2000.

Destroy when secure

-' communications center is no

- longer operable.

NC1-43 1-81-5

Item 1.5.39.k

March 2005 2.20. 33 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES <11i

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files when

secure communications center is

no longer operable. Destroy

immediately.

N1-431-03-1

Item 7.k(2)

N1-431-03-1

Item 7.k(3)

NI-431-03-1

Item 7.k(4)

l. Tempest and Acoustic Tests

Documents relating to Tempest tests

or tests conducted of secure

communications centers.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

Destroy after subsequent tests

have been conducted and results

approved.

NC1-431-81-5

Item 1.5.39.1

March 2005 2.20.34 NUREG-0910, Rev. 4
NIRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(2) 'Paper records used as the source* - to create ADAMS Tagged '' ' - -

Image File Format (TIFF) files

and ASCII files.

Destroy paper documents

'2 months after creation of

ADAMS electronic record.

(3) Copies of electronic files stored -Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, --'reference or updating,

TIFF files, and ASCII files thatr' -whichever is later.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1-431-03-1

Item 7.1(2)

N1-431-03-1

Item 7.1(3)

NI-431-03-1

Item 7.1(4)

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

approval of subsequent tests.

-Destroy immediately.

m. Audio Countermeasure Inspection

Files

Records of sweep requests (NRC

Form 337) and sweep reports (NRC

Form 336) relating to the

examination and inspection using

sophisticated electronic equipment.

Record keeping system: ADAMS.

March 2005 2.20. 35 NLJREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Electronic records used as the

source to create ADAMS PDF

files, bit-mapped image files,

and ASCII files that remain

with staff members and OIS

processing staff after creation of

the ADAMS records. Included

are electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy after the succeeding

inspection is conducted.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

conducting succeeding

inspection. Destroy

immediately.

NC1431-81-5

Item 1.5.39.m

N1-431-03-1

Item 7.m(2)

N1431-03-1

Item 7.m(3)

NI-43 1-03-1

Item 7.m(4)

March 2005 2.20. 36 NUREG-0910, Rev. 4.
NRC Sche'dule 2

RECORDS OF NRC OFFICES

PART 21. RECORDS OF THE OFFICE OF PUBLIC AFFAIRS

The Office of Public Affairs (OPA) develops policies, programs, and procedures for the Chairman's

approval for informing the public of NRC activities. Prepares, clears, and disseminates information to the

public and the news media concerning NRC policies, programs, and activities; keeps NRC management

informed on media coverage of activities of interest to the agency; plans, directs, and coordinates the

activities of public information staffs located at Regional Offices; conducts a cooperative program with

schools; and carries out assigned activities in the area of consumer affairs.

The following record schedules were developed for records unique to OPA. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other applicable

schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition Plans"

retained by the office Records Liaison Officer.

-NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS . AUTHORIZED DISPOSITION CITATION

1. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of Public

Affairs (OPA) program and staff

activities.

Record keeping system: ADAMS.

a. Progr-am Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant OPA

program management functions that

are signed by or addressed to the

OPA Director or Deputy Director.

Excluded is program

correspondence that documents

routine transactions for which the

March 2005 2.21. l NlTREG-09 10, Rev. 4**
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(I) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

01S. OIS will transfer to

NARA when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

Chapter XII and transfer to

NCI.431-81-5

Item 1.2.15.a

N1-431-99-6

Item L.a(2)

N1431-99-6

Item L.a(3)

N1-431-99-6

Item l.a(4)

March 2005 2.21. 2 NUREG-09 10, Rev. 4
N I . - u 2 NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED -- AUTHORIZED DISPOSITION CITATION

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

-Destroy NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

.Permanent. Cutoff electronic

files with related PDF files and -

-TIFF files. Transfer to NARA

- according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

N1-431-99-6

Item L.a(5)

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making

decisions, significant OPA program

management functions and program

operations. They are signed by or

addressed to OPA management and

staff below the Office Director

level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

NCI-431-81-5

Item 1.2.15.b

March 2005 2.21. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Center through OIS. Destroy 10

years after cutoff.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1431-99-6

Item 1.b(2)

N1431-99-6

Item 1.b(3)

N1-431-99-6

Item L.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

March 2005 2.21. 4 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. - DESCRIPTION OF RECORDS - - -XUTHORIZED DISPOSITION

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,'

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NC1-431-81-5

Item 1.2.15.c

N1-431-99-6

Item I.c(2)

N1-431-99-6

Item 1.c(3)

NI-431-99-6

Item l.c(4)

March 2005 2.21. 5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

INAR

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

2. Information Files Containing Press

Releases and Official Speeches

Complete set of formal informational

releases and publications, press

conference transcripts, official

speeches, and indexes thereto

maintained by the Office of Public

Affairs.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

Permanent. Offer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

NCI-431-81-5

Item 1.5.34

N1431-99-6

Item 2.b

N 1-431-99-6

Item 2.c

N1431-99-6

Item 2.d

March 2005 2.21. 6 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TiFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

N1-431-99-6

Item 2.e

March 2005 2.21. 7 NUREG-0910, Rev. 4
'NRC Schedule 2

-RECORDS OF NRC OFFICES

PART 22. RECORDS OF THE OFFICE OF THE SECRETARY

The Office of the Secretary of the Commission (SECY) develops policies and procedures for the provision

of complete secretariat services required for the discharge of Commission business and implementation of

Commission decisions. The Secretary advises and assists, the Cormmission, offices reporting directly to the

Commission, and staff on the planning, scheduling, and conduct of Commission business. The Assistant

Secretary performs functions of the Federal Advisory Committee Management Officer, and maintains

liaison with certain boards and advisory commnittees.

The following record schedules were developed for records unique to SECY. Reference NRC Schedule 1,

"Records Common to Most Offices," and the General Records Schedules 1 through 26 for other applicable

schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition Plans"

retained by the office Records Liaison Officer.

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Commission's Decisional License

Docket Files

The official license files of the

Commission maintained in the Office of

the Secretary containing copies of

Licensing Board and Appeal Panel -

Orders and transcripts of hearings,

exhibits consisting of copies of

pertinent staff documents, Commission

orders and decisions, and filings by

various parties and related

documentation in all licensing

proceedings. The files are arranged -

numerically by docket number.

Record keeping system: ADAMS.

a. Paper records created before Permanent. Transfer to the NCI-431-81-5

04101/2000. National Archives 5 years after Item 1.3.16

expiration or revocation of

- license.

b. Paper records used as the source to - Destroy paper documents N1431-01-2

create ADAMS Tagged Image File 2 months after creation of Item L.b

Format (T1FF) files and ASCII files. ADAMS electronic record.

March 2005 2.22.- 1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

e. ADAMS document profiles and

ADAMS document packages

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files upon expiration or

revocation of license. Transfer

to the National Archives 5 years

after cut-off. At the time of

transfer, NARA and NRC will

determine medium and format

in which records will be

transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance

with the standards for

permanent electronic records

contained in 36 CFR 1228.270.

If transfer in an electronic

medium is not feasible, prior to

transfer, with NARA

concurrence, records will be

converted to paper or to

microform that meets the

standards contained in 36 CFR

1230.14. Destroy NRC copy 20

years after transfer.

Permanent. Cut off electronic

files with related PDF files and

Nl-431-01-2

ftem 1.c

N1-431-01-2

Item 1.d

K)

N1-431-01-2

Item Le

March 2005 2.22. 2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

TIFF files. Transfer to the

National Archives according to

regulations found in 36 CFR §

1228.270 when the PDF files

and TIFF files are transferred.

Destroy NRC copy 20 years

after transfer.

2. Commission Decision-Making Files

a. Commission Papers, generally

referred to as SECY Papers, and

Commission Action Memoranda

(COMs), are formal documents

prepared by NRC staff offices,

Commission staff offices, ACRS, -

and Boards and Panels as the

principal instrument by which the

Commission receives

recommendations for decision and

information on significant matters.

Copies of all decision-making

papers are filed subjectively in the

Secretariat subject files (NRC

Schedule 1, Part 2, Item la).

Record keeping system: Paper.

(1) Commission (SECY) Paper.

Comment Folders which are

case files comprising the.

official record of the

Commissioners' voting and!,

their comments. Folders

include a copy of the SECY,

Paper, vote sheets, and related

comments and correspondence,

arranged numerically by SECY

Paper Number.

Permanent. Offer to NARA

when 20 years old.

* NC1-431-81-5

Item 1.2.7

March 2005 2.22. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES K1-,

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(2) Electronic records created or

received used as the source to

create paper records that are

filed in the COM Comment

Folders. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

E-mail, etc.) and electronic

records received internally and

from outside the agency.

Create paper record of the

electronic document on the day

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immediately after

creating official record copy or

when no longer needed for

reference or updating,

whichever is later.

N1431-02-1

Item L.a(2)

b. Commission Action Memoranda

(COMs) Comment Folders

Record keeping system: Paper

(1) COM-Comment Folders contain

written exchanges between the

Commissioners or memoranda

from the staff of other

Commission-level offices to the

Commission seeking guidance

from the Commission. Folders

include a copy of the original

memoranda, individual votes of

the Commissioners, and related

comments and correspondence,

arranged by the unique COM

number.

(2) Electronic records created or

received used as the source to

create paper records that are

filed in the COM Comment

Folders. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Permanent. Transfer to NARA

when 20 years old.

Create paper record of the

electronic document on the day

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immediately after

creating official record copy or

when no longer needed for

N1431-02-1

Item 1.b(l)

N1431-02-1

Iteml.b(2)

March 2005 2.22. 4 NUREG-910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS " -AUTHORIZED DISPOSITION CITATION

E-mail, etc.) and electronic

records received internally-and

from outside the agency.

reference or updating,

whichever is later.

c. Other copies of Commission (SECY Destroy when no longer needed

Papers. for reference

NC1431-81-5

Item 1.2.7.b

Record keeping system: Paper

3. Commission Tracking System

The system generates reports which

contain information on all tasks

assigned to staff by Commission action;

the tasks are contained in SECY Staff

Requirements Memorandums, SRMs.

The reports list each task according to

the office responsible for the action, and

the status of each action (i.e., complete,

overdue, or on schedule).

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1-431-81-2

Item 12.K.1

Record keeping system: Electronic

Information System.

4. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and.

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency.

Record keeping system: ADAMS.

March 2005 2.22. 5 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus,

InForms, e-mail, etc.) and

electronic records received from

outside the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off when NRC

involvement terminates. OIS

will transfer to the National

Archives 20 years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files when NRC involvement

terminates. Transfer to the

National Archives 5 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270. If transfer in an

N1431-01-2

Item 2.a(1)

N1431-01-2

Item 2.a(2)

N1-431-01-2

Item 2.a(3)

NI-431-01-2

Item 2.a(4)

March 2005 2.22. 6 NUREG-0910, Rev. 4 )
- hel

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

electronic medium is not

feasible, prior to transfer, with

'NARA concurrence, recordswill be converted to paper or to

microform that meets the

standards contained in 36 CFR

1230.14. Destroy NRC copy 20

years after transfer.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that'

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to the

National Archives according to

regulations found in 36 CFR §

1228.270 when the PDF files

and TIFF files are transferred.

Destroy NRC copy 20 years

after transfer.

N1431-01-2

Item 2.a(5)

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

. . I. ..

(2) Paper records used as the source

to create ADAMS Tagged - '

Image File Format (TIFF) files

and ASCII files.

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

*2 months after creation of

ADAMS electronic record.

N1431-01-2

Item 2.b(1)

N1431-01-2

Item 2.b(2)

March 2005

,-

2.22. 7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES I>

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-431-01-2

Item 2.b(3)

N1-431-01-2

Item 2.b(4)

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

Destroy when 3 years old or

earlier if no longer needed for

reference.

N1431-01-2

Item 2.c(1)

March 2005 2.22. 8 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - - AUTHORIZED DISPOSITION CITATION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and'

OIS processing staff after'

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

N1431-OI-2

Item 2.c(2)

N1431-01-2

Item 2.c(3)

N1431-01-2

linked native application source' termination of committee. Item 2.c(4)

files; ADAMS TIFF files Iand ' Destroy 3 years after cutoff.

their linked ASCII files;

ADAMS document profiles and"'

document

packages; and ADAMS digital

signature and concurrence data.'

5. General Program Correspondence

Files (Subject Files) (signed by the

Chairman maintained in paper)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

March 2005 2.22. 9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

decisions pertaining to Office of the

Secretary of the Commission (SECY)

program and staff activities.

Record keeping system: Paper.

a. Program Correspondence Files at

the Commission Level.

(1) Files that document the

Commission's policymaking

decisions or significant NRC

program management functions

that are addressed to the

Commission and sign by the

Chairman. Excluded is program

correspondence that documents

routine transactions for which

the record content is

summarized or duplicated in

higher level documents.

(2) Electronic records created or

received used as the source to

create paper records that are

filed in the Program

Correspondence Files. Included

are electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms,

E-mail, etcj) and electronic

records received internally and

from outside the agency.

Permanent. Cut off at close of

fiscal year. Hold 10 years and

retire to WNRC through OIS.

OIS will transfer to NARA

when 20 years old.

Create paper record of the

electronic document on the day

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immediately after

creating official record copy or

when no longer needed for

reference or updating,

NC143 1-02-1

Item 2.a(1)

NC1431-02-1

Item 2.a(2)

b. Routine Program Correspondence

Files Created or Received at all

Organizational Levels

(1) Files documenting program

transactions of a routine or

Destroy when 10 years old, or

sooner if purpose has been

NC1431-02-1

Item 2.b(1)

March 2005 2.22. 10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM - -

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

recurring nature, the record

content of which is summarized

or duplicated in Item a, above.

served.

(2) Electronic records created or

received used as the source to

create paper records that are

filed in the Routine Program

Correspondence Files. Included

are electronic records created

internally using office

automation tools (e.g.,

WordPerfect, Lotus, InForms,

E-mail, etc,) and electronic

records received internally and

from outside the agency.

Create paper record of the

electronic document on the day

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immediately after

creating official record copy or

when no longer needed for

reference or updating.

NC1-431-02-1

Item 2.b(2)

6. General Program Correspondence

Files (Subject Files) (signed below the

Chairman level maintained in ADAMS)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of the

Secretary of the Commission (SECY)

program and staff activities.

Record keeping system: ADAMS.

a. Projuram Correspondence Files at

the Commission Level.

Files that document the

Commission's policymaking

decisions or significant NRC

program management functi6ns that

are addressed to the Commission

and signed by Office Directors

March 2005 2.22.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

reporting to the Commission.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04101/2000.

Permanent. Cut off at close of

fiscal year. Hold 10 years and

retire to the Washington

National Record Center through

01S. OIS will transfer to the

National Archives when 20

years old.

NC1-431-81-5

Item 1.2.15.a

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-01-2

Item 3.a(2)

\J

N1431-01-2

Item 3.a(3)

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 5 years after cut-off.

N1-431-01-2

Item 3.a(4)

March 2005 2.22.12 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

- - AUTHORIZED DISPOSITION CITATION

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270. If transfer in an

electronic medium is not

feasible, prior to transfer, with

NARA concurrence, records

will be converted to paper or to

microform that meets the

standards contained in 36 CFR

1230.14. Destroy NRC copy 20

years after transfer.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,-

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to the

National Archives according to

regulations found in 36 CFR §

1228.270 when the PDF files

and TIFF files are transferred.

Destroy NRC copy 20 years

after transfer.

N1-431-01-2

'Item 3.a(5)

b. Program Correspondence Files

Created or Received at the Division

Level and Below.

Files that document policy making'

decisions, significant or program.,

management functions and program

operations. They are signed by or

March 2005 2.22.13 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

addressed to Commission

management and staff below the

Office Director level. Excluded is

program correspondence that

documents routine transactions for

which the record content is

summarized or duplicated in higher

level documents. (See item c.

below.)

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Formnat (T1FF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForrns, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

Cut off at close of fiscal year.

Hold 5 years and retire to the

Washington National Record

Center through OIS. Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

NCI-431-81-5

Item 1.2.15.b

N1-431-01-2

Item 3.b(2)

N1-431-01-2

Item 3.b(3)

N1431-01-2

Item 3.b(4)

March 2005 2.22. 14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS : - AUTHORIZED DISPOSITION --

NARA

APPROVED

CITATION

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged - -

Image File Format (TIFF) files; -;

and ASCII files.

Destroy when 10 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

N1431-01-2

Item 3.c(1)

N1-431-01-2

Item 3.c(2)

(3) Copies of electronic files stored 1 Destroy after creation of N1-431-01-2

outside of ADAMS used to Item 3.c(3)

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and -

OIS processing staff after ,

creation of the ADAMS

records. Included are electronic

records created internally using'-

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

- ADAMS electronic record or

*when no longer needed for

reference or updating,

whichever is later.

March 2005 2.22. 15 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES K>1-

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-01-2

Item 3.c(4)

7. Narrative Histories

Narrative histories of the Commission

and its work, including oral history

projects.

Record keeping system: ADAMS.

a. Record copy maintained by the

NRC Historian.

K)J (1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Permanent. Transfer to the

National Archives when 20

years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NI-431-01-2

Item 4.a(1)

N1431-01-2

Item 4.a(2)

N1431-01-2

Item 4.a(3)

March 2005 2.22.16 NUREG-0910, Rev. 4 \1J
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 5 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270. If transfer in an

electronic medium is not

feasible, prior to transfer, with

NARA concurrence, records

will be converted to paper or to

microform that meets the

standards contained in 36 CFR

1230.14. Destroy NRC copy 20

years after transfer.

N1-431-01-2

Item 4.a(4)

(5) ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages ,files with related PDF files and

created for the managernent, , TIFF files. Transfer to the

search, and retrieval of the PDF --. National Archives according to

files and TIFF files, and. regulations found in 36 CFR §

ADAMS data related to digital 1228.270 when the PDF files

signatures, and data that ;. and TIFF files are transferred.

evidence final NRC ' Destroy NRC copy 20 years

management and staff after transfer.'

concurrences in documents that

are linked to and considered

part of the official records.

N1-431-01-2

Item 4.a(5)

March 2005 2.22.17 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES /-

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

8. Oral History Sound Recordings

Oral history sound recordings of NRC

officials maintained by the Chief

Historian, Office of the Secretary.

Erase and reuse when no longer

needed.

NC1-431-91-4

Item 4.b

Record keeping system: Audio tape.

9. Rezulatorv History Files for

Proposed and Final Rulemakini

Case files documenting proposed and

final rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Committee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards

comments, Commission papers,

transcripts, indexes, and Federal

Register Notices.

K).

Record keeping system: ADAMS.

a. Official case files created by the

Commission and SECY.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Cut off when

regulation is issued through

notice in the Federal Register.

OIS will transfer to the National

Archives 20 years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

N1-431-01-2

Item 5.a(1)

NI431-01-2

Item 5.a(2)

March 2005 2.22.18 NUREG-09 10, Rev. 4
NRC Schedule 2

RCR. O N O

RECORDS OF NRC OFFICES

ITEM .-

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-01-2

Item 5.a(3)

N1-431-01-2

Item 5.a(4)

(4) ADAMS PDF files and'

files.

TIFF Permanent. Cut off electronic

files when regulation is issued

through notice in the Federal

Register. Transfer to the

National Archives 5 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

j for permanent electronic

records contained in 36 CFR

1228.270. If transfer in an

-* electronic medium is not

feasible, prior to transfer, with

NARA concurrence, records

* will be converted to paper or to

microform that meets the

standards contained in 36 CFR

1230.14. Destroy NRC copy 20

years after transfer.

March 2005 2.22. 19 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to the

National Archives according to

regulations found in 36 CFR §

1228.270 when the PDF files

and TIFF files are transferred.

Destroy NRC copy 20 years

after transfer.

NI-431-01-2

Item 5.a(5)

10. Rulemaking Docket Files

Copies of rulemaking documents sent to

the Office of the Federal Register for

publication, and related correspondence

and other documentation.

Record keeping system: ADAMS.

K>

a. Paper records created before

04/01/2000.

Destroy 10 years after the Nl-431-01-2

completion (through adoption or Item 6.a

withdrawal) or rulemaking

proceedings noticed in the

Federal Register.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NI-431-01-2

Item 6.b

N1431-01-2

Item 6.c

March 2005 2.22. 20 NUREG-0910, Rev. 4 K\ J
NRC Schedule 2

RE.OR O-- NRC O

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency. ;

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files after the

completion (through adoption or

withdrawal) or rulemaking

proceedings noticed in the

Federal Register. Destroy 10

years after cutoff.

N1431-01-2

Item 6.d

11. Stenographic Taves of Commission

Meetings

a. Tapes of open meetings. Destroy when transcribed. NC1431-81-5

Item 1.2.9

Record keeping system: Audio tape.

b. Tapes of closed meetings.

Record keeping system: Audio tape.

Destroy when two years old or

later when a complete transcript

has been disclosed, except that

all tapes of TMI are to be

retained until disposal has been

authorized by the Office of

general Counsel.

12. Transcripts of Commission Meetings

Verbatim transcripts of open and closed

meetings of the Comrmission, arranged

chronologically by date of meeting.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

-, . . tI .

I Permanent. Transfer to the

. National Archives when 20

- years old.

NC1-431-81-5

Item 2.3.8

March 2005 2.22. 21 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 5 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CER

1228.270. If transfer in an

electronic medium is not

feasible, prior to transfer, with

NARA concurrence, records

will be converted to paper or to

microform that meets the

standards contained in 36 CFR

1230.14. Destroy NRC copy 20

years after transfer.

N1431-01-2

Item 7.b

N1431-01-2

Item 7.c

N1431-01-2

Item 7.d KU

March 2005 2.22.22 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to the

National Archives according to

regulations found in 36 CFR §

1228.270 when the PDF files

and TIFF files are transferred.

Destroy NRC copy 20 years

after transfer.

N1-431-01-2

Item 7.e

March 2005 2.22. 23 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 23. RECORDS OF THE OFFICE OF SMALL BUSINESS AND CIVIL RIGHTS

The Office of Small Business and Civil Rights (OSBCR) develops and implements, in cooperation with the

Director, Division of Contracts and Property Management, and Directors of other affected Offices, specific

policies and procedures to carry out the functions and duties of Sections 8 and 15 of the Small Business Act

and Executive Order 12138, as they relate to the NRC. Provides focus for NRC efforts to assist small

businesses, small businesses owned by socially or economically disadvantaged individuals, women-owned

businesses, and firms in labor surplus areas.

The following record schedule was developed for records unique to the OSBCR. Reference NRC Schedule

1, "Records Common to Most Offices," and thelGeneral Records Schedules 1 through 26 for other

applicable schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition

Plans" retained by the office Records Liaison Officer.

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS 'AUTHORIZED DISPOSITION CITATION

1. General Proeram Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of Small

Business and Civil Rights (SBCR)

program and staff activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant SBCR :

program management functions that

are signed by or addressed to the

SBCR Director or Deputy Director.

Excluded are records related to the

small and disadvantaged business

utilization program, and records.

March 2005 2.23. 1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES '<2

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

related to the Civil Rights Act of

1964, the EEO Act of 1972, and any

pertinent later legislation, and

records related to the agency EEO

Committees.

(1) Paper records created before

04101/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

QIS. QIS will transfer to

NARA when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

Chapter XII and transfer to

.23. 2 NUI

NC1431-81-5

Item 1.2.15.a

NI-431-99-5

Item I.a(2)

N1-431-99-5

Item 1.a(3)

N1-431-99-5

Item 1.a(4)

March 2005 REG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

N1-431-99-5

Item L.a(5)

March 2005 2.23. 3 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 24. RECORDS OF THE OFFICE OF STATE AND TRIBAL PROGRAMS

The Office of State and Tribal Programs (STP) plans and directs NRC's program of cooperation and liaison

with States, local governments, interstate, and Indian Tribe organizations. Participates in the formulation of

policies involving NRC/State cooperation and liaison; develops and directs administrative and contractual

programs for coordinating and integrating Federal and State regulatory activities; maintains liaison between

NRC and State, interstate, regional, Indian Tribe, and quasi-governmental organizations on regulatory

matters; monitors nuclear-related State legislative activities; and directs regulatory activities of State Liaison

Officers located in Regional Offices. Participates in policy matters on State Public Utility Commissions

(PUCs).

STP also plans, implements, and manages the State Agreements program under the provisions of Section

274 of the Atomic Energy of 1954, as amended; Monitors the State Agreements program to evaluate its

compatibility with the NRC regulatory program and adequacy to protect the public health and safety.

Provides and coordinates training and technical assistance to the Agreement States. Recommends and

administers policy for the Agreements State programs. Directs regulatory activities of State Agreement

Officers located in Regional Offices. Provides technical support and guidance to other NRC offices whose

functional responsibilities require liaison with State Agreement operations; Reviews Agreement State

materials licensing and inspection programs for technical adequacy and consistency.

The following record schedules were developed for records unique to STP. Reference General Records

Schedules I through 26 for other applicable schedules. Applicable schedules have been identified on the

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

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Aereement State Files

a. Copies of State-enabling

legislation, cooperative

agreements between NRC and

State government agencies; and

Commission papers on the

Agreements.

Record keeping system:

ADAMS.

(1) Paper records created before - Permanent. Cut off file upon NC1-431-81-5

04101/2000, and original, signed --. revocation or termination of Item 4.10.38.a

State Agreements in paper agreement. OIS will transfer to

format created after that date. NARA 5 years after cutoff.

March 2005 2.24. 1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES 111

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files excluding

original, signed State

Agreements described above.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files upon revocation or

termination of agreement.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

NI-431-99-4

Item 1.a(2)

N143 1-994

Item L.a(3)

N1431-994

Item 1.a(4)

March 2005 2.24. 2 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ZDS - . -AUTHORIZED DISPOSITION.

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECOI CITATION

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

N1-43 1-994

Item 1.a(5)

b. Integrated Materials Performance

Evaluation Program (IMPEP)

records including Review Team

reports, questionnaires, and internal

correspondence and correspondence

with individual Agreement States.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

Permanent. Cutoff file upon

revocation or termination of

* agreement. Transfer to NARA

5 years after revocation or - - termination.

NCI-431-81-5

Item 4.10.38.b

N1-431-99-4

Item 1.b(2)

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged - 2 months after creation of

Image File Format (TIFF) files' ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-994

Item 1.b(3)

March 2005 2.24. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES K>

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files upon revocation or

termination of agreement.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

Chapter XII and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

Permnanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

N1-431-994

Item L.b(4)

N1-431-99-4

Item l.b(5)

March 2005 2.24. 4 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

2. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of State

Program (STP) program and staff

activities.

Record keeping system: ADAMS.

a. Program Correspondence Files at

the Office Director Level.

Files that document policy- making

decisions or significant STP

program management functions that

are signed by or addressed to the

STP Director or Deputy Director.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or.

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before Permanent. Cut off at close of

04/01/2000. fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

, ..- ; OIS. OIS will transfer to

NARA when 20 years old.

(2) Paper records used as the source- Destroy paper documents

to create ADAMS Tagged - 2 months after creation of

Image File Format (TIFF) files ADAMS electronic record.

and ASCII files.

2.24. 5 NURE

NC1-431-81-5

Item 1.2.15.a

N1-431-99-4

Item 2.a(2)

March 2005 EG09 IO, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

01S processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForrns, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

AUTHORIZED DISPOSITION

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Convert image files to paper,

microform, magnetic tape, 3480

class tape cartridge, or any other

medium and format that meets

NARA regulations found in

Subchapter B of 36 CFR

Chapter XHI and transfer to

NARA 2 years after cutoff.

Prior to transfer, NARA and

NRC will determine the

medium and format in which

the records will be transferred.

Destroy NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred.

NARA

APPROVED

CITATION

N 1-431-99-4

Item 2.a(3)

N1431-994

Item 2.a(4)

N1-431-99-4

Item 2.a(5)

March 2005 2.24. 6 NLTREG-910, Rev. 4
NRC Schedule 2

CORDS OF NRC OFFICES

AUTHORIZED DISPOSITION

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

CITATION

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

b. Program Correspondence Files

Created or Received Below the

Office Director Level.

Files that document policy making '

decisions, significant STP program

management functions and program

operations. They are signed by or

addressed to ST? management and

staff below the Office Director

level. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TI) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,'

TIFF files, and ASCII files that'

remain with staff members and

OIS processing staff after

creation of the ADAMS

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through OIS. Destroy 10

years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

;reference or updating,

whichever is later.

NC1-431-81-5

Item 1.2.15.b

N1-431-99-4

Item 2.b(2)

NI-431-99-4

Item 2.b(3)

March 2005 2.24. 7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES <-I~

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-994

Item 2.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

K>

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

Destroy when 2 years old, or

sooner if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1431-81-5

Item 1.2.15.c

N1-431-994

Item 2.c(2)

N1431-994

Item 2.c(3)

March 2005 2.24. 8 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

'Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

N1-431-99-4

Item 2.c(4)

3. Non-Agreement State Files

Copies of State Acts pertaining to

nuclear regulatory matters and related

correspondence with individual nonAgreement States.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

' Cut off at close of fiscal year.

Destroy 10 years after cutoff.

NC1431-81-5

Item 4.10.39

b. Paper records used as the source to Destroy paper documents

create ADAMS Tagged Image File 2 months after creation of

Format (TIFF) files and ASCII files. ADAMS electronic record.

c. Copies of electronic files stored - 'Destroy after creation of

outside of ADAMS used to create - ADAMS electronic record or

ADAMS Portable Document - when no longer needed for'

Format (PDF) files, TIFF files, and reference or updating,

ASCII files that remain with staff whichever is later. '

N1-431-99-4

Item 4.b

N1-431-99-4

Item 4.c

March 2005 2.24. 9- NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1431-994

Item 4.d

4. Traininz Files

Correspondence and reports pertaining

to the presentation and attendance by

individuals at NRC-sponsored training

courses for Agreement State personnel.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source

to create ADAMS Tagged Image

File Format (TIFF) files and

ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files,

and ASCII files that remain with

staff members and OIS processing

staff after creation of the ADAMS

Cut off at close of fiscal year.

Destroy when 3 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1431-81-5

Item 4.10.40

N1-431-994

Item 3.b

N1431-994

Item 3.c

March 2005 2.24. 10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForrns, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files; ADAMS

document profiles and document

packages; and ADAMS digital

signature and concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 3 years

after cutoff.

N1431-994

Item 3.d

March 2005 2.24.1 1 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

PART 25. RECORDS OF THE REGIONAL OFFICES

The NRC Regional Offices execute established NRC policies and assigned programs relating to inspection,

licensing, incident response, governmental liaison, resource management, and human resources.

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

Schedule 1, "Records Common to Most Offices," and the General Records-Schedules 1 through 26 for other

applicable schedules. Applicable schedules have been identified on the "Files Maintenance and Disposition

Plans" retained by the office Records Liaison Officer.

ITEM

NO.

NARA

'APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

1. Action Item Tracking System (AITS)

The system tracks the status of

individual work assignments for

inspection and enforcement and its

principal organizational components.

Record keeping system: Electronic

Information System.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1-431-81-2

Item 12.C.1

2. Allegation Case Files

Official case files located in Regional "Cut off files upon final

Offices documenting the receipt, resolution of allegation. Retain

evaluation, and resolution of allegations in office for two years or until

that pertain to issues associated with no longer needed for current

NRC licensees and nuclear industry ~ ' activities, then retire to the

vendors. Case files include, for Federal Records Center.

example, the original incoming - Destroy 10 years after cut off.

document, minutes and summaries of.

allegation review panel meeting,

correspondence with allegers and

licensees, memos to and from 01,

inspection reports, staff safety

evaluations, Allegation Management

System printouts, documents showing

staff resolution, and cclosure documents

to the alleger.

NI-431-00-20,

Item l.a

Record keeping system: Paper.

March 2005 2.25. 1 NUREG-0910, Rev. 4'
NRC Schedule 2

RECORDS OF NRC OFFICES <J

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

3. Committee and Conference

Records

a. Records relating to establishment,

organization, membership and

policy of interagency, intra-agency

and international committees and

conferences, and agenda, minutes,

final reports, and related records

documenting accomplishments

created by committees and

conferences when NRC is the

sponsoring agency. Excluding

routine internal committee and

conference records covered by GRS

26-1.a.

Record keeping system: ADAMS.

(I) Paper records created before

04/01/2000.

Permanent. Cutoff when NRC

involvement terminates. 01S

will transfer to NARA 10 years

after cutoff.

N1-431-00-20

Item 2.a(1)

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

QIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms,

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-00-20

Item 2.a(2)

NI-431-00-20

Item 2.a(3)

March 2005 2.25. 2 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - I - AUTHORIZED DISPOSITION CITATION

e-mail, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files when NRC involvement

terminates. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after trnisferring record

to NARA.

NI-431-00-20

Item 2.a(4)

Nl-431-00-20

Item 2.a(5)

March 2005 2.25. 3 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Agenda, minutes, final reports, and

related records documenting

accomplishments created by

committees and for conferences

when NRC is not the sponsoring

agency.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

Destroy when 3 years old or

earlier if no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff.

N1-431-00-20

Item 2.b(1)

N1431-00-20

Item 2.b(2)

N1-431-00-20

Item 2.b(3)

N1-431-00-20

Item 2.b(4)

March 2005 2.25. 4 2NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

ADAMS digital signature and

concurrence data.

c. All other records created by

committees regardless of whether

NRC is the sponsor agency,

excluding the agenda, minutes, final

reports and related records

described in Item a, above.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that.

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InFomis, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

Destroy when 3 years old or

earlier no longer needed for

reference.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of -

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

termination of committee.

Destroy 3 years after cutoff

N1431-00-20

Item 2.c(1)

N1-43 1-00-20

Item 2.c(2)

N1431-00-20

Item 2.c(3)

N1-431-00-20

Item 2.c(4)

March 2005 2.25. 5 NUREG-0910, Rev. 4
INRC Schedule 2

RECORDS OF NRC OFFICES V2

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

4. Duplicate Nuclear Power Plant

Docket Files

Duplicate copies of NRR's nuclear

power plant docket files located in the

regional offices except for

documentation described in Item 13b

below.

Destroy when 5 years old or

sooner if purpose has been

served.

NC1-431-81-5

Item 1.3.10.d

Record keeping system: Paper.

5. Emer2encv Planning Files

a. Case files accumulated in the

Regional Offices, consisting of a

record copy of each plan or

directive issued, and related

background papers.

Record keeping system: ADAMS.

<2

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

Permnanent. Transfer to NARA

when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NC1-431-81-1

Item 3.a

N1-43 1-00-20

Item 4.a(2)

N1-431-00-20

Item 4.a(3)

March 2005 2.25. 6 NUREG-0910, Rev. 4
NRC Schedule 2

E C.O S. OF OFFCE

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS A- UHZ. D

-AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Permnanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

N1-431-00-20

Item 4.a(4)

(5) ADAMS document profiles and Permanent. Cut off electronic

ADAMS document packages files with related PDF files and

created for the management, TIFF files. Transfer to NARA

search, and retrieval of the PDF according to regulations found

files and TIFF files, and in 36 CFR § 1228.270 when the

ADAMS data related to digital - PDF files and TIFF fles are

signatures, and data that transferred. Destroy NRC copy

evidence final NRC 8 years after transferring record

N1-431-00-20

Item 4.a(5)

March 2005 2.25. '7 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

b. Record set of NRC reports of

operation tests accumulated in the

Regional Offices consisting of

consolidated or comprehensive

reports reflecting results of tests

conducted under emergency plans.

Record keeping system: ADAMS.

to NARA.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Transfer to NARA

when 20 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

NC1431-81-1

Item 3.b

Nl-431-00-20

Item 4.b(2)

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

N1-431-00-20

Item 4.b(3)

N1-431-00-20

Item 4.b(4)

March 2005 2.25. 8 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

ICITATION

ITEM

NO. - DESCRIPTION OF RECORDS - -i AUTHORIZED DISPOSITION

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-431-00-20

Item 4.b(5)

6. Enforcement Action Case Files

Case files located in the Office of

Enforcement and in the Regions

documenting enforcement actions and

violations in all activity areas at all' -

severity levels. Case files include

March 2005 2.25. ~9 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Orders, Notices of Violations with and

without Civil Penalties, Orders

Imposing Civil Penalties, Letters of

Reprimand, and Demands for

Informnation; licensee responses to the

actions; and other relevant documents

pertinent to the action. Case files are

arranged by Individual Action number

as actions are issued.

Record keeping system: ADAMS.

a. Simnificant Enforcement Actions

Enforcement actions that have

exceptional value because of the

historical significance of their

contents or their uniqueness.

Included are files that:

K-) - Result in significant judicial

decisions or legislation that affect

the functions and activities of NRC;

- Result in significant changes in

regulatory activities and procedures;

- Were the subject of congressional

investigation or were of great public

interest; or

- Contributes substantive

information supporting docket files

identified for permanent retention.

(1) Paper records created before

04/01/2000.

Permanent. Cut off files when

case is closed. Hold 5 years and

retire to the Washington

National Record Center through

OIS. OIS will transfer to

NARA with related indexes

when 20 years old.

Nl-431-00-20

Item 5.a(1)

March 2005 2.25. 10 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA . ..

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency. - - I

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-00-20

Item 5.a(2)

N1-431-00-20

Item 5.a(3)

N1-431-00-20

Item 5.a(4)

(4) ADAMS PDF files and TIFF Permanent. Cut off electronic

files. files when case is closed.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

March 2005 2.25.11 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-20

Item 5.a(5)

b. All Other Enforcement Actions and

Violations

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

Cut off files when case is

closed. Hold 2 years and retire

to the Washington National

Record Center through OIS.

Destroy 10 years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1431-00-20

Item 5.b(1)

N1431-00-20

Item 5.b(2)

N1431-00-20

Item 5.b(3)

March 2005 2.25.12 NUREG-0910, Rev. 4
- NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION -

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files when

case is closed. Destroy 10 years

after cutoff.

N1-431-00-20

Item 5.b(4)

7. Fuel Facilities, Transportation,

BYproduct, Source, and Special

Nuclear Material Docket Files

Case files documenting the licensing or

certifying of persons, institutions,

facilities, or companies to use

byproduct, source, and special nuclear

material, and to transport nuclear

material as defined in 10 CFR Parts 30,

40, 50, 70, 71, 73, 74, 75, and 76.

Included are the application, license or

certificate and amendments, and all

related licensing or certifying

documentation. This series also

includes general licenses, NRC Form

241, issued to Agreement States

licensees to conduct business outside of

the Agreement State. Decommissioning

records for these licenses or certificates

are permanent and require maintenance

as a subset of each case file as specified

in SECY 90-316. Reference Item c.

below for authorized disposition of i

decommissioning files.

March 2005 2.25.1i3 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

Excluded are case files (under 10 CFR

Part 40) with license prefix of "SUA"

which are covered by the High-Level,

Low-Level, and Uranium Recovery

Docket File schedule. Post 1983

Regional case files include the

Inspection and Enforcement Case File

documentation described in the

Inspection and Enforcement Case File

schedule and are retained as one case

file under this schedule. For the

purposes of applying the authorized

disposition instructions, a withdrawn or

denied license or certificate application

is considered terminated on the date of

withdrawal or denial.

Also excluded are classified and

safeguards information records that will

not be maintained in ADAMS, but will

be maintained in paper format.

Record keeping system: ADAMS.

a. Case Files covering licensee for

which licensing or certifying

jurisdiction is transferred to the

State under agreement covering

transfer of function.

J1_

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Transfer to Agreement States.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

NC1-431-81-5

Item 1.3.22.b

N1-431-00-20

Item 6.a(2)

NI-431-00-20

Item 6.a(3)

March 2005 2.25.14 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED . . -AUTHORIZED DISPOSITION CITATION

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g., -

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

reference or updating,

whichever is later.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files upon

request for transfer. Convert to

media acceptable to NRC and

Agreement State (paper,

electronic, microform).

Transfer to Agreement States.

Destroy NRC copy 3 years after

cutoff.

N1431-00-20

Item 6.a(4)

b. Official case files of NMSS and the

Regional offices including the

decommissioning segment,

determined by the NRC to have

exceptional value because of the

historical significance of their

contents or their uniqueness.

(1) Paper records created before - Permanent. Cut off upon

04/01/2000. l license or certificate

- termination, following

completion of decommissioning

procedure. Retire to WNRC

through OIS at end of fiscal

year. Transfer to NARA 20

years after termination of

license or certificate.

N1-431-00-20

Item 6.b(l)

March 2005 2.25. 15 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files upon licence or certificate

termination following

completion of decommissioning

procedure. Transfer to the

National Archives 2 years after

cut-off. At the time of transfer,

NARA and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

N1431-00-20

Item 6.b(2)

Nl.431-00-20

Item 6.b(3)

K)

N1-431-00-20

Item 6.b(4)

March 2005 2.25.16 NUREG-0910, Rev. 4
-1 .- :

NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

-APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-20

Item 6.b(5)

c. Decommissioning records segment

of disposable licensing or certifying

case files located at the Regional

offices consisting of the following

types of documents:

1. All license or certificate

applications, amendment requests,

and renewal requests.

2. Complete license or certificate,

including all amendments.

3. Termination amendment.

4. Licensee request for license or

certificate termination and all

supporting documentation including

plans for completion of

decommissioning.

March 2005 2.25.17 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

5. Forms dealing with disposition of

material (NRC/AEC Form 314,

AEC Form HQ-277, and other

forms) and/or letters from licensees

dealing with disposition and status

of material.

6. Reports of NRC closeout

inspections.

7. Letter of certification from NRC

official stating that license or

certificate can be terminated.

8. Any closeout survey by NRC, the

licensee, or a contractor working for

either NRC or the licensee.

9. Any additional documents

dealing with disposition of waste or

other material or residual

contamination on the site, including

records of on-site burials.

10. All documents related to

determining the appropriate

amounts for decommissioning of

facilities, including cost estimates,

certifications of financial assurance

for decommissioning or

decommissioning funding plans.

This item excludes documents

related to funding methods, standby

trust agreements, letters of credit,

insurance policies, self-guarantee

documents, or other monetary

instruments that are maintained by

NMSS or the Regions. (See Item

7.d)

March 2005 2.25.18 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM -

NO. - .tDESCRIPTION OF RECORDS - - . AUTHORIZED DISPOSITION

NARA

APPROVED

CITATION

11. Records of spills and other

unusual occurrences involving the

spread of contamination in and

around the facility, equipment, or

site.

12. As-built drawings and

modifications of structures and

equipment in restricted areas where

radioactive materials were used or

stored and locations of possible

inaccessible contamination.

13. Any additional documents

which refer to decommissioning,

decontamination, or termination of

the license or certificate, including

interim or partial decommissioning

or specific facilities at any time

during the history of licensed

operations.

14. Any enforcement documents

related to decommissioning and §

decontamination activities.

(1) Paper records created before

04/01/2000.

Permanent. Cut off upon

license or certificate

termination, following

-completion of decommissioning

procedure. Retire to WNRC

through OIS at end of fiscal

year. Transfer to NARA 20

years after termination of

license or certificate.

N1-431-00-20

Item 6.c(1)

(2) Paper records used as the source Forward negotiable checks to

to create ADAMS Tagged " the Materials Licensing Branch.

Image File Format (TIFF) files Destroy other paper documents

and ASCII files. . 2 months after creation of

ADAMS electronic record.

NI-431-00-20

Item 6.c(2)

March 2005 2.25. 19 NUREG-0910, Rev. 4
NRC Schedule 2

V2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

Note that credit card payment

authorization forms will not

copied into ADAMS, but

provided directly to the Material

licensing Branch.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OTS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permnanent. Cut off electronic

files upon licence termination

following completion of

decommissioning procedure.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

N1-43 1-00-20

Item 6.c(3)

N1-431-00-20

Item 6.c(4)

K21_

March 2005 2.25. 20 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - - AUTHORIZED DISPOSITION CITATION

' - is not feasible, prior to transfer,

with NARA concurrence,

- records will be converted to

paper or to microform. Destroy

'NRC copy 18 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages'

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital''-

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-20

Item 6.c(5)

d. All documents related to funding

methods for financial assurance for

decommissioning, including standby

trust agreements, letters of credit,

surety bonds, statements of intent,

certificates of deposit, government

securities, external sinking funds,'-

parent company or self guaranitees,

standby trust agreements,

decommissioning cost estimates,

financial tests, or other financial -

assurance instrument

documentation.

(1) Paper records created before

04/01/2000.

Cut off upon license or

certificate termination following

completion of decommissioning

procedure. Return documients'

to licensee in accordance with

Management Directive (MD)

8.12.

N1-431-00-20

Item 6.d(1)

March 2005 2.25. 21 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

AUTHORIZED DISPOSITION

Forward paper documents to the

Financial Assurance Instrument

Custodian for storage in an

approved container per MD

8.12. Upon termination of

license or certificate or

superseding of the document,

return the superceded

documents to the licensee.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NARA

APPROVED

CITATION

N1-431-00-20

Item 6.d(2)

N1-431-00-20

Item 6.d(3)

\J

Cut off electronic files upon

license or certificate termination

following decommissioning

procedure. Destroy 20 years

after cutoff.

N1-431-00-20

Item 6.d(4)

e. Other case files, excluding the

decommissioning segment, that do

not meet the criteria for permanent

retention.

March 2005 2.25. 22 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. - DESCRIPTION OF RECORDS

(1) Paper records created before

04/01/2000.

(2) Paper records used as the so

to create ADAMS Tagged

Image File Format (TIFF) fi

and ASCII files.

(3) Copies of electronic files stc

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) fil

TIFF files, and ASCII files I

remain with staff members,

OIS processing staff after

creation of the ADAMS

records. Included are electr

records created internally us

office automation tools (e.g

WordPerfect, Lotus, InForn

mail, etc.) and electronic

records received from outsii

the agency.

(4) ADAMS PDF files and thei

linked native application so

- t AUTHORIZED DISPOSITION

Cut off upon license or

certificate termination,

following completion of

decommissioning procedure.

Retire to WNRC through OIS at

the end of fiscal year. Destroy

20 years after termination of

license or certificate.

urce Destroy paper documents

2 months after creation of

les ADAMS electronic record.

)red Destroy after creation of

ADAMS electronic record or

when no longer needed for

es, reference or updating,

hat whichever is later.

md

onic

sing

is, eJle

r Cut off electronic files upon

urce license or certificate termination

NARA

APPROVED

CITATION

N1-431-92-3

Item L.d

N1-431-00-20

Item 6.e(2)

NI-431-00-20

Item 6.e(3)

N1431-00-20

Item 6.e(4)

files; ADAMS TIFF files and - following completion 01

their linked ASCII files; - decommissioning procedure.

ADAMS document profiles and "- Destroy 20 years after cutoff.

document packages; and

ADAMS digital signature and

concurrence data.

* ,~i -;

March 2005 2.25. 23 NUREG-09 10, Rev. 4
NRC Schedule 2

K>1-

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

8. General Program Correspondence

Files (Subiect Files)

Letters, memoranda, messages, studies,

reports, forms, and other data

documenting and/or implementing

plans, policies, procedures,

accomplishments, opinions, and

decisions pertaining to Office of the

Regional Administrator program and

staff activities. Excluded are classified

and safeguards information records that

will not be maintained in ADAMS, but

will be maintained in paper format.

Record keening system: ADAMS.

a. Program Correspondence Files at

the Regional Administrator Level.

Files that document policy- making

decisions or significant Regional

program management functions that

are signed by or addressed to the

Regional Administrator (RA) or

Deputy RA. Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

Kj

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Permanent. Cut off at close of

fiscal year. Hold 2 years and

retire to the Washington

National Record Center through

OIS. OIS will transfer to

NARA when 20 years old.

Destroy paper documents

2 months after creation of

NC1-43 1-81-5

Item 1.2.15.a

N1-431-00-20

Item 7.a(2)

March 2005 2.25. 24 NUREG-0910, Rev. 4
NRC Schedule 2

CORDS OF NRC OFFICES

AUTHORIZED DISPOSITION

NARA

APPROVED

-CITATION

ITEM .

NO. DESCRIPTION OF RECORDS

Image File Fornat (TIFF) files'' -ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, '-reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and ;

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

N1-431-00-20

Item 7.a(3)

(4) ADAMS PDF files and TIFF

files.

Permanent. Cutoff electronic

files at close of fiscal year.

Transfer to the National'

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine.

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

.-applicable at the time. If

transfer in an electronic medium

'is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NI-43 1-00-20

Item 7.a(4)

March 2005 2.25.25 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

NRC copy 8 years after

transferring record to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1431-00-20

Item 7.a(5)

b. Program Correspondence Files

Created or Received Below the

Reiional Administrator Level.

Files that document policy making

decisions, significant Regional

program management functions and

program operations. They are

signed by or addressed to Regional

management and staff below the

Regional Administrator level.

Excluded is program

correspondence that documents

routine transactions for which the

record content is summarized or

duplicated in higher level

documents. (See item c. below.)

(1) Paper records created before

04/01/2000.

Cut off at close of fiscal year.

Hold 2 years and retire to the

Washington National Record

Center through OIS. Destroy 10

years after cutoff.

NC1431-81-5

Item 1.2.15.b

March 2005 2.25. 26 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM.

NO. DESCRIPTION OF RECORDS -'AUTHORIZED DISPOSITION

(2) Paper records used as the source 'Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Formnat (TIFF) files 'ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that- whichever is later.

remain with staff members and-`

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InFormns, email, etc.) and electronic

records received from outside

the agency.

NARA

APPROVED

CITATION

NI-431-00-20

Item 7.b(2)

NI-431-00-20

Item 7.b(3)

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1431-00-20

Item 7.b(4)

c. Routine Program Correspondence

Files Created or Received at All

Organizational Levels.

Files documenting program

transactions of a routine or

recurring nature, the record content

of which is summarized or

duplicated in Item a. or b. above.

March 2005 2.25.27 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy when 2 years old, or

earlier if purpose has been

served.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 2 years

after cutoff.

NC1-431-81-5

Item 1.2.15.c

NI-431-00-20

Item 7.c(2)

NI-43 1-00-20

Item 7.c(3)

N1-431-00-20

Item 7.c(4)

9. Headquarters and Regional Operator

Licensing Files

The information pertaining to the

licensing of operators at power and nonpower reactors.

March 2005 2.25. 28 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

a. 10 CFR Part 55 Docket Files

Case files containing information

pertaining to 10 CFR Part 55

applicants for a license, licensed

operators, and individuals who'

previously held licenses.

Documentation includes

applications for a license, license s,

denial letters and related licensing

correspondence, correspondence

pertaining to actions taken against a

licensee, 10 CFR Part 50.74

notifications, certifications of

medical examinations and related

medical information, fitness for

duty information, examination

results summary sheet (Power 303-

1, Non-Power 303N-1), and other

docket information.

Cutoff files upon latest license

expiration/revocation/terminnation, application denial or

withdrawal, or issuance of

denial letter. Retire to FRC

when 3 years old. Destroy

when 10 years old.

N1431-90-4

Item 1

Record keeping system: Paper.

b. Examination Packages

Files containing information

pertaining to 10 CFR Part 55

Operators Licensing examinations

at power and non-power reactors.

Documentation includes corporate

notification letter, examination

assignment sheet, and related

licensing correspondence as

described in NUREG-1021, ES-501.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

Cut off examination on file

upon receipt of the facility's

next exam. Destroy 4 years

after cutoff.

NI-431-00-20

Item 8.b(1)

March 2005 2.25.'29 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic examination

files upon receipt of the

facility's next exam. Destroy 4

years after cutoff.

N1-431-00-20

Item 8.b(2)

N1431-00-20

Item 8.b(3)

N1-431-00-20

Item 8.b(4)

c. General Correspondence

Any internal memoranda, forms,

notes, Power Plant Examination

Results Summary Sheet (ES 501-2),

Non-Power Plant Examination

Results Summary Sheet (ES 501N1), or correspondence between the

NRC and the facility licensees that

March 2005 2.25-30 NUREG-0910, Rev. 4
-NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

does not directly pertain to a 55

Docket File or Exam Package.

Record keeping system: ADAMS.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using.

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Cut off at close of fiscal year.

Retire to the Washington

National Record Center through

QIS when 3 years old. Destroy

10 years after cutoff.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 10 years

after cutoff.

N1-431-00-20

Item 8.c(1)

NI-431-00-20

Item 8.c(2)

N1-431-00-20

Item 8.c(3)

NI-431-00-20

Item 8.c(4)

March 2005 2.25.31 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

10. Hiah-Level, Low-Level, and Uranium

Recovery Docket Files

Case files documenting the licensing of

high-level, or low-level and uranium

recovery operations including mills,

solution mining, and heat leaching of

ion exchange facilities in nonAgreement States as defined in 10 CFR

40 with license transfer prefix of

"SUA." Includes applications, licenses

and amendments, and other related

material. The files are arranged by

docket number.

Record keening system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and 01S processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TiFF files.

Permanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files upon licence termination

following completion of

NC1-43 1-81-5

Item 1.3.23

N1-431-00-20

Item 9.b

N1-431-00-20

Item 9.c

N1-431-00-20

Item 9.d

\<2

March 2005 2.25. 32 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

decommissioning procedure.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after

transferring record to NARA.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy.

18 years after transferring

record to NARA.

N1-431-00-20

Item 9.e

11. Improper Action Files

a. Case files located in regional offices

documenting the receipt, review,

and resolution of allegations of

improper actions by NRC staff

Cut off files upon final

resolution or referral to the

01G. Retain in office for two,.

years or until no longer needed

NI-431-00-21

Item L.a

March 2005 2.25.33 , NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

members or contractors. Case files

include description of allegation and

circumstances under which it was

received, memos to and from the

OIG, letters to the alleger, letters to

file, employee's written version of

issue and events, recommendations,

plans for implementation, status

reports, notifications of

substantiation, conclusions, followup reports, documents showing

resolution and related material.

Case files are arranged numerically

by year and sequential case file

number within that year.

for current activities, then retire

to WNRC through the 01S.

Destroy 10 years after cutoff.

Record keeping system: Paper.

b. Electronic records created or

received used as the source to create

paper records that are filed in the

Improper Action Files. Included are

electronic records created internally

using office automation tools (e.g.,

WordPerfect, Lotus, InForms, Email, etc,) and electronic records

received internally and from outside

the agency.

Create paper record of the

electronic document on the day

created or received or as soon as

practical and file in appropriate

official files. Destroy electronic

version immediately after

creating official record copy or

when no longer needed for

reference or updating.,

whichever is later.

N1-431-00-21

Item 1.b

K)~

Record keeping system: Paper.

12. Information Files

Complete set of formal informational

releases and publications, press

conference transcripts, official

speeches, and indexes thereto

maintained by the Regional offices.

Record keeping system: ADAMS.

March 2005 2.25. 34 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS ';I 'AUTHORIZED DISPOSITION -CITATION

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and TIFF files.

Permanent. Transfer to NARA

when 10 years old.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Permanent. Cut off electronic

files at close of fiscal year.

Transfer to the National

Archives 2 years aftercut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic :

records contained in 36 CFR

1228.270 or standards

applicable at the time. If.

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

NC1-431-81-5

Item 1.5.34

N1-431-00-20

Item 10.b

N1431-00-20

Item 10.c

N1431-00-20

Item 10.d

March 2005 2.25.35 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

records will be converted to

paper or to microform. Destroy

NRC copy 8 years after

transferring record to NARA.

e. ADAMS document profiles and

ADAMS document packages

created for the management, search,

and retrieval of the PDF files and

TIFF files, and ADAMS data

related to digital signatures, and

data that evidence final NRC

management and staff concurrences

in documents that are linked to and

considered part of the official

records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N1-43 1-00-20

Item 10.e

13. Inspection and Enforcement Case

Files

Files documenting the inspection

activity and enforcement actions

relating to power and non-power

reactors, byproduct, source, and special

nuclear material licenses, including

copy of license, inspection and followup reports, inspectors' notes,

enforcement action documents, final

certification that premises are free of

radiological contamination, and related

documentation. Decommissioning

records for this series are permanent and

require maintenance as a subset of each

file as specified in SECY-90-316.

Reference Item c. below for authorized

disposition. Post 1983 Regional

inspection and enforcement

documentation for byproduct, source,

and special nuclear material, are

retained with the licensing case file and

follow the authorized disposition for

'K)

March 2005 2.25. 36 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

material licensing case files (Items 7.b,

c, d, and e). For the purposes of

applying the authorized disposition

instructions, a withdrawn or denied

license application is considered

terminated on the date of withdrawal or

denial.

Record keeping system: ADAMS.

Excluded are classified and safeguards,

information records that will not be

maintained in ADAMS, but will be

maintained in paper format.

a. Regional inspection and - Permanent. Transfer to NARA N1-431-92-1

enforcement case files for material at end of FY 1996. Item l.a

licenses terminated 1965 and prior.

b. Official case files including the

decommissioning segment, exceptfor those described in item a. above,

located at Regional offices

determined by the NRC to have.

exceptional value because of the

historical significance of their

contents or their uniqueness.

Included are those inspection and

enforcement case files that relate to

the docket numbers retained

permanently under NRR's

permanent Nuclear Power Plant

Docket Files and NMSS and

Regional permanent materials

licensing case files), i.e., those files

that:

- Result in judicial decisions or

legislation that affect the functions

and activities of NRC;

March 2005 2.25. 37 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

- Result in significant changes in

regulatory activities and procedures;

or

- Were the subject of Congressional

investigation or were of great public

interest.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

Permanent. Retain current fiscal

year and last four years in

Regional file room. Retire, by

facility, to WNRC through OIS

annually if the records consist

of at least one cubic foot and

are over five years old. Closing

date is the termination date

following completion of

decommissioning procedure

(which is the license date plus

40 years). Transfer to NARA

20 years after termination of

license.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

N1-431-92-1

Item L.b

NI-431-00-20

Item 1 L.b(2)

N1-431-00-20

Item 11.b(3)

March 2005 2.25.38 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION.

records received from outside

the agency.

(4) ADAMS PDF files and TIFF

files.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files upon license termination

following completion of

decommission procedure.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microform. Destroy

NRC copy 18 years after'

transferring record to NARA.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.188 when the

PDF files and TIFF files are

transferred.- Destroy NRC copy

18 years after transferring

record to NARA.

NI-431-00-20

Item I1 .b(4)

N1-431-00-20

Item I L.b(5)

March 2005 2.25. 39 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

c. Decommissioning records segment

of disposable inspection and

enforcement case files relating to

power and non-power reactors

located at Regional offices

consisting of Regional records

relating to the following types of

documents:

1. Application for Possession-Only

license.

2. Possession-Only license

amendment and any associated

technical specifications (TS).

3. Decommissioning or Dismantling

Plan and associated TS changes.

4. Requests for additional )

information on applications for

Possession-Only licenses,

Decommissioning and Dismantling

Plans, and responses from licensee.

5. Federal Register Notices for

applications for Possession-Only

licenses and Decommissioning and

Dismantling Plans.

6. Decommissioning and

Dismantling Orders.

7. Final site surveys by licensee.

8. Final site surveys by Regional

inspectors.

March 2005 2.25. 40 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

9. All license amendments and

associated TS changes following the

initial application by the licensee

for Possession-Only license.

10. All documents related to

determining the appropriate

amounts for decommissioning of

facilities, including cost estimates,

certifications of financial assurance

for decommissioning or

decommissioning funding plans.

This item excludes documents

related to funding methods, standby

trust agreements, letters of credit,

insurance policies, self-guarantee

documents, or other monetary

instruments that are maintained by

NMSS or the Regions. (See Item

6.d)

-11. Records of spills and other

unusual occurrences involving the'

spread of contamination in and

around the facility, equipment, or

site.

12. License termination orders and

associated safety evaluations.

13. As-built drawings and

modifications of structures and

equipment in restricted areas where

radioactive materials were used or

stored and locations of possible

inaccessible contamination.

14. Any additional documents,

which refer to decommissioning,

decontamination, or termination of

the license, including interim or

March 2005 2.25-41 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

partial decommissioning of specific

facilities at any time during the

history of licensed operations.

15. Any enforcement documents

related to decommissioning and

decontamination activities.

Decommissioning records segment

of disposable inspection and

enforcement case files relating to

post 1983 Regional fuel facilities,

transportation, byproduct, source,

and special nuclear material licenses

are filed with the related material

licensing case files. Reference the

records schedules for the material

licensing case files contained in

Regional schedule 7.b, c, d, and e

for the material licensing

decommissioning records types and

their authorized disposition.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Permanent. Retain current

fiscal year and last four years in

Regional file room. Retire, by

facility, to WNRC through OIS

annually if the records consist

of at least one cubic foot and

are over five years old. Closing

date is termination date

following completion of

decommissioning procedure

(which is the license date plus

40 years). Transfer to NARA

20 years after termination of

license.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

N143 1-00-20

Item I1.c(1)

NI-431-00-20

Item 1 .c(2)

March 2005 2.25. 42 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION CITATION

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

-Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later:

N1-43 1-00-20

Item II.c(3)

NI-431-00-20

Item I 1.c(4)

(4) ADAMS PDF files and TI1

files.

;F Permanent. Cut off electronic

files upon licence termination

following completion of

decommissioning procedure.

Transfer to the National

Archives 2 years after cut-off.

At the time of transfer, NARA

and NRC will determine

medium and format in which

records will be transferred as

well as their arrangement.

Every effort will be made to

transfer records electronically in

accordance with the standards

for permanent electronic

records contained in 36 CFR

1228.270 or standards

applicable at the time. If

transfer in an electronic medium

is not feasible, prior to transfer,

with NARA concurrence,

records will be converted to

paper or to microforrn. Destroy

NRC copy 18 years after

transferring record to NARA.

March 2005 2.25. 43 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cutoff electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.188 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

18 years after transferring

record to NARA.

N1-431-00-20

Item 1 1.c(5)

d. All documents related to funding

methods for financial assurance for

decommissioning, including standby

trust agreements, letters of credit,

surety bonds, statements of intent,

certificates of deposit, government

securities, external sinking funds,

parent company or self guarantees,

standby trust agreements,

decommissioning cost estimates,

financial tests, or other financial

assurance instrument

documentation.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

Cut off upon license or

certificate termination following

completion of decommissioning

procedure. Return documents

to licensee in accordance with

Management Directive (MD)

8.12.

Forward paper documents to the

Financial Assurance Instrument

Custodian for storage in an

approved container per MD

8.12. Upon termination of

license or certificate or

N1431-00-20

Item 1I.d(I)

N1431-00-20

Item 1 1.d(2)

March 2005 2.25. 44 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS --_ AUTHORIZED DISPOSITION CITATION

. - superseding of the document,

return the superceded

documents to the licensee.

(3) Copies of electronic files stored

outside of ADAMS used to'

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic '-

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

license or certificate termination

following decommissioning

procedure. Destroy 20 years

after cutoff.

NI-431-00-20

Item 1 l.d(3)

N1-431-00-20

Item 1 .d(4)

e. Other case files in Regional offices -

that do not meet criteria for

permanent retention, excluding the

decommissioning segment.

(1) Paper records created before

04/01/2000.

Retain current fiscal year and '

last four years in Regional file

room. Retire, by facility, to

WNRC through OIS annually if

the records consist of at least

one cubic foot and are over five

years old. Closing date is the

NI-431-92-1

Item l.d

Ir 2

March 2005 2.25.45 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

termination date following

completion of decommissioning

procedure (which is the same as

license date plus 40 years).

Destroy 20 years after

termination of license.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with staff members and

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

license termination following

completion of decommissioning

procedure. Destroy NRC copy

20 years after cutoff.

N1-431-00-20

Item 11.e(2)

N1431-00-20

Item 11.e(3)

N1-431-00-20

Item 11.e(4)

f. Case files of both Headquarters and

Regional offices, consisting of

material remaining after files are

transferred to a State under

March 2005 2.25.46 NUREG-0910, Rev. 4
NRC Schedule 2

RECRD . .C O . RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS : - AUTHORIZED DISPOSITION

agreement covering transfer of

regulatory function.

(1) Paper records created before

04/01/2000.

(2) Paper records used as the source

to create ADAMS Tagged

Image File Format (TIFF) files

and ASCII files~.

(3) Copies of electronic files stored

outside of ADAMS used to

create ADAMS Portable

Document Format (PDF) files,

TIFF files, and ASCII files that

remain with -staff members arid'

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, 'email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and their

linked native application source

files; ADAMS TIFF files and

their linked ASCII files;

ADAMS document profiles and

document packages; and

ADAMS digital signature and

concurrence data.

Destroy 1 year after official file

is transferred to the Agreement

State.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files upon

close of the fiscal year'

following transfer of official

license to the Agreement State.

Destroy

1 year after cutoff.

N1-43 1-81-5

Item 4.4.6.b.(3)

NI-43 1-00-20

Item I U.f(2)

N1431-00-20

Item 1 1(3)

N1-431-00-20

Item 1.f(4)

14. Licensee Mismanagement Files -

Licensee reports and other records

relating to incidents of the

.. ..

March 2005 2.25.47 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

mismanagement of radiation

administered to individuals by licensees

(primarily doctors or other medical

facilities) containing name of

individuals and other data pertaining to

the mismanagement.

Record keeping system: ADAMS.

a. Paper records created before

04/01/2000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

Files to be maintained by

licensee or State office of

radiological safety for 75 years

from date of report. If records

are deposited with NRC,

destroy 75 tears from date of

report.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 75 years

after cutoff.

NCI-431-81-5

Item 1.4.26

N1-431-00-20

Item 13.b

N1-431-00-20

Item 13.c

N1-431-00-20

Item 13.d

\Il

March 201)5 2.25.48 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

APPROVED

CITATION

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

profiles and document packages;

and ADAMS digital signature and

concurrence data.

15. Module Status Report System

The system maintains the status of all

modules required to be inspected under

various inspection programs.

Information includes definition of

inspection program being monitored,

facilities selected for review, modules

with overdue inspections, inspection

profile, and a transaction listing of all

facilities included in the review.

Retain until it has been

determined by a competent -

_NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NCI-43 1-81-2

Item 12.C.4

Record keening system: Electronic

Information System.

16. Nuclear Material Accountability

Worksheets

Worksheets maintained by Regional

inspectors in accounting for nuclear

materials located at NRC licensed

facilities.

Record keening system: ADAMS.

a. Paper records created before

0410112000.

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

Destroy when superseded or no

longer needed.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

NCI-431-81-5

Item 4.4.12

NI-431-00-20

Item 14.b

N1-431-00-20

Item 14.c

March 2005 2.25.49 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

members and 01S processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files, bit-mapped

ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Cut off electronic files at close

of fiscal year. Destroy 5 years

after cutoff.

N1431-00-20

Item 14.d

17. Outstandine Item Systems (O IS) \K)

The system tracks all items which

require follow-up action by Project and

Specialist Inspectors.

Record keeping system: Electronic

Information System.

Retain until it has been

determined by a competent

NRC Official that data are no

longer needed; erase and reuse

tape, etc.

NC1431-81-2

Item 12.C.3

18. Personnel Exposure Files

Records Accumulated to measure the

degree of radiation exposure of

individuals to external radiation and

internally deposited isotopes.

Record keeping system: ADAMS.

a. Individual NRC personnel folders

containing data and radiation

exposure.

March 2005 2.25. 50 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION -

(1)

(2)

(3)

(4)

Paper records created

before 04/01/2000.

Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII

files.

Copies of electronic files

stored outside of ADAMS

used to create ADAMS

Portable Document

Format (PDF) files, TIFF

files, and ASCII files that

remain with staff members

and OIS processing staff

after creation of the

ADAMS records.

Included are electronic

records created internally

using office automation

tools (e.g., WordPerfect,

Lotus, InForms, e-mail,

etc.) and electronic

records received from

outside the agency.

ADAMS PDF files and

their linked native

application source files;

ADAMS TIFF files and

their linked ASCII files;

ADAMS document

profiles and document

packages; and ADAMS

digital signature and

concurrence data.

Destroy 75 years from the date

of the creation of the record.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 75 years

after cutoff.

NCI-431-81-5

Item 1.4.25.a

N1-431-00-20

Item 15.a(2)

N1431-00-20

Item 15.a(3)

N1-431-00-20

Item 15.a(4)

b. Personal Dosimetry Processing

Reports.

March 2005 2.25.51I NUREG-0910, Rev. 4
NRC Schedule 2

K-,, RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

(1) Paper records created

before 04/01/2000.

(2) Paper records used as the

source to create ADAMS

Tagged Image File Format

(TIFF) files and ASCII

files.

(3) Copies of electronic files

stored outside of ADAMS

used to create ADAMS

Portable Document

Format (PDF) files, TIFF

files, and ASCII files that

remain with staff members

and OIS processing staff

after creation of the

ADAMS records.

Included are electronic

records created internally

using office automation

tools (e.g., WordPerfect,

Lotus, InForms, e-mail,

etc.) and electronic

records received from

outside the agency.

(4) ADAMS PDF files and

their linked native

application source files;

ADAMS TIFF files and

their linked ASCII files;

ADAMS document

profiles and

document packages; and

ADAMS digital signature

and concurrence data.

Destroy 75 years from date of

report.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 75 years

after cutoff.

N1-431-00-20

Item 15.b(1)

NI-431-00-20

Item 15.b(2)

N1-431-00-20

Item 15.b(3)

N1-431-00-20

Item 15.b(4)

March 2005 2.25. 52 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

NARA

ITEM APPROVED

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

19. Radiation Protection Programr

Records

Files located in NMSS and the Regions

documenting the management and'

implementation of the NRC's internal

radiation protection program, and

compliance

by the NRC and its employees with the

provisions of NRC Management

Directive (MD) 10.131.

Records include reports of lost, stolen,

or missing radioactive material; reports

of overexposure, excessive levels, and

concentrations of radioactive material;

surveys and records documenting

equipment calibrations, and

computations determining radiation

exposure hazard or compliance with the

requirements of Management Directive

10.131; records of measurements and

calculations to evaluate the release of

radioactive effluent to the environment;

records documenting compliance with

the dose limit for individual members of

the public; records of waste disposal;

and all correspondence, reports,

surveys, audits, and reviews related to

the implementation, compliance, and

management of the NRC Radiation

Protection Program.

Record keeping system: ADAMS.

a. Paper records created before Cut off at close of fiscal year. N1-431-00-20

0410112000. Retain 2 years then retire to OIS Item 16.a

in annual blocks. Destroy when

75 years old. - --

March 2005 2.25. 53 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

b. Paper records used as the source to

create ADAMS Tagged Image File

Format (TIFF) files and ASCII files.

c. Copies of electronic files stored

outside of ADAMS used to create

ADAMS Portable Document

Format (PDF) files, TIFF files, and

ASCII files that remain with staff

members and OIS processing staff

after creation of the ADAMS

records. Included are electronic

records created internally using

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic records

received from outside the agency.

d. ADAMS PDF files and their linked

native application source files;

ADAMS TIFF files and their linked

ASCII files; ADAMS document

profiles and document packages;

and ADAMS digital signature and

concurrence data.

Destroy paper documents

2 months after creation of

ADAMS electronic record.

Destroy after creation of

ADAMS electronic record or

when no longer needed for

reference or updating,

whichever is later.

Cut off electronic files at close

of fiscal year. Destroy 75 years

after cutoff.

N1-431-00-20

Item 16.b

N1-431-00-20

Item 16.c

N1-431-00-20

Item 16.d

20. Regulatory History Files for

Proposed and Final Rulemakin!

Official case files created by Regional

offices documenting proposed and final

rulemakings. Contents include

interoffice correspondence, all source

documents relied upon to prepare

proposed and final rules, public

comments, Conumittee to Review

Generic Requirements (CRGR) minutes

and recommendations, Advisory

Committee on Reactor Safeguards and

Nuclear Waste comments, Commission

March 2005 2.25. 54 NUREG-09 10, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO.

NARA

APPROVED

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION CITATION

papers, transcripts, indexes, and Federal

Register Notices.

Record Keeping System: ADAMS.

a. Official case files created by

Regional Offices.

(1) Paper records created before" Permanent. Cut off when final

04/01/2000. regulation is issued through

notice in the Federal Register.

OIS will transfer to NARA in 5-

year blocks when the earliest

closed case file is 25 years old

and the most recent case file is

20 years old.

(2) Paper records used as the source Destroy paper documents

to create ADAMS Tagged 2 months after creation of

Image File Format (TI:F) files ADAMS electronic record.

and ASCII files.

(3) Copies of electronic files stored Destroy after creation of

outside of ADAMS used to ADAMS electronic record or

create ADAMS Portable when no longer needed for

Document Format (PDF) files, reference or updating,

TIFF files, and ASCII files that whichever is later.

remain with staff members and -

OIS processing staff after

creation of the ADAMS

records. Included are electronic

records created internally usinig

office automation tools (e.g.,

WordPerfect, Lotus, InForms, email, etc.) and electronic

records received from outside

the agency.

(4) ADAMS PDF files and TIFF Permanent. Cut off electronic

files. files when final regulation is

issued through notice in the

N1431-00-20

Item 17.a(1)

N1431-00-20

Item 17.a(2)

N1431-00-20

Item 17.a(3)

N1-431-00-20

Item 17.a(4)

March 2005 2.25. 55 NUREG-0910, Rev. 4
NRC Schedule 2

RECORDS OF NRC OFFICES

ITEM

NO. DESCRIPTION OF RECORDS

NARA

APPROVED

AUTHORIZED DISPOSITION CITATION

Federal Register. Transfer to

the National Archives 2 years

after cut-off. At the time of

transfer, NARA and NRC will

determine medium and format

in which records will be

transferred as well as their

arrangement. Every effort will

be made to transfer records

electronically in accordance

with the standards for

permanent electronic records

contained in 36 CFR 1228.270

or standards applicable at the

time. If transfer in an electronic

medium is not feasible, prior to

transfer, with NARA

concurrence, records will be

converted to paper or to

microform. Destroy NRC copy

8 years after transferring record

to NARA.

(5) ADAMS document profiles and

ADAMS document packages

created for the management,

search, and retrieval of the PDF

files and TIFF files, and

ADAMS data related to digital

signatures, and data that

evidence final NRC

management and staff

concurrences in documents that

are linked to and considered

part of the official records.

Permanent. Cut off electronic

files with related PDF files and

TIFF files. Transfer to NARA

according to regulations found

in 36 CFR § 1228.270 when the

PDF files and TIFF files are

transferred. Destroy NRC copy

8 years after transferring record

to NARA.

N 143 1-00-20

Item 17.a(5)

March 2005 2.25. 56 NUREG-0910, Rev. 4 \.2
NRCS Subject Index

March 2005

NRC RECORDS SCHEDULES

SUBJECT

Series Schedule

Number

Abnormal Occurrence Case Files 2-19.1

Accounting System (CAB) 2-5.1

ACNW Meeting Files 2-2.1

ACNW Members' Personnel Files 2-2.3

ACNW Members' General Files 2-2.2

ACNW Project Case Files 2-2.4

ACRS Meeting Files 2-3.1

ACRS Members' Personnel 2-3.3

ACRS Members' General Files 2-3.2

Action Tracking System (AITS) 2-25.1

ADAMS Legacy Libraries 2-6.1

Administrative Budget Control (ABC) 2-1.1

Administrative Files

Administrative Subject Files

Electronic Records, Admin. Master Files

Employee Travel Files

Office General Personnel Files

Office Organization Reference Files

Policy and Precedent Reference Files

Reading or Chronological Files

Reference Publication Files

Reimbursable Agreements and Contract Files

Staff Working File

Technical Reference Files

Vu-graphs

Weekly Status Reports

See GRS 23-1

See GRS 20-3

1-1.1

1-1.2

1-1.3

1-1.4

1-1.5

1-1.6

1-1.7

1-1.8

1-1.9

1-1.10

1-1.11

I
NRCS Subject Index

March 2005

Series Schedule Number

Advisory Screening Committee Consultant Personnel Files 24.1

Agreement State Files 2-24.1

Allegation and Inquiry Files 2-16.1

Allegation Case Files 2-17.1

Allegation Case Files 2-18.1

Allegation Case Files 2-25.2

Annual Reports of the ACRS to the U.S. Congress and/or U.S. NRC 2-3.4

Annual Reports to the Attorney General on FOIA 2-6.2

Antitrust Case Files 2-18.2

Appellate Adjudication Documents Files 2-8.1

Audio Cassettes for Technical Training 2-13.1

Audiovisual Records

Audio Cassettes for Technical Training 2-13.1

Graphic Arts Files 2-6.9

Oral History Sound Recordings 2-22.8

Stenographic Tapes of Commission Meetings 2-22.11

Still Photographs Associated with Loss of Fluid Transfer (LOFT) 2-19.22

Still Photography Files 2-1.16

Video Recording Files 2-1.17

Video Recordings For Research Projects 2-19.23

Vu-graphs 1-1.10

Audit Case Files 2-14.1

Automated Information Documentation System (AIDS) 2-6.3

Automated Personnel System (APS) 2-13.2

Awards Files 2-13.3

2 2 K)
Series

Bibliographic Retrieval System (BRS)

Budget Files

Administrative Budget Control (ABC)

Budget Correspondence

Budget Files

Working papers and background materials

Budget System, Research

Estimates and Justifications

Case Study Report Files

Central Personnel Clearance Index (CPCI)

Certificate of Compliance Files

Chronological Files (See also Reading Files)

Reading or Chronological Files

Commissioners' Chronological Files

Classified Defense Information File

Classified Document Control System (CDCS)

Commission Decision-Making Files

Commission Memorandum File

Commission Tracking System

Commission's Decisional License Docket Files

Commissioners' Chronological Files

Committee Files on Regulation Guidelines

Committee to Review Generic Requirements (CRGR) Files

Committee and Conference Records

Administration

Advisory Committee on Nuclear Waste

Advisory Committee on Reactor Safeguards

NRCS Subject Index

March 2005

Schedule Number

2-6.4

2-5.2

2-1.1

2-5.2.a

2-5.2

2-5.2.d

2-19.2

2-5.2.b

2-19.3

2-1.2

2-17.2

1-1.5

1-1.5

2-7.1

2-3.5

2-1.4

2-22.2

2-12.1

2-22.3

2-22.1

2-7.1

2-3.7

2-19.5

2-1.3

2-2.5

2-3.6

3
NRCS Subject Index

March 2005

Series Schedule Number

Atomic Safety and Licensing Board Panel 2-4.2

Chief Financial Officer 2-5.3

Congressional Affairs 2-9.1

Enforcement 2-10.1

Executive director for Operations 2-11.1

General Counsel 2-12.2

Human Resources 2-13.4

Information Services 2-6.5

Inspector General 2-14.2

International Programs 2-15.1

Nuclear Material Safety and Safeguards 2-17.3

Nuclear Reactor Regulation 2-18.3

Nuclear Regulatory Research 2-19.4

Nuclear Security and Incident Response 2-20.1

Regional Offices 2-25.3

Secretary 2-22.4

Confidential Source Files 2-16.2

Conflict of Interest (Ethics Official) Files 2-12.3

Congressional Correspondence Files 2-9.3

Congressional Correspondence System 2-9.4

Congressional Hearing Testimony and Transcript Files 2-9.2

Consultants' General Files 2-2.6

Consultants' General Files 2-3.8

Consultants' Personnel Files 2-2.7

Consultants' Personnel Files 2-3.9

Contract Files (Also see GRS 3-3 and GRS 3-14))

Contracts System 2-1.5

Grants Files, ADM 2-1.8

Grants Files, RES 2-19.9

Reimbursable Agreements and Contract Files 1-1.7

Country Files, Export/Import and International Safeguards Records 2-15.2

4
NRCS Subject Index

March 2005

Series Schedule Number

Country Files, International Arrangements 2-15.3

Decommissioning Records

Docket 50 Licenses 2-18.11

Inspection and Enforcement Case Files 2-25.7

Materials Licenses (NMSS) 2-17.6.b-e

Materials Licenses (Regional Offices) 2-25.7.b-e

Differing Professional View and Opinion Files 2-13.5

Directives Case Files 2-1.6

Docket Files

10 CFR Part 55 Docket Files 2-18.6.a

Commission's Decisional License Docket Files 2-22.1

Docket Files for the Disposal of High-Level

Radioactive Wastes in Geologic Repositories 2-17.4

Docket Files for the Land Disposal of Radioactive Wastes 2-17.5

Duplicate Nuclear Power Plant Docket Files 2-25.4

Export/lmport License Docket Files 2-15.4

Fuel Facilities, Transportation, Byproduct, Source, and

Special Nuclear material Docket Files (NMSS) 2-17.6

Fuel Facilities, Transportation, Byproduct, Source, and

Special Nuclear material Docket Files (Regional Offices) 2-25.7

Headquarters and Regional Operator Licensing Files 2-18.6

High-Level, Low-Level, and Uranium

Recovery Docket Files (NMSS) 2-17.8

High-Level, Low-Level, and Uranium

Recovery Files (Regional Offices) 2-25.10

Independent Spent Fuel Storage Installation Docket Files (ISFSI) 2-17.9

Licensing Docket Formal Hearing Files 2-12.6

Nuclear Power Plant Docket Files (ACNW) 2-3.12

Nuclear Power Plant Docket Files (NRR) 2-18.11

Patent Invention Dockets 2-12.8.a

Power Reactor License Docket Files of the ASLBP 2-4.7

Rulemaking Docket Files 2-22.10

Uranium Recovery 2-17.8

Draft Memorandum and Order Files 2-8.2

Duplicate Nuclear Power Plant Docket Files 2-25.4

Duplicate Reference Files of the Public Document Room (PDR) 2-6.6

5
NRCS Subject Index

March 2005

Series Schedule Number

K>

E-2 System (IRMS)

Electronic Records (Also See GRS 20 and 23)

Administrative Master Files

Electronic Records

EDO Action Files

Emergency Planning

Emergency Planning Files

Emergency Planning Files

Employee Travel Files

Enforcement Action Case Files

Enforcement Action Case Files

Experiment and Test Files

Export/Import License Docket Files

Fee Determination Background File

Files of Department of State Cables and

Atomic International Forum Wires (AIF)

Foreign Visitor Files

Formal Arrangement and Agreement Files

Formal Arrangement and Agreement Files

Forms Files

Fuel Facilities, Transportation, Byproduct, Source, and

Special Nuclear material Docket Files

Fuel Facilities, Transportation, Byproduct, Source, and

Special Nuclear Material Docket Files

General Program Correspondence Files

2-18.4

See GRS 20-3

See GRS Index

2-11.2

2-20.2

2-25.5

1-1.1

2-10.2

2-25.6

2-19.6

2-15.4

2-5.4

2-15.5

2-15.6

2-15.7

2-19.7

2-6.7

2-17.6

2-25.7

'<2,

6
NRCS Subject Index

March 2005

Series

Advisory Committee on Nuclear Waste

Advisory Commnittee on Reactor Safeguards

Atomic Safety and Licensing Board Panel (Subject Files)

Administration (Subject Files)

Chief Financial Officer (Subject Files)

Congressional Affairs (Subject Files)

Enforcement (Subject Files)

Executive Director for Operations (Subject Files)

General Counsel (Subject Files)

Human Resources (Subject Files)

Information Services (Subject Files)

Inspector General (Subject Files)

International Programs (Subject Files)

Investigations (Subject Files)

Nuclear Material Safety and Safeguards (Subject Files)

Nuclear Reactor Regulation (Subject Files)

Nuclear Regulatory Research (Subject Files)

Nuclear Security and Incident Response (Subject Files)

Programmatic Files Common to Most Offices (Subject Files)

Public Affairs (Subject Files)

Small Business and Civil Rights (Subject Files)

State and Tribal Programs (Subject Files)

Secretary (Subject Files)

(Signed by the Chairman maintained in paper)

Secretary (Subject Files)

(Signed below the Chairman level maintained in ADAMS)

Regional Offices (Subject Files)

Schedule Number

2-2.8

2-3.10

2-4.3

2-1.7

2-5.5

2-9.5

2-10.3

2-11.7

2-12.4

2-13.6

2-6.8

2-14.3

2-15.8

2-16.3

2-17.7

2-18.5

2-19.8

2-20.3

1-2.1

2-21.1

2-23.1

2-24.2

2-22.5

2-22.6

2-25.8

Grants Files 2-1.8

Grants Files 2-19.9

Graphic Arts Files

Headquarters and Regional Operator Licensing Files

Headquarters and Regional Operator Licensing FilesHealth Records

Employee Medical Folder

Health Record Files, HR

Health Unit Records

2-6.9

2-18.6

2-25.9

GRS 1-21

GRS 1-19 & 21

GRS 1-19 & 20

7
Series

High-Level, Low-Level, and Uranium Recovery Docket Files

High-Level, Low-Level, and Uranium Recovery Docket Files

Holding Action System (HAS)

Improper Action Files

Independent Spent Fuel Storage Installation Docket Files (ISFSI)

Information Files

Information Files Containing Press Releases and Official Speeches

Information Requirements Control Automated System (IRCAS)

Inspection and Enforcement

Inspection and Enforcement Case Files (NMSS)

Inspection and Enforcement Case Files (Regional Offices)

Decommissioning Records

Enforcement Action Case Files

NRC inspection Manual

Investigation Procedures Manual and Investigative Guidance

Regional Records

Regional Decommissioning Records

Statistical and Enforcement Text System (766)

Vendor Inspection Reports

Integrated Financial Management Information System (IFMIS)

International Organization Files

International Programs Export/Import License Tracking System (IPELTS)

International Safeguards Program Office (ISPO)

International Safeguards Program Office (ISPO) Files

Investigation Case Files

Investigation Case Files

Investigation Procedures Manual and Investigative Guidance

NRCS Subject Index

March 2005

Schedule Number

2-17.8

2-25.10

2-1.9

2-25.11

2-17.9

2-25.12

2-21.2

2-6.10

2-17.6

2-25.7

2-17.6

2-10.2

2-18.10

2-16.5

2-25.13

2-25.7

2-18.17

2-18.19

2-5.6

2-15.9

2-15.10

2-17.10

2-20.4

2-14.4

2-16.4

2-16.5

K-/

K)

8
NRCS Subject Index

March 2005

Series Schedule Number

Investigation Records Made Publicly Available' 2-14.5

Keyword In ContextlOut of Context Index (KWICIKWOC) 2-3.11

Laboratory Notebooks 2-19.10

Legal and Legislative

Appellate Adjudication Documents Files 2-8.1

Commission Memorandum File 2-12.1

Copies of State-enabling legislation 2-24.1.a

Legal Interpretations 2-16.6

Legal Memos, ASLPB 2-4.4.a

Legislative Files, OGC 2-12.5

Legislative Files, OCA 2-9.6

Litigation Case Files 2-12.7

Patent and Technical Data Files 2-12.8

Licensing Records

Certificate of Compliance Files 2-17.2

Commission's Decisional License Docket Files 2-22.1

Docket Files for the Disposal of High-Level

Radioactive Wastes in Geologic Repositories 2-17.4

Docket Files for the Land Disposal of Radioactive Wastes 2-17.5

ExportlImport License Docket Files 2-15.4

Fuel Facilities, Transportation, Byproduct, Source, and

Special Nuclear Material Docket Files (NMSS) 2-17.6

Fuel Facilities, Transportation, Byproduct, Source, and

Special Nuclear Material Docket Files (Regional Offices) 2-25.7

Headquarters and Regional Operator Licensing Files (NRR) 2-18.6

Headquarters and Regional Operator Licensing Files (Regions) 2-25.9

High-Level, Low-Level, and Uranium Recovery Docket Files(NMSS) -2-17.8

High-Level, Low-Level, and Uranium Recovery Docket Files (NRR) 2-25.10

Independent Spent Fuel Storage Installation Docket Files (ISFSI 2-17.9

International Programs Export/Import

License Tracking System (IPELTS) 2-15.10

License Fee Branch Reporting System (FEES) 2-5.7

Licensee Mismanagement Files (NMSS) 2-17.11

Licensee'Mismanagement Files (Regions)'' 2-25.14

Licensing Docket Formal Hearing Files 2-12.6

Licensing Project Files 2-18.7

Nuclear Power Plant Docket Files 2-3.12

Power Reactor License Docket Files of the ASLBP 2-4.7

Process Operator License Files 2-17.18

9
Series

Uranium Mill Tailings Remedial Action Program (UMTRAP)

Project Licensing Case Files

Waste Management Licensing Files

Litigation Case Files

Manpower System (MPS)

Memoranda to Panel Board Members

Minutes of Advisory Screening Committees

Module Status Report System

Morning Reports

Narrative Histories

National Standards Committee Participation System (SDCOM)

NMSS Case Work System (CASE)

NMSS Contract File Management System (FILNET)

Non-Agreement State Files

Non-licensing Project Files

NRC Inspection Manual

Nuclear Documents System (NUDOCS) Records

Nuclear Material

Certificate of compliance Files

Decommissioning Records

Nuclear Material Accountability Worksheets

Nuclear Material Licensing

Nuclear Material Management and Safeguards System (NMSS)

Sealed Source and Device Review Files

Transportation, NMSS

Transportation, Regions

Nuclear Power Plants (Also see Docket Files)

NRCS Subject Index

March 2005

Schedule Number

2-17.25

2-2.10

2-12.7

2-6.11

2-4.4

2-4.5

2-25.15

2-18.8

2-22.7

2-19.11

2-17.12

2-17.13

2-24.3

2-18.9

2-18.10

2-6.12

2-17.2

2-17.6.c

2-25.16

2-25.13

2-17.14

2-17.22

2-17.6

2-25.7

Ka/)

10
Series

Antitrust Case Files

Decommissioning Records

Inspection Records

Nuclear Power Plant Docket Files (ACNW)

Nuclear Power Plant Docket Files (NRR)

Nuclear Reactor Project Files

Reactor Operator Licensing (NRR)

Reactor Operator Licensing (Regions)

Nuclear Power Plant Docket Files

Nuclear Power Plant Docket Files

Nuclear Reactor Project Files

Nuclear Safety Research Review Committee Records (NSRRC)

Nuclear Safety Standards Program Files

OCAA Program Management and Operational Files

Office Files of the Chairman and Commissioners

Office General Personnel File

Office Organization Reference Files

Oral History Sound Recordings

Organizational Records

Outstanding Systems (OIS)

Panel Board's Monthly Status Report to Commissioners

Part 71 Quality Assurance Files

Part 71 Safety Evaluation Reports

Patent and Technical Data Files

Payroll System (PAY)

NRCS Subject Index

March 2005

Schedule Number

2-18.2

2-18.11.b

2-25.13

2-3.12

2-18.11

2-3.13

2-18.6

2-25.9

2-18.11

2-3.12

2-3.13

2-19.12

2-19.13

2-8.3

2-7.2

1-1.2

1-1.3

2-22.8

2-1.10

2-25.17

2-4.6

2-17.16

2-17.15

2-12.8

2-5.8

11
NRCS Subject Index

March 2005

Series Schedule Number

Personal Opinion Files 2-12.9

Personnel Records (Also See GRS 1)

Personnel Exposure Files (HR) 2-17.17

Personnel Exposure Files (Regions) 2-25.18

Personnel Files 1-1.2

Personnel Monitoring Report Files 2-19.14

Plans and Systems Design Descriptions 2-19.15

Policy

Budget, CFO 2-5.2

Management Directive Files 2-1.6

Policy and Precedent Reference Files 1-1.4

Proposed and Final Rules (ADM) 2-1.12

Proposed and Final Rules (ASLBP) 2-4.8

Security (ACNW) 2-1.14

Security (NSIR) 2-6.20

Standards Development 2-19.11

Power Reactor License Docket Files of the ASLBP 2-4.7

Process Operator License Files 2-17.18

Program Correspondence ( see General Program Correspondence Files)

OCAA Program Management and Operational Files 2-8.3

Reading or Chronological Files 1-1.5

Project Management System (PMS) 2-6.13

Property and Supply System (PASS) 2-1.11

Publications

Publications, CIO Record Copy) 2-6.14

Reference Publications Files 1-1.6

Scientific and Technical Reports 2-19.21

Vendor Topical Reports 2-18.20

Radiation Exposure Information System (REIRS) 2-19.16

Radiation Protection Program Records 2-17.19

Radiation Protection Program Records 2-25.19

12
NRCS Subject Index

March 2005

Series Schedule Number

Reading Files

Commissioners' Chronological Files 2-7.1

Reading or Chronological Files 1-1.5

Records of NRC Offices

Administration 2-1

Advisory Committee on Reactor Safeguards 2-3

Atomic Safety and Licensing Board Panel 24

Chief Financial Officer 2-5

Office of Information Services 2-6

Commission 2-7

Commission Appellate Adjudication 2-8

Committee on Nuclear Waste 2-2

Congressional Affairs 2-9

Enforcement 2-10

Executive Director for Operations 2-11

General Counsel 2-12

Human Resources 2-13

Inspector General 2-14

International Programs 2-15

Investigations 2-16

Nuclear Material Safety and Safeguards 2-17

Nuclear Reactor Regulation 2-18

Nuclear Regulatory Research 2-19

Nuclear Security and Incident Response 2-20

Public Affairs 2-21

Regional Offices 2-25

Secretary 2-22

Small Business and Civil Rights 2-23

State and Tribal Programs 2-24

Records Common to Most Offices 1

Reference Publication Files 1-1.6

Regulatory Effectiveness Reviews (RER) 2-18.12

Regulatory History Files for Proposed and Final Rulemaking

Administration 2-1.12

Atomic Safety and Licensing Board Panel 2-4.8

Chief Financial Officer 2-5.9

Information Services 2-6.15

Enforcement 2-10.4

13
Series

Executive Director for Operations

General Counsel

Inspector General

Nuclear Material Safety and Safeguards

Nuclear Reactor Regulation

Nuclear Regulatory Research

Regional Offices

Secretary

Regulatory Information Tracking System - NMSS (NMSS-R1TS)

Regulatory Information Tracking System - NMSS (NMSS-RITS)

Regulatory Information Tracking Systems - CIO (IRM-RITS)

Reimbursable Agreements and Contract Files

Rejected Research Project Proposals

Representation Fund Files

Research Program Files

Research Project Case Files

Rulemaking Docket Files

Rulemaking Documents Published in the Federal Register

Safeguard Status Reports (NRR)

Safeguard Status Reports (NSIR)

Schedule of Daily Activities

Scientific and Technical Reports

Sealed Source and Device Review Files

Security Policy Files

Central Personnel Clearance Index (CPCI)

Classified Document Control System (CDCS)

COMSEC Records

NRCS Subject Index

March 2005

Schedule Number

2-15.11

2-12.10

2-14.6

2-17.20

2-18.13

2-19.17

2-25.20

2-22.9

2-17.21

2-18.14

2-6.16

1-1.7

2-19.18

2-15.12

2-19.19

2-19.20

2-22.10

2-1.13

2-18.15

2-20.5

2-7.3

2-19.21

2-17.22

2-1.2

2-1.4

2-20.7

14
Series

Drug Testing Program Files

Security Policy Files (Admin)

Security Policy Files (NSIR)

Security Violations (Felonies) Files

Systems Security Records

Seismic Qualification (SEISMIC)

Senate and House Members Profile Files

Source and Special (SS) Material Accountability System Files

Staff Working File

Statistical and Enforcement Text System (766)

Statistical Information System For Operating Reactors (SISOR)

Steam Generators

Stenographic Tapes of Commission Meetings

Still Photographs Associated with Loss of Fluid Transfer (LOFT)

Still Photography Files

Subject Files (See also General Program Correspondence Files)

Office Administrative Files

Programmatic Files Common to Most Offices (Subject Files)

Technical Reference

Research Program

Systems Security Records

Technical Assignment Control System (TACS)

Technical Reference Files

Telephone Directory System (TEL)

Timesharing Accounts Management System (TAMS)

Training

NRCS Subject Index

March 2005

Schedule Number

See GRS 1-36

2-1.14

2-20.6

2-1.15

2-20.7

2-18.16

2-9.7

2-17.23

1-1.8

2-18.17

2-6.17

2-18.18

2-22.11

2-19.22

2-1.16

See GRS 23-1

1-2.1

1-1.9

2-19.19

2-20.7

2-6.18

1-1.9

2-6.19

2-6.20

15
Office Administrative Training Files See GRS 23-1

Audio Cassettes for Technical Training 2-13.1

Training Aids 2-13.7

Training Files 2-24.4

Transcripts

Advisory Commission on Nuclear Waste Meetings 2-2.9

Advisory Commission on Nuclear Reactor Standards Meetings 2-3.14

Atomic Safety Nuclear Licensing Board Panel Hearings 24.9

Commission Meetings 2-22.12

Transportation Records

Transport Approval Package Information System (TAPIS) 2-17.24

Nuclear Material Packaging 2-17.2

Nuclear Material Transport 2-17.6

Nuclear Material Transport, Regions 2-25.7

Uranium Mill Tailings Remedial Action Program (UMTRAP)

Project Licensing Case Files 2-17.25

Vendor Case Files 2-18.19

Vendor Topical Reports 2-18.20

Video Recording Files 2-1.17

Video Recordings For Research Projects 2-19.23

Vu-graphs 1-1.10

Waste Management Licensing Files 2-2.10

Weekly Status Reports 1-1.11

Work Tracking System (WITS-II) 2-11.4

16
11111111.

General

Records

Schedules

National Archives and

Records Administration

College Park, MD
Introduction

General Records Schedules (GRS) are issued by the Archivist of the United States to provide

disposition authorization for records common to several or all agencies of the Federal I '

Government. They include records relating to civilian personnel, fiscal accounting, procurement,

communications, printing, and other common functions, and certain nontextual records. They

also include records relating to temporary commissions, boards, councils and committees. These

records comprise an estimated one-third of the total volume of records created by Federal

agencies.

In 1978, use of the GRS was made legally mandatory. The disposal authorizations must be used

by a Federal agency to the greatest extent possible.: Because these schedules are designed to

cover records common to several agencies, many of the records descriptions are general. Agency

records officers may either use the schedules as an appendix to an agency printed schedule or

tailor the general schedules to the agency's own particular needs and incorporate them into

agency schedules. '

The GRS covers only records that are common among several agencies. For complete coverage

of the disposition of all its records, each agency must independently develop'schedules for the

remaining records. Agencies should exercise particular care in applying items in GRS-1-16 and

18 to subject or correspondence files that may include a mix of administrative and program

records. Usually, administrative subject files have short retention periods, less than 3 years.

Program subject files may be needed by the agency for 10 years or more and may have archival

value as well. Except when the volume of administrative records is negligible, agencies should

maintain administrative records separately from program records in their agency recordkeeping

systems. If administrative records are mixed with program records in the recordkeeping system

and cannot be economically segregated, the entire file must be kept for the period of time

approved for the program records. Similarly, if documents described in the GRS are part of a

subject or case file that 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.

For more information on scheduling rec6rds"not covered by the GRS, including potentially

permanent records, see the Disposition of Federal Records Handbook. Also, the National

Archives and Records Administration (NARA) has prepared a series of instructional guides that

provide information on scheduling nontextual records that are not covered by the GRS. The

handbook and separate guides on electronic records, audiovisual records, and cartographic and

architectural records are available from the National Archives and Records Administration

(NWCP), Room G-9, Washington, DC 20408.

GRS items cover only record copies. In some instances, more than one copy of a document or

file would be considered a record if different offices use it to perform different functions. When

it is difficult to decide whether files are record or nonrecord materials, the records officer should

treat them as records. Records officers may consult with the NARA Life Cycle Management

Division (NWML) to determine the record or nonrecord status of particular files.

I
The disposition instructions in the GRS are to be implemented without further approval from

NARA, with the exception that most records created before January 1, 1921, must first be offered

to NARA for appraisal. If NARA rejects these records they may be destroyed immediately.

GRS 3, 11, 16, and 21 have other delimiting dates. Agencies that convert records covered by the

GRS to microform should apply the GRS disposition standards to the microform copies and

destroy the paper copies after verification of the film unless legal considerations require longer

retention of the paper (36 CFR 1230.10(b)). No further authorization from NARA is required to

implement these provisions. If an agency wishes to apply a different retention period for any

series of records included in the GRS, the records officer must submit a Standard Form (SF) 115

providing justification for the deviation.

The GRS includes an index of commonly used Standard and Optional Forms. The forms index

includes only the forms most frequently used by the various Government agencies.

Items at the end of GRS 1-16, 18, 23, 24, 25 and 26 provide disposition instructions for

electronic mail and word processing copies, maintained apart from the recordkeeping copy, of the

records described in the other items in those schedules. The other items authorize the disposition

of the recordkeeping copy. The electronic mail and word processing records covered in each of

those schedules are those that remain in personal and shared directories after the recordkeeping

copy has been produced, and electronic copies used for dissemination, revision, or updating that

are maintained in addition to the recordkeeping copy.

Questions of applicability of any GRS item to agency records or differences of interpretation TV

between the records officer and other agency personnel that cannot be reconciled within the

agency may be referred to the Director, Life Cycle Management Division (NWML), NARA,

from offices in the Washington, DC area, or the NARA regional records services facility from

offices outside the Washington, DC area.

Some records series covered by the GRS are eligible for retirement to the Washington National

Records Center or to records center storage in a NARA regional- records services facility.

Records should be retired from agency space to such storage only if transfer costs do not exceed

the expense of retaining them in agency space. Records sent to records center storage in a

NARA facility should have a remaining retention of at least I year. If special circumstances,

such as lack of filing equipment or space, make it imperative that records be retired, exceptions

can be made to this policy. These decisions are made on an individual basis by the appropriate

NARA facility director. Procedures for transfer of records to records center storage in a NARA

facility are found in NARA regulations (36 CFR 1228.152).

2
Transmittal No. 8 General Records Schedules

December 1998

Table of Contents

Schedule 1 - Civilian Personnel RecordsSchedule 2 - Payrolling and Pay Administration Records

Schedule 3 - Procurement, Supply and Grant Records

Schedule 4 - Property Disposal Records

Schedule 5 - Budget Preparation, Presentation, and Appointment Records

Schedule 6 - Accountable Officers' Accounts Records

Schedule 7 - Expenditure Accounting Records

Schedule 8 - Stores, Plant and Cost Accounting Records

'Schedule 9 - Travel and Transportation Records

Schedule 10 - Motor Vehicle Maintenance and Operation

Schedule 11 - Space and Maintenance Records

Schedule 12 - Communications Records

Schedule 13 - Printing, Binding, Duplication, and Distribution Records

Schedule 14 - Informational Services Records

Schedule 15 - Housing Records

Schedule 16 - Administrative Management Records

Schedule 17 - Cartographic, Aerial Photographic, Architectural,-and Engineering Records

Schedule 18 - Security and Protective Services Records

Schedule 19 - RESERVED

Schedule 20 - Electronic Records (Transmittal No. 7)

Schedule 21 - Audiovisual Records

Schedule 22 - Inspector General Records - WITHDRAWN

Schedule 23 - Records Common to Most Offices Within Agencies

Schedule 24 - Information Technology Operations and Management Records

Schedule 25 - Ethics Program Records

Schedule 26 - Temporary Commissions, Boards, Councils and Committees - ADDED

Subject Index

Forms Index

3
Transmittal No. 12 General Records Schedule 1

July 2004

GENERAL RECORDS SCHEDULE 1

Civilian Personnel Records

Agency civilian personnel records relate to the supervision over and management of Federal

civilian employees. This schedule covers the disposition of Official Personnel Folders of civilian

employees and other records relating to civilian personnel, wherever located in the agency.

Specifically excluded are program records of the Office of Personnel Management (OPM), the

Bureau of Medical Services (PHS/HHS), the Office of Workers' Compensation Programs (DOL),

and the Equal Employment Opportunity Commission. Any records created prior to January 1,

1921, must be offered to the National Archives and Records Administration (NARA) for

appraisal before these disposition instructions may be applied.

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

and the Employee Medical Folders, are maintained according to Thte Guide to Personnel

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

.. I

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Official Personnel Folders (OPFs).

Records filed on the right side of the OPF. (See

GRS 1, item 10, for temporary papers on the left

side of the OPF). Folders covering employment

terminated after December 31, 1920, excluding

those selected by NARA for permanent

retention.

Record keeping system: Paper.

K-)

a. Transferred employees. See Chapter 7 of The Guide to

Personnel Recordkeeping for

instructions relating to folders of

employees transferred to another

agency.

b. Separated employees. Transfer folder to National Personnel

Records Center (NPRC), St. Louis,

MO, 30 days after latest separation.

[See note (2) after this item]. NPRC

will destroy 65 years after separation

from Federal service.

4
Transmittal No. 12

July 2004

General Records Schedule I

ITEM .

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

[NOTES: (1) OPFs covering periods of employment terminated prior to January 1, 1921, are not

covered by this item. If an agency has such files, it should contact NARA to request appraisal of

the files. If NARA rejects the records, the disposition for GRS 1, item lb applies. (2) Certain

agencies have been exempted by OPM from retiring their OPFs to NPRC. These agencies retain

OPFs for the period specified in item lb of this schedule and effect destruction after that period

has elapsed.]

2. Service Record Cards. [See note after item 2b.]

Service Record Card (Standard Form (SF) 7 or

equivalent).

Record keeping system: NA.

a. Cards for employees separated or transferred

on or before December 31, 1947.

b. Cards for employees separated or transferred

on or after January 1, 1948.

Transfer to NPRC (CPR), St. Louis,

MO. Destroy 60 years after earliest

personnel action.

Destroy 3 years after separation or

transfer of employee.

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

3. Personnel Correspondence Files.

Correspondence, reports, and other records

relating to the general administration and

operation of personnel functions, but excluding

records specifically described elsewhere in this

schedule and records maintained at agency staff

planning levels.

Record keeping system: NRC Form 722 --Paper.

General Correspondence, etc. - ADAMS.

4. Offers or Employment Files.

Destroy when 3 years old.

Correspondence, including letters and telegrams,

offering appointments to potential employees.

Record keeping system: Paper.

5
Transmittal No. 12

July 2004

General Records Schedule I

V.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

a. Accepted offers. Destroy when appointment is

effective.

b. Declined offers:

(1) When name is received from certificate

of eligibles.

(2) Temporary or excepted appointment.

(3) All others.

Return to OPM with reply and

application.

File with application (see item 15 of

this schedule).

Destroy immediately.

5. Certificate of Eligibles Files.

Copies obtained from OPM of certificates of

eligibles with related requests, forms,

correspondence, and statement of reasons for

passing over a preference eligible and selecting a

nonpreference eligible.

Destroy when 2 years old.

Record keeping system: Paper.

6. Emplovee Record Cards. [See note after this

item.]

Employee record cards used for informational

purposes outside personnel offices (such as SF

7B).

Destroy on separation or transfer of

employee.

Record keeping system: Paper.

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

internal agency form.]

7. Position Classification Files.

a. Position Classification Standards Files.

Record keeping system: Paper.

6
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(1) Standards and guidelines issued or

reviewed by OPM and used to classify

and evaluate positions within the agency.

Destroy when superseded or

obsolete.

(2) Correspondence and other records

relating to the development of standards

for classification of positions peculiar to

the agency, and OPM approval or

disapproval.-

(a) Case file. Destroy 5 years after position is

abolished or description is

superseded.

(b) Review File.

b. Position Descriptions.

Destroy when 2 years old.

Record copy of position descriptions that

include information on title, series, grade,

duties and responsibilities, and related

documents.

Destroy 2 years after position is

abolished or description is

superseded.. . i

Record keeping system: Paper.

c. Survey Files.

Record keeping system: Paper.

(1) Classification survey reports on various

positions prepared by classification

specialists, including periodic reports.

(2) Inspection, audit, and survey files

including correspondence, reports, and

other records relating to inspections,

surveys, desk audits, and evaluations.

Destroy when 3 years old or 2 years

after regular inspection, whichever is

sooner.

Destroy when obsolete or superseded

d. Appeals Files.

Record keeping system: Paper.

7
Transmittal No. 12

July 2004

General Records Schedule 1

'<11 ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(1) Case files relating to classification

appeals, excluding OPM classification

certificate.

(2) Certificates of classification issued by

OPM.

Destroy 3 years after case is closed.

Destroy after affected position is

abolished or superseded.

8. Interview Records.

Correspondence, reports, and other records

relating to interviews with employees.

Destroy 6 months after transfer or

separation of employee.

Record keeping system: Paper.

9. Performance Ratin! Board Case Files.

Copies of case files forwarded to OPM relating

to performance rating board reviews.

Destroy 1 year after case is closed.

Record keeping system: Paper.

10. Temporarv Individual Employee Records.

a. All copies of correspondence and forms

maintained on the left side of the Official

Personnel Folder in accordance with Chapter

3 of Th7e Guide to Personnel Recordkeeping,

EXCLUDING the Immigration and

Naturalization Service Form 1-9 and

performance-related records.

Record keeping system: Paper.

b. Immigration and Naturalization Service

Form 1-9.

Record keeping system: Paper.

Destroy when superseded or

obsolete, or upon separation or

transfer of employee, unless

specifically required to be transferred

with the OPF. See item 10b for

disposition of 1-9 Forms and item 23

of this schedule for disposition of

temporary performance-related

records.

Destroy 3 years after employee

separates from service or transfers to

another agency.

8
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

11. Position Identification Strips. [See note after

this item.]

Destroy when superseded or

obsolete.

Strips, such as the former SF 7D, containing

summary data on each position occupied.

Record keeping system: NA.

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

12. Emplovee Awards Files. [See note after item

12d.]

a. General awards records, EXCLUDING those

relating to department-level

Record keeping system: Paper.

(1) Case files including recommendations,

approved nominations, correspondence,

reports, and related handbooks pertaining

to agency-sponsored cash and noncash

awards such as incentive awards, withingrade merit increases, suggestions, and

outstanding performance.

(2) Correspondence pertaining to awards

from other Federal agencies or nonFederal organizations.

Destroy 2 years after approval or

disapproval.

Destroy when 2 years old.

b. Length of service and sick leave awards

files.

Records including correspondence, reports,

computations of service and sick leave, and

lists of awardees.

Destroy when 1 year old.

Record keeping system: Paper.

9
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO.

V>

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

c. Letters of commendation and appreciation.

Copies of letters recognizing length of

service and retirement and letters of

appreciation and commendation for

performance, EXCLUDING copies filed in

the OPF.

Destroy when 2 years old.

Record keeping system: Paper.

d. Lists or indexes to agency award

nominations.

Lists of nominees and winners and indexes

of nominations.

Destroy when superceded or

obsolete.

Record keeping system: Paper.

[NOTE: Records relating to department-level awards must be scheduled by submitting an SF

115, Request for Records Disposition Authority, to NARA.]

13. Incentive Awards Program Reports.

IKl

Reports pertaining to the operation of the

Incentive Awards Program.

Destroy when 3 years old.

Record keeping system: Paper.

14. Notifications of Personnel Actions.

Standard Form 50, documenting all individual

personnel actions such as employment,

promotions, transfers, separation, exclusive of

the copy in the OPF.

Record keeping system: Paper.

a. Chronological file copies, including fact

sheets, maintained in personnel offices.

b. All other copies maintained in personnel

offices.

Destroy when 2 years old.

Destroy when 1 year old.

)j

10
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

15. RESERVED.

16. Personnel Operations Statistical Reports.

Statistical reports in the operating personnel

office and subordinate units relating to

personnel.

Destroy when 2 years old.

Record keeping system: Paper.

17. Correspondence and Forms Files.

Operating personnel office records relating to

individual employees not maintained in OPFs

and not provided for elsewhere in this schedule.

Record keeping system: Paper.

a. Correspondence and forms relating to

pending personnel actions.

b. Retention registers and related records.

(1) Registers and related records used to

effect reduction-in-force actions.

Destroy when action is completed.

Destroy when 2 years old.

(2) Registers from which no reduction-inforce actions have been taken and related

records.

c. All other correspondence and forms.

Destroy when superseded or

obsolete.

Destroy when 6 months old. . .. . . ..

18. Supervisors' Personnel Files and Duplicate

OPF Documentation.

a. Supervisors' Personnel Files.

Correspondence, forms, and other records

relating to positions, authorizations, pending

actions, position descriptions, requests for

Review annually and destroy

superseded or obsolete documents, or

destroy file relating to an employee

*11
Transmittal No. 12

July 2004

General Records Schedule I

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

personnel action, and records on individual

employees duplicated in or not appropriate

for the OPF.

within 1 year after separation or

transfer.

Record keeping system: Paper.

b. Duplicate Documentation.

Other copies of documents duplicated in

OPFs not provided for elsewhere in this

schedule.

Record keeping system: Paper.

19. Individual Non-Occupational Health Record

Files.

Destroy when 6 months old.

Forms, correspondence, and other records,

including summary records, documenting an

individual employee's medical history, physical

condition, and visits to Government health

facilities, for nonwork-related purposes,

EXCLUDING records covered by item 21 of

this schedule.

Destroy 6 years after date of last

entry.

Record keeping system: Paper.

20. Health Unit Control Files.

Logs or registers reflecting daily number of

visits to dispensaries, first aid rooms, and health

units.

Record keeping system: Paper.

a. If information is summarized on statistical

report.

b. If information is not summarized.

Destroy 3 months after last entry.

Destroy 2 years after last entry.

12
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

21. Emplovee Medical Folder (EMF). [See note

after item 21c.]

Record keeping system: Paper.

a. Long-term medical records as defined in 5

CFR Part 293, Subpart E.

See 5 CFR Part 293, Subpart E for

instructions.

(1) Transferred employees.

(2) Separated employees.

b. Temporary or short-term records as defined

in the Federal Personnel Manual (FPM).

c. Individual employee health case files created

prior to establishment of the EMF system

that have been retired to a NARA records

storage facility.

Transfer to NPRC, St. Louis, MO, 30

days after separation. NPRC will

destroy 75 years after birth date of

employee; 60 years after date of the

earliest document in the folder, if the

date of birth cannot be ascertained;

or 30 years after latest separation,

whichever is later.

Destroy 1 year after separation or

transfer of employee.

Destroy 60 years after retirement to

the NARA records storage facility.

[NOTE: Electronic master files and data bases created to supplement or replace the records

covered by item 21 are not authorized for disposal under the GRS. Such files must be scheduled

on an SF 115.]

22. Statistical Summaries. [See not after this item.]

Copies of statistical summaries and reports with

related papers pertaining to employee health, _

retained by the reporting unit.

Destroy 2 years after date of

summary or report.

Record keeping system: Paper.

13
Transmittal No. 12

July 2004

General Records Schedule I

iTEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

[NOTE: Electronic master files and data bases created to supplement or replace the records

covered by this item are not authorized for disposal under the GRS. Such files must be scheduled

on an SF 115.]

23. Employee Performance File System Records.

[See note after item 23b(4).]

a. Non-SES appointees (as defined in 5 U.S.C.

4301(2)).

Record keeping system: Paper.

(1) Appraisals of unacceptable performance,

where a notice of proposed demotion or

removal is issued but not effected and all

related documents.

(2) Performance records superseded through

an administrative, judicial, or quasijudicial procedure.

Destroy after the employee

completes 1 year of acceptable

performance from the date of the

written advance notice of proposed

removal or reduction-in-grade notice.

Destroy when superseded. K-,

(3) Performance-related records pertaining to

a former employee.

(a) Latest rating of record 3 years old or

less, performance plan upon which it

is based, and any summary rating.

(b) All other performance plans and

ratings.

(4) All other summary performance appraisal

records, including performance

appraisals and job elements and

standards upon which they are based.

Place records on left side of the OPF

and forward to gaining Federal

agency upon transfer or to NPRC if

employee separates (see item lb of

this schedule). An agency retrieving

an OPF from NPRC will dispose of

these documents in accordance with

item 23a(3)(b) of this schedule.

Destroy when 4 years old.

Destroy 4 years after date of

appraisal.

14
Transmittal No. 12

July 2004

General Records Schedule I

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(5) Supporting documents. Destroy 4 years after date of

appraisal.

b. SES appointees (as defined in 5 U.S.C.

3132a(2)).

Record keeping system: Paper.

(1) Performance records superseded through

an administrative, judicial, or quasijudicial procedure.

(2) Performance-related records pertaining to

a former SES appointee.

Destroy when superseded. '

(a) Latest rating of record that is les

than 5 years old, performance pl1

upon which it is based, and any

summary rating.

(b) All other performance ratings,

plans.

(3) All other performance appraisals, ali

with job elements and standards (Ool

expectations) upon which they are b

EXCLUDING those for SES appoin

serving on a Presidential appointmei

CFR 214).

(4) Supporting documents.

Place records on left'side of the OPF

and forward to gaining Federal

agency upon transfer or to NPRC if

employee leaves Federal service (see

item'lb of this schedule). An agency

retrieving an OPF from NPRC will

dispose of those documents in

accordance with item 23b(2)(b) of

this schedule.

and Destroy when 5 years old.

:ng Destroy 5 years after date of

appraisal.

ased,

tees

it (5

Destroy 5 years after date of

appraisal.

[NOTE: Performance records pertaining to Presidential appointees are not covered by the GRS.

Such records must be scheduled by submitting an SF 115 to NARA.]

15
Transmittal No. 12 General Records Schedule 1

July 2004

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

24. Reasonable Accommodation Request

Records

Information created and maintained while

receiving, coordinating, reviewing, processing,

approving, and reporting requests for reasonable

accommodation from federal employees and

applicants under the Rehabilitation Act of 1973

and Executive Order 13164. A reasonable

accommodation is a change in the work

environment or in the way things are

customarily done that would enable an

individual with a disability to enjoy equal

employment opportunities. The three categories

of reasonable accommodation are:

* Modification or adjustments to a job

application process to permit an individual

with a disability to be considered for a job,

such as providing application forms in large

print or Braille;

* Modifications or adjustments necessary to

enable a qualified individual with a

disability to perform essential functions of

the job, such as providing sign language

interpreters; and

* Modifications or adjustments that enable

employees with disabilities to enjoy equal

benefits and privileges of employment, such

as removing physical barriers in an office or

cafeteria.

This schedule includes all requests for

reasonable accommodation and/or assistive

technology devices and services offered through

the agency or the Computer/Electronic

Accommodation Program (CAP) that are made

by or on behalf of applicants, current or former

16
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

employees. Also included are medical records,

supporting notes and documentation, as well as ' '

procedures and records related to processing,

deciding, implementing, and tracking requests for'

reasonable accommodation(s).

a. General Files

Agency-wide and departmental procedures

for receiving, processing, and appealing

requests for reasonable accommodation by

employees and applicants. Files may

include, but are not limited to, instructions,

directives, notices, forms, timetables and

guidelines for requesting, processing and*

approving requests and for appealing

decisions for reasonable accommodation.'

Also included are records notifying the

Equal Employment Opportunity

Commission (EEOC), the agency's

collective bargaining representative(s) and

the agency's Equal Employment

Opportunity office of the agency's

reasonable accommodation request and

processing procedures as well as

modifications to established procedures.

Destroy three years after

supercession or when no longer

needed for reference whichever is

later.

Record keeping system: Paper.

b. Employee Case Files

Individual employee files t'at are created,

received, and maintained by EEO reasonable

accommodation or diversity/disability

program or employee relations coordinators,

immediate supervisors, CAP administrator,

or HR specialists containing records of

requests for reasonable accommodation

and/or assistive technology devises and,

services through the agency or CAP that

have been requested for or by an employee.

Destroy three years after employee

separation from the agency or all

appeals are concluded whichever is

later.

17
Transmittal No. 12

July 2004

General Records Schedule I

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

This series also includes, but is not limited

to, request approvals and denials, notice of

procedures for informal dispute resolution or

appeal processes, forms, correspondence,

emails, records of oral conversations,

medical documentation, and notes.

Record keeping system: Paper.

[Note: These records are neither part of an employee's Official Personnel File (OPF) nor part of

a supervisor's unofficial personnel file.]

c. Supplemental Files

Records created, received, and maintained

by EEO reasonable accommodation or

diversity/disability program or employee

relation coordinators, while advising on,

implementing or appealing requests for or

from an individual employee for reasonable

accommodation. Some requests may involve

HR matters, including but not limited to

changes in duties, reassignments, leave

usage, and performance issues. Files may

include, but are not limited to, policy

guidance, resource information about

accommodation providers, forms, emails,

notes.

Destroy three years after end of fiscal

year in which accommodation is

decided or all appeals are concluded,

whichever is later.

K\>

Record keeping system: Paper.

Note: These records are neither part of an employee's Official Personnel File (OPF) nor part of a

supervisor's unofficial personnel file.]

d. Tracking System

Records and data created, received, and

maintained for purposes of tracking agency

compliance with Executive Order 13164 and

Delete/destroy three years after

compliance report is filed or

18
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

Equal Employment Opportunity

Commission (EEOC) guidance.

Record keeping system: Electronic.

25. Employment Opportunity (EEO)

Records.

a. Official Discrimination Complaint Case

Files.

Originating agency's file containing

complaints with related correspondence,

reports, exhibits, withdrawal notices, copies

of decisions, records of hearings and

meetings, and other records as described in

29 CFR 1613.222. Cases resolved within the

agency, by Equal Employment Opportunity

Commission, or by a U.S. Court.

Destroy 4 years after resolution of

case.

Record keeping system: ADAMS.

b. Copies of Complaint Case Files.

Duplicate case files or documents pertaining

to case files retained in Official

Discrimination Complaint Case Files.

Destroy 1 year after resolution of

case.

I Record keeping system: Paper.

c. Preliminary and Background Files.

Record keeping system: ADAMS.

(1) Background records not filed in the

Official Discrimination'Complaint Case

Files.

(2) Records documenting complaints that do'

not develop into Official Discrimination

Complaint Cases.

Destroy 2 years after final resolution

of case.

Destroy'when' 2 years old.

19
Transmittal No. 12

July 2004

General Records Schedule I

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

d. Compliance Records.

(1) Compliance Review Files.

Reviews, background documents, and

correspondence relating to contractor

employment practices.

Record keeping system: ADAMS.

Destroy when 7 years old.

(2) EEO Compliance Reports.

Record keeping system: ADAMS.

e. Employee Housing Requests.

Destroy when 3 years old.

Forms requesting agency assistance in

housing matters, such as rental or purchase.

Record keeping system: Paper.

f. Employment Statistics Files. [See note after

this item.]

Employment statistics relating to race and

sex.

Destroy when 1 year old.

<2

Destroy when 5 years old.

Record keeping system: Paper or EIRMS

[NOTE: Electronic master files and data bases created to supplement or replace the records

covered by this subitem are not authorized for disposal under the GRS. Such files must be

scheduled on an SF 115.]

g. EEO General Files.

General correspondence and copies of

regulations with related records pertaining to

the Civil Rights Act of 1964, the EEO Act

of 1972, and any pertinent later legislation,

Destroy when 3 years old, or when

superseded or obsolete, whichever is

applicable.

20
Transmittal No. 12

July 2004

ITEM

NO. DESCRIPTION OF RECORDS

and agency EEO Committee meeting

records, including minutes and reports.

Record keeping system: ADAMS

h. EEO Affirmative Action Plans (AAP).

(1) Agency copy of consolidated AAP(s).

Record keeping system: ADAMS.

(2) Agency feeder plan to consolidated

AAP(s).

General Records Schedule 1

AUTHORIZED DISPOSMON

Record keeping system: ADAMS.

(3) Report of on-site reviews of Affirmative

Action Programs.

Record keeping system: ADAMS.

(4) Agency copy of annual report ofAffirmative Action accomplishments.

Record keeping system: ADAMS.

26. Personnel Counseling Records.

Destroy 5 years from date of plan.

Destroy 5 years from date of feeder

plan or when administrative purposes

have been served, whichever is

sooner.

Destroy 5 years from date of report.

Destroy 5 years from date of report.

a. Counseling Files.

- I.. "..

Reports of interviews, analyses, and related

records.

Destroy 3 years after termination of

counseling.

Record keeping system: Paper.

21
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Alcohol and Drug Abuse Program.

Records created in planning, coordinating,

and directing an alcohol and drug abuse

program.

Record keeping system: Paper.

27. Alternative Dispute Resolution (ADR) Files.

Destroy when 3years old.

Alternative Dispute Resolution (ADR) is any

procedure, conducted by a neutral third party,

that is used to resolve issues in controversy,

including, but not limited to, conciliation,

facilitation, mediation, fact finding, minitrials,

arbitration and use of ombuds. The records

covered by this schedule relate to techniques

and processes used in an agency's ADR

program in resolving disputes with or between

its own employees.

\K)

[NOTE: This schedule does not apply to: 1. Administrative grievance files, 2. Adverse action

files, 3. Formal and informal equal employment opportunity proceedings, 4. Traditional EEO

counseling or other records included in the EEO file when a person chooses to go directly to

ADR, or 5. Private party claims or EEOC's involvement with federal sector claims of non-EEOC

employees against other federal agencies. These records are covered by other items in GRS 1.

This schedule does not apply to ADR records that are produced as part of an agency's primary

mission.]

a. General Files: General correspondence and

copies of statutes, regulations, meeting

minutes, reports, statistical tabulations,

evaluations of the ADR program, and other

records relating to the agency's overall ADR

program.

Destroy when 3 years old. Longer

retention is authorized if records are

needed for agency business.

Record keeping system: Paper.

b. Case Files: Records documenting ADR

proceedings. These files may include an

agreement to use ADR, documentation of

Destroy 3 years after settlement is

implemented or case is discontinued.

*22
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIP17ON OF RECORDS AUTHORIZED DISPOSMON

the settlement or discontinuance of the ADR

case, parties' written evaluations of the

process and/or the neutral third party

mediator, and related correspondence.

Record keeping system: Paper.

28. 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.

Record keeping system: Paper.

(1) Office negotiating agreement. Destroy 5 years after expiration

of agreement.

(2) Other offices. Destroy when superseded or

obsolete. '

b. Labor Arbitration General and Case

Files.

Correspondence, forms, and background

papers relating to labor arbitration cases.

Destroy 5 years after final

resolution of case.

Record keeping system: Paper.

29. Training Records.

EXCLUDING records of formally

established schools which'train agency

employees in specialized program areas,

23
'I

Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

such as law enforcement and national

defense. [See note after item 29b.]

Record keeping system: Paper or HRMS.

a. General file of agency-sponsored

training, EXCLUDING record copy of

manuals, syllabuses, textbooks, and other

training aids developed by the agency.

(1) Correspondence, memoranda,

agreements, authorizations, reports,

requirement reviews, plans, and

objectives relating to the

establishment and operation of

training courses and conferences.

(2) Background and working files.

Destroy when 5 years old or 5

years after completion of a

specific training program.

Destroy when 3 years old. )'J

b. Employee training.

Correspondence, memoranda, reports,

and other records relating to the

availability of training and employee

participation in training programs

sponsored by other government agencies

or non-Government institutions.

Destroy when 5 years old or

when superseded or obsolete,

whichever is sooner.

[NOTE: Records excluded from this item must be scheduled by submission of an SF 115 to

NARA.]

30. Administrative Grievance. Disciplinary. and

Adverse Action Files. [See note after item 30b.]

a. Administrative Grievance Files (5 CER

771).

Records relating to grievances raised by

agency employees, except EEO

complaints. These case files include

Destroy no sooner than 4 years

but no later than 7 years after

case is closed.

[In accordance with note below

NRC elected to destroy when 7

years old.]

24
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

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.

Record keeping system: Paper.

b. Adverse Action Files (5 CFR 752) and

Performance-Based Actions (5 CFR

432).

Case files and records related to adverse

actions and performance-based actions

(removal, suspension, reduction-ingrade, furlough) against employees. The

file includes a copy of the proposed

adverse action with supporting

documents; statements of witnesses;

employee's reply; hearing notices,

reports, and decisions; reversal of action;

and appeal records, EXCLUDING letters

of reprimand which are filed in the OPF.

Destroy no sooner than 4 years

but no later than 7 years after

case is closed. -

[In accordance with note below

NRC elected to destroy when 7

years old.]

Record keeping system: Paper.

[NOTE: OPM has determined that agencies may decide how long, within the range of 4 to 7

years, grievance and adverse action files need to be retained. To implement this authority,

each agency must select one fixed retention period, between 4 and 7 years, for the entire

series of its closed cases. Agencies are not authorized to use different retention periods for

individual cases. The agency should publish the.chosen retention period in the Privacy Act

notice for these records, the agency's records disposition manual, and any other issuance

dealing with the disposition of these records.]

31. Personal Injury Files.

Forms, reports, correspondence, and related

medical and investigatory records relating to

- on-the-job injuries, whether or not a claim

for compensation was made, EXCLUDING

Cut off on termination of

compensation or when deadline

for filing a claim has passed.

Destroy 3 years after cutoff.

25
Transmittal No. 12

July 2004

General Records Schedule I

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

copies filed in the Employee Medical Folder

and copies submitted to the Department of

Labor.

Record keeping system: Paper.

32. Merit Promotion Case Files.

Records relating to the promotion of an

individual that document qualification

standards, evaluation methods, selection

procedures, and evaluations of candidates.

Destroy after OPM audit or 2

years after the personnel action is

completed, whichever is sooner.

Record keeping system: Paper.

33. Examinine and Certification Records.

Delegated agreements and related records

created under the authority of 5 U.S.C. 1104

between the OPM and agencies, allowing for the

examination and certification of applicants for

employment.

Record keeping system: Paper.

a. Delegated agreements.

b. Correspondence concerning applications,

certification of eligibles, and all other

examining and recruiting operations. Such

correspondence, includes, but is not limited

to, correspondence from Congress, White

House, and the general public, and

correspondence regarding accommodations

for holding examinations and shipment of

test materials.

c. Correspondence or notices received from

eligibles indicating a change in name,

address, or availability.

Destroy 3 years after termination of

agreement.

Cut off annually. Destroy 1 year after

cutoff.

Destroy 90 days after updating the

appropriate record in the registry or

inventory.

26
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

d. Test material stock control.

Stock control records of examination test

material including running inventory of test

material in stock.

e. Application Record Card (OPM Form

5000A, or equivalent).

Destroy when test is superseded or

obsolete.

Cut off after examination. Destroy

no later than 90 days after cutoff.

f. Examination Announcement Case

Documentation Files.

Correspondence regarding examination

requirements, final version of

announcement(s) issued, subsequent

amendments to announcement(s), public

notice documentation, rating schedule,

job analysis documentation, record of

selective and quality rating factors, rating

procedures, transmutation tables, and

other documents associated with the job

announcement(s) and the development of

the register/inventory or case

examination.

g. Register or inventory of eligibles (OPM

Form 5001-C or equivalent, documenting

eligibility of an individual for Federal jobs).

h. Letters to applicants denying transfer of

eligibility (OPM Form 4896 or equivalent).

i. Test Answer Sheets.

Written test answer sheets for both eligibles

and ineligibles. Filed by date of processing.

j. Lost or Exposed Test Material Case Files.

Cut off after termination of related

register or inventory or after final

action is taken on the certificate

generated by case examining

procedures. Destroy 2 years after cut

off.

Destroy 2 years after the date on

which the register of inventory is

terminated.

Cut off annually. Destroy 1 year after

cutoff.

Destroy when 6 months old.

Cut off files annually. Destroy 5

years after cutoff.

27
Transmittal No. 12

July 2004

General Records Schedule 1

AUTHORIZED DISPOSITION

\J.

ITEM

NO. DESCRIPTION OF RECORDS

Records showing the circumstances of loss,

nature of the recovery action, and corrective

action required.

k. Cancelled and ineligible applications for

positions filled from a register or inventory.

Such documents include Optional form (OF)

612, resumes, supplemental forms, and

attachments, whether in hard copy or

electronic format.

Cut off annually. Destroy 1 year after

cutoff.

l. Eligible applications for positions filled from

a register or inventory, including OF 612,

resumes, supplemental forms, and

attachments, whether in hard copy or

electronic format.

(1) On active register or inventory.

(2) On inactive register or inventory.

m. Ineligible or incomplete applications for

positions filled by case examining. Such

documents include OF 612, resumes,

supplemental forms, whether in hard copy or

electronic format.

n. Eligible applications for positions filled by

case examining that either are not referred to

the hiring official or are returned to the

examining office by the hiring official. Such

documents include OF 612, resumes,

supplemental forms, and attachments,

whether in hard copy or electronic format.

Destroy 90 days after termination of

the register or inventory, (except for

those applications that may be

brought forward to a new register or

inventory, if any).

Cut off annually. Destroy 1 year after

cut off.

Cutoff annually. Destroy 2 years

after cutoff.

Cutoff annually. Destroy 2 years

after cutoff.

'K,'

28
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION -

o. Request for prior approval of personnel

actions taken by agencies on such matters as

promotion, transfer, reinstatement, or change

in status, submitted by SF 59, OPM 648, or

equivalent form.

p. Certificate Files, including SF 39, SF 39A,

or equivalent, and all papers upon which the

certification was based: the list of eligibles

screened for the vacancies, ratings assigned,

availability statements, the certificate of

eligibles that was issued to the selecting

official, the annotated certificate of eligibles

that was returned from the selecting official,

and other documentation material designated

by the examiner for retention.

q. Certification request control index.

Certificate control log system. Records of

information (e.g. receipt date, series, and

grade of position, duty station, etc.)

pertaining to requests for lists of eligibles

from a register or inventory.

r. Interagency Placement Program (IPP)

application and registration sheet.

s. DEP control cards, if maintained.

t. Reports of audits of delegated examining

operations.

Cut off annually. Destroy 1 year after

cutoff.

Cut off annually. Destroy 2 years

after cutoff.

Cut off annually. Destroy 2 years

after cutoff.

Destroy upon expiration of

employee's DEP eligibility.

Cut off annually. Destroy 2 years

after cut off.

Destroy 3 years after date of the

report.

34. Occupational In iurv and Illness Files.

Reports and logs (including Occupational

Safety and Health Administration (OSHA)

Forms 100, 101, 102, and 200, or

equivalents) maintained as prescribed in 29

CFR 1960 and OSHA pamphlet 2014 to

Destroy when 5 years old.
Transmittal No. 12

July 2004

General Records Schedule I

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

document all recordable occupational

injuries and illnesses for each establishment.

Record keeping system: Paper.

35. Denied Health Benefits Reguests Under

Spouse Equity. [See note after item 35b(2).]

Denied eligibility files consisting of

applications, court orders, denial letters,

appeal letters, and related papers.

Record keeping system: Paper.

a. Health benefits denied, not appealed. Destroy 3 years after denial.

b. Health benefits denied, appealed to OPM

for reconsideration.

(1) Appeal successful - benefits granted.

(2) Appeal unsuccessful - benefits

denied.

Create enrollment file in

accordance with Subchapter S17

of the FEHB Handbook.

Destroy 3 years after denial.

[NOTE: Pursuant to Subchapter S 17 of the FEHB Handbook enrollment files of spouses

eligible for benefits are transferred to OPM when former spouse cancels the enrollment,

when enrollment is terminated by the employing office, or when former spouse begins

receiving an annuity payment.]

36. Federal Workplace Drug Testing Program

Files. [See notes after item 36e(2).]

Drug testing program records created under

Executive Order 12564 and Public Law 100-

71, Section 503 (101 Stat. 468),

EXCLUDING consolidated statistical and

narrative reports concerning the operation of

agency programs, including annual reports to

30
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. - DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

Congress, as required by Pub. L. 100-71,

503(f).

This authorization does not apply to

oversight program records of the Department

of Health and Human Services, the Office of

Personnel Management, the Office of

Management and Budget, the Office of

National Drug Control Policy, and the

Department of Justice.

Record keeping system: Paper.

a. Drug test plans and procedures,

EXCLUDING documents that are filed

in record sets of formal issuances

(directives, procedures handbooks,

operating manuals, and the like.)

Agency copies of plans and procedures,

with related drafts, correspondence,

memoranda, and other records pertaining

to the development of procedures for

drug testing programs, including the

determination of testing incumbents in

designated positions.

Destroy when 3 years old or

when superseded or obsolete.

[See note (2) after item 36e(2).]

b. Employee acknowledgment of notice

forms.

Forms completed by employees whose

positions are designated sensitive for

drug testing purposes acknowledging that

they have received notice that they may

be tested.

Destroy when employee

separates from testing-designated

position. [See note (2) after item

36e(2).]

c. Selection/scheduling records.

Records relating t6 the selection of

specific employees/applicants for testing

and the scheduling of tests. Included are

Destroy when 3 years old. [See

note (2) after item 36e(2).]

31
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

lists of selectees, notification letters, and

testing schedules.

d. Records relating to the collection and

handling of specimens.

(1) "Record Books."

Bound books containing identifying

data on each specimen, recorded at

each collection site in the order in

which the specimens were collected.

Destroy 3 years after date of last

entry. [See note (2) after item

36e(2).]

(2) Chain of custody records.

Forms and other records used to

maintain control and accountability

of specimens from the point of

collection to the final disposition of

the specimen.

Destroy when 3 years old. [See

note (2) after item 36e(2).]

e. Test results.

Records documenting individual test

results, including reports of testing,

notifications of employees/applicants and

employing offices, and documents

relating to follow-up testing.

(1) Positive results.

(a) Employees. Destroy when employee leaves

the agency or when 3 years old,

whichever is later.

(b) Applicants not accepted for

employment.

(2) Negative results.

Destroy when 3 years old. [See

note (2) after item 36e(2).]

Destroy when 3 years old.

[NOTES: (1) Disciplinary action case files pertaining to actions taken against employees for

drug use, drug possession, failure to comply with drug testing procedures, and similar matters

32
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

are covered by GRS 1, item 30b, which authorizes destruction of records between 4 and 7

years after the case is closed. (2) Any records covered by items 36 a-e that are relevant to -

litigation or disciplinary actions should be disposed of no earlier than the related litigation or

adverse action case file(s).]

37. Donated Leave Protranr Case Files. ' -

Case files documenting the receipt and

donation of leave for medical emergencies,

including recipient applications, agency

approvals or denials, medical or physician

certifications, leave donation records or OF

630-A, supervisor/timekeeper approvals,

leave transfer records, payroll notification

records, and leave program termination

records.

Beginning in January 1994,

destroy 1 year after the end of the

year in'which the file is closed.

Record keeping system: Paper.

38. Wage Survey Files.

Wage survey reports and data, background

documents and 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

request for an authorization of specific rates

(excluding authorized wage schedules and

wage survey recapitulation sheets).

Destroy after completion of

second succeeding wage survey.

Record keeping system: Paper.

39. Retirement Assistance Files.

Correspondence, memoranda, annuity

estimates, and other records used to assist

Destroy when 1 year old.

33
Transmittal No. 12

July 2004

General Records Schedule 1

<2 ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

retiring employees or survivors claim

insurance or retirement benefits.

Record keeping system: Paper.

40. Handicapped Individuals Appointment Case

Files.

Case files containing position title and

description; fully executed SF 171; medical

examiner's report; a brief statement

explaining accommodation of impairment;

and other documents related to previous

appointment, certification, and/or acceptance

or refusal, created in accordance with FPM

chapter 306-11, subchapter 4-2.

Destroy 5 years following the

date of approval or disapproval

of each case.

Record keeping system: Paper.

41. Pay Comparability Records.

Records created under implementation of the

Federal Employees Pay Comparability Act

including written narratives and

computerized transaction registers

documenting use of retention, relocation and

recruitment bonuses, allowances, and

supervisory differentials, and case files

consisting of requests for and approval of

recruitment and relocation bonuses and

retention allowances.

Destroy 1 year after end of

employee's participation in the

program.

Record keeping system: Paper.

42. Alternate Worksite Records.

a. Approved requests or applications to

participate in an alternate worksite

program; agreements between the agency

and the employee; and records relating to

the safety of the worksite, the installation

Destroy 1 year after end of

employee's participation in the

program.

K)j

34
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

and use of equipment, hardware, and

software, and the use of secure, classified

information or data subject to the Privacy

Act.

Record keeping system: Paper.

b. Unapproved requests.

Record keeping system: Paper.

c. Forms and other records generated by the

agency or the participating employee

evaluating the alternate worksite

program.

Destroy 1 year after request is

rejected

Destroy when 1 year old, or when

no longer needed, whichever is

later.

Record keeping system: Paper.

43. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created

on electronic mail and word processing

systems and used solely to generate a

recordkeeping copy of the records covered

by the other items in this schedule. Also

includes electronic copies of records created

on electronic mail and word processing

systems that are maintained for updating,

revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further

administrative value after the

recordkeeping copy is made. Includes

copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories

on hard disk or network drives, and

copies on shared network drives that are

Destroy/delete within 180 days

after the recordkeeping copy has

been produced.

35
Transmittal No. 12

July 2004

General Records Schedule 1

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

used only to produce the recordkeeping

copy.

b. Copies used for dissemination, revision,

or updating that are maintained in

addition to the recordkeeping copy.

Destroy/delete when

dissemination, revision, or

updating is completed.

36
Transmittal No. 8 General Records Schedule 2

December 1998

GENERAL RECORDS SCHEDULE 2

Payrolling and Pay'Administration Records

Payrolling and pay administration records pertain to disbursements to civilian employees of

the Government for personal services. This schedule applies to the pay rec6rds that are'

common to all agencies, but it excludes (a) retirement records (Standard Form (SF) 2806 or

equivalent) that are maintained during employee duty and then transferred to the Office of

Personnel Management (OPM); (b) files maintained in agency space for audit by the General

Accounting Office (GAO) under 31 U.S.C. 3529(c); (c) records relating to tax withholding,

savings bonds, fidelity bonds, or other records held by the appropriate units of the Treasury

Department responsible for the related Government-wide programs; and (d) Office -of

Management and Budget files reflecting agency personnel needs and problems. The' National

Archives and Records Administration (NARA) must be consulted for any records created

prior to January 1, 1921 before applying these disposition instructions.

Documents required by the Comptroller General to be maintained for site audit are segments

of accountable officer's accounts. In no event may disposal be made of records pertaining to

accounts, claims, or demands involving the Government of the United States which have not

been settled or adjusted by the GAO unless the agency concerned has written approval of the

Comptroller General, as required by 44 U.S.C. 3309. Most Federal civilian pay accounts are

prepared and maintained in accordance with Title 6 - Pay, Leave, and Allowances and

incorporated in the GAO Policy and Procedures Manual for Guidance of Federal Agencies.

In the payrolling process different types of records are accumulated. Under Title 6 of the

GAO Manual these records are normally site-audited on a sample basis by GAO

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.

All payroll systems require the maintenance of a leave record used to submit data to the

payroll system. Information is posted to this record from more detailed records klept by time

and attendance clerks located throughout an agency. Depending on the type of system in

operation, this leave record may be a hard-copy input form or it may be a wholly electronic

input.

Other records incidental to the payrolling process are employee requests for tax withholding;

employee requests for Thrift Savings Plan deductions; savings bond records; and other

records not pertaining to individuals, but rather to the general administration of the payrolling

office and the payrolling function.

37
Transmittal No. 8

December 1998

General Records Schedule 2

A new item has been added to this schedule to authorize the destruction of electronic mail

and word processing records maintained by agencies in addition to the copy in the

recordkeeping system. This item covers electronic copies of electronic mail and word

processing records created and used solely to produce the recordkeeping copy, and electronic

copies of electronic mail and word processing records that are needed in addition to the

recordkeeping copy for dissemination, revision, or updating.

K>

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

PAYROLL

1. Individual Emplovee Pay Record.

a. Pay record for each employee as

maintained in an electronic data base.

This database may be a stand-alone

payroll system or part of a combined

personnel/payroll system.

Update elements and/or entire

record as required.

Record keeping system: Electronic.

b. Individual Pay Record, containing pay

data on each employee within an agency.

This record may be in paper or

microform but not in machine readable

form.

Transfer to National Personnel

Records Center. Destroy when 56

years old.

Record keeping system: Paper or

Microfilm.

2. Noncurrent Payroll Files.

Copy of noncurrent payroll data as

maintained by payroll service bureaus in

either microform or machine-readable form.

Destroy 15 years after close of

pay year in which generated.

Record keeping system: Paper, Microfilm,

or Electronic.

Items 3 through 5. Reserved.

38
Transmittal No. 8

December 1998

General Records Schedule 2

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

TIME AND ATTENDANCE

6. Leave Application Files.

SF 71 or equivalent plus any supporting

documentation of requests and approvals of

leave.

Record keeping system: Paper.

a. If employee initials time card or

equivalent.

b. If employee has not initialed time card or

equivalent.

7. Time and Attendance Source Records.'

Destroy at end of following pay

period.

Destroy after GAO audit or when

3 years old, whichever is sooner.

All time and attendance records upon which

leave input data is based, such as time or

sign-in sheets; time cards (such as Optional

Form (OF) 1130); flexitime records; leave

applications for jury and military duty; and

authorized premium pay or overtime,

maintained at duty post, upon which leave

input data is based. Records may be in either

machine-readable or paper form.

Record keeping system: Paper or Electronic.

8. Time and Attendance Innut Records.

Destroy after GAO audit or when

6 years old, whichever is sooner.

Records in either paper or machine readable

form used to input time and attendance data

into a payroll system, maintained either by

agency or payroll processor.

Destroy after GAO audit or when

6 years old, whichever is sooner.

Record keeping system: Paper or Electronic.

39
Transmittal No. 8

December 1998

General Records Schedule 2

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION KJev

9. Leave Record.

a. Record of employee leave, such as SF

1150, prepared upon transfer or

separation.

File on right side of the Official

Personnel Folder (OPF). See

GRS 1, item 1.

Record keeping system: Paper.

b. Creating agency copy, when maintained. Destroy when 3 years old.

Record keeping system: Paper.

Items 10 through 12. Reserved.

DEDUCTIONS, ALLOTMENTS, AND ELECTRONIC FUNDS TRANSFERS

13. Tax Files.

a. Employee withholding allowance

certificate such as Internal Revenue

Service (IRS) Form W4 and state

equivalents.

Destroy 4 years after superseded

or obsolete or upon separation of

employee.

<2

Record keeping system: Paper.

b. Agency copy of employee wages and tax

statements, such as IRS Form W-2 and

state equivalents, maintained by agency

or payroll processor.

Record keeping system: Paper.

Destroy when 4 years old.

c. Agency copy of employer reports of

Federal tax withheld, such as IRS Form

W-3, with related papers including

reports relating to income and social

security tax, and state equivalents,

maintained by agency or payroll

processor.

Record keeping system: Paper.

Destroy when 4 years old.

40
Transmittal No. 8

December 1998

General Records Schedule 2

ITEM

NO. DESCRIPTON OF RECORDS AUTHORIZED DISPOSITION

14. Savings Bond Purchase Files.

a; Authorization for Purchase and Request for

Change - U.S. Savings Bonds, SB 2152, or -'

equivalent.

Destroy when superseded or after

separation of employee. '

Record keeping system: Paper.

b. Bond registration files: issuing agent's

copies of bond registration stubs.

Destroy 4 months after date of

issuance of bond.

Record keeping system: Paper.

c. Bond receipt and transmittal files: receipts

for and transmittals of U.S. Savings Bonds.

Destroy 4 months after date of

issuance of bond.

Record keeping system: Paper.

15. Combined Federal Campaign and Other

Allotment Authorizations.

a. Authorization for individual allotment to the

Combined Federal Campaign.

Destroy after GAO audit or when 3

years old, whichever is sooner.

Record keeping system: Paper.

b. Other authorizations, such as union dues and

saving.

Destroy after GAO audit or when 3

years old, whichever is sooner.

Record keeping system: Paper.

16. Thrift Savings Plan Election Form.

Form TSP-i authorizing deduction of employee

contribution to the Thrift Savings Plan.

Destroy when superseded or after

separation of employee. ' ' - --

Record keeping system: Paper.

17. Direct Deposit Sign-up Form (SF 1199A). Destroy when superseded or after

separation.

Record keeping system: Paper.

41
Transmittal No. 8

December 1998

General Records Schedule 2

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

18. Levy and Garnishment Files.

Official Notice of Levy or Garnishment (IRS

Form 668A or equivalent), change slip, work

papers, correspondence, release and other forms,

and other records relating to charge against

retirement funds or attachment of salary for

payment of back income taxes or other debts of

Federal employees.

Destroy 3 years after garnishment is

terminated.

Record keeping system: Paper.

Items 19 through 21. Reserved.

PAYROLL ADMINISTRATION

22. Payroll System Reports.

a. Error reports, ticklers, system operation

reports.

Record keeping system: Paper.

b. Reports and data used for agency

workload and or personnel management

purposes.

Destroy when related actions are

completed or when no longer

needed, not to exceed 2 years.

Destroy when 2 years old.

<2

Record keeping system: Paper

c. Reports providing fiscal information on

agency payroll.

Destroy after GAO audit or when

3 years old, whichever is sooner.

Record keeping system: Paper.

23. Payroll Change Files.

Records used to direct a change or

correction of an individual pay transaction

whether created and maintained by paying

agency or payroll processor.

Record keeping system: Paper.

42
Transmittal No. 8

December 1998

General Records Schedule 2

ITEM

K> NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

a. Copies subject to GAO audit.

b. All other copies.

Destroy after GAO audit or when

3 years old, whichever is sooner.

... I . . . ..

Destroy 1 month after end of

related pay period.

24. Pavroll Correspondence.

Correspondence between agency and payroll

processor regarding general, routine

administrative issues that do not relate to

individual payments.

Destroy when 2 years old.

Record keeping system: Paper.

Items 25 through 27. Reserved

RETIREMENT

28. Retirement Files.

Reports, registers, or other control documents,

and other records relating to retirement, such as

SF 2807 or equivalent.

For CSRS/FERS related records,

destroy upon receipt of official OPM

acceptance of annual summary.

Record keeping system: Paper.

Items 29 through 30. Reserved.

GENERAL

31. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

43
Transmittal No. 8

December 1998

General Record Schedule 3

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

Destroy/delete when dissemination,

revision, or updating is completed.

44
Transmittal No. 8 General Record Schedule 3

December 1998

GENERAL RECORDS SCHEDULE 3

Procurement, Supply, and Grant Records

Agency procurement and supply records document the acquisition of goods and non-personal

services, controlling the volume of stock on hand, reporting procurement needs, and related

supply matters which are part of daily procurement operations. The basic procurement files

reflect a considerable range of procedure, from simple, small purchases to complicated prime

contractor and subcontractor operations.' '.

Any records created prior to 1895 must first be offered to the National Archives and Records

Administration (NARA) for appraisal before applying the disposal instructions. Frequently,

copies of procurement papers become integral parts of the other files in the agency, such as.

project files of various types or general subject files pertaining to program operations; such

copies are not covered by this schedule because they cannot be considered and evaluated

separately from the files of which they are a part.

The General Accounting Office (GAO) 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.

When a claim is filed by or against the Government, records relating to the claim should be

retained without regard to the otherwise applicable records retention schedules which would have

authorized destruction of the records prior to the time when the claim is finally resolved unless

the agency has received written approval from the GAO (44 U.S.C. Section 3309 and 62 Comp.

Gen. 42 (1982)). A claim is finally resolved: (1) when it is disallowed and the time for'appealing

the denial or instituting suit on the claim has expired; or (2) when it is allowed and paid or the

amount offered in compromise is accepted and paid; or (3) when the amount found due and

owing proves uncollectible because time limits for collecting the indebtedness through legal

proceedings or by way of setoff have expired.

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, the initiating requisition, invoices, and

correspondence. Other copies of these documents, made for expediting and other administrative

45
Transmittal No. 8 General Record Schedule 3

December 1998

purposes, are scattered throughout the inspection, shipping, expediting, and other units of the

agency procurement organization.

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. They also include 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 confirmed prior

to the disposal of 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 includes some of the common 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 the procurement and

supply records.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

46
Transmittal No. 8

December 1998

General Records Schedule 3

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSMTION

1. Real Property Files. [See note after item lb.]

Title papers documenting the acquisition of real

property (by purchase, condemnation, donation,

exchange, or otherwise), excluding records relating

to property acquired prior to January 1, 1921.

Record keeping system: NA.

a. Records relating to property acquired after

December 31, 1920, other than abstract or

certificate of title.

b. Abstract or certificate of title.

Dispose 10 years after

unconditional sale or release by

the Government of conditions,

restrictions, mortgages or other

liens.

Transfer to purchaser after

unconditional sale or release by

the Government of conditions,

restrictions, mortgages, or other

liens.

[NOTE: Records relating to property acquired prior to January 1, 1921, are not covered by the

GRS and must be scheduled by submission of a Standard Form (SF) 115 to NARA.]

2. General Correspondence Files.

Correspondence files of operating procurement

units concerning internal operation and

administration matters not covered elsewhere in

'this schedule.' - - ' -' '

Destroy when 2 years old.

Record keeping system: ADAMS.

3. Routine Procurement Files. [See note after

item 3d.]

Contract, requisition, purchase order, lease, and

bond and surety records, including

correspondence and related papers pertaining to

award, administration, receipt, inspecti6h'and

47
Transmittal No. 8

December 1998

General Records Schedule 3

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

payment (other than those covered in items I

and 12). [See note after item 3a(2)(b).]

Record keeping system: ADAMS or Paper or

Electronic.

a. Procurement or purchase organization

copy, and related papers.

(1) Transaction dated on or after July 3,

1995 (the effective date of the Federal

Acquisition Regulations (FAR) rule

defining "simplified acquisition

threshold").

(a) Transactions that exceed the

simplified acquisition threshold and

all construction contracts exceeding

$2,000.

(b) Transactions at or below the

simplified acquisition threshold and

all construction contracts at or below

$2,000.

Destroy 6 years and 3 months after

final payment.

Destroy 3 years after, final payment.

(2) Transactions dated earlier than July 3,

1995.

(a) Transactions that utilize other than

small purchase procedures and all

construction contracts exceeding

$2,000.

(b) Transactions that utilize small

purchase procedures and all

construction contracts under $2,000.

Destroy 6 years and 3 months after

final payment.

Destroy 3 years after final payment.

[NOTE: Given the complexities of the rules on procurement, agencies should involve

procurement officials when deciding which of the subitems to apply to a particular series of

records.]

48
Transmittal No. 8

December 1998

General Records Schedule 3

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

c. Other copies of records described above

used by component elements of a

procurement office for administrative

purposes.

d. Data Submitted to the Federal Procurement

Data System (FPDS). Electronic data file

maintained by fiscal year, containing

unclassified records of all procurements,

other than small purchases, and consisting of

information required under 48 CFR 4.601

for transfer to the FPDS.

Destroy upon termination or

completion.

Destroy or delete when 5 years old.

[NOTE: Unique procurement files are not covered by this schedule. With the standardization of

the Government-wide procurement process under the FAR, such files are unlikely to exist.

However, if an agency believes that a procurement file that has long-term research value, the

records officer should submit an SF 115.]

4. Supplv 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).

Record keeping system: Paper.

a. Copies received from other units for internal

purposes or for transmission to staff

agencies.

b. Copies in other reporting units and related

working documents.

Destroy.when 2 years old.

Destroy when 1 year old.

,.

49
Transmittal No. 8

December 1998

General Records Schedule 3

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION <2j

5. Solicited and Unsolicited Bids and Proposals

Files.

a. Successful bids and proposals.

Record keeping system: Paper.

Destroy with related contract case

files (see item 3 of this schedule).

b. Solicited and unsolicited unsuccessful bids

and proposals.

Record keeping system: ADAMS or Paper.

(1) Relating to small purchases as defined

in the Federal Acquisition Regulation,

48 CFR Part 13.

Destroy 1 year after date of award or

final payment, whichever is later.

(2) Relating to transactions above the

small purchase limitations in 48 CFR

Part 13.

(a) When filed separately from contract

case files.

(b) When filed with contract case files.

Destroy when related contract is

completed.

Destroy with related contract case

file (see item 3 of this schedule).

e. Canceled solicitations files.

Record keeping system: Paper.

(1) Formal solicitations of offers to provide

products or services (e.g., Invitations for

Bids, Requests for Proposals, Requests

for Quotations) which were canceled

prior to award of a contract. The files

include presolicitation documentation on

the requirement, any offers that were

opened prior to the cancellation,

documentation on any Government

action up to the time of cancellation, and

evidence of the cancellation.

(2) Unopened bids.

Destroy 5 years after date of

cancellation.

Return to bidder.

50
Transmittal No. 8

December 1998

General Records Schedule 3

By ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

d. Lists or card files of acceptable bidders. Destroy when superseded or

obsolete.

Record keeping system: NA.

6. Public Printer Files.

Records relating to requisitions on the Printer,

and all supporting papers.

Record keeping system: Paper.

a. Printing procurement unit copy of

requisition, invoice, specifications, and

related papers.

b. Accounting copy of requisition.

Destroy 3 years after completion or

cancellation of requisition.

Destroy 3 years after period covered

by related account.

7. Nonpersonal Requisition File.

Requisitions for nonpersonal services, such as

duplicating, laundry, binding, and other services

(excluding records associated with accountable

officers' accounts (Schedule 6)).

Destroy when 1 year old.

Record keeping system: Paper.

8. Inventory Requisition File.

Requisitions for supplies and equipment for

current inventory.

Record keeping system: Paper.

a. Stockroom copy.

b. All other copies.

Destroy 2 years after completion or

cancellation of requisition.

Destroy when 6 months old.

51
Transmittal No. 8

December 1998

General Records Schedule 3

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION K>~

9. Inventory Files.

a. Inventory lists. Destroy 2 years from date of list.

Record keeping system: Paper.

b. Inventory cards.

Record keeping system: Paper.

c. Report of survey files and other papers used

as evidence for adjustment of inventory

records, not otherwise covered in the GRS.

Destroy 2 years after discontinuance

of item, 2 years after stock balance is

transferred to new card or recorded

under a new classification, or 2 years

after equipment is removed from

agency control.

Destroy 2 years after date of survey

action or date of posting medium.

Record keeping system: Paper.

10. Telephone Records.

Telephone statements and toll slips.

Record keeping system: NA.

Destroy 3 years after period covered

by related account.

11. Contractors' Payroll Files.

Contractors' payrolls (construction contracts)

submitted in accordance with Department of

Labor regulations, with related certifications,

antikickback affidavits, and other related papers.

Destroy 3 years after date of

completion of contract unless

contract performance is subject of

enforcement action on such date.

Record keeping system: Paper.

12. Tax Exemption Files.

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

by related account.

Record keeping system: Paper.

52
Transmittal No. 8

December 1998

General Records Schedule 3

K. I1TEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

13. Unsuccessful Grant Application Files.

Applications, correspondence, and other records

relating to unsuccessful (rejected or withdrawn)

applications.

Destroy 3 years after rejection or

withdrawal.

Record keeping system: Paper.

14. Grant Administrative Files. [See note after

this item.]

Correspondence and/or subject files relating to

routine operations and daily activities in

administration of the grant program.

Destroy when 2 years old.

Record keeping system: Paper.

[NOTE: Grant case files, which include accepted applications among many other documents,

substantive correspondence and subject files relating to grant programs, and final product files,

cannot be scheduled in the GRS. The types and significance of grant programs and the contents

of the files vary, so no single disposition can be applied to the files on a Government-wide basis.

To schedule these records, agencies must submit an SF 115 to NARA.]

15. Contract Appeals Case Files.

Contract appeals case files arising under the

Contracts Dispute Act, consisting of notices of

appeal and acknowledgments thereof;

correspondence between parties; copies of,-.

contracts, plans, specifications, exhibits, change

orders, and amendments; transcripts of hearings;

documents received from parties concerned;

final decisions; and all other related papers.

Record keeping system: Paper.

a. Records created prior to October 1, 1979.;

b. Records created after September 30, 1979.

Destroy 6 years, 3 months after final

action on decision.

Destroy 1 year after final action on

decision.

53
Transmittal No. 8

December 1998

General Records Schedule 3

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

16. Contractor's Statement of Contingent or

Other Fees.

SF 119, Statement of Contingent or Other Fees,

or statement in lieu of the form, filed separately

from the contract case file and maintained for

enforcement or report purposes.

Destroy when superseded or

obsolete.

Record keeping system: Paper.

17. Small and Disadvantaged Business

Utilization Files.

Correspondence, reports, studies, goal

statements, and other records relating to the

small and disadvantaged business utilization

program, as required by Pub.L. 95-507.

Destroy when 3 years old.

Record keeping system: ADAMS.

18. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items

in this schedule. Also includes electronic

copies of records created on electronic mail and

word processing systems that are maintained

for updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

54
Transmittal No. 8

December 1998

General Records Schedule 3

iTEM

K.>~ NO. DESCRIPTION OF RECORDS -- I. -AUTHORIZED DISPOSMON

b. Copies used for dissemination, revision, or -

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete when dissemination,

revision, or updating is completed.

55
Transmittal No. 8 General Records Schedule 4

December 1998

GENERAL RECORDS SCHEDULE 4 2

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 (GSA) 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 GSA and

predecessor agencies, to records in the Department of the Interior relating to the public domain,

and to records relating to overseas property under Department of State control. Any surplus

property transaction files dated prior to the establishment of the former Procurement Division of

the Department of Treasury in 1933 must be offered to the National Archives and Records

Administration (NARA) for appraisal before applying these disposition instructions.

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

involving the Government of the United States which have not been settled or adjusted by the

General Accounting Office without written approval of the Comptroller General, as required by

44 U.S.C. 3309.

Three forms are prescribed for use by an agency selling surplus personal property under GSA

regulations:

a. Standard Form (SF) 114, Sale of Government Property, Invitation, Bid, and

Acceptance. Related papers that are maintained by the agencies, usually in case fashion,

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

b. SF 120, Report of ExcessiPersonal Property, and SF 121, Quarterly Report of

Utilization and Disposal of Excess and Surplus Personal Property. Agencies use SF 120

to report excess personal property to the regional GSA offices, which initiate screening

action. The quarterly reports are submitted to the Office of Property Management, Office

of Federal Supply and Services, GSA, which consolidates the data.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records

created and used solely to produce the recordkeeping copy, and electronic copies of electronic

mail and word processing records that are needed in addition to the recordkeeping copy for

dissemination, revision, or updating.

56
Transmittal No. 8

December 1998

General Records Schedule 4

K IrEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Propertv Disposal Correspondence Files.

Correspondence files maintained by units ' ' '

responsible for property disposal, pertaining to

their operation and administration, and not

otherwise provided for.

Destroy when 2 years old.

Record keeping system: ADAMS.

2. Excess Personal Propertv Reports. Destroy when 3 years old.

Record keeping system: Paper.

3. Surplus Property Case Files.

Case files on sales of surplus personal

property, comprising invitations, bids,

acceptances, lists of materials, evidence of

sales, and related correspondence.

Record keeping system: NA.

a. Transactions of more than $25,000.

b. Transactions of $25,000 or less.

Destroy 6 years after final payment.

Destroy 3 years after final payment.

4. Real Property Files. [See note after this item.]

Records necessary or convenient for the use of

real property sold, donated, or traded to non--

Federal ownership, including, if pertinent as

determined by the releasing agency, site maps

and surveys, plot plans, architect's sketches,

working diagrams, preliminary drawings,

blueprints, master tracings, utility outlet plans,

equipment location plans, specifications,

construction progress photographs, inspection

reports, building and equipment management

and maintenance records, allowance lists, and

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

Transfer to new custodian upon

completion of sale, trade, or donation

proceedings, or acceptance of

purchase money mortgage.

57
Transmittal No. 8

December 1998

General Records Schedule 4

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION '< 2

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 discontinuance of its use

for historical purposes.

Record keeping system: Paper.

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

property reports are not covered by the GRS because some of these files may have long-term

legal value. Agencies must schedule these series by submitting an SF 115 to NARA.]

5. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

<2

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete when dissemination,

revision, or updating is completed.

58
Transmittal No. 8 General Records Schedule 5

December 1998

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 (OMB)

and to the Congress; in defending its requests for funds before both bodies; and after enactment

of an appropriation bill, in ensuring that the funds are used in such a way as to suffice for the

appropriate period of time. The funds are made available to the agency by OMB, usually in

quarterly portions, and the agencies must indicate and justify regularly to OMB their proposed

rate of expenditure. After the funds have been made available to the agency, its own controls

over the funds are in its expenditure accounting records (Schedule 7), and detailed information

relative to expenditures is contained in the accountable officers' accounts (Schedule 6).

This schedule applies to certain records of budget preparation and apportionment in all agencies,

but does not apply to records of OMB and the Department of Treasury 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 Administration (NARA) 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 consolidated submissions prepared at the bureau or

equivalent level and forwarded to the agency budget officer, and the records at the highest level

pertaining to the budget submission for the entire agency.

The nature of the budget presentation itself is standardized by OMB which prescribes format and

procedures for all Federal agencies. However, the internal reports and papers which support the

budget and are used in its preparation vary from agency to agency. The budget submission, a

record copy of which is usually designated by the agency, is a duplicate of the set of papers

submitted to OMB. These include summary statements of appropriations and expenditures,

statements of contract authorizations, and statements of receipts as well as narrative summary

statements which highlight the principal features of the agency requests and immediately related

supporting documents. The narrative presents the policies and the programs of the agency which

the budgetary requests are to support. In addition to the summaries, the submission includes

schedules of obligations and statements pertaining to each type of appropriation and fund under

which the individual agency operates. Finally, OMB requires additional supporting data

pertaining to objects of expenditure, particular agency programs,-and figures based on the cost of

various type of service operations, such as personnel and payrolling activities.

59
Transmittal No. 8

December 1998

General Records Schedule 5

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Budget Correspondence Files.

Correspondence files in formally organized

budget offices pertaining to routine

administration, internal procedures, and other

matters not covered elsewhere in this schedule,

EXCLUDING files relating to agency policy

and procedure maintained in formally organized

budget offices.

Record keeping system: Paper.

2. Budget Back2round Records.

Destroy when 2 years old.

<2

Cost statements, rough data and similar

materials accumulated in the preparation of

annual budget estimates, including

duplicates of budget estimates and

justifications and related appropriation

language sheets, narrative statements, and

related schedules; and originating offices'

copies of reports submitted to budget

offices.

Destroy 1 year after the close of the

fiscal year covered by the budget.

Record keeping system: Paper.

3. Budget Reports Files.

Periodic reports on the status of

appropriation accounts and apportionment.

a. Annual report (end of fiscal year). Destroy when 5 years old.

Record keeping system: ADAMS.

K)

60
Transmittal No. 8

December 1998

General Records Schedule 5

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. All other reports.

Record keeping system: Paper.

Destroy 3 years after the end of the

fiscal year.

4. Budget Apportionment Files. [See note after'

this item.l

Apportionment and reapportionment

schedules, proposing quarterly obligations

under each authorized appropriation.

Destroy 2 years after the close of the

fiscal year.

Record keeping system: ADAMS or Paper.

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

-Budget office correspondence or subject files documenting budget policy and procedures and

reflecting policy decisions affecting expenditures for agency programs.

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

equivalent) or higher organizational level. Depending on agency recordkeeping practices and

patterns of documentation, these records may have archival value and must be scheduled by

submitting a Standard Form (SF) 115 to NARA.]

S. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created

on electronic mail and word processing

systems and used solely to generate a

recordkeeping copy of the records covered

by the other items in this schedule. Also

includes electronic copies of records created

on electronic mail and word processing

systems that are maintained for updating,

revision, or dissemination.

Record keeping system: NA

a. Copies that have no further

administrative value after the

recordkeeping copy is made.

Includes copies maintained by

individuals in personal files, personal

electronic mail directories, or other

personal directories on hard disk or

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

61
Transmittal No. 8

December 1998

General Records Schedule 5

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

network drives, and copies on shared

network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete when dissemination,

revision, or updating is completed.

'Jo

62
Transmittal No. 8 General Records Schedule 6

December 1998

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 Accouniting Office (GAO). This schedule does not apply to

the copies of schedules and related papers held by the Chief Disbursing Officer of the Treasury.

Any records created prior to January 1, 1921, must be offered to the National Archives and

Records Administration (NARA) before applying these disposition instructions.

Accountable officers' accounts include record copies of all records concerned with the accounting

for, availability, and status of public funds. There are several types of "accountable officers,"

such as: (a) the collecting officer, who receives monies owed to the Federal Government and

ensures that it is credited to the proper account; (b) the disbursing officer who is responsible for

providing documentation to GAO, since he/she accomplishes the actual payment of public

monies to proper Federal creditors; and (c) the certifying officer, whose signature on a summary

attests to the authenticity of vouchers listed on the schedule.

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

of the Treasury, who heads the Division of Disbursement of the Bureau of Government Financial

Operations within the Department of Treasury. Since July 1949, disbursements have been made

for most agencies on the basis of certified schedules, with the detailed vouchers transferred to

GAO from the agency or held in agency space if a site audit was involved. This procedure was

extended and confirmed by GAO General Regulation No. 115, issued January 29, 1952, which

promulgated a standard form voucher and schedule of payments (Standard Form (SF) 1166 and

SF 1167) for use by all agencies, effective July 1,-1952, and formally eliminated the transfer of

vouchers of the Chief Disbursing Officer of the Treasury.

This schedule includes records held for onsite audit by GAO, as described in item la below.

Under onsite audit, vouchers, contracts, schedules, statements of transactions and accountability,

and other related supporting documents are retained in agency space for GAO auditors. Section 5

of the Post Office Department Financial Control Act of 1950 and Section 117(b) of the Budget

and Accounting Procedures Act of 1950 (whenever the Comptroller General determines that an

audit shall be conducted at the site) require agencies to retain these records, which are under

GAO cognizance. GAO has given general authority to the agencies, if the records are no longer

required for administrative purposes, to transfer all audited records and any unaudited records

more than 1 full fiscal year old to Federal records centers. However, to transfer unaudited

accountable officers' accounts less than one year old, permission must be obtained from the

Director, Records Management, GAO. Because the records previously transferred to GAO 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 that deposit funds into the Treasury, and (3) documents that

provide accountable officers with status reports on funds in their custody, such as the proofs of

63
Transmittal No. 8 General Records Schedule 6

December 1998

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 Department of Treasury are not

covered by this schedule and are provided for in separate schedules.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Accountable Officers' Files. [See note after

item lb.]

a. Original or ribbon copy of accountable Destroy 6 years and 3 months after

officers' accounts maintained in the agency period covered by account.

for site audit by GAO auditors, consisting of

statements of transactions, statements of

accountability, collection schedules, .J

collection vouchers, disbursement schedules,

disbursement vouchers, and all other

schedules and vouchers or documents used

as schedules or vouchers, exclusive of

commercial passenger transportation and

freight records and payroll records,

EXCLUDING accounts and supporting

documents pertaining to American Indians.

If an agency is operating under an integrated

accounting system approved by GAO,

certain required documents supporting

vouchers and/or schedules are included in

the site audit records. These records

document only the basic financial

transaction, money received and money paid

out or deposited in the course of operating

the agency. All copies except the certified

payment or collection copy, usually the

original or ribbon copy, and all additional or

supporting documentation not involved in an

64
Transmittal No. 8 General Records Schedule 6

December 1998

rITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSiTION

integrated system are covered by succeeding

items in this schedule.

Record keeping system: Paper (Except NRC

Form 577 is filed in ADAMS)

Site audit records include, but are not

limited to, the Standard and Optional Forms

listed below. Also included are equivalent

agency forms that document the basic

financial transaction as described above.

SF 215 Deposit Ticket

SF 224 Statement of Transactions;

SF 1012 Travel Voucher

SF 1034 Public Voucher for Purchases and Services Other Than Personal

SF 1036 Statement of Certificate and Award

SF 1038 Advance of Funds Application and Account

SF 1047 Public Voucher for Refunds

SF 1069 Voucher for Allowance at Foreign Posts of Duty

SF 1080 Voucher for Transfer Between Appropriations and/or Funds

SF 1081 Voucher and Schedule of Withdrawals and Credits

SF 1096 Schedule of Voucher Deductions

SF 1097 Voucher and Schedule to Effect Correction of Errors

SF 1098 Schedule of Canceled Checks

SF 1113 Public Voucher for Transportation Charges

SF 1129 Reimbursement Voucher

SF 1143 Advertising Order

SF 1145 Voucher for Payment Under Federal Tort Claims Act

SF 1154 Public Voucher for Unpaid Compensation Due a Deceased Civilian Employee

SF 1156 Public Voucher for Fees and Mileage

SF 1164 Claim for Reimbursement for Expenditures on Official Business

SF 1166 Voucher and Schedule of Payments

SF 1185 Schedule of Undeliverable Checks for Credit to Government Agencies

SF 1218 Statement of Accountability (Foreign Service Account)

SF 1219 Statement of Accountability

SF 1220 Statement of Transactions According to Appropriation, Funds, and Receipt

Accounts

SF 1221 Statement of Transactions According to Appropriation, Funds, and Receipt

Accounts (Foreign Service Account)

OF 1114 Bill of Collection

OF 1114A Official Receipt

OF 11 14B Collection Voucher

65
Transmittal No. 8

December 1998

General Records Schedule 6

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION '<2

b. Memorandum copies of accountable

officers' returns including statements of

transactions and accountability, all

supporting vouchers, schedules, and related

documents not covered elsewhere in this

schedule, EXCLUDING freight records

covered by Schedule 9 and payroll records

covered by Schedule 2.

Destroy when 1 year old.

Record keeping system: Paper.

[NOTE: Accounts and supporting documents pertaining to American Indians are not authorized

for disposal. Such records must be retained indefinitely since they may be needed in litigation

involving the Government's role as trustee of property held by the Government and managed for

the benefit of Indians.]

2. GAO Exceptions Files.

GAO notices of exceptions, such as SF

1100, formal or informal, and related

correspondence.

Destroy 1 year after exception has

been reported as cleared by GAO.

Record keeping system: Paper.

3. Certificates Settlement Files.

Copies of certificates and settlement of

accounts of accountable officers, statements

of differences, and related records.

a. Certificates covering closed account

settlements, supplemental settlements, and

final balance settlements.

Destroy 2 years after date of

settlement.

Record keeping system: Paper.

b. Certificates covering period settlements. Destroy when subsequent certificate

of settlement is received.

Record keeping system: Paper.

66
Transmittal No. 8

December 1998

General Records Schedule 6

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSiTION

4. General Fund Files.

* Records relating to availability, collection,

custody, and deposit of funds including

appropriation warrants and certificates of

deposit, other than those records covered by

Item 1 of this schedule.

Destroy when 3 years old.

Record keeping system: Paper.

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.

Record keeping system: Paper.

Destroy when 2 years old.

b. All other files. Destroy when 3 years old.

Record keeping system: Paper.

6. Federal Personnel Surety Bond Files.

a. Official copies of bond and attached powers

of attorney.

(1) Bonds purchased before January 1, 1956.

Record keeping system: NA. -

(2) Bonds purchased after December 31,

1955.

Destroy 15 years after bond becomes

inactive.

Destroy 15 years after end of bond

premium period.

Record keeping system: NA.

67
Transmittal No. 8

December 1998

General Records Schedule 6

ITEM

NO. DESCRIPTION OF RECORDS

b. Other bond files including other copies of

bonds and related documents.

Record keeping system: NA.

AUTHORIZED DISPOSITION 'K>

Destroy when bond becomes inactive

or after the end of the bond premium

period.

7. Gasoline Sales Tickets.

Hard copies of sales tickets filed in support

of paid vouchers for credit card purchases of

gasoline.

Destroy after GAO audit or when 3

years old, whichever is sooner.

Record keeping system: NA.

8. Telephone Toll Tickets.

Originals and copies of toll tickets filed in

support of telephone toll call payments.

Destroy after GAO audit or when 3

years old, whichever is sooner.

Record keeping system: NA.

9. Telegrams.

Originals and copies of telegrams filed in

support of telegraph bills.

Destroy after GAO audit or when 3

years old, whichever is sooner.

Record keeping system: NA.

10. Administrative Claims Files.

a. Claims against the United States. Records

relating to claims against the United States

for moneys that have been administratively

(1) disallowed in full or (2) allowed in full

or in part, and final payment of the amount

awarded, EXCLUDING claims covered by

subitem c. below.

Destroy when 6 years, 3 months old.

Record keeping system: Paper.

b. Claims by the United States subject to the

Federal Claims Collection Standards and 28

U.S.C. 2415 or31 U.S.C. 3716(c)(1).

68
Transmittal No. 8

December 1998

General Records Schedule 6

ITEM

111 NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

Records relating to claims for money or

property that were administratively

determined to be due and owing to the

United States and that are subject to the

Federal Claims Collection Standards (4 CFR

Chapter II), EXCLUDING claims covered

under subitem c. below.

(1) Claims that were paid in full orby

means of a compromise agreement

pursuant to 4 CFR Part 103.

Destroy when 6 years, 3 months old.

Record keeping system: Paper.

(2) Claims for which collection action has

been terminated under 4 CFR Part 104.

(a) Claims for which the Government's'

right to collect was not extended.

Destroy 10 years, 3 months after the

year in which the Government's right

to collect first accrued.

Record keeping system: Paper.

(b) Claims for which the Government is

entitled (per 28 U.S.C. 2415) to

additional time to initiate legal' '

action.

Destroy 3 months after the end of the

extended period.

Record keeping system: Paper. ' '

(3) Claims that the agency

administratively determines are not- "

owed to the United States after ' '

collection action was initiated.

'Destroy when 6 years, 3 months old.

Record keeping system: Paper.

c. Claims files that are affected by a court

order or that are subject to litigation

proceedings.

Record keeping system: Paper.

Destroy when the court order is

lifted, litigation is concluded, or

when 6 years, 3 months old,'

whichever is later.

69
Transmittal No. 8

December 1998

General Records Schedule 6

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION <2

11. Waiver of Claims Files.

Records relating to waiver of claims of the

United States against a person arising out of

an erroneous payment of pay allowances,

travel expenses, or relocation expenses to an

employee of an agency or a member or

former member of the uniformed services or

the National Guard, including bills of

collection, requests for waiver of claim,

investigative reports, decisions by agency

and/or GAO approving or denying the

waiver, and related records.

Record keeping system: Paper.

a. Approved waivers (agencies may approve

amounts not aggregating to more than $500

or GAO may approve any amount).

Destroy 6 years, 3 months after the

close of the fiscal year in which the

waiver was approved.

b. Denied waivers. Destroy with related claims files in

accordance with items 10b and 10c

of this schedule.

12. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

70
Transmittal No. 8

December 1998

General Records Schedule 6

ITEM

NO. DESCRIPTION OF RECORDS . AUTHORIZED DISPOSITION

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete when dissemination,

revision, or updating is completed.

- 1 ,,. .

71
Transmittal No. 8 General Records Schedule 7

December 1998

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 nonappropriated, are

spent after allotment by the Office of Management and Budget (OMB), and the sources and

nature of any receipts. The key records are the general ledger accounts, which constitute, as a

unit, the heart of the agency accounting system. These ledgers summarize the financial status and

financial transactions of the agency, showing the current status of funds available for

expenditure, the amounts due and collected for the account of the Government, accumulated

expenditures and liabilities, and the values of stock, equipment, and other property in agency

custody. They are controls that serve not only as central fiscal records, but also as a primary

source of data for top management concerned with agency solvency, expenditures, and program

costs.

The general ledgers are subdivided into arbitrarily created account titles, which are based on

programs, projects, costs, and funds. Supporting them are a group of subsidiary ledgers and

documents further detailing the information in the general ledgers or serving as posting media to

the ledgers themselves. To the extent that they reflect appropriation expenditures, 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

overexpenditure by operating officials. The allotment ledgers are general controls over

expenditures, and they, in turn, summarize and are supported by more detailed controls that

normally take the form of project orjob orders that authorize exact and specific expenditures.

The sources of data that are posted to the ledger files are somewhat diverse, but they fall into two

general groups:

a. Copies of various obligation or expenditure documents, such as vouchers and schedules,

that flow through the ledger unit for posting.

b. Journal vouchers and similar internal control documents created to authorize and convey

entries to the general ledger.

As the centralized fiscal record, the general ledgers ultimately summarize stores, plant, and cost

accounting data, which are treated in a separate schedule, but these are only several aspects of the

total ledger accounts. Consequently, the ledgers are the source of the data included in the basic

apportionment reports to the OMB and the Department of Treasury, and overall reports of agency

fiscal condition which may be required by the General Accounting Office (GAO) (Schedules 6

and 8). The adequacy for audit purposes of the general ledger accounts is normally considered by

GAO auditors to be indicative of the agency's entire accounting system and the reliability of its

financial data. This schedule does not apply to such records maintained on a Government-wide

basis by the Department of Treasury and the OMB, or to those formerly maintained by the GAO.

72
Transmittal No. 8

December 1998

General Records Schedule 7

Any records created prior to January 1, 1921, must be offered to the National Archives and

Records Administration (NARA) before applying these disposition instructions.

When a claim is filed by or against the Government, records relating to the claim should be

retained without regard to the otherwise applicable records retention schedules that would have

authorized destruction of the records prior to the time when the claim is finally' resolved, unless

the agency has received written approval from the GAO (44 U.S.C. Section 3309 and 62 Comp.

Gen. 42 (1982)). A claim is finally resolved: (1) when it is disallowed and the time for appealing

the denial or instituting suit on the claim has expired; or (2) when it is allowed and paid or the

amount offered in compromise is accepted and paid; or (3) when the amount found due'and

owing proves uncollectible because time limits for collecting the indebtedness through legal

proceedings or by way of setoff have expired.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping'

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Expenditures Accounting General

Correspondence and Subject Files.

Correspondence or subject files maintained

by operating units responsible for

expenditures accounting, pertaining to their

internal operations and administration.

Destroy when 2 years old.

Record keeping system: Paper.

2. General Accounting Ledgers.

General accounts ledgers, showing debit and

credit entries, and reflecting expenditures in

summary.

Destroy 6 years and 3 months after

the close of the fiscal year involved.

Record keeping system: Paper or electronic.

73
Transmittal No. 8

December 1998

General Records Schedule 7

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

3. Appropriation Allotment Files.

Allotment records showing status of

obligations and allotments under each

authorized appropriation.

Destroy 6 years and 3 months after

the close of the fiscal year involved.

Record keeping system: Paper or electronic.

4. Expenditure Accounting Posting and Control

Files.

Records used as posting and control media,

subsidiary to the general and allotment ledgers,

and not covered elsewhere in this schedule.

Record keeping system: Paper.

a. Original records. Destroy when 3 years old.

b. Copies. Destroy when 2 years old. KU

5. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created

on electronic mail and word processing

systems and used solely to generate a

recordkeeping copy of the records covered

by the other items in this schedule. Also

includes electronic copies of records created

on electronic mail and word processing

systems that are maintained for updating,

revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

74
Transmittal No. 8

December 1998

General Records Schedule 7

/> ITEM

NO. DESCRIPTION OF RECORDS - AUTHORIZED DISPOSITION

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to;

the recordkeeping copy.

* I., ,. v

Destroy/delete when dissemination,

revision, or updating is completed.

. 4 -. -

. 1:    I .

. s ; , 1

-1 -1:' I. - ,

75
Transmittal No. 8 General Records Schedule 8

December 1998

GENERAL RECORDS SCHEDULE 8

Stores, Plant, and Cost Accounting Records

Specialized stores, plant, and cost accounting records are maintained by most agencies,

particularly those with extensive plant and stock inventories. These records, which reflect the net

monetary worth of an agency and its assets, are periodically reconciled with the supply data

found in stock inventory records, but they do not include procurement papers. Any records

created prior to January 1, 1921, must be offered to the National Archives and Records

Administration (NARA) before applying these disposition instructions.

a. Stores Accounting. These records are maintained to provide personal accountability for the

receipt and custody of materials and to document the monetary worth of such materials.

Completed copies of material movement documents show custody, and stores accounting

data are normally reviewed and consolidated by means of records and returns submitted to

agency headquarters. There the information is used for procurement planning, budget, and

other management purposes. These records do not include records reflecting the physical

movements of material to and from storage points, although they may be involved in posting.

Summary data on plant value are also available in pertinent ledger accounts.

b. Plant Accounting. These records document principal characteristics of each item of

physical plant and equipment, including real property. They constitute primarily a type of

inventory control, but in addition are a principal source of data on the capital investment in

physical plant (as distinguished from maintenance or operating costs) and other items not

normally represented in a store or stock inventory system. Summary data on plant value are

also maintained.

c. Cost Accounting. These records are designed to show accumulated data on the costs of

agency operation, the direct and indirect costs of production, administration, and performance

of program functions of the agency. The data, which are normally accumulated by means of

cost reports and statistics accumulated by operating personnel, are ultimately integrated into

the accounts concerned with operating and program costs. Material cost information is

collected by posting requisitions for material or procurement documents to intermediate

records, and labor cost information is obtained by charging time expended on individual jobs

and projects assigned control numbers for cost control purposes. Cost data are used in

evaluating economy of agency operation and in preparing budget estimates.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

76
Transmittal No. 8 General Records Schedule 8

December 1998

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Plant, Cost, and Stores General

Correspondence Files.

Correspondence files of units responsible for Destroy when 3 years old.

plant, cost, and stores accounting operations.

Record keeping system: NA.

2. Stores Invoice Files.

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

accounting purposes.

Record keeping system: NA.

3. Stores Accounting Files.

Stores accounting returns and reports. Destroy when 3 years old.

Record keeping system: NA.

4. Stores Accounting Background Files.

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

accounting data.

Record keeping system: NA.

5. Plant Accounting Files. [See note after this

item.]

Plant account cards and ledgers, other than Destroy 3 years after item is

those pertaining to structures. withdrawn from plant account.

Record keeping system: Paper.

[NOTE: Plant accounting cards and ledgers pertaining to structures are not disposable under the

GRS. Agencies must submit a Standard Form (SF) 115 to NARA to schedule these records.]

77
Transmittal No. 8

December 1998

ITEM

NO. DESCRIPTION OF RECORDS

6. Cost Accounting Reports.

a. Copies in units receiving reports.

Record keeping system: NA.

b. Copies in reporting units and related work

papers.

Record keeping system: NA.

7. Cost Report Data Files.

Ledgers, forms, and electronic records used

to accumulate data for use in cost reports.

Record keeping system: Electronic.

a. Ledgers and forms.

b. Automated records.

(1) Detail cards.

(2) Summary cards.

(3) Tabulations.

8. Electronic Mail and Word Processin! System

Copies.

Electronic copies of records that are created

on electronic mail and word processing

systems and used solely to generate a

recordkeeping copy of the records covered

by the other items in this schedule. Also

includes electronic copies of records created

on electronic mail and word processing

systems that are maintained for updating,

revision, or dissemination.

Record keeping system: NA.

General Records Schedule 8

AUTHORIZED DISPOSITION <2

Destroy when 3 years old.

Destroy when 3 years old.

Destroy when 3 years old.

<21'

Destroy when 6 months old.

Destroy when 6 months old.

Destroy when 1 year old.

78
Transmittal No. 8

December 1998

General Records Schedule 8

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by indiv'iduals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives'that are used'only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or'

updating that are maintained in'addition to

the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

Destroy/delete when dissemination,

revision, or updating is completed.

79
Transmittal No. 9 General Records Schedule 9

April 2003

GENERAL RECORDS SCHEDULE 9

Travel and Transportation Records

This schedule covers records documenting the movement of goods and persons under

Government orders. The records include bills of lading, transportation requests, transportation

vouchers, per diem vouchers, travel authorizations, and all supporting documentation, including

that prescribed by Title 5 of the General Accounting Office Policy and Procedures Manual.

Record copies of all travel, transportation, and freight documents used to support payments

become components of the accountable officers' accounts. Disposition for commercial

transportation and freight site audit records is covered by item I of this schedule. Individual,

noncommercial, reimbursable travel site audit records are covered by General Records Schedule

6, item la, item 10, or item 11. Some copies become accounting posting media, which are

covered by General Records Schedule 7, item 4.

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 documents related to and normally

filed with the bill of lading are varied and often voluminous. These may consist of shortage

and demurrage reports, invoices, and other data that 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

valuables under the Government Losses in Shipment Act, which insures against loss, retain

copies of schedules of material shipped, documents relating to claims which may ensue, and <2

other pertinent records.

b. Movement of persons. The movement of persons is documented by copies of travel orders,

authorizing travel and subsequent payment, and standard-form vouchers showing payment for

official travel. The two primary copies of travel orders are the administrative copy maintained

by the transportation unit controlling the authorization of travel and the copy used for

encumbrance of funds. Vouchers documenting cash advances for travel purposes are covered

by General Records Schedule 6, item Ia, only after the advance has been properly liquidated

and can be included in a settled fiscal account. Unliquidated cash advances for travel

purposes are covered by General Records Schedule 6, item 10.

80
Transmittal No. 9

April 2003

General Records Schedule 9

ITEM

> -NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Commercial Freight and Passenger

-Transportation Files.

a. Original vouchers and support documents

covering commercial freight and passenger

transportation charges of settled fiscal

accounts, including registers and other

control documents, but EXCLUDING those

covered by item lb of this schedule.

Destroy 6 years after the period of

the account.

Record keeping system: Paper.

b. Records covering payment for commercial

freight and passenger transportation charges

for services for which 1) notice of

overcharge has been or is expected to be

issued, or if a rail freight overpayment is

involved, 2) deduction or collection action

has been taken, 3) the voucher contains

inbound transit shipment(s), 4) parent

voucher has print of paid supplemental bill

associated, 5) the voucher has become

involved in litigation, or 6) any other

condition arises, such as detection of

overcharge, that prevents the settling of the

account, requiring the voucher to be retained

beyond the 6 year retention period.

Destroy when 10 years old.

Record keeping system: Paper.

c. Issuing office copies of Government or

commercial bills of lading, commercial

passenger transportation vouchers (Standard

Form (SF) 11 13A) and transportation

requests (SF 1169), travel authorizations,

and supporting documents.

Destroy 6 years after the period of

the account.

Record keeping system: Paper.

d. Obligation copy of commercial passenger

transportation vouchers.

Destroy when funds are obligated.

Record keeping system: Paper.

81
Transmittal No. 9

April 2003

General Records Schedule 9

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

e. Unused ticket redemption forms, such as SF

1170.

Destroy 3 years after the year in

which the transaction is completed.

Record keeping system: Paper.

2. Lost or Damaged Shipments Files.

Schedules of valuables shipped,

correspondence, reports, and other records

relating to the administration of the Government

Losses in Shipment Act.

Destroy when 6 years old.

Record keeping system: Paper.

3. Noncommercial. Reimbursable Travel Files.

Copies of records relating to reimbursing

individuals, such as travel orders, per diem

vouchers, and all other supporting documents

relating to official travel by officers, employees,

dependents, or others authorized by law to

travel.

Record keeping system: Paper.

<2

a. Travel administrative office files. Destroy when 6 years old.

b. Obligation copies. Destroy when funds are obligated.

4. General Travel and Transportation Files.

a. Routine administrative records including

correspondence, forms, and related records

pertaining to commercial and

noncommercial agency travel and

transportation and freight functions not

covered elsewhere in this schedule.

Destroy when 2 years old.

Record keeping system: Paper.

<Jo

82
Transmittal No. 9

April 2003

General Records Schedule 9

*a ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Accountability records documenting the

issue or receipt of accountable documents.

Destroy 1 year after all entries are

cleared.

Record keeping system: Paper.

5. Records Relating to Official Passports. [See

notes after item 5c.]

a. Application files.

Documents relating to the issuance of

official passports, including requests for

passports, transmittal letters, receipts,

and copies of travel authorizations.

Destroy when 3 years old or upon

separation of the bearer, whichever is

sooner.

Record keeping system: Paper.

b. Annual reports concerning official passports.

Reports to the Department of State

concerning the number of official passports

issued and related matters.

Destroy when 1 year old.

Record keeping system: Paper.

c. Passport registers.

Registers and lists of agency personnel who

have official passports.

Destroy when superseded or

obsolete.

Record keeping system: Paper.

[NOTES: (1) Official passports should be returned to the Department of State upon expiration or

upon the separation of the employee. (2) Item 5b does not pertain to copies of the annual reports

held by the Department of State.]

6. RESERVED

7. Federal Employee Transportation Subsidy

Records.

Documents in either paper or electronic form

relating to the disbursement of transportation

Destroy when 3 years old.

83
Transmittal No. 9

April 2003

General Records Schedule 9

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

subsidies to employees, including applications

of employees no longer in the program,

superseded applications, certification logs,

vouchers, spreadsheets, and other forms used to

document the disbursement of subsidies.

Record keeping system: Paper.

8. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

Destroy/delete when dissemination,

revision, or updating is completed.

84
Transmittal No. 8 General Records Schedule 10

December 1998

GENERAL RECORDS SCHEDULE 10

Motor Vehicle Maintenance and Operation Records

These records pertain to the management, maintenance, and operation of motor vehicles used by

agencies.

41 CFR 101-38 prescribes policies and procedures. Standard Form (SF) 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 Office of Federal Supply and Services (SF 82, Agency Report of

Motor Vehicle Data); (b) the maintenance of the vehicles themselves; and (c) protecting the

interest of the Government in accident claims against it. The records themselves consist of

chauffeur service logs and reports, vehicle repair and maintenance checkoff sheets, cost ledgers,

and claims correspondence and forms.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Motor Vehicle Correspondence Files.

Correspondence in the operating unit Destroy when 2 years old.

responsible for maintenance and operation of

motor vehicles not otherwise covered in this

schedule.

Record keeping system: ADAMS.

85
Transmittal No. 8

December 1998

General Records Schedule 10

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Motor Vehicle Operating and Maintenance

Files.

a. Operating records including those relating to

gas and oil consumption, dispatching, and

scheduling.

Destroy when 3 months old.

Record keeping system: Paper.

b. Maintenance records, including those

relating to service and repair.

Destroy when 1 year old.

Record keeping system: Paper.

3. Motor Vehicle Cost Files.

Motor vehicle ledger and worksheets providing

cost and expense data.

Destroy 3 years after discontinuance

of ledger or date of worksheet.

Record keeping system: Paper.

4. Motor Vehicle Report Files.

Reports on motor vehicles (other than accident,

operating, and maintenance reports), including

SF 82, Agency Report of Motor Vehicle Data.

Destroy 3 years after date of report.

Record keeping system: Paper.

5. Motor Vehicle Accident Files.

Records relating to motor vehicle accidents,

maintained by transportation offices, including

SF 91, Motor Vehicle Accident Report,

investigative reports, and SF 94, Statement of

Witness.

Destroy 6 years after case is closed.

Record keeping system: Paper.

86
Transmittal No. 8

December 1998

General Records Schedule 10

,' ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

6. Motor Vehicle Release Files.

Records relating to transfer, sale, donation, or

exchange of vehicles, including SF 97, The

United States Government Certificate to Obtain

Title to a Motor Vehicle.

Destroy 4 years after vehicle leaves

agency custody.

Record keeping system: Paper.

7. Motor Vehicle Operator Files.

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 separation of

employee or 3 years after recision of

authorization to operate

Government-owned vehicle,

whichever is sooner.

Record keeping system: Paper.

8. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA..

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

87
Transmittal No. 8

December 1998

General Records Schedule 10

ITEM

NO. DESCRIPTION OF RECORDS

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

AUTHORIZED DISPOSITION <-I/

Destroy/delete when dissemination,

revision, or updating is completed.

88
Transmittal No. 8 General Records Schedule 11

December 1998

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 (GSA) (or

equivalent agency with similar Government-wide responsibilities) as directed by law and

regulation (41 CFR 101-17); correspondence and forms relating to the compilation of directory

service listings; identification credentials and related accountable records; requests for building

and equipment services; and correspondence files reflecting the activities of the unit responsible

for handling space and related matters within the agency.

This schedule does not cover (a) copies of these records that are an integral part of accountable

officers' accounts (Schedule 6); (b) records of procurement and supply (Schedule 3); (c) records

that reflect Government-wide programs (such as the records held by the GSA Public Buildings

Service). Any records created prior to the establishment of the Public Buildings Administration

in 1939 must be offered to the National Archives and Records Administration (NARA) before

applying these disposition instructions.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

flEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Space and Maintenance General

Correspondence Files.

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

space and maintenance matters, pertaining to its

own administration and operation, and related

papers.

Record keeping system: Paper.

89
Transmittal No. 8

December 1998

General Records Schedule I I

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Agencv Space Files.

Records relating to the allocation,

utilization, and release of space under

agency control, and related reports to GSA.

Record keeping system: Paper.

a. Building plan files, surveys, and other

records utilized in agency space planning,

assignment, and adjustment.

b. Correspondence with and reports to staff

agencies relating to agency space holdings

and requirements.

(1) Agency reports to the GSA, including

Standard Form (SF) 81, Request for

Space, and related documents.

(2) Copies in subordinate reporting units

and related work papers.

Destroy 2 years after termination of

assignment, or when lease is

canceled, or when plans are

superseded or obsolete.

Destroy when 2 years old.

Destroy when 1 year old.

3. Directorv Service Files.

Correspondence, forms, and other records

relating to the compilation of directory service

listings.

Destroy 2 months after issuance of

listing.

Record keeping system: NA.

4. Credentials Files.

Identification credentials and related papers.

Record keeping system: Paper.

a. Identification credentials including cards,

badges, parking permits, photographs,

agency permits to operate motor vehicles,

and property, dining room and visitors

passes, and other identification credentials.

Destroy credentials 3 months after

return to issuing office.

90
Transmittal No. 8

December 1998

General Records Schedule 11

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSMON

b. Receipts, indexes, listings, and accountable

records.

Destroy after all listed credentials are

accounted for.

.m i.

5.: Building and Equipment Service Files.

Requests for building and equipment

maintenance services, excluding fiscal copies.

Record keeping system: Paper.

6. Electronic Mail and Word Processing System

Copies.

Destroy 3 months after work is

performed or requisition is canceled.

Electronic copies of records that are created

on electronic mail and word processing

systems and used solely to generate a

* recordkeeping copy of the records covered

by the other items in this schedule. Also

includes electronic copies of records created

on electronic mail and word processing

systems that are maintained for updating, -

revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail -.

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

Destroy/delete when dissemination,

revision, or updating is completed.

91
Transmittal No. 8

December 1998

General Records Schedule 12

GENERAL RECORDS SCHEDULE 12

Communications Records

The principal records documenting communication functions include messenger service data;

telecommunications service control and operational records; long distance telephone reports;

postal records, consisting of post office forms and supporting papers; mail control records and

supporting and related papers; agency copies of penalty mail reports; and records relating to

private delivery service (such as United Parcel Service).

This schedule covers the records described below, wherever located in an agency but does not

cover records that reflect Government-wide programs, such as records held by the U.S. Postal

Service and the Information Technology Service of the General Services Administration (GSA),

other than those documenting their own internal administrative management functions. In

addition, item 4, telephone use records, has been reserved pending development of disposition

standards acceptable to both the GSA and the General Accounting Office. Any records created

prior to January 1, 1921, must be offered to the National Archives and Records Administration

before applying the disposition instructions in this schedule.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Messeneer Service Files.

Daily logs, assignment records and instructions,

dispatch records, delivery receipts, route

schedules, and related records.

Destroy when 2 months old.

Record keeping system: Paper.

2. Communication General Files.

a. Correspondence and related records

pertaining to internal administration and

operation.

Destroy when 2 years old.

Record keeping system: Paper.

92
Transmittal No. 8

December 1998

General Records Schedule 12

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Telecommunications general files, including

plans, reports, and other records pertaining

to equipment requests, telephone service,

and like matters.

Destroy when 3 years old.

Record keeping system: Paper.

c. Telecommunications statistical reports

including cost and volume data.

Record keeping system: Paper.

d. Telecommunications voucher files.

Destroy when 1 year old.

(1) Reference copies of vouchers, bills,

invoices, and related records.

Destroy when I fiscal year old.

Record keeping system: Paper.

(2) Records relating to installation, change,

removal, and servicing of equipment.

Destroy 1 year after audit or when 3

years old, whichever is sooner.

Record keeping system: Paper.

e. Copies of agreements with background data

and other records relating to agreements for

telecommunications services.

Record keeping system: Paper.

3. Telecommunications Operational Files. [See

note after item 3b.]

Destroy 2 years'after expiration or

cancellation of agreement.

a. Message registers, logs, performance

reports, daily load reports, and related and

similar records.

Destroy when 6 months old.

Record keeping system: Paper.

b. Copies of incoming and original copies of

outgoing messages, including Standard

Form (SF) 14, Telegraphic Message |

maintained by communications offices or

Destroy when 2 years old.

93
Transmittal No. 8

December 1998

General Records Schedule 12

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

centers, and EXCLUDING the copies

maintained by the originating program

office.

Record keeping system: Paper.

[NOTE: Master files and data bases created to supplement or replace the records covered by item

3 are not authorized for disposal under the GRS. Such files must be scheduled on an SF 115.]

4. Telephone Use (Call Detail) Records.

Initial reports of use of telephone lines (e.g.,

telephone calls, facsimile transmissions and

electronic mail) during a specified period

provided by a telephone company, the General

Services Administration, the Defense

Information Systems Agency, or a private sector

exchange on an agency's premises, as well as

records generated from initial reports from

administrative, technical, or investigative

follow-up. Included is such information as the

originating number, destination number,

destination city and state, date and time of use,

duration of the use, and the estimated or actual

cost of the use. EXCLUDED are records

accumulated in connection with substantive

investigations and audits that are covered by

GRS 22, Inspector General Records or GRS 6,

Accountable Officers' Accounts Records.

Destroy when 3 years old. Initial

reports may be destroyed earlier if

the information needed to identify

abuse has been captured in other

records.

K)

Record keeping system: Electronic.

5. Post Office and Private Mail Company

Records.

Post Office and private mail company forms and

supporting papers, exclusive of records held by

the United States Postal Service.

Record keeping system: Paper.

a. Records relating to incoming or outgoing

registered mail pouches, registered, certified,

Destroy when 1 year old.

94
Transmittal No. 8

December 1998

General Records Schedule 12

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

insured, overnight, express, and special

delivery mail including receipts and return

receipts.

b. Application for registration and certification

of declared value mail.

c. Report of loss, rifling, delayed or late

delivery, wrong delivery, or other improper

treatment of mail.

Destroy when 1 year old.

Destroy when 1 year old.

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.

Record keeping system: Paper.

Destroy when 1 year old.

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). -

Destroy when 6 months old.

Record keeping system: Paper.

c. Requisition for stamps (exclusive of copies

used as supporting documents to payment

vouchers).

Destroy when 6 months old.

Record keeping system: Paper.

d. Statistical reports and data relating to

handling of mail and volume of work

performed.

Destroy when 1 year old.

Record keeping system: Paper.

95
Transmittal No. 8

December 1998

General Records Schedule 12

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

e. Records relating to checks, cash, stamps,

money orders, or any other valuables

remitted to the agency by mail.

Destroy when 1 year old.

Record keeping system: Paper.

f. Records of and receipts for mail and

packages received through the Official Mail

and Messenger Service.

Record keeping system: Paper.

Destroy when 6 months old.

g. General files including correspondence,

memoranda, directives, and guides relating

to the administration of mail room

operations.

Destroy when 1 year old or when

superseded or obsolete, whichever is

applicable.

Record keeping system: Paper.

h. Locator cards, directories, indexes, and other

records relating to mail delivery to

individuals.

Destroy 5 months after separation or

transfer of individual or when

obsolete, whichever is applicable.

<2

Record keeping system: Paper.

7. Metered Mail Files.

Official metered mail reports and all related

papers.

Record keeping system: Paper.

Destroy when 6 years old.

8. Postal Irreeularities File.

Memoranda, correspondence, reports and

other records relating to irregularities in the

handling of mail, such as loss or shortage of

postage stamps or money orders, or loss or

destruction of mail.

Destroy 3 years after completion of

investigation.

Record keeping system: Paper.

K)

96
Transmittal No. 8

December 1998

General Records Schedule 12

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

9. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is' made.

Includes copies maintained by individuals ii

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

Destroy/delete when dissemination,

revision, or updating is completed.

97
Transmittal No. 8 General Records Schedule 13

December 1998

GENERAL RECORDS SCHEDULE 13 V

Printing, Binding, Duplication, and Distribution Records

This schedule provides for the disposal of all copies, wherever located in the agency, of records

relating to printing, binding, duplication, and distribution, except as indicated. The principal

records documenting these functions are (a) records pertaining to requests for service, control,

production, and distribution of individual jobs or projects (this material normally consists of

requisitions requesting service and registers or similar media utilized to control the receipt of the

requisitions and to record the production, distribution, and cost analysis within the operating

units); and (b) correspondence and report files reflecting the activities of the unit responsible for

handling, printing, binding, duplication, and distribution matters within the agency. Any records

created prior to January 1, 1921, must be offered to the National Archives and Records

Administration (NARA) before applying these disposition instructions.

This schedule does not cover (a) the record copy of printed materials; (b) records retained by

agencies for onsite audit by the General Accounting Office, and agency memorandum copies

which are part of the accountable officers' accounts (Schedule 6); and (c) records that reflect

agency programs (such as those of the Government Printing Office and the Bureau of Engraving

and Printing), rather than administrative management functions.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSiTION

1. Administrative Correspondence Files.

Correspondence files pertaining to the Destroy when 2 years old.

administration and operation of the unit

responsible for printing, binding,

duplication, and distribution matters, and

related documents.

Record keeping system: Paper.

2. Project Files. [See note after item 2b.]

Job or project records containing

information relating to planning and

98
Transmittal No. 8

December 1998

General Records Schedule 13

k) ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

execution of printing, binding, duplication, and

distribution jobs.

Record keeping system: Paper.

a. Files pertaining to the accomplishment of

the job, containing requisitions, bills,

samples, manuscript clearances, and related

documents exclusive of (1) requisitions on

the Public Printer and related records; and

(2) records relating to services obtained

outside the agency.

b. Files pertaining to planning and other

technical matters.

Destroy 1 year after completion of

job.

Destroy when 3 years old.

[NOTE: The GRS does not cover the publications themselves. One copy of each publication

should be designated the record copy and scheduled for transfer to NARA. Agencies should

describe each series of publications on a Standard Form (SF) 115 submitted to NARA. Extra

copies are nonrecord and may be destroyed when no longer needed.]

3. Control Files.

Control registers pertaining to requisitions

and work orders.

Record keeping system: Paper.

* Destroy 1 year after close of fiscal

year in which compiled or 1 year

after filling of register, whichever is

applicable.

4. Mailing Lists. z.

a Correspondence, request forms, and other

records relating to changes in mailing lists.

Destroy after appropriate revision of

mailing list or after 3 months,

whichever is sooner.

Record keeping system: Paper.

b. Card lists.

Record keeping system: Paper.

Destroy individual cards when

canceled or revised.

99
Transmittal No. 8

December 1998

General Records Schedule 13

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

5. Joint Committee on Printing (JCP) Reports

Files.

Reports to Congress and related records.

Record keeping system: ADAMS.

a. Agency report to JCP regarding operation of

Class A and B Plants and inventories of

printing, binding, and related equipment in

Class A and B Plants or in storage.

b. Copies in subordinate reporting units and

related work papers.

Destroy when 3 years old.

Destroy 1 year after date of report.

6. Internal Management Files.

Records relating to internal management and

operation of the unit.

Destroy when 2 years old.

Record keeping system: Paper.

7. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

V100
Transmittal No. 8

December 1998

General Records Schedule 13

iTEM

i/~ NO. .

T)ESCRRTPTTON .. / .. . .. .OF RFr()RT)q _ .. AUTHORIZED DISPOSiTION

shared network drives that are used only to -

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete when dissemination,

revision, or updating is completed.

. I

101
Transmittal No. 8 General Records Schedule 14

December 1998

GENERAL RECORDS SCHEDULE 14

Information Services Records

This schedule covers certain records pertaining to informational services performed by

Government agencies in their day-to-day affairs and in their relations with the public, including

records created in administering Freedom of Information Act and Privacy Act (FOIA) programs.

Except as otherwise specified in individual items, it applies to copies of these records wherever

located in an agency. Item 4 applies only to files maintained in the office responsible for the

operation of the information activities of the agency or subdivision thereof. Items 11 through 15

describe the files accumulated in carrying out the provisions of the FOIA, and items 21 through

26 describe the files created in administering the provisions of the Privacy Act. Items 31 through

35 cover records created in response to requests for mandatory records declassification.

These records consist of inquiries, replies, and related correspondence; in the case of FOIA,

Privacy Act, and mandatory declassification files, appeals and other records; administrative

background files for formal information releases, and records relating to inappropriate release of

privileged information. Closely related records such as records relating to budget presentation,

and printing, duplicating, and distribution are covered by other General Records Schedules.

Records created prior to January 1, 1921, must be offered to the National Archives and Records

Administration (NARA) before applying this schedule.

Other information services records such as speeches and press releases may have permanent >

value. As potentially archival records, these series must be scheduled individually so NARA may

appraise them. To schedule these and other information services records not included in this

schedule, agencies submit a Standard Form (SF) 115, Request for Records Disposition Authority,

to NARA.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

102
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Information Requests Files.

Requests for information and copies of replies

thereto, involving no administrative actions, no

policy decisions, and no special compilations or

research and requests for and transmittals of

publications, photographs, and other

information literature.

Destroy when 3 months old.

Record keeping system: Paper.

2. Acknowledgment Files.

Acknowledgment and transmittals of inquiries

and requests that have been referred elsewhere

for reply.

Destroy 3 months after

acknowledgment and referral.

Record keeping system: Paper.

3. Press Service Files.

Press service teletype news and similar

materials.

Destroy when 3 months old.

Record keeping system: Paper.

4. Information Project Files.

Information service project case files maintained

*in formally designated information offices. --

Destroy 1 year after close of file or 1

year after completion of project.

Record keeping system: Paper.

5. Commendation/Complaint Correspondence

Files.

Anonymous letters, letters of commendation, -

complaint, criticism and suggestion, and replies

thereto, EXCLUDING those on the basis of

which investigations were made or

Destroy when 3 months old.

103
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

administrative action taken and those

incorporated into individual personnel records.

Record keeping system: Paper.

6. Indexes and Check Lists.

Bibliographies, checklists, and indexes of

agency publications and releases, EXCLUDING

those relating to record sets scheduled as.

permanent.

Destroy when superseded or

obsolete.

Record keeping system: ADAMS.

Items 7 through 10 Reserved.

11. FOIA Requests Files.

Files created in response to requests for

information under the FOIA, consisting of the

original request, a copy of the reply thereto, and

all related supporting files which may include

the official file copy of requested record or copy

thereof.

a. Correspondence and supporting documents

(EXCLUDING the official file copy of the

records requested if filed herein).

(1) Granting access to all the requested

records.

Destroy 2 years after date of reply.

Record keeping system: ADAMS or Paper.

(2) Responding to requests for nonexistent

records; to requesters who provide

inadequate descriptions; and to those

who fail to pay agency reproduction fees.

(a) Request not appealed. Destroy 2 years after date of reply.

Record keeping system: ADAMS or

Paper.

104
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(b) Request appealed. Destroy as authorized under Item 12.

I Record keeping system: ADAMS or

Paper.

(3) Denying access to all or part of the

records requested.

(a) Request not appealed. Destroy 6 years after date of reply.

Record keeping system: ADAMS or

Paper.

(b) Request appealed. Destroy as authorized under Item 12.

Record keeping system: ADAMS or

Paper.

b. Official file copy of requested records.

Record keeping system: ADAMS.

Dispose of in accordance with

approved agency disposition

instructions for the related records or

with the related FOIA request,

whichever is later.

12. FOIA Appeals Files.

Files created in responding to administrative

appeals under the FOIA for release of

information denied by the agency, consisting of

the appellant's letter, a copy of the reply thereto,

and related supporting documents, which may

include the official file copy of records under

appeal or copy thereof.

a. Correspondence and supporting documents

(EXCLUDING the file copy of the records

under appeal if filed herein).

Record keeping system: ADAMS or Paper.

Destroy 6 years after final

determination by agency, 6 years

after the time at which a requester

could file suit, or 3 years after final

adjudication by the courts, whichever

is later.

105
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Official file copy of records under appeal.

Record keeping system: ADAMS or Paper.

Dispose of in accordance with

approved agency disposition

instructions for the related record or

with the related FOIA request,

whichever is later.

13. FOIA Control Files.

Files maintained for control purposes in

responding to requests, including registers and

similar records listing date, nature, and purpose

of request and name and address of requester.

a. Registers or listing.

Record keeping system: Paper.

b. Other files.

Record keeping system: Paper.

Destroy 6 years after date of last

entry.

Destroy 6 years after final action by

the agency or after final adjudication

by courts, whichever is later.

14. FOIA Reports Files. [See note after this item.]

Recurring reports and one-time information

requirements relating to the agency

implementation of the Freedom of Information

Act, EXCLUDING annual reports to the

Congress at the departmental or agency level.

Destroy when 2 years old.

Record keeping system: Paper.

[NOTE: The GRS does not cover departmental or agency level annual reports to the Congress.

These reports should be scheduled for transfer to the National Archives of the United States by

submitting an SF 115 to NARA.]

K)

106
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

15. FOIA Administrative Files.

Records relating to the general agency

implementation of the FOLA, including notices,

memoranda, routine correspondence, and related

records.

Destroy when 2 years old.

Record keeping system: Paper.

Items 16 throu-h 20. Reserved.

21. Privacy Act Requests Files.

Files created in response to requests from

individuals to gain access to their records or to

any information in the records pertaining to

them, as provided for under 5 U.S.C.

552a(d)(1). Files contain original request, copy

of reply thereto, and all related supporting

documents, which may include the official file

copy of records requested or copy thereof.

Record keeping system: Paper.

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.

Destroy 2 years after date of reply.

(2) Responding to requests for nonexistent

records; to requesters who provide

inadequate descriptions; and to those

who fail to pay agency reproduction fees.

(a) Requests not appealed.

(b) Requests appealed.

Destroy 2 years after date of reply.

Destroy as authorized under Item 22.

107
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(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.

Destroy 5 years after date of reply.

Destroy as authorized under Item 22.

Dispose of in accordance with

approved agency disposition

instructions for the related records or

with the related Privacy Act request,

whichever is later.

22. 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 5 U.S.C.

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).

Record keeping system: Paper.

K\2

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, statement 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

Dispose of in accordance with the

approved disposition 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 disposition 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 disposition instructions for

108
Transmittal No. 8

December 1998

General Records Schedule 14

<__ EITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

the Privacy Act for refusal by any agency to

amend a record.

related subject individual's record or

3 years after final adjudication by

courts, whichever is later.

23. Privacy Act Accounting of Disclosure Files.

Files maintained under the provisions of 5

U.S.C. 552a(c) for an accurate accounting of the

date, nature, and purpose of each disclosure of a

record to any person or to another agency,

including forms for showing the subject

individual's name, requester's name and address,

purpose and date of disclosure, and proof of

subject individual's consent when applicable.

Dispose of in accordance with the

approved disposition instructions for

the related subject individual's

records or 5 years after the disclosure

for which the accountability was

made, whichever is later.

Record keeping system: ADAMS or Paper.

24. Privacy Act Control Files.

Files maintained for control purposes in

responding to requests, including registers

and similar records listing date, nature of

request, and name and address of requester.

Record keeping system: Paper.

a. Registers or listings. Destroy 5 years after date of last

entry. -

b. Other files. Destroy 5 years after final action by

the agency or final adjudication by

courts, whichever is later.

25. Privacy Act Reports Files. [See note after this

item.]

Recurring reports and one-time information

requirement relating to agency implementation,

including biennial reports to the Office of

Management and Budget (OMB), and the

Report on New Systems at all levels.

Destroy when 2 years old.

Record keeping system: Paper.

'109
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION <2

[NOTE: The GRS does not cover the biennial report to Congress from OMB.]

26. Privacv Act General Administrative Files.

Records relating to the general agency

implementation of the Privacy Act, including

notices, memoranda, routine correspondence,

and related records.

Destroy when 2 years old.

Record keeping system: Paper.

Items 27 through 30. Reserved.

31. Mandatory Review For Declassification

Requests Files.

Files created in response to requests for

information under the mandatory review

provisions of Executive Order 12356 consisting

of the original request, a copy of the reply

thereto, and all related supporting files, which

may include the official file copy of requested

records or a copy thereof.

Record keeping system: Paper.

a. Correspondence and supporting documents

(EXCLUDING the official file copy of the

records if filed herein, and sanitizing

instructions, if applicable).

(1) Granting access to all the requested

records.

Destroy 2 years after date of reply.

(2) Responding to requests for nonexistent

records; to requesters who provide

inadequate descriptions; and to those

who fail to pay agency reproduction fees.

(a) Request not appealed.

(b) Request appealed.

Destroy 2 years after date of reply.

Destroy as authorized under Item 32.

110
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(3) Denying access to all or part of the

records requested.

(a) Request not appealed.

(b) Request appealed.

b. Official file copy of requested records.

c. Sanitizing instructions.

Destroy 5 years after date of reply.

Destroy as authorized under Item 32.

Dispose of in accordance with

approved disposition instructions for

the related records or with the related

mandatory review request, whichever

is later.

Destroy when superseded or when

requested documents are declassified

or destroyed.

32. Mandatory Review for Declassification

Appeals Files.

Files created in responding to administrative

appeals under the mandatory review provisions

of Executive Order 12356 and its predecessors

for release of information denied by the agency.

Files consist of the appellant's letter, a copy of

the reply thereto, and related supporting

documents, which may include the official file

copy of records under appeal or copy thereof.

Record keeping system: Paper.

a. Correspondence and supporting documents

(EXCLUDING the official file copy of the

records under appeal if filed herein).

b Official file copy of records under appeal.

Destroy 4 years'after finaldetermination by agency.

Dispose of in accordance with

approved agency disposition

instructions for'the related records,

or with the related mandatory review

request, whichever is later.

'1'1'1
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION K-I

33. Mandatory Review for Declassification

Control Files.

Files maintained for control purposes in

responding to requests, including registers and

similar records listing date, nature, and purpose

of request and name and address of requester.

Record keeping system: Paper.

a. Registers or listing. Destroy 5 years after date.

b. Other files. Destroy 5 years after final action by

the agency.

34. Mandatory Review for Declassification

Reports Files.

Reports relating to agency implementation of

the mandatory review provisions of the current

Executive order on classified national security

information, including annual reports submitted

to the Information Security Oversight Office.

Destroy when 2 years old.

Record keeping system: Paper.

35. Mandatory Review for Declassification

Administrative Files.

Records relating to the general agency

implementation of the mandatory review

provisions of the current Executive order on

classified national security information,

including notices, memoranda, correspondence,

and related records.

Destroy when 2 years old.

Record keeping system: Paper.

112
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

36. Erroneous Release Files.

Files relating to the inadvertent release of

privileged information to unauthorized parties,

containing information the disclosure of which

would constitute an unwarranted invasion of

personal privacy. Files contain requests for

information, copies of replies thereto, and all

related supporting documents, and may include

the official copy of records requested or copies

thereof.

Record keeping system: Paper.

a. Files that include the official file copy of the

released records.

b. Files that do not include the official file copy

of the released records.

Follow the disposition instructions

approved for the released official file

copy or destroy 6 years after the

erroneous release, whichever is later.

Destroy 6 years after the erroneous

release.

37. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

113*
Transmittal No. 8

December 1998

General Records Schedule 14

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED2 DISPOSITION K>

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete when dissemination,

revision, or updating is completed.

K>

114
Transmittal No. 8 General Records Schedule 15

December 1998

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 Department of Housing and Urban Development, the

Department of Health and Human Services, or the Department of Veterans Affairs pertaining to

program operations in planning and financing housing facilities.

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

Management involves the assignment and rental of units, rent collection and other fiscal

operations, and overall supervision. However, rental charges for military personnel are normally

represented by checkages made against pay accounts.

Certain housing records are subject to the provisions of other General Records Schedules.-Supply

and fiscal files are covered by General Records Schedules 3 and 6. Schedules 1, 2, 8, and 10 may

also be involved. Many records of agent cashiers serving as housing rental managers are similar

to those of other Federal accountable officers and are disposable under General Records

Schedule 6.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

1. Housing General Correspondence Files.

Correspondence files pertaining to the Destroy when 2 years old.

maintenance and management of housing

projects.

Record keeping system: NA.

115
Transmittal No. 8

December 1998

General Records Schedule 15

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

2. Housing Maintenance and Repair Files.

Maintenance and repair records for individual

units.

Record keeping system: NA.

a. Summary card or ledger record. Destroy 3 fiscal years following

close of fiscal year in which unit is

closed to tenancy or leaves agency

control.

b. Work orders, requisitions, and related papers

involved in repair and maintenance work.

Destroy 3 fiscal years following

close of fiscal year in which work is

done.

3. Housing Manapement Files.

Reports pertaining to housing management,

including expenditure, survey, collection, and

other statistical and narrative data.

Destroy when 2 years old.

K>

Record keeping system: NA.

4. Housing Lease Files.

Copies of leases, renewals, termination notices,

and related documents.

Record keeping system: NA.

Destroy 3 fiscal years following

close of fiscal year in which (a) lease

termination, lapse, or cancellation

occurs or (b) litigation is concluded,

whichever is later.

5. Housin2 Assignment and Vacancy Card

Files.

a. Individual tenant cards. Destroy when tenant vacates unit.

Record keeping system: NA.

b. Individual housing unit cards.

Record keeping system: NA.

Destroy 3 fiscal years after close of

fiscal year in which unit is closed to

tenancy or leaves agency control.

116
Transmittal No. 8

December 1998

General Records Schedule 15

NIEM N

NO. DESCRUMTON OF RECORDS AUTHORIZED DISPOSITION

6. Housin2 Inventory Files.

Furnishing inventory files, pertaining to items

included in furnished units.

Record keeping system: NA.

Destroy 3 fiscal years after close of

fiscal year in which inventory is

superseded.

7. Housing Application Files (other than copies in

lease files).

a. Rejected application files. Destroy 1 year from date of rejection.

Record keeping system: NA.

b. All others.

Record keeping system: NA.

8. Electronic Mail and Word Processing

System Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

Destroy when 2 years old.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

117
Transmittal No. 8

December 1998

General Records Schedule 15

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete when dissemination,

revision, or updating is completed.

K1->

118
Transmittal No. 8 General Records Schedule 16

December 1998

GENERAL RECORDS SCHEDULE 16

Administrative Management Records

This schedule provides for the disposal of certain records relating to administrative management

activities in Federal agencies, excluding records of operating personnel, budget, accounting, and

printing functions, which are covered by other General Records Schedules. Included within the

scope of the schedule are disposable records created in the course of organizational planning,

development, and simplification of procedures; records management activities; and

administration of management improvement programs. General Records Schedule 1 (Items 12

and 13) provide for the disposition of case files on individuals involved in incentive award and

similar types of management improvement programs. Any records created prior to January 1,

1939, must be offered to the National Archives and Records Administration (NARA) 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, the 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 is of continuing value. Files with potential archival value are

not covered by the General Records Schedules. They must be scheduled individually by

submission of a Standard Form (SF) 115 to NARA. These records include organizational charts

and reorganization studies, functional statements, delegations of authority, and agency histories.

However, related temporary or ephemeral materials include working papers that do not have a

direct bearing on the transaction, intermediate drafts of documents and worksheets that do not

represent significant basic steps in the preparation of final drafts, letters or memoranda of

transmittal and acknowledgment, routing slips, and extra copies of documents.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

119
Transmittal No. 8

December 1998

General Records Schedule 16

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Administrative Issuances. [See note after item

lb.]

a. Notices and other types of issuances related

to routine administrative functions (e.g.,

payroll, procurement, personnel).

Destroy when superseded or

obsolete.

Record keeping system: ADAMS.

b. Case files related to (a) above that document

aspects of the development of the issuance.

Destroy when issuance is destroyed.

Record keeping system: ADAMS.

[NOTE: Record sets of formal directives, procedural and operating manuals, publications,

and management improvement reports submitted to the Office of Management and Budget

(OMB), and the case files documenting their development are potentially permanent records

and must be scheduled by submission of an SF 115 to NARA.]

2. Records Disposition Files.

Descriptive inventories, disposal authorizations,

schedules, and reports.

Record keeping system: ADAMS.

a. Basic documentation of records description

and disposition programs, including SF 115,

Request for Records Disposition Authority;

SF 135, Records Transmittal and Receipt;

SF 258, Agreement to Transfer Records to

National Archives of the United States; and

related documentation.

(1) SF 115s that have been approved by

NARA.

Destroy 2 years after supersession.

(2) Other records. Destroy 6 years after the related

records are destroyed or after the

related records are transferred to the

120
Transmittal No. 8

December 1998

General Records Schedule 16

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

National Archives of the United

States, whichever is applicable.

b. Routine correspondence and memoranda. Destroy when 2 years old.

3. 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.

Destroy 5 years after related form is

discontinued, superseded, or

canceled.

Record keeping system: NA.

b. Background materials, requisitions,

specifications, processing data, and control

records.

Destroy when related form is

discontinued, superseded, or

canceled.

Record keeping system: NA.

4. Records Holdings Files.

Statistical reports of agency holdings, including

feeder reports from all offices and data on the

volume of records disposed of by destruction or

transfer.

Record keeping system: ADAMS.

a. Records held by offices that prepare reports

on agency-wide records holdings.

b. Records held by other offices.

Destroy when 3 years old.

Destroy when 1 year old.

5. Project Control Files.

Memoranda, reports, and other records

documenting assignments, progress, and -

completion of projects.

Destroy 1 year after the year in which

the project is closed.

Record keeping system: Paper.

-121
Transmittal No. 8

December 1998

General Records Schedule 16

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

6. Reports Control Files.

Case files maintained for each agency report

created or proposed, including public use

reports. Included are clearance forms, including

0MB 83 (formerly SF 83); copies of pertinent

forms or descriptions of format; copies of

authorizing directives; preparation instructions;

and documents relating to the evaluation,

continuation, revision, and discontinuance of

reporting requirements.

Destroy 2 years after the report is

discontinued.

Record keeping system: ADAMS.

7. Records Management Files.

Correspondence, reports, authorizations, and

other records that relate to the management of

agency records, including such matters as forms,

correspondence, reports, mail, and files

management; the use of microforms, ADP

systems, and word processing; records

management surveys; vital records programs;

and all other aspects of records management not

covered elsewhere in this schedule.

Destroy when 6 years old.

KU

Record keeping system: ADAMS.

8. Reserved

9. Feasibility Studies.

Studies conducted before the installation of any

technology or equipment associated with

information management systems, such as word

processing, copiers, micrographics, and

communications. Studies and system analyses

for the initial establishment and major changes

of these systems. Such studies typically include

a consideration of the alternatives of the

proposed system and a costlbenefit analysis,

including an analysis of the improved efficiency

Destroy 5 years after completion or

cancellation of study.

KU

122
Transmittal No. 8

December 1998

General Records Schedule 16

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

and effectiveness to be expected from the

proposed system.

Record keeping system: ADAMS.

10. Microform Insnection Records. --

a. Agency copy of inventories, logs, and

reports documenting the inspection of

permanent microform records, as required

by 36 CFR Part 1230. [See notes after item

10a.]

Destroy 1 year after the records are

transferred to the National Archives

of the United States.

Record keeping system: ADAMS.

[NOTES: (1) This item does not cover the copy of logs and reports that are attached to the SF

135 when records are transferred to a Federal records center or the SF 258 when records are

transferred to the National Archives of the United States. (2) Inspection records for unscheduled

records that are converted to microform are also unscheduled and may not be destroyed.]

b. Agency copy of logs and other records

documenting the inspection of temporary

microform records, as recommended by 36

CFR Part 1230.

Destroy when 2 years old or when

superseded, whichever is later.

Record keeping system: ADAMS.

11. IRM Triennial Review Files.

Reports'required by the GSA concerning

reviews of information resources management

(IRM) practices. Included are associated

correspondence, studies, directives, feeder

reports, and monitoring surveys and reports.

Record keeping system: NA.

12. Information Collection Budget Files.

Destroy when 7 years old.

Reports required by the OMB under the

Paperwork Reduction Act about the number of

hours the public spends fulfilling agency

reporting requirements. Included are associated

Destroy when 7 years old.

123
Transmittal No. 8

December 1998

General Records Schedule 16

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION V)

feeder reports, report exhibits, correspondence,

directives, and statistical compilations.

Record keeping system: ADAMS.

13. Documents Published in the Federal Register.

[See note after item 13b.]

a. Files documenting the processing of notices

announcing committee meetings, including

meetings open to the public under the

Government in Sunshine Act (5 U.S.C.

552b(e)(3)); hearings and investigations;

filing of petitions and applications; issuance

or revocation of a license; grant application

deadlines, the availability of certain

environmental impact statements;

delegations of authority; and other matters

that are not codified in the Code of Federal

Regulations.

Record keeping system: Paper.

Destroy when 1 year old.

b. Files documenting the processing of

semiannual regulatory agenda.

Destroy when 2 years old.

Record keeping system: Paper.

[NOTE: Agency files documenting the development, clearance, and processing of proposed

and final rules for publication in the Federal Register are not covered by the General Records

Schedules. These records may be, but are not necessarily, permanent. They must be

scheduled individually by each agency so NARA can conduct an analysis and appraisal to

determine their appropriate disposition.]

14. Management Control Records.

Records created in accordance with procedures

mandated by OMB Circular A-123,

Management Accountability and Control

Systems, and Pub.L. 97-255, the Federal

Managers' Financial Integrity Act. Under these

authorities, agencies are required to perform

evaluations of their accounting and

124
Transmittal No. 8

December 1998

General Records Schedule 16

> ITEM I

NO. DESCRIPTION OF RECORDS

.7

administrative controls to prevent waste, fraud,

and mismanagement.

AUTHORIZED DISPOSITION

a. Policy, procedure, and guidance files.

Copies of internal directives maintained by

the agency's internal control staff (but not

those copies maintained in the agency's

official file of internal directives); external

directives such as OMB Circular A-123; and

correspondence outlining policy and

procedure for performing management

reviews.

Destroy when superseded.

Record keeping system: ADAMS.

b. Management control plans.

Comprehensive plans documenting the

agency's efforts to ensure compliance with

OMB Circular A-123.

Destroy when superseded.

Record keeping system: ADAMS.

c. Risk analyses.

Reports and supporting materials used to

document review of program areas for

susceptibility to loss or unauthorized use of

resources, errors in reports and information,

and illegal and unethical actions.

Cut off closed files annually. Destroy

after next review cycle.

Record keeping system: ADAMS.

d. Annual reports and assurance statements

created by organizational components below

the agency (department or independent

agency) level and compiled by the agency

into a single unified report for direct

submission to the President or Congress.

[See note after item 14d.]

Cut off closed files annually. Destroy

after next reporting cycle.

Record keeping system: ADAMS.

125
Transmittal No. 8

December 1998

General Records Schedule 16

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

[NOTE: This item does not cover the consolidated final reports submitted directly to the

President or Congress. The final reports must be scheduled by submitting an SF 115 to NARA.]

e. Tracking files.

Files used to ensure the completion and

timeliness of submission of feeder reports,

including schedules of evaluations, interim

reporting, lists of units required to report,

and correspondence relating to the

performance of the reviews.

Destroy 1 year after report is

completed.

Record keeping system: Paper.

f. Review files. [See note after item 14f(2).]

Correspondence, reports, action copies of

audit findings, and other records that

identify program internal control

weaknesses, and corrective actions taken to

resolve such problems. Since A-123

provides for alternative internal control

reviews under OMB Circulars A-76, A-127,

or A-130, this item also applies to copies of

these reviews, provided they are identified

as alternative reviews in the management

control plan.

KJ

(1) Office with responsibility for

coordinating internal control functions.

Cut off when no further corrective

action is necessary. Destroy 5 years

after cutoff.

Record keeping system: Paper.

(2) Copies maintained by other offices as

internal reviews.

Cut off when no further corrective

action is necessary. Destroy 1 year

after cutoff.

Record keeping system: ADAMS.

[NOTE: Alternative reviews such as computer security reviews and management and consultant

studies may need to be kept longer than provided in item 14f(2). This item applies only to copies

maintained as internal reviews.]

126
Transmittal No. 8

December 1998

General Records Schedule 16

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

15. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to'generate a recordkeeping

copy of the records covered by the other'items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for'

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronicimail'

directories,-or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

Destroy/delete when dissemination,

revision; or updating is completed

127
Transmittal No. 8

December 1998

General Records Schedule 17

GENERAL RECORDS SCHEDULE 17

Cartographic, Aerial Photographic, Architectural, and Engineering Records

Federal agencies create or receive cartographic, aerial photographic, architectural, and

engineering design records in connection with their official activities. Many of these records have

continuing historical value after they are no longer being used by the agency. Descriptions of

both historically valuable and temporary records were formerly included in General Records

Schedule 17, Cartographic, Remote Sensing Imagery, and Related Records, and in General

Records Schedule 22, Design and Construction Drawings and Related Records. The General

Records Schedules have been revised to cover only temporary records, and this schedule covers

temporary records formerly included in those two schedules. Guidelines for identifying and

scheduling the records of continuing value are now provided in "Managing Cartographic and

Architectural Records: An Instructional Guide." The Guide must be used in conjunction with the

General Records Schedule to ensure proper disposition of all cartographic, aerial photographic,

architectural, and engineering design records held by an agency.

This schedule relates to cartographic records prepared during intermediate stages of publication,

unannotated aerial photographic negatives and prints, and architectural and engineering

drawings. Cartographic and aerial photographic records created before January 1, 1950, and

architectural or engineering drawings created before January 1, 1921, must be brought to the

attention of the National Archives and Records Administration (NARA) before applying the

disposition instructions in this schedule.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Cartographic Records Prepared Durini

Intermediate Stases of Publication.

Scribed plastic sheets, color separation sheets,

composites prepared as a step in the making of

color separation sheets, photographic negatives,

glass plate negatives, enlargements or reductions,

color pulls, proof copies subject to final revision,

"correction file" maps annotated to show

corrections to be incorporated into the next

edition of the published map, and similar items

whose informational content is duplicated by the

final published map.

Destroy when no longer needed for

revision.

Record keeping system: Paper.

2. Reserved.

128
Transmittal No. 8

December 1998

General Records Schedule 17

rTEM

NO. -DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

3. Architectural Drawings of Temporary ;- -

Structures and Buildings or of

Buildings Not Critical to the Mission of the

Agencv.

Drawings of structures and buildings such as ,

telephone and electric lines, storage sheds,

parking lots, and comfort stations.

Destroy when superseded or after the

structure or object has been retired

from service.

Record keeping system: Electronic.

4. Drawines of Electrical. Plumbing, Heating.

or Air Conditioning Systems.

Destroy when superseded or after the

structure or object has been retired

from service.

Record keeping system: Electronic.

5. Contract Neaotiation Drawings.

Drawings prepared during contract negotiation

for buildings or objects lacking historical, r

architectural, or technological significance;

drawings related to electrical, plumbing,

heating, or air conditioning projects; or

drawings superseded by final working/as built

drawings.

Destroy when the final working/asbuilt drawings have been produced.

Record keeping system: Electronic.

6. Space Assignment Plans.

Outline floor plans indicating occupancy of a

building.

Destroy when superseded or after the

structure or object has been retired

from service.

Record keeping system: Electronic.

7. Reserved.

8. Engineering Drawings of Routine Minor

Parts.

Drawings of such objects as fasteners, nuts,

bolts, wires, screws, nails, pipe fittings,

Destroy when superseded or after the

structure or object has been retired

from service.

129
Transmittal No. 8

December 1998

General Records Schedule 17

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION <2

brackets, struts, plates, and beams, if maintained

separately or if segregable from a larger file.

Record keeping system: Electronic.

9. Drawings Reflecting Minor Modifications.

Repetitive engineering drawings showing minor

modifications made during research and

development, and superseded by final drawings,

if filed separately or if readily segregable from a

larger file.

Destroy when superseded or after the

structure or object has been retired

from service.

Record keeping system: Electronic.

10. Paint Plans and Samples. [See note after this

item.]

Plans and paint samples for painting all areas of

buildings lacking historical, architectural, or

technological significance and plans and

samples for painting appliances, elevators, and

other mechanical parts of buildings.

Destroy when superseded or after the

structure or object has been retired

from service.

Record keeping system: NA.

130
Transmittal No. 8

December 1998

ITEM

NO. DESCRIPTION OF RECORDS

General Records Schedule 17

- AUTHORIZED DISPOSITION

[NOTE: Paint plans and samples for the interior and exterior walls of buildings significant for

historical, architectural, or technological reasons are not disposable under this item and must be

scheduled by submitting a Standard Form (SF) .115 to NARA.]

131:
Transmittal No. 8 General Records Schedule 18

December 1998

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 ensure the adequacy of protective measures at privately owned plants given

security cognizance by the Government; to determine loyalty and fitness of individuals employed

by, or seeking employment from the Government; and to develop and implement plans for the

protection of life and property under emergency conditions. Included are selected files of offices

having Government-wide or agencywide responsibility for security and protective services

programs. Also included are files of security units, guard forces, and other organizational

elements documenting the control of classified information, access to facilities, and like matters.

This schedule authorizes for disposal records documenting administrative actions relating to the

above functions. Records documenting Government-wide or agencywide security and protective

services planning and programming, reflecting basic overall policies and determinations are not

authorized for disposal by this schedule. Variations among agencies in methods of implementing

statutory requirements for security and protective services result in dissimilarities in program

documentation. The application of standard techniques of filing and disposition to such records

through the medium of a General Records Schedule is therefore impractical. Any records created

prior to January 1, 1921, must be offered to the National Archives and Records Administration

(NARA) before applying these disposition instructions.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

CLASSIFIED INFORMATION ACCOUNTING AND CONTROL RECORDS

Records accumulating from measures taken by agencies to protect classified information from

unauthorized disclosure in accordance with Executive orders and statutory or regulatory

requirements.

132
Transmittal No. 8

December 1998

General Records Schedule 18

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSMON

1. Classified Documents Administrative

Correspondence Files. [See note after this

item.]

Correspondence files pertaining to the

administration of security classification, control,

and accounting for classified documents, not

covered elsewhere in this schedule.

Destroy when 2 years old.

Record keeping system: Paper.

[NOTE: This item does not cover records documenting policies and procedures accumulated in

offices having agencywide responsibilities for security and protective services programs.]

2. Document Receipt Files.

Records documenting the receipt and issuance

of classified documents.

Destroy when 2 years old.

Record keeping system: Paper.

3. Destruction Certificates Files.

Certificates relating to the destruction of

classified documents.

Destroy when 2 years old.

Record keeping system: Paper.

4. Classified Document Inventory Files.

Forms, ledgers, or registers used to show

identity, internal routing, and final disposition

made of classified documents, but exclusive of

classified document receipts and destruction

certificates and documents relating to Top

Secret material covered elsewhere in this

schedule.

Destroy when 2 years old.

Record keeping system: Paper.

133
Transmittal No. 8

December 1998

General Records Schedule 18

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION K>1

5. Top Secret Accounting and Control Files.

[See note after item Sb.]

a. Registers maintained at control points to

indicate accountability over Top Secret

documents, reflecting the receipt, dispatch,

or destruction of the documents.

Destroy 5 years after documents

shown on forms are downgraded,

transferred, or destroyed.

Record keeping system: Paper.

b. Forms accompanying documents to ensure

continuing control, showing names of

persons handling the documents, intra-office

routing, and comparable data.

Destroy when related document is

downgraded, transferred, or

destroyed.

Record keeping system: Paper.

[NOTE: Master files and data bases created to supplement or replace the records covered by item

5 are not authorized for disposal under the GRS. Such files must be scheduled on a Standard

Form (SF) 115.]

6. Access Reguest Files.

Requests and authorizations for individuals to

have access to classified files.

Destroy 2 years after authorization

expires.

Record keeping system: Paper.

7. Classified Document Container Security

Files. [See note after item 7b.]

a. Forms or lists used to record safe and

padlock combinations, names of individuals

knowing combinations, and comparable data

used to control access into classified

document containers.

Destroy when superseded by a new

form or list or upon turn-in of

containers.

Record keeping system: Paper.

b. Forms placed on safes, cabinets, or vaults

containing security classified documents that

record opening, closing, and routine

checking of the security of the container,

Destroy 3 months following the last

entry on the form (see note)

134
Transmittal No. 8

December 1998

General Records Schedule 18

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

such as locking doors and windows, and

activating alarms. Included are such forms

as SF 701, Activity Security Checklist, and

SF 702, Security Container Check Sheet.

Record keeping system: Paper.

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

FACILITIES SECURITY AND PROTECTIVE SERVICES RECORDS

Records relating to measures taken for the protection of Government-owned facilities and

privately operated facilities given security cognizance by the Government from unauthorized

entry, sabotage, or loss.

8. Security and Protective Services

Administrative Correspondence Files. [See

note after this item.]

Correspondence files relating to administration

and operation of the facilities security and

protective services programs, not covered

elsewhere in this schedule.

Destroy when 2 years old.

Record keeping system: Paper.

[NOTE: This item does not cover records documenting policies and procedures accumulated in

offices having agencywide responsibilities for security and protective services programs.]

9. Survey and Inspection Files. (Governmentowned facilities)

Reports of surveys and inspections of

Government-owned facilities conducted to*

ensure adequacy of protective and preventive

measures taken against hazards of fire,

explosion, and accidents, and to safeguard

information and facilities against sabotage and

unauthorized entry.

Destroy when 3 years old or upon

-discontinuance of facility, whichever

is sooner.

Record keeping system: Paper.

135
Transmittal No. 8

December 1998

General Records Schedule 18

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION K-)

10. Survey and Inspection Files. (privately owned

facilities)

Reports of surveys and inspections of privately

owned facilities assigned security cognizance by

Government agencies and related documents.

Destroy when 4 years old or when

security cognizance is terminated,

whichever is sooner.

Record keeping system: Paper.

11. Investigative Files.

Investigative files accumulating from

investigations of fires, explosions, and

accidents, consisting of retained copies of

reports and related documents when the original

reports are submitted for review and filing in

other agencies or organizational elements, and

reports and related papers concerning

occurrences of such a minor nature that they are

settled locally without referral to other

organizational elements.

Destroy when 2 years old.

Record keeping system: Paper.

12. Property Pass Files.

Property pass files, authorizing removal of

property or materials.

Destroy 3 months after expiration or

revocation.

Record keeping system: NA.

13. Guard Assignment Files.

Files relating to guard assignments and strength.

a. Ledger records. Destroy 3 years after final entry.

Record keeping system: Paper.

136
Transmittal No. 8

December 1998

ITEM

NO. DESCRIPTION OF RECORDS

b.- Requests, analyses, reports, change notices,

and other papers relating to post assignments

and strength requirements.

Record keeping system: Paper.

14. Police Functions Files.

Files relating to exercise of police functions.

a. Ledger records of arrest, cars ticketed, and

outside police contacts.

Record keeping system: NA.

b. Reports, statements of witnesses, warning

notices, and other documents relating to

arrests, commitments, and traffic violations.

- Record keeping system: NA.

c. Reports on contact of outside police with

building occupants.

Record keeping system: NA.

15. Personal Propertv Accountability Files.

Files relating to accountability for personal

property lost or stolen.

Record keeping system: Paper.

a. Ledger files.

b. Reports, loss statements, receipts, and other

documents relating to lost and found articles.

16. Key AccountabilitY Files.

Files relating to accountability for keys issued.

Record keeping system: Paper.

General Records Schedule 18

AUTHORIZED DISPOSITION

Destroy when 2 years old.

Destroy 3 years after final entry.

Destroy when 2 years old.

Destroy when 1 year old.

Destroy 3 years after final entry.

Destroy when 1 year old.

137
Transmittal No. 8

December 1998

General Records Schedule 18

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

a. For areas under maximum security. Destroy 3 years after turn-in of key.

b. For other areas. Destroy 6 months after turn-in of

key.

17. Visitor Control Files.

Registers or logs used to record names of

outside contractors, service personnel, visitors,

employees admitted to areas, and reports on

automobiles and passengers.

Record keeping system: Paper.

a. For areas under maximum security. Destroy 5 years after final entry or 5

years after date of document, as

appropriate.

b. For other areas. Destroy 2 years after final entry or 2

years after date of document, as

appropriate.

18. Facilities Checks Files.

Files relating to periodic guard force facility

checks.

Record keeping system: Paper.

a. Data sheets, door slip summaries, check

sheets, and guard reports on security

violations (except copies in files of agency

security offices covered by item 24 of this

schedule).

b. Reports of routine after-hours security

checks that either do not reflect security

violations or for which the information

contained therein is documented in the files

defined in item 24 of this schedule.

Destroy when 1 year old.

Destroy when 1 month old.

138
Transmittal No. 8

December 1998

HTEM

NO. DESCRIPTION OF RECORDS

19. Guard Service Control Files.

General Records Schedule 18

AUTHORIZED DISPOSITION

a. Control center key or code records,

emergency call cards, and building record

and employee identification cards.

Record keeping system: Paper.

b. Round reports, service reports on

interruptions and tests, and punch clock dial

sheets.

Destroy when superseded or

obsolete.

Destroy when 1 year old.

Record keeping system: Paper.

c. Automatic machine patrol charts and Destroy when 1 year old.

registers of patrol and alarm services.

Record keeping system: Paper.

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

and receipts. arms.

Record keeping system: Paper.

20. Logs and Registers.

Guard logs and registers not covered elsewhere

in this schedule.

Record keeping system: Paper.

a. Central guard office master logs. - Destroy 2 years after final entry.

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

entered in master logs.

PERSONNEL SECURITY CLEARANCE RECORDS

Records accumulating from investigations of personnel conducted under Executive orders and

statutory or regulatory requirements.

139
Transmittal No. 8

December 1998

General Records Schedule 18

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

21. Security Clearance Administrative Subiect

Files.

Correspondence, reports, and other records

relating to the administration and operation of

the personnel security program, not covered

elsewhere in this schedule.

Record keeping system: Paper.

22. Personnel Security Clearance Files.

Personnel security clearance case files created

under Office of Personnel Management

procedures and regulations and related indexes

maintained by the personnel security office of

the employing agency.

Record keeping system: Paper.

Destroy when 2 years old.

a. Case files documenting the processing of

investigations on Federal employees or

applicants for Federal employment, whether

or not a security clearance is granted, and

other persons, such as those performing

work for a Federal agency under contract,

who require an approval before having

access to Government facilities or to

sensitive data. These files include

questionnaires, summaries of reports

prepared by the investigating agency, and

other records reflecting the processing of the

investigation and the status of the clearance,

exclusive of copies of investigative reports

furnished by the investigating agency.

b. Investigative reports and related documents

furnished to agencies by investigative

organizations for use in making

security/suitability determinations.

c. Index to the Personnel Security Case Files.

Destroy upon notification of death or

not later than 5 years after separation

or transfer of employee or no later

than 5 years after contract

relationship expires, whichever is

applicable.

Destroy in accordance with the

investigating agency instructions.

Destroy with related case file.

<2

140
Transmittal No. 8

December 1998

General Records Schedule 18

BTEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

23. Personnel Security Clearance Status Files.

Lists or rosters showing the current security

clearance status of individuals.

Destroy when superseded or

obsolete.

Record keeping system: Paper.

24. Security Violations Files.

Case files relating to investigations of alleged

violations of Executive orders, -laws, or agency

regulations for the safeguarding of national

security information.

Record keeping system: Paper.

a. Files relating to alleged violations of a

sufficiently serious nature that they are

referred to the Department of Justice or

Department of Defense for prosecutive

determination, exclusive of files held by the

Department of Justice or Department of

Defense offices responsible for making such

determinations.

b. All other files, exclusive of documents

placed in official personnel folders.

Destroy 5 years after close of case.

Destroy 2 years after completion of

final action.

25. Classified Information Nondisclosure

Agreements.

Copies of nondisclosure agreements, such as SF

312, Classified Information Nondisclosure

Agreement, signed by civilian and military

personnel with access to information that is

classified under standards put forth by Executive

orders governing security classification. These

forms should be maintained separately from

personnel security clearance files. Agreements

for civilian employees working for elements of

the intelligence community must be maintained

separately from the official personnel folder. For

all other persons, these forms may be filed in the

141
Transmittal No. 8

December 1998

General Records Schedule 18

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

individual's official military personnel folder

(for uniformed military personnel) or on the

right side of the official personnel folder (for

civilian employees).

a. If maintained separately from the

individual's official personnel folder.

Destroy when 70 years old.

Record keeping system: Paper.

b. If maintained in the individual's official

personnel folder.

Apply the disposition for the official

personnel folder.

Record keeping system: NA.

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.

26. Emergency Planning Administrative

Correspondence Files. [See note after this

item.]

Correspondence files relating to administration

and operation of the emergency planning

program, not covered elsewhere in this schedule.

Destroy when 2 years old.

Record keeping system: Paper.

[NOTE: This item does not cover records documenting policies and procedures accumulated in

offices having agencywide responsibilities for emergency programs.]

27. Emergencv Planning Case Files. [See notes

after this item.]

Case files accumulated by offices responsible

for the preparation and issuance of plans and

directives, consisting of a copy of each plan or

directive issued, with related background

documents, EXCLUDING one record copy of

each plan or directive issued, if not included in

Destroy 3 years after issuance of a

new plan or directive.

142
Transmittal No. 8

December 1998

General Records Schedule 18

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

the agency's permanent set of master directives

files.

Record keeping system: Paper.

[NOTES: (1) If the emergency plan is not included in the agency's master set of directives files, a

record set must be maintained and scheduled for eventual transfer to the National Archives of the

United States by submission of an SF 115 to NARA. (2) Emergency planning reports of

operations tests, consisting of consolidated or comprehensive reports reflecting agencywide

results of tests conducted under emergency plans are also permanent and must be scheduled for

transfer to the National Archives of the United States by submission of an SF 115.]

28. Emergencv Operations Tests Files.

Files accumulating from tests conducted under

agency emergency plans, such as instructions to

members participating in test, staffing

assignments, messages, tests of communications

and facilities, and reports EXCLUDING

consolidated and comprehensive reports.

Record keeping system: Paper.

29. National Defense Executive Reserve (NDER)

Case Files.

Case files for NDER reservists or applicants,

maintained by agencies with major mobilization

responsibilities in cases of national security

emergencies, including qualifications statement,

other personnel and administrative records,

skills inventory, training data, and other records

relating to administration of the NDER program.

Record keeping system: Paper.

Destroy when 3 years old.

a. Case files on reservists.

b. Case files on individuals whose applications

were rejected or withdrawn.

Destroy 5 years after termination

from NDER program.

Destroy when 5 years old.

143
Transmittal No. 8

December 1998

General Records Schedule 18

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

30. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

'V

Destroy/delete when dissemination,

revision, or updating is completed.

144
Transmittal No. 7 General Records Schedule 20

August 1995

GENERAL RECORDS SCHEDULE 20

Electronic Records

This schedule provides disposal authorization for certain electronic records and specified hardcopy (paper) or microform records that are integrally related to the electronic records. This

schedule applies to disposable electronic records created or received by Federal agencies

including those managed for agencies by contractors. It covers records created by computer

operators, programmers, analysts, systems administrators, and all personnel with access to a

computer. Disposition authority is provided for certain master files, including some tables that

are components of data base management systems, and certain files created from master files for

specific purposes. In addition, this schedule covers certain disposable electronic records

produced by end users in office automation applications. These disposition authorities apply to

the categories of electronic records described in GRS 20, regardless of the type of computer used

to create or store these records. GRS 20 does not cover all electronic records. Electronic records

not covered by GRS 20 may not be destroyed unless authorized by a Standard Form 115 that has

been approved by the National Archives and Records Administration (NARA). The records

covered by several items in this schedule are authorized for erasure or deletion when the agency

determines that they are no longer needed for administrative, legal, audit, or other operational

purposes. NARA cannot establish a more specific retention that would be appropriate in all

applications. Each agency should, when appropriate, determine a more specific disposition

instruction, such as "Delete after X update cycles" or "Delete when X years old," for inclusion in

its records disposition directives or manual. NARA approval is not needed to set retention

periods for records in the GRS that are authorized for destruction when no longer needed. Items

2a and la (in part) of this schedule apply to hard-copy or microform records used in conjunction

with electronic files; Item 1 also covers printouts produced to test, use, and maintain master files.

Items 10 and 11 of this schedule should be applied to special purpose programs and

documentation for disposable electronic records whatever the medium in which such

documentation and programs exist. This schedule has been revised to include electronicallygenerated records previously covered in General Records Schedule 23, Records Common to

Most Offices. The original numbering of the items in GRS 20 has been preserved. The items

moved from GRS 23 have been added at the end, except the item covering administrative data

bases that has been incorporated into item 3.

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

under the provisions of item 3 of GRS 20. See also 36 CFR Part 1234 for NARA regulations on

electronic records management. -

145
Transmittal No. 7

August 1995

General Records Schedule 20

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Files/Records Relating to the Creation. Use.

and Maintenance of Computer Systems.

Applications. or Electronic Records.

Record keeping system: Electronic and Paper.

a. Electronic files or records created solely to

test system performance, as well as hardcopy printouts and related documentation for

the electronic files/records.

b. Electronic files or records used to create or

update a master file, including, but not

limited to, work files, valid transaction files,

and intermediate inputloutput records.

c. Electronic files and hard-copy printouts

created to monitor system usage, including,

but not limited to, log-in files, password

files, audit trail files, system usage files, and

cost-back files used to assess charges for

system use.

Delete/destroy when the agency

determines that they are no longer

needed for administrative, legal,

audit, or other operational purposes.

Delete after information has been

transferred to the master file and

verified.

Delete/destroy when the agency

determines they are no longer needed

for administrative, legal, audit, or

other operational purposes. '<2

2. Input/Source Records.

a. Non-electronic documents or forms

designed and used solely to create, update,

or modify the records in an electronic

medium and not required for audit or legal

purposes (such as need for signatures) and

not previously scheduled for permanent

retention in a NARA-approved agency

records schedule.

Destroy after the information has

been converted to an electronic

medium and verified, or when no

longer needed to support the

reconstruction of, or serve as the

backup to, the master file, whichever

is later.

Record keeping system: Paper.

b. Electronic records, except as noted in item

2c, entered into the system during an update

- process, and not required for audit and legal

purposes.

Record keeping system: Electronic.

Delete when data have been entered

into the master file or database and

verified, or when no longer required

to support reconstruction of, or serve

as back-up to, a master file or

database, whichever is later.

146
Transmittal No. 7

August 1995

General Records Schedule 20

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSiTION

c. Electronic records received from another

agency and used as input/ source records by

the receiving agency, EXCLUDING records

produced by another agency under the terms

of an interagency agreement, or records

created by another agency in response to the

specific information needs of the receiving

agency.

Delete when data have been entered

into the master file or database and

verified, or when no longer needed to

support reconstruction of, or serve as

back up to, the master file or

database, whichever is later.

Record keeping system: Electronic.

d. - Computer files or records containing

uncalibrated and unvalidated digital or

analog data collected during observation or

measurement activities or research and

development programs and used as input for

a digital master file or database.

Delete after the necessary data have

been incorporated into a master file.

Record keeping system: Electronic and

Paper.

3. Electronic Versions of Records Scheduled for

Disposal.

a. Electronic versions of records that are

scheduled for disposal under one or more

items in GRS 1-16, 18, 22, or 23;

EXCLUDING those that replace or duplicate

the following GRS items: GRS 1, items 21,

22, 25f; GRS 12, item 3; and GRS 18, item

5.

Delete after the expiration of the - . on .

retention period authorized by the

GRS or when no longer needed,

whichever is later.

Record keeping system: Electronic.

b. Electronic records that support

administrative housekeeping functions when

the records are derived from or replace hard

copy records authorized by NARA for

destruction in an agency-specific records

schedule.

147
Transmittal No. 7

August 1995

General Records Schedule 20

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

(1) When hard copy records are retained to

meet recordkeeping requirements.

Record keeping system: Paper.

(2) When the electronic record replaces hard

copy records that support administrative

housekeeping functions.

Record keeping system: Electronic.

(3) Hard copy printouts created for shortterm administrative purposes.

Record keeping system: Paper.

Delete electronic version when the

agency determines that it is no longer

needed for administrative, legal,

audit, or other operational purposes.

Delete after the expiration of the

retention period authorized for the

hard copy file, or when no longer

needed, whichever is later.

Destroy when the agency determines

that they are no longer needed for

administrative, legal, audit, or other

operational purposes.

4. Data Files Consisting of Summarized

Information.

Records that contain summarized or aggregated

information created by combining data elements

or individual observations from a single master

file or data base that is disposable under a GRS

item or is authorized for deletion by a

disposition job approved by NARA after

January 1, 1988,- EXCLUDING data tiles that

are created as disclosure-free files to allow

public access to the data which may not be

destroyed before securing NARA approval.

Delete when the agency determines

that they are no longer needed for

administrative, legal, audit, or other

operational purposes.

Record keeping system: Electronic.

[NOTE: Data files consisting of summarized information which were created from a master file

or data base that is unscheduled, or that was scheduled as permanent but no longer exists or can

no longer be accessed, may not be destroyed before securing NARA approval.]

5. Records Consisting of Extracted

Information.

Record keeping system: Electronic.

148
Transmittal No. 7

August 1995

General Records Schedule 20

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

Electronic files consisting solely of records

extracted from a single master file or data base

that is disposable under GRS 20 or approved for

deletion by a NARA-approved disposition

schedule, EXCLUDING extracts that are:

Delete when the agency determines

that they are no longer needed for

* administrative, legal, audit, or other

operational purposes.

a) produced as disclosure-free files to allow

public access to the data; or

b) produced by an extraction process which

changes the informational content of the

source master file or data base; which may

not be destroyed before securing NARA

approval. For print and technical reformat

files'see items 6 and 7 of this schedule

:respectively.

[NOTES: (1) Records consisting of extracted information that was created from a master file or

data base'that is unscheduled, or that was scheduled as permanent but no longer exists or can no

longer be accessed may not be destroyed before securing NARA approval. (2) See item 12 of this

schedule for other extracted data.]

6. Print File.

Electronic file extracted from a master file or

data base without changing it and used solely to

produce hard-copy publications and/or printouts

of tabulations,'ledgers, registers, and statistical

reports. -

Delete when the agency determines

that they are no longer needed for

administrative, legal, audit, or other

operational purposes.

Record keeping system: Electronic.

7. Technical Reformat File.

Electronic file consisting of data copied from a

complete or partial master file or data base made

for the specific purpose of information

interchan'ge and written with varying technical

specifications, EXCLUDING files created for

transfer to the National Archives.

Record keeping system: Electronic.

Delete when the agency determines

that they are no longer needed for

administrative, legal, audit, or other

operational purposes.

149
Transmittal No. 7

August 1995

General Records Schedule 20

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

8. Backups of Files.

Electronic copy, considered by the agency to be

a Federal record, of the master copy of an

electronic record or file and retained in case the

master file or database is damaged or

inadvertently erased.

Record keeping system: Electronic.

a. File identical to records scheduled for

transfer to the National Archives.

b. File identical to records authorized for

disposal in a NARA-approved records

schedule.

Delete when the identical records

have been captured in a subsequent

backup file or when the identical

records have been transferred to the

National Archives and successfully

copied.

Delete when the identical records

have been deleted, or when replaced

by a subsequent backup file.

9. Finding Aids (or Indexes).

Electronic indexes, lists, registers, and other

finding aids used only to provide access to

records authorized for destruction by the GRS or

a NARA-approved SF 115, EXCLUDING

records containing abstracts or other information

that can be used as an information source apart

from the related records.

Delete with related records or when

the agency determines that they are

no longer needed for administrative,

legal, audit, or other operational

purposes, whichever is later.

Record keeping system: Electronic.

10. Special Purpose Programs.

Application software necessary solely to use or

maintain a master file or database authorized for

disposal in a GRS item or a NARA-approved

records schedule, EXCLUDING special purpose

software necessary to use or maintain any

unscheduled master file or database or any

Delete when related master file or

database has been deleted or when

software program is superseded, and

is no longer needed to access legacy

records. (NI431-04-1, Item I).

150
Transmittal No. 7

August 1995

General Records Schedule 20

FTEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

master file or database scheduled for transfer to,

the National Archives.

Record keeping system: Electronic.

11. Documentation.

a. Data systems specifications, file

specifications, codebooks, record layouts,;

user guides, output specifications, and final

reports (regardless of medium) relating to a

master file or data base that has been

authorized for destruction by the GRS or a

NARA-approved disposition schedule.

Destroy or delete when superseded

or obsolete, or upon authorized

deletion of the related master file or

data base, or upon the destruction of

the output of the system if the output

is needed to protect legal rights,

whichever is latest.

Record keeping system: ADAMS.

b. Copies of records relating to system security,

including records documenting periodic -

audits or review and re certification of

sensitive applications, disaster and

continuity plans, and risk analysis, as

described in OMB Circular No. A-130.

Destroy or delete when superseded

or obsolete.

Record keeping system: ADAMS.

[NOTES: (1) Documentation that relates to permanent or unscheduled master files and data

bases is not authorized for destruction by the GRS. (2) See item la of this schedule for

documentation relating to system testing.]

12. Downloaded and Copied Data.

Derived data and data files that are copied,-

extracted, merged, and/or calculated from other -

data generated within the agency, when the

original data is retain.

Record keeping system: Electronic.

a. Derived data used for ad hoc or one-time

inspection, analysis or review, if the derived

Delete when the agency determines

that they are no longer needed for

151
Transmittal No. 7

August 1995

General Records Schedule 20

ITEM

NO.

K)~

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

data is not needed to support the results of

the inspection, analysis or review.

b. Derived data that provide user access in lieu

of hard copy reports that are authorized for

disposal.

c. Metadata or reference data, such as format,

range, or domain specifications, which is

transferred from a host computer or server to

another computer for input, updating, or

transaction processing operations.

administrative, legal, audit, or other

operational purposes.

Delete when the agency determines

that they are no longer needed for

administrative, legal, audit, or other

operational purposes.

Delete from the receiving system or

device when no longer needed for

processing.

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

13. Word Processing Files.

Documents such as letters, memoranda, reports,

handbooks, directives, and manuals recorded on

electronic media such as hard disks or floppy

diskettes after they have been copied to an

electronic recordkeeping system, paper, or

microform for recordkeeping purposes.

Delete from the word processing

system when no longer needed for

updating or revision.

Record keeping system: Electronic.

14. Electronic Mail Records.

Senders' and recipients' versions of electronic

mail messages that meet the definition of

Federal records, and any attachments to the

record messages after they have been copied to

an electronic recordkeeping system, paper, or

microform for recordkeeping purposes.

Delete from the e-mail system after

copying to a recordkeeping system.

Record keeping system: Electronic.

[NOTE: Along with the message text, the recordkeeping system must capture the names of

sender and recipients and date (transmission data for recordkeeping purposes) and any receipt

data when required.]

152
Transmittal No. 7 General Records Schedule 20

August 1995

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSmON

15. Electronic Spreadsheets. Electronic

spreadsheets generated to support

administrative functions or generated by an

individual as background materials or feeder

reports.

a. When used to produce hard copy that is

maintained in organized files.

Record keeping system: Electronic.

b. When maintained only in electronic form.'

Record keeping system: Electronic.

Delete when no longer needed to

update or produce hard copy.

Delete after the expiration of the

retention period authorized for the

hard copy by the GRS or a NARAapproved SF 115. If the electronic

version replaces hard copy records

with differing retention periods and

agency software does not readily

permit selective deletion, delete after

the longest retention period has

expired.

1, :

- . . ; a . - :I

153
Transmittal No. 8 General Records Schedule 21

December 1998

GENERAL RECORDS SCHEDULE 21

Audiovisual Records

This schedule covers audiovisual and related records created by or for agencies of the Federal

Government as well as those acquired in the course of business. For audiovisual records that are

not described in this schedule, agencies must request disposition authority by submitting a

Standard Form (SF) 115, Request for Records Disposition Authority, to the National Archives

and Records Administration (NARA) Life Cycle Management Division (NWML).

Audiovisual records include still and motion picture photography, graphic materials, and sound

and video recordings. Related documentation includes (1) production files-or other files

documenting the creation, justification, ownership, and rights to the records and (2) finding aids

used to identify or access the records.

This schedule does not cover. (1) cartographic records, (2) remote sensing imagery recorded on

film or magnetic tape, or (3) microform copies of textual records. Disposable cartographic

records and remote sensing imagery recorded on film are covered by GRS 17; temporary

computerized data are covered by GRS 20 and GRS 23; and microform copies of textual records

that have been authorized by NARA for destruction need not be separately scheduled, in

accordance with 36 CFR 1230.10(b).

This schedule does not include descriptions of permanent or potentially permanent records.

Guidance about the identification, maintenance, use, and disposition of potentially permanent

audiovisual records is provided in the NARA publication, "Managing Audiovisual Records: An

Instructional Guide" and NARA records management regulations at 36 CFR 1228.184,

Audiovisual Records.

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

such as audio tape should be reused whenever practical. Silver-bearing photographic film must

be destroyed in accordance with 41 CFR 10145.10, "Recovery of Precious Metals."

This General Records Schedule authorizes the disposal of certain records without further

concurrence from NARA. Agencies are encouraged to include specific series descriptions for

such records in their comprehensive schedules while citing the applicable disposition instruction

from this General Records Schedule as the authority for destroying the records.

154
Transmittal No. 8

December 1998

General Records Schedule 21

ITEM

NO. DESCRIPTON OF RECORDS AUTHORIED DISPOSITION

STILL PHOTOGRAPHY

1. Photographs of Routine Award Ceremonies.,

Social Events, and Activities Not Related to

the Mission of the Agency.

Destroy when 1 year old.

Record keeping system: Paper.

2. Personnel Identification or Passport

Photographs.

Destroy when 5 years old or when

superseded or obsolete, whichever is

later.

Record keeping system: Paper.

3. Internal Personnel and Administrative

Training Filmstrips and Slides of Programs

that Do Not Reflect the Mission of the

Agency.

Destroy 1 year after completion of

training program.

Record keeping system: Paper.

4. Reserved.

GRAPHIC ARTS

5. Viewgraphs. Destroy 1 year after use.

Record keeping system: Paper.

6. Routine Artwork for Handbills, Flyers.

Posters. Letterhead, and Other Graphics.

Destroy when no longer needed for

publication or reprinting.

Record keeping system: Paper.

7. Line and Halftone Negatives. Screened Paper

Prints and Offset Lithographic Plates Used

for Photomechanical Reproduction.

Destroy when no longer needed for

publication or reprinting.

Record keeping system: Paper.

.155
Transmittal No. 8

December 1998

ITEM

NO. DESCRIPTION OF RECORDS A

8. Line Copies of Graphs and Charts. I)

p

Record keeping system: Paper.

MOTION PICTURES

9. Films Acquired from Outside Sources for ID

Personnel and Management Trainin. tr

Record keeping system: Paper.

10. Reserved.

11. Routine Surveillance Footage. D

Record keeping system: Paper.

12. Routine Scientific. Medical. or Engineering D

Footage.

Record keeping system: Paper.

13. Reserved.

VIDEO RECORDINGS

14. Programs Acquired from Outside Sources for Di

Personnel and Manag-ement Training. tr

Record keeping system: Paper.

15. Reserved.

16. Rehearsal or Practice Tapes. De

Record keeping system: Video.

General Records Schedule 21

AUTHORIZED DISPOSiTION

lestroy when no longer needed for

ublication or reprinting.

Destroy 1 year after completion of

aining program.

estroy when 6 months old.

estroy when 2 years old.

KtJ

estroy 1 year after completion of

fining program.

estroy immediately.

156
Transmittal No. 8

December 1998

General Records Schedule 21

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

17. Internal Personnel and Administrative

Training Programs that Do Not Reflect the

Mission of the Agency. (These include "roleplay" sessions, management and supervisory

instruction, etc.)

Destroy 1 year after completion of

training program.

Record keeping system: Video.

18. Routine Surveillance Recordings. Destroy when 6 months old.

Record keeping system: Video.

19. Routine Scientific, Medical, or Engineering

Recordin es.

Destroy when 2 years old.

Record keeping system: Video.

20. Recordings that Document Routine Meetings

and Award Presentations.

Destroy when 2 years old.

Record keeping system: Video.

21. Reserved.

AUDIO (SOUND) RECORDINGS

22. Recordings of Meetings Made Exclusively for

Note Taking or Transcription, EXCLUDING

recordings of proceedings of Presidential

commissions and other executive commissions.

[See note after this item.]

Destroy immediately after use.

Record keeping system: Paper.

[NOTE: Recordings of Presidential and other executive commissions are not covered by the

GRS. Such records are usually appraised as permanent, and they must be described on an SF 115

submitted to NARA for final disposition approval.]

23. Dictation Belts or Tapes. Destroy immediately after use.

Record keeping system: Paper.

157
Transmittal No. 8

December 1998

General Records Schedule 21

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

24. Premix Sound Elements Created Durin! the

Course of a Motion Picture, Television, or

Radio Production.

Destroy immediately after use.

Record keeping system: Audio.

25. Reserved.

26. Daily or Spot News Recordings Available to

Local Radio Stations on a Call-in Basis.

Destroy when 6 months old.

Record keeping system: Audio.

27. Reserved.

RELATED DOCUMENTATION

28. Production Files or Similar Files that

Document Origin, Development, Acquisition,

Use, and Ownership of Temporary

Audiovisual Records.

Dispose of according to the

instructions covering the related

audiovisual records.

Record keeping system: Paper.

29. Finding Aids for Identification, Retrieval, or

Use of Temporary Audiovisual Records.

Dispose of according to the

instructions covering the related

audiovisual records.

Record keeping system: Paper.

158
Transmittal No. 8 General Records Schedule 22

December 1998

GENERAL RECORDS SCHEDULE 22

Inspector General Records

Prior to issuance of the 1998 edition, the'General Records Schedules included in GRS 22

coverage of investigative and audit case files maintained in the Offices of Inspector General

(OIG) of civilian agencies other than the Central Intelligence Agency. The National Archives and

Records Administration (NARA) first issued a-General Records Schedule for OIG records in

1986. Over a period of ten years, NARA (on a case by case basis) granted a number of agencies

authority to deviate from the provisions of GRS 22, which in many instances involved scheduling

some or all of the records in a series as permanent.

A study of the disposition of OIG records in Federal agencies conducted by NARA demonstrated

that GRS 22 does not provide effective disposition authority for most agencies' OIG audit and.

investigation case files. The many exceptions, exclusions, and deviations approved for agency

use demonstrate that for practical purposes the GRS standards no longer had Government-wide

application. Also, in some agencies the OIG has assumed additional specialized responsibilities

(e.g., the conduct of external audits) which were not reflected in GRS 22. As a result of the study,

NARA determined that the disposition of OIG records should not be governed by a General

Records Schedule. This approach will ensure that all agency OIG records are properly appraised

by NARA.

GRS 22 is therefore WITHDRAWN.

159
Transmittal No. 8

December 1998

General Records Schedule 23

GENERAL RECORDS SCHEDULE 23 <2

Records Common to Most Offices Within Agencies

This schedule provides for the disposal of certain records common to most offices in Federal

agencies. It covers administrative subject files; facilitative records such as suspense files,

tracking and control records, calendars, and indexes; and transitory documents. This schedule

does not apply to any materials that the agency has determined to be nonrecord or to materials,

such as calendars or work schedules, claimed as personal.

Office Administrative Files described under item I are records retained by an originating office

as its record of initiation of an action, request, or response to requests for information. This item

may be applied only to separate administrative files containing such records as copies of

documents submitted to other offices for action including budget feeder documents, purchase

orders, and training requests. Item I may not be applied to files that also contain program

records, and it may not be applied by an office that receives and takes action on documents

submitted by other offices.

A new item has been added to this schedule to authorize the destruction of electronic mail and

word processing records maintained by agencies in addition to the copy in the recordkeeping

system. This item covers electronic copies of electronic mail and word processing records created

and used solely to produce the recordkeeping copy, and electronic copies of electronic mail and

word processing records that are needed in addition to the recordkeeping copy for dissemination,

revision, or updating.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Office Administrative Files. [See note after

this item.]

Records accumulated by individual offices that

relate to the internal administration or

housekeeping activities of the office rather than

the functions for which the office exists. In

general, these records relate to the office

organization, staffing, procedures, and

communications, including facsimile machine

logs; the expenditure of funds, including budget

records; day-to-day administration of office

personnel including training and travel; supplies

and office services and equipment requests and

receipts; and the use of office space and utilities.

They may also include copies of internal activity

and workload reports (including work progress,

statistical, and narrative reports prepared in the

Destroy when 2 years old.

160
Transmittal No. 8

December 1998

General Records Schedule 23

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSlTION

office and forwarded to higher levels) and other

materials that do not serve as unique

documentation of the programs of the office.

Record keeping system: Paper.

[NOTE: This schedule is not applicable to the record copies of organizational charts, functional

statements, and related records that document the essential organization, staffing, and procedures

of the office, which must be scheduled prior to disposition by submitting a Standard Form (SF)

115 to the National Archives and Records Administration (NARA).]

Items 2 through 4. Reserved.

5. Schedules of Dailv Activities.

Calendars, appointment books, schedules, logs,

diaries, and other records documenting

meetings, appointments, telephone calls, trips,

visits, and other activities by Federal employees

while serving in an official capacity,

EXCLUDING materials determined to be

personal.

Record keeping system: Paper.

a. Records containing substantive information

relating to official activities, the substance of

which has not been incorporated into official

files, EXCLUDING records relating to the

official activities of high Government

officials. [See note after item Sa.]

Destroy or delete when 2 years old.

[NOTE: High level officials include the heads of departments and independent agencies; their

deputies and assistants; the heads of program offices and staff offices including assistant

secretaries, administrators, and commissioners; directors of offices, bureaus, or equivalent;

principal regional officials; staff assistants to those aforementioned officials, such as special

assistants, confidential assistants, and administrative assistants; and career Federal employees,

political appointees, and officers of the Armed Forces serving in equivalent or comparable

positions. Unique substantive records relating to the activities of these individuals must be

scheduled by submission of an SF 115 to NARA.]J

b. Records documenting routine activities

containing no substantive information and

Destroy or delete when no longer

needed for convenience of reference.

161
Transmittal No. 8

December 1998

General Records Schedule 23

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

records containing substantive information,

the substance of which has been

incorporated into organized files.

6. Suspense Files.

Documents arranged in chronological order as a

reminder that an action is required on a given

date or that a reply to action is expected and, if

not received, should be traced on a given date.

Record keeping system: Paper.

a. A note or other reminder to take action.

b. The file copy or an extra copy of an

outgoing communication, filed by the date

on which a reply is expected.

Destroy after action is taken.

Withdraw documents when reply is

received. (1) If suspense copy is an

extra copy, destroy immediately. (2)

If suspense copy is the file copy,

incorporate it into the official files.

7. Transitory Files.

Documents of short-term interest which have no

documentary or evidential value and normally

need not be kept more than 90 days. Examples

of transitory correspondence are shown below.

Routine requests for information or publications

and copies of replies which require no

administrative action, no policy decision, and no

special compilation or research for reply.

Originating office copies of letters of transmittal

that do not add any information to that

contained in the transmitted material, and

receiving office copy if filed separately from

transmitted material.

Quasi-official notices including memoranda and

other records that do not serve as the basis of

official actions, such as notices of holidays or

Destroy when 3 months old.

162
Transmittal No. 8

December 1998

General Records Schedule 23

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

charity and welfare fund appeals, bond

campaigns, and similar records.

Record keeping system: Paper.

8. Trackina and Control Records.

Logs, registers, and other records used to control

or document the status of correspondence,

reports, or other records that are authorized for

destruction by the GRS or a NARA-approved

SF 115.

Destroy or delete when 2 years old,

or 2 years after the date of the latest

entry, whichever is applicable.

Record keeping system: Paper.

9. Finding Aids (or Indexes).

Indexes, lists, registers, and other finding aids

used only to provide access to records

authorized for destruction by the GRS or a

NARA-approved SF 115, EXCLUDING records

containing abstracts or other information that

Destroy or delete with the related

records.

can be used as an information source apart from

the related records.

Record keeping system: ADAMS or Paper.

10. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

163
Transmittal No. 8

December 1998

General Records Schedule 23

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

Destroy/delete when dissemination,

revision, or updating is completed.

164
Transmittal No. 10 General Records Schedule 24

April 2003

GENERAL RECORDS SCHEDULE 24

Information Technology Operations and Management Records

This schedule provides disposal authorization for certain files created and maintained in the

operation and management of information technology (IT) and related services. As defined in the

Information Technology Management Reform Act of 1996 (now the Clinger-Cohen Act),

"information technology" includes computers, ancillary equipment, software, firmware and

similar procedures, services (including support services), and related resources.

This GRS does not cover all records relating to information technology operations and

management. Offices with responsibility for IT operations also maintain administrative records

covered by other GRS and records not in the GRS that must be scheduled by the agency. In

addition, this GRS does not apply to system data or information content, which must be

scheduled separately by submitting an SF 115, Request for Records Disposition Authority, to

NARA.

The disposition instructions apply to records regardless of physical form or characteristics.

Records may be maintained on paper, in microform, or electronically. Dispositions apply,

however, only to records that are maintained as described in each item or subitem. If documents

are part of a larger case file or recordkeeping system that contains records not covered in this

GRS, agencies must separately schedule that file or system by submitting an SF 115 to NARA. If

records covered by more than one item in this schedule are maintained together in one file or

recordkeeping system, agencies must retain the records for the longest retention period

authorized for those items. -

Note that GRS 20, Electronic Records, remains in effect. GRS 20 covers certain temporary files

associated with data base management. This new schedule supplements GRS 20 by providing

disposal authority for temporary records relating to overall IT management, as opposed to the

operation and use of specific systems. NARA is reviewing alternatives to GRS 20 and will

develop revised requirements as it explores new approaches to managing electronic records.

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Oversight and Compliance Files.

Records in offices with agency-wide or bureauwide responsibility for managing IT operations ---

relating to compliance with IT policies,

directives, and plans including recurring and

special reports, responses to findings and

165
Transmittal No. 10

April 2003

General Records Schedule 24

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION <-I

recommendations, and reports of follow-up

activities.

Record keeping system: ADAMS.

a. Performance measurements and

benchmarks.

Destroy/delete when 5 years old or 1

year after responsible office

determines that there are no

unresolved issues, whichever is

longer.

b. All other oversight and compliance records,

including certification and accreditation of

equipment, quality assurance reviews and

reports, reports on implementation of plans,

compliance reviews, and data measuring or

estimating impact and compliance.

Destroy/delete when 3 years old or 1

year after responsible office

determines that there are no

unresolved issues, whichever is

longer.

[Note: See item 3b for performance files relating to systems.]

2. IT Facility. Site Management. and

Equipment Support Services Records.

Records maintained by offices responsible for

the control and operation of buildings and rooms

where IT equipment, systems, and storage media

are located, including files identifying IT

facilities and sites, and files concerning

implementation of IT facility and site

management and equipment support services

provided to specific sites, including reviews, site

visit reports, trouble reports, equipment service

histories, reports of follow-up actions, and

related correspondence.

Destroy/delete when 3 years old, or

when superseded or obsolete,

whichever is longer.

Record keeping system: Electronic.

3. IT Asset and Configuration Management

Files.

a. Inventories of IT assets, network circuits,

and building or circuitry diagrams, including

Destroy/delete 1 year after

completion of the next inventory.

166
Transmittal No. 10

April 2003

General Records Schedule 24

x~ > ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSMON

equipment control systems such as databases

of barcodes affixed to IT physical assets.

Record keeping system: Electronic.

b. Records created and retained for asset

management, performance and capacity

management, system management,

configuration and change management, and

planning, follow-up, and impact assessment

of operational networks and systems.

Includes, but is not limited to:

(1) Data and detailed reports on

implementation of systems, applications

and modifications; application sizing,

resource and demand management; .

documents identifying, requesting, and'

analyzing possible changes, authorizing

changes, and documenting

implementation of changes;

documentation of software distribution

and release or version management.

Destroy/delete 1 year after

termination of system.

Record keeping system: Electronic.

(2) Records of routine IT maintenance on

- the network infrastructure documenting

preventative, corrective, adaptive and

perfective (enhancement) maintenance

actions, including requests for service,

work orders, service histories, and

related records.

Destroy/delete when 3 years old or 1

year after termination of system,

whichever is sooner.

Record keeping system: Electronic.

[Note: If any maintenance activities have a major impact on a system or lead to a significant

change, those records should be maintained as part of the item 3b(1).]

167
Transmittal No. 10

April 2003

General Records Schedule 24

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSMION

4. System Backups and Tape Library Records.

a. Backup tapes maintained for potential

system restoration in the event of a system

failure or other unintentional loss of data.

Record keeping system: Electronic.

(1) Delete/destroy incremental

backup tapes when superseded by

a full backup, or when no longer

needed for system restoration,

whichever is later.

(2) Delete/destroy full backup tapes

when second subsequent backup

is verified as successful or when

no longer needed for system

restoration, whichever is later.

[Note: See GRS 20, item 8, for backups of master files and databases.]

b. Tape library records including automated

files and manual records used to control the

location, maintenance, and disposition of

magnetic media in a tape library including

list of holdings and control logs.

Destroy/delete when superseded or

obsolete.

Record keeping system: Electronic.

5. Files Related to Maintaining the Security of

Systems and Data.

a. System Security Plans and Disaster

Recovery Plans.

Destroy/delete 1 year after system is

superseded.

Record keeping system: ADAMS.

b. Documents identifying IT risks and

analyzing their impact, risk measurements

and assessments, actions to mitigate risks,

implementation of risk action plan, service

test plans, test files and data.

Destroy/delete 1 year after system is

superseded.

Record keeping system: ADAMS.

168
Transmittal No. 10

April 2003

General Records Schedule 24

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

6. User Identification. Profiles. Authorizations,

and Password Files, EXCLUDING records

relating to electronic signatures.

a. Systems requiring special accountability,

e.g., those containing information that may

be needed for audit or investigative purposes

and those that contain classified records.

Record keeping system: Electronic.

b. Routine systems, i.e., those not covered by

item 6a.

Destroy/delete inactive file 6 years

after user account is terminated or

password is altered, or when no

longer needed for investigative or

security purposes, whichever is later.

See GRS 20, item 1c.

Record keeping system: Electronic.

7. Computer Security Incident Handling.

Reporting and Follow-un Records.

Destroy/delete 3 years after all

necessary follow-up actions have

been completed.

Record keeping system: ADAMS.

8. IT Operations Records.

a. Workload schedules, run reports, and

schedules of maintenance and support

activities.

Destroy/delete when 1 year old.

Record keeping system: Electronic.

b. Problem reports and related decision

documents relating to the software

infrastructure of the network or system.

Destroy/delete 1 year after problem

is resolved.

Record keeping system: Electronic.

c. Reports on operations, including measures

of benchmarks, performance indicators, and

critical success factors, error and exception

reporting, self-assessments, performance

monitoring; and management reports.

Destroy/delete when 3 years old.

Record keeping system: Electronic.

169
Transmittal No. 10

April 2003

General Records Schedule 24

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION K-'

9. Financinri of IT Resources and Services.

[Note: Copies of records needed to support contracts should be in procurement files, which are

scheduled under GRS 3.]

a. Agreements formalizing performance

criteria for quantity and quality of service,

including definition of responsibilities,

response times and volumes, charging,

integrity guarantees, and non-disclosure

agreements.

Destroy/delete 3 years after

agreement is superseded or

terminated.

Record keeping system: ADAMS.

b. Files related to managing third-party

services, including records that document

control measures for reviewing and

monitoring contracts and procedures for

determining their effectiveness and

compliance.

Destroy/delete 3 years after control

measures or procedures are

superseded or terminated.

Record keeping system: ADAMS.

c. Records generated in IT management and

service operations to identify and allocate

charges and track payments for computer

usage, data processing and other IT services

EXCLUDING records that are part of the

agency's cost accounting system, which are

covered in GRS 8, items 6 and 7.

Destroy/delete records with no

outstanding payment issues when 3

years old.

Record keeping system: ADAMS.

10. IT Customer Service Files.

a. Records related to providing help desk

information to customers, including

pamphlets, responses to "Frequently Asked

Questions," and other documents prepared in

advance to assist customers.

Destroy/delete 1 year after record is

superseded or obsolete.

Record keeping system: Electronic.

170
Transmittal No. 10

April 2003

General Records Schedule 24

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Help desk logs and reports and other files

related to customer query and problem

-response; query monitoring and clearance;

and customer feedback records; and related

trend analysis and reporting.

Record keeping system: Electronic.

11. IT Infrastructure Design and

Implementation Files.

Records of individual projects designed to

provide and support new agency IT

infrastructure (see Note), systems, and services.

Includes records documenting (1) requirements

for and implementation of functions such as

maintaining network servers, desktop

computers, and other hardware, installing and

upgrading network operating systems and shared

applications, and providing data

telecommunications; (2) infrastructure

development and maintenance such as

acceptance/accreditation of infrastructure

components, analysis of component options,

feasibility, costs and benefits, and work

associated with implementation, modification,

and troubleshooting; (3) models, diagrams,

schematics, and technical documentation; and

(4)quality assurance reviews and test plans, data,

and results.

Record keeping system: ADAMS.

Destroy/delete when 1 year old or

when no longer needed for review

and analysis, whichever is later.

a. Records for projects that are not

implemented.

b. Records for projects that are implemented.

c. Installation and testing records.

Destroy/delete 1 year after final

decision is made.

Destroy/delete 5 years after project is

terminated.

Destroy/delete 3 years after final

decision on acceptance is made.

171
Transmittal No. 10

April 2003

General Records Schedule 24

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION <2

[Note: IT Infrastructure means the basic systems and services used to supply the agency and its

staff with access to computers and data telecommunications. Components include hardware such

as printers, desktop computers, network and web servers, routers, hubs, and network cabling, as

well as software such as operating systems (e.g., Microsoft Windows and Novell NetWare) and

shared applications (e.g., electronic mail, word processing, and database programs). The services

necessary to design, implement, test, validate, and maintain such components are also considered

part of an agency's IT infrastructure. However, records relating to specific systems that support or

document mission goals are not covered by this item and must be scheduled individually by the

agency by submission of an SF 115 to NARA.]

12. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this GRS 24 schedule. Also includes electronic

copies of records created on electronic mail and

word processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

Destroy/delete within 180 days after

the recordkeeping copy has been

produced.

Destroy/delete when dissemination,

revision, or updating is completed.

172
Transmittal No. 9 General Records Schedule 25

April 2003

GENERAL RECORDS SCHEDULE 25

Ethics Program Records

Title IV of the Ethics in Government Act of 1978 as amended, 5 U.S.C. appendix, title IV,

authorizes the development of an executive branch-wide ethics program to ensure that decisions

made by employees are neither tainted by, nor appear to be tainted by, any question of conflicts

of interest. Under the relevant sections of title IV and Office of Government Ethics (OGE)

executive branch-wide regulation at 5 C.F.R. part 2638, each agency is required to establish an

ethics program. This schedule covers records documenting the activities of executive branch

agency ethics program offices and provides disposition for financial disclosure reports; ethics

agreements; outside employment and activity records; referrals of violations of criminal conflict

of interest statutes; ethics determination, advice, consultation, and training records; and other

commonly held ethics program records. Records pertaining to legislative branch and judicial

ethics programs, the Hatch Act, the Whistleblower Protection Act, procurement integrity and

other areas often associated with, but not expressly under the authority of executive branch ethics

programs, are not covered by this schedule.

Master lists of financial disclosure report filers, individuals requesting outside employment and

activities approval, and other types of ethics-related master lists are not included in this schedule.

Ethics-related master lists that are used solely for the purpose of tracking and controlling ethics

records should be disposed of in accordance with GRS 23 Item 8, Tracking and Control Records.

Master lists that are used for purposes in addition to tracking and controlling ethics records

should be disposed of in accordance with the disposition for the underlying records as listed in

this schedule or as otherwise scheduled.

Note: Executive branch ethics program records are sometimes needed in an ongoing

investigation. Such records should be retained beyond their approved retention period until no

longer needed in the investigation.

rTEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

1. Ethics Program Implementation,

Interpretation, Counseling, and Development

Files.

Records maintained by ethics program offices

relating to the development, review,

implementation, and interpretation of proposed

or established executive branch standards of -

ethical conduct and other ethics regulations;

conflict of interest and other ethics related

statutes and Executive Orders; and any agency

supplemental standards of ethical conduct and

173
Transmittal No. 9

April 2003

General Records Schedule 25

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION K>

other agency ethics-related regulations and

directives. Including:

-Records documenting the review of

proposed or established ethics-related

statutes and regulations by ethics program

officials, including copies of proposed

legislation, comments, and all related

records.

-Determinations, including advice and

counseling to individual employees, and

supporting records.

-Records relating to requests under agency

supplemental standards of ethical conduct

for prior approval of outside employment

and activities.

Record keeping system: Paper.

a. Records such as determinations regarding

attendance at widely-attended gatherings

which appropriate agency ethics officials

determine are related to the routine, nonprecedential application of settled legal

standards to common factual situations and

are not interpretations of the conflict of

interest statutes, 18 U.S.C. " 202-209, and

other ethics statutes the violation of which

may result in criminal penalties or civil

fines.

b. All other records.

Destroy when 3 years old or when

superseded or obsolete, whichever is

later.

Destroy when 6 years old or when

superseded or obsolete, whichever is

later.

K-)

2. Financial Disclosure Reporting Files.

Financial disclosure reports submitted by

individuals as required or authorized under the

Ethics in Government Act of 1978 (Pub. L. 95-

521), as amended, and related records, including

records of late filing fee payments or requests

for public reporting waivers of late filing fees

and responses; comment sheets by report

174
Transmittal No. 9

April 2003

General Records Schedule 25

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

reviewers and filer responses; filing extension

requests and determinations; and copies of

applications for public release of financial

disclosure report.

Record keeping system: Paper.

a. Executive Branch Personnel Public

Financial Disclosure Reports (SF 278) and

related records.

(1) SF 278 reports for individuals filing in

accordance with Section 101(b) or (c) of

the Act, and not subsequently confirmed

by the U.S. Senate or elected.

(2) All other SF 278s.

b. Executive Branch Confidential Financial

Disclosure Reports (OGE Form 450) and

Confidential Certificates of No New

Interests (OGE Optional Form 450-A) and

related records.

Destroy 1 year after nominee or

candidate ceases to be under

consideration for the position;

EXCEPT that documents needed in

an ongoing investigation will be

retained until no longer needed in the

investigation.

Destroy when 6 years old; EXCEPT

that documents needed in'an ongoing

investigation'will be retained until no

longer needed in the investigation.

(1) OGE Form 450s for individuals not

subsequently confirmed by the U.S.

Senate.

(2) All other OGE Form 450s and OGE

Optional Form 450-As.

Destroy 1 year after nominee ceases

to be under consideration for the

position; EXCEPT that documents

needed in an ongoing investigation.

will be retained until no longer

needed in the investigation.

Destroy when 6 years old; EXCEPT

thatddocuments needed'in an ongoing

investigation will be retained until no

longer needed in the investigation.

175
Transmittal No. 9

April 2003

General Records Schedule 25

ITEM

NO.

V2

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

c. Alternative or additional financial disclosure

reports and related records.

(1) Reports for individuals not subsequently

confirmed by the U.S. Senate.

(2) All other alternative or additional

financial disclosure reports.

Destroy 1 year after nominee ceases

to be under consideration for the

position; EXCEPT that documents

needed in an ongoing investigation

will be retained until no longer

needed in the investigation.

Destroy when 6 years old; EXCEPT

that documents needed in an ongoing

investigation will be retained until no

longer needed in the investigation.

3. Ethics Aereement Records.

Records documenting the review and issuance

of ethics agreements used to remedy the

appearance of potential or actual financial

conflicts of interest, including:

-Records relating to the review and issuance of

recusals (disqualifications), resignations,

reassignments, and divestitures.

-Records relating to determinations,

authorizations, and waivers under 5 C.F.R.

2635.502 and 2635.503.

-Records relating to the review and issuance of

waivers of disqualifications under 18 U.S.C.208

(b)(1) and (b)(3).

Destroy 6 years after the waiver or

other agreed-upon determination or

action has been issued or undertaken

or is no longer in effect, whichever is

later.

<_/}

Record keeping system: Paper.

4. Referrals and Notifications of Violations of

Criminal Conflict of Interest Statutes and

Other Potential Violations Files.

Referrals made to Inspectors General or the

Department of Justice and notifications to OGE

concerning ethics violations or suspected

violations. This item also covers related

background materials, including copies of

Destroy when 6 years old.

K>

176
Transmittal No. 9

April 2003

General Records Schedule 25

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

disciplinary and corrective actions and --

disposition documents such as declinations of

prosecution.

Record keeping system: Paper.

5. Non-Federally Funded Travel Files.

a. Agency copies of Semiannual Expense

Reports for Non-Federally Funded Travel

submitted by all Executive branch agencies

to the Office of Government Ethics in

accordance with guidance given at 31 U.S.C.

1353, as implemented by 41 C.F.R. chapter

304 and the use of Standard Form (SF) 326

and SF 326A. Reports summarize payments

made to the agency from non-Federal -

sources for travel, subsistence, and related

expenses of an employee who attends a

meeting or similar function relating to

official duties.

Destroy when 3 years old.

Record keeping system: Paper.

b. Statements, forms, and other records used to

compile Semiannual Expense Reports for

Non-Federally Funded Travel.

Destroy 1 year after submission of

report to the Office of Government

Ethics.

Record keeping system: Paper.

6. Ethics Program Review Files.

Reports, correspondence, and other records

relating to OGE reviews of agency compliance

with executive branch ethics laws and

regulations in such areas as financial disclosure,

education and training, and advice and

counseling.

Record keeping system: Paper.

177
Transmittal No. 9

April 2003

General Records Schedule 25

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

a. OGE program review reports, agency 60-day

response letters, and other follow-up records

sent to OGE on the resolution of program

deficiencies.

b. All other records produced during OGE

program reviews, including notes and

background materials.

7. Annual Agencv Ethics Program

Ouestionnaire Files.

Destroy when 6 years old.

Destroy 1 year after the date of the

OGE program review report or, if

there are recommendations, one year

after they are closed.

a. Questionnaire completed by ethics officials

on an annual basis in compliance with

Section 402(e)(1) of the Ethics in

Government Act of 1978, as amended, and

associated records.

Record keeping system: Paper.

b. All other records related to responses to

annual agency ethics program

questionnaires.

Destroy 3 years after submission.

<2

Destroy 1 year after submission of

associated annual agency ethics

program questionnaire.

Record keeping system: Paper.

8. Ethics Program Employee Training and

Education Files.

a. Records relating to the administration of

new employee ethics orientations, annual,

and other types of ethics training and

education. Records include, but are not

limited to, annual plans, schedules of

classes, rosters of employees required to

attend, verification of training completion

and other related records.

Record keeping system: Paper.

Destroy when 6 years old.

178
Transmittal No. 9

April 2003

General Records Schedule 25

ITEM

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Record copy of materials used in providing

new employee ethics orientations, annual,

and other types of ethics training and

education including, but not limited to,

instructors guides, handbooks, handouts and

other materials used in training classes,

- bulletins, and newsletters.

Destroy when 6 years old or when

superseded or obsolete, whichever is

later.

Record keeping system: Paper.

9. Ethics Program Procedures Files.

Procedures and related supporting records on the

administration of ethics programs including, but

not limited to, public and confidential financial

disclosure reports systems, outside employment

and activities approval systems, and referrals of

violations of criminal conflict of interest

statutes.

Destroy when 6 years old or when

superseded or obsolete, whichever is

later.

Record keeping system: Paper.

10. Electronic Mail and Word Processing System

Copies.

Electronic copies of records that are created on

electronic mail and word processing systems

and used solely to generate a recordkeeping

copy of the records covered by the other items in

this schedule. Also includes electronic copies of

records created on electronic mail and word

processing systems that are maintained for

updating, revision, or dissemination.

Record keeping system: NA.

a. Copies that have no further administrative

value after the recordkeeping copy is made.

179
Transmittal No. 13

September 2004

General Records Schedule 25

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION K>

Includes copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directories on

hard disk or network drives, and copies on

shared network drives that are used only to

produce the recordkeeping copy.

b. Copies used for dissemination, revision, or

updating that are maintained in addition to

the recordkeeping copy.

the recordkeeping copy has been

produced.

Destroy/delete when dissemination,

revision, or updating is completed.

180
Transmittal No. 13' General Records Schedule 26

September 2004

GENERAL RECORDS SCHEDULE 26

Temporary Commissions, Boards, Councils and Committees

Note: This schedule covers records created and maintained by temporary commissions,

boards,' councils and committees (including continuing entities governed by renewable

charters such as agency advisory committees). In the case of interagency bodies, this

schedule covers the records maintained by the designated secretariat as well as records

accumulated by other commission members.

This schedule does not apply to the records, of Presidential commissions, boards, councils

and committees covered by the Presidential Records Act.

For convenience, the term "commission" is used in this schedule to cover all types of temporary

organizations.

The record series described in this schedule are created and maintained in different media and

formats, therefore this schedule is written to authorize the disposition of the records in any media

(media neutral). Agencies are required to refer to the most current version of the Code of Federal

Regulations (CFR) and other relevant guidance to ensure that the media and format that is chosen

by the agency meets NARA's transfer requirements for permanent records. See 36 CFR Sections:

1228.266 - Audiovisual Records; 1228.268 - Cartographic and Architectural Records; 1228.270 -

Electronic Records; 1230.026 - Microform Records

When records are created and maintained electronically, NARA prefers that the archival copy be

transferred to the National Archives in an approved electronic format.

181
Transmittal No. 13

September 2004

General Records Schedule 26

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION '\>

1. Internal Agency Committees

a. Internal agency committees unrelated to

an agency's mission.

Destroy/delete when no longer

needed for administrative purposes.

Committees established by an agency for

facilitative or operational purposes

unrelated to the agency's mission,

composed wholly of full-time officers or

employees of the Federal government,

and not subject to the Federal Advisory

Committee Act, e.g. committees tasked

with organizing events, selecting of

interior furnishings, overseeing

volunteer activities or employee

recreational activities.

Any files created and/or maintained by

the committee.

Record keeping system: ADAMS.

b. Internal agency committees related to an

agency's mission.

Committees established by agency

authority (not established by Public Law

or Executive Order) for facilitative or

operational purposes, related to the

agency's mission, composed wholly of

full-time officers or employees of the

Federal government, and not subject to

the Federal Advisory Committee Act,

e.g. committees tasked with reviewing

policy, studying reorganizations,

recommending new actions or

developing multi-year plans.

Any files created and/or maintained by

the committee including agenda,

minutes, final reports, and related

These records are potentially

permanent and must be scheduled

by submission of an SF 115 to

NARA.

182
Transmittal No. 13

September 2004

General Records Schedule 26

NOEM. D -

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

records documenting accomplishments

of official boards and committees.

Record keeping system: ADAMS.

2. Records Created by Advisory

Commissions, Committees, Councils,

Boards and Other Groups Established

under the Federal Advisory Committee Act

(FACA)

[NOTE: The term "advisory committee" as

defined by FACA means any committee,

board, commission, council, conference, -

panel, task force, or other similar group, or

any subcommittee or other subgroup which is

(1) established by statute or reorganization

plan or (2) established or utilized by the

President, or (3) established or utilized by one

or more agencies or officers of the Federal

government. This term does not apply to any

committee which is composed wholly of full-'

time officers or employees of the Federal

government.]

a. Files documenting the Commission's

establishment, membership, policy,

organization, deliberations, findings, and

recommendations, including such

records as

original charter, renewal and

amended charters, organization

charts, functional statements,

directives or memorandums to staff

concerning their responsibilities,-'and

other materials that document the'' -

organization and functions of the

Commission and its components

Permanent. Transfer to the National

Archives on termination of the

Comumission. Earlier transfer is

authorized for commissions

operating for 3 years or longer.

[NOTE: Non-textual records

transferred to NARA must follow

NARA published guidance for

transfer of required elements.]

* agendas, briefing books, minutes,

'testimony, and transcripts of

meetings and hearings as well as

183
Transmittal No. 13 General Records Schedule 26

September 2004

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION KJ

audiotapes and/or videotapes of

meetings and hearings which were

not fully transcribed

one copy each of reports, studies,

pamphlets, posters (2 copies) and

other publications produced by or for

the commission as well as news

releases, commissioners' speeches,

formal photographs and other

significant public affairs files

* correspondence, subject and other

files maintained by key commission

staff, such as the chair, executive

director, and legal counsel,

documenting the functions of the

commission

* substantive records relating to

research studies and other projects,

including unpublished studies and

reports and substantive research

materials (may include electronic

data).

* questionnaires, surveys and other

raw data accumulated in connection

with research studies and other

projects where the information has

been consolidated or aggregated in

analyses, reports, or studies covered

by Item IIA (may include data

maintained electronically).

* Records created to comply with the

provisions of the Government in the

Sunshine Act, annual reports to

Congress describing the agency's

compliance with the act

Record keeping system: ADAMS.

184
Transmittal No. 13

September 2004

General Records Schedule 26

ITEM

DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

b. Files that relate to day-to-day

Commission activities and/or do not

contain unique information of historical

value, including such records as

. correspondence, reference and

working files of Commission staff

(excluding files covered by Item IIA)

audiotapes and videotapes of

Commission meetings and hearings

that have been fully transcribed,

informal still photographs and slides

of Commission members and staff,

meetings, hearings, and other events

* other routine records, such as public'.

mail, requests for information,

consultant personnel files, records

relating to logistical aspects of

Commission meetings and hearings,

etc.

* extra copies of records described in

Item IlA, e.g. copies of meeting

agenda and minutes distributed to

commission members and staff, files

accumulated by agencies on

interagency bodies other than the

secretariat or sponsor.

Destroy/delete on termination

of Commission.

[NOTE: Prior to the

Commission's termination,

NARA, in consultation with

Commission staff, will

review records covered by

this item and may identify

files that warrant permanent

retention. Such records will

be transferred to the National

Archives on termination of

the Commission.]

-[NOTE: Administrative

records authorized for

disposal by the GRS and

having retention periods

outlasting the life of the

commission (such as payroll,

personnel and fiscal records)

should be transferred to the

agency providing

administrative support.]

Record keeping system: ADAMS.

c. Web site records Destroy/delete on termination

of commission.

(1) Electronic version of web site(s).

(2) Design, management, and technical

operation records.

(3) Electronic version of content records

duplicated in textual series of

commission records.

Record keeping system: ADAMS.

[NOTE: Prior to the

Commission's termination,

NARA, in consultation with

Commission staff, will

review records covered by

Item Ilc(l) and may identify

portions (including a web

snapshot) that warrant

185
Transmittal No. 13

September 2004

General Records Schedule 26

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION

permanent retention. Such

records will be transferred to

the National Archives on

termination of the

Commission along with any

records covered by Item

lIc(2) that NARA requires to

maintain and access

permanent web content

records.]

3. Committee Records Not Maintained by the

Sponsor or Secretariat

Copies of committee records, such as agendas,

meeting minutes, final reports and related

records created by or documenting the

accomplishments of official boards and

commissions, excluding those kept by the

sponsor or Secretariat.

Record keeping system: ADAMS.

Destroy when 3 years old.

[NOTE: The records of an

international committee held

by the U.S. member or

representative when the U.S.

is not the sponsor or

Secretariat should be

described on a SF 115 and

submitted to NARA for

disposition authority.]

K>

[NOTE: Some temporary

commissions, especially

operational commissions

related to an agency's

mission, may have records

that are not covered by the

series herein described. Such

series should be described on

a SF 115 and submitted to

NARA for disposition

authority.]

186
Transmittal No. 13

September 2004

General Records Schedule 26

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSiTION

4. Committee Management Records Destroy/delete when 6 years

old.

Records maintained by agency Committee

Management Officers for committees established

under the Federal Advisory Committee Act (FACA)

as amended (5U.S.C. Appendix 2). [See note after'

this item.] Committee Management activities

include the establishment, appointment of members,

and operation and termination of chartered Federal"

advisory committees.

Committee management records include copies of

charters, membership lists, agendas, policy

statements, statistical data files, financial operating

plans, General Service Administration reports and

other statistical reports on the number of

committees, types of committees, membership

rosters, requests for approval of committee

nominees, appointment documents for individual

committee members, financial disclosure

documents, material required to be available for

public information and other related topics

maintained by the Committee Management Officer.

Record keeping system: ADAMS.

[NOTE: This item does not apply to records

maintained at the General Services Administration

(GSA) or records covered elsewhere in this

schedule.]

5. Electronic Mail and Word Processing

Electronic copies of records that are created on

electronic mail and word processing systems and

used solely to generate a recordkeeping copy of

other records created by the Commission. Also

includes electronic copies of records created on

electronic mail and word processing systems that

are maintained for updating, revision, or

dissemination.

[NOTE: Prior to the

Commission's termination,

NARA, in consultation with

Commission staff, will

review records covered by

this item and may identify

files that warrant permanent

retention. Such records will

be transferred to the National

Archives on termination of

the Commission.]

187
Transmittal No. 13

September 2004

General Records Schedule 26

ITEM

NO. DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION 'K>

a. Copies that have no further

administrative value after the

recordkeeping copy is made. Includes

copies maintained by individuals in

personal files, personal electronic mail

directories, or other personal directions

on hard drive or network drives, and

copies on shared network drives that are

used only to produce the recordkeeping

copy.

Destroy/delete within 180

days after the recordkeeping

copy has been produced.

Record keeping system: ADAMS.

b. Copies used for dissemination, revision,

or updating that are maintained in

addition to the recordkeeping copy.

Record keeping system: ADAMS.

Destroy/delete when

dissemination, revision, or

updating is completed.

[NOTE: Disposition

authority for any commission

records not covered by items

above or elsewhere in the

General Records Schedule

should be requested by

submitting a SF 115 to

NARA.]

188
Transmittal No. 8 General Records Schedule Index

December 1998

General Records Schedules

Subject Index

Schedule Item

Accidents, General (see Investigative Files)

Accident, Motor Vehicle Report 10 5

Accountability

Classified documents 18 5

Forms, transportation requests 9 1, 3

Keys, security, and protective 18 16

Personal property files 18 15

Transportation and travel 9 4

Accountable Officers' Returns 6 1

Accounting

Accountable officers' returns 6 1

Availability of funds 6 4

Collection of funds 6 4

Correspondence 6 5

Custody of funds 6 4

189
Transmittal No. 8

December 1998

Deposit of funds

Exception, notices of GAO

Settlement, certificates of

Support documents

Surety, personnel bond

Accounts

Accounts, general

Allotment

Posting and control media

Acquisition of Real Property, Title I

Administrative Claims Files

Administrative Files (Office)

Administrative Management

Audits/reviews

Reserved

Feasibility studies

Forms

Notices and other issuance

Project control

General Records Schedule Index

Schedule Item

6 4

6 2

6 3

6 7-9

6 6

7

7

7

3

6

23

16

16

16

16

16

16

2

3

4

10

10

'VI

11,

14

8

9

3

1

5

190
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

16 2,4,

7

16 6

Records management

Reports control

ADP (see Electronic Records)

Affirmative Action Plans

Allotment Ledgers

Analog Data (Uncalibrated)

Applications

2

7

20

25

3

2d

Employment- 1

32

33k,

I, m,

n

Grants

Housing

Apportionment and Reapportionment (see Budget)

Appropriation Warrants

Architectural Drawings

Arrests

Audiovisual

Contracts

Finding aids

3

15

5

6

13

7

4

4

4,5,

9

14

17

18

21

21

28

29

191
Transmittal No. 8

December 1998

Graphic arts

Artwork

Flyers

Letterhead

Posters

Line copies, charts & graphs

Photo-mechanical reproduction

Viewgraphs

Motion pictures

Engineering

Scientific, medical

Surveillance

Training

Production files

Scripts

Sound recordings

ral Records Schedule Index

Schedule Item

21 5-8

21 6

21 6

21 6

21 8

21 7

21 5

21

21

21

21

21

21

21

21

9,

11-

12

12

12

11

9

28

28

22-

192
Transmittal No. 8

December 1998

Dictation

Meetings

Media production

News recordings

Pre-mix elements

Still photography

Ceremonial

Filmstrips (internal training)

Passports

Personnel identification

Slides (internal training)

Video recordings

Awards presentation

Engineering

Management instruction

rneral Records Schedule Index

Schedule Item

24,

26

21 23

21 22

21 24

21 26

21 24

21 1-4

21 1

21 3

21 2

21 2

21 3

21

21

21

21

14,

16-

20

20

19

17

193
Transmittal No. 8

December 1998

Medical

Meetings

Practice tapes

Surveillance

Training

Automobile Permits

Awards (Personnel)

Bid and Proposal Files

Acceptable bidders

Canceled

Successful

Unsuccessful

Bills of Lading

Binding

Bonds

Campaigns

Personnel surety

General Records Schedule Index

Schedule Item

21 19

21 20

21 16

21 18

14, 21 17

11 4

1 12, 13

3 5

3 5d

3 Sc

3 5a

3 5b,

13

9 1

13 2

K-)

K>

23

6

7

6 K>

194
Transmittal No. 8 General Records Schedule Index'

December 1998

Schedule Item

Savings 2 14

Budget

Apportionment 5 4

Correspondence files 5 1

Reports 3

Work papers 5 2

Building Space and Maintenance

Allocation/assignment 11 2

Correspondence' 11 1, 2b

Credentials 11 4a

Directory service 11 3

Maintenance and repair 11 5

Plans 11 2a

Release 11 2

Reports 11 2b

Request for services 11 5

Utilization 11 2

195
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Calendars 23 5

Carrier (see Transportation)

Cartographic

Color pulls 17 1

Color separation sheets 17 1

Composites 17 1

Maps 17 1

Case Files

Classification appeals 1 7d

Contract appeals 3 15

Emergency planning 18 27

Erroneous release 14 36

FOIA appeals 14 12

Informational services 14 4

Personnel

EEO complaint 1 25

Incentive awards 1 12a,

196
Transmittal No. 8

December 1998

Labor management

Security

Privacy Act amendment

Procurement

Real property

Surplus property

Certificates

Classified document destruct

Eligibles (employment)

Performance rating

Settlement

Tax exemption

Tax withholding

Title -

Transit

Charity appeals

General Records Schedule Index

Schedule Item

1 28

18 22

14 22

3 3

3 1

4 3

ion 18 3

1 5

1 23

6 3

3 12

2 13a

- 3 1

9 1

23 7

; 197
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Charts (see Cartographic)

Civilian Personnel (see Personnel)

Claims

Administrative 6 10

Health benefits, former spouse 1 35

Waiver of, administrative 6 11

Classified Documents

Access control 18 6

Accounting 18 0

Administrative correspondence 18 1

Container security 18 7

Inventory 18 4

Receipt 18 2

Classified Information and Control

Access control 18 6

Container security 18 7

Correspondence 18 1

198
Transmittal No. 8

December 1998

General

Destruction certificates

Classified Information Nondisclosure

Agreement

Clearance (see Personnel, Security clearance)

Commendation Letters

Committee Management

Committees

Communications

Administrative

Correspondence

Equipment

Messages

Operation

Reports

Administrative

Load

Performance

Records Schedule Index

Schedule Item

18 3

18 25

1

26

26

12c

4

2

12

12

12

12

12

2

2

2b,

2d(2)

3b

2, 3a

12

12

12

2b

3a

3a

-199
Transmittal No. 8

December 1998

General F

Complaints, Discrimination

Construction

Contract Appeals Case Files

Contractors' Employment Practices, EEO

Contractors' Payrolls

Contractor's Statement of Contingent or Other

Fees

Contracts

Control Files

Classified documents

FOLA

General

Mandatory Review

Printing

Privacy Act

Correspondence

Accounting

Building and space maintenance

200

Records Schedule Index

Schedule Item

1 25

17 4-10

3 15

1 25d (1)

3 11

' ->

3 16

3

18

14

23

14

13

14

3

K->

5

13

8

33

3

24

6

1 1

5

1, 2b
Transmittal No. 8

December 1998

Communications

Cost accounting

Emergency planning:

Expenditure accounting

Facilities, security

Grant

Housing

Informational services

Motor vehicle

Pay

Personnel

Personnel security

Plant accounting

Printing, Administrative

Procurement

Property disposal

General Records Schedule Index

Schedule Item

12 2

8 1

18 26

7 1

18 8

3 14

15 1

14 1,2,5

10 1,7

2 24

3,4,

1 17a,

17c

18 21

8 1

13 1

3 2

4 1

: 201
Transmittal No. 8

December 1998

Security and protective servic

Space and maintenance

Stores accounting

Surplus property

Transportation

Travel

Cost Accounting

Correspondence

Ledgers

Reports

Credentials

Credit Card Purchases

Declassification (see Mandatory Revi

Declassification)

Deductions, Payroll

Direct Deposit, Payroll Authorization

General Records Schedule Index

Schedule Item

e 18 8

11 1

8 1

4 1

9 4

9 4

8

8

8

11

18

6

2

2

1

7

6

4

12,

19a

1,7,8

JI

13a,

15, 16

17

202
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

17 4-10

1 25

Design and Construction

Discrimination Complaints

Dispensary Control Files 1 20

3-5,8-

9 Drawings

Driver Tests

Drug Testing

Electronic Fund Transfer, Payroll

Electronic Records

Backup tapes

Calendars

Copied data

Databases

Documentation

17

10

1

2

7

36

17

20 8

23

20

20

20

5

12

3

11

Downloaded data

Extracted data

Federal procurement data system

203

20 12

20

3

5

3d
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

20 9

23 9

Finding aids

Input data (see Source data)

Intermediate data

Master data files

Administrative (routine)

Reformatted

Summarized data

Pay record, individual

Payroll files, noncurrent

Print files

Printouts

Programs, special purpose

Publications

Reports

Software

Source data

K>

20

20

20

20

2

2

20

20

20

20

20

20

8

20

lb

3

7

4

I

2

6

la, Ic

10

6

6

10

7

2

204
Transmittal No. 8

December 1998

Specifications

System usage files

Test data

Test documentation

Update records

Valid transaction files

Work files

Emergency Planning

Case files

Correspondence

Operations tests

Employee Performance

Employee Records (see Personnel anc

Payroll)

Employee Transfer and Detail

Engineering Drawings

Equal Employment Opportunity Coin]

General Records Schedule Index

Schedule Item

20 11

20 Ic

20 la

20 la

20 lb

20 lb

20 lb

18

18

18

1

27

26

28

23

1

17

1

14

8

25

205
Transmittal No. 8

December 1998

Gene

Equipment

Erroneous Release

Expenditure Accounting

Allotment

Correspondence

Ledgers

Posting and control

Facilities, Security

Correspondence

Inspections and surveys

Investigation

Facsimile Machine Logs

Feasibility Studies

Federal Register, Documents Published in

Films

Engineering

Scientific and medical

206

ral Records Schedule Index

Schedule Item

11 5

14 36

7

7

7

7

18

18

18

23

16

16

21

21

3

1

2

4

8

9, 10

11

1

9

13

'>

12

12
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

21 11

21 9

Surveillance

Training

Finding Aids

Audiovisual

General

Information services

Electronic -

Flexitime Records (see Payroll)

21

23

14

20

29

9

6

9

Follow-up Files

Forms

Freedom of Information Act Files

Administrative

Appeals

Control

Erroneous release -- -

. ., I

Reports - -

Requests

23

16

6

3

14

14

14

14

14

14

15

12

13

36

14

11

- 207
Transmittal No. 8

December 1998

Gener

Freight

Freight and Passenger Transportation Files

Gasoline Sales Tickets

General Accounting Office

Notices of exception

Site audit

Support documentation

Government Losses in Shipment Act

Grants

Graphic Arts (also see Audiovisual)

al Records Schedule Index

Schedule Item

9 1,2

9 1,3

6 7

\K//

6

6

6

9

3

21

2

1

7,8,9

2

13, 14

5-8

Guard

Assignment

Facility checks

Service control

Logs and registers

Health Benefits Claims, Former Spouse

18

18

18

18

1

13

18

19

20

35

208
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Health Programs, Civilian

Dispensary logs 1 20

Employee medical folder 1 21

Health record card 1 19

Individual cases 1 21

Reports 1 22

Household Effects, Shipment of 9 1

Housing

Applications 15 7

Assignment 15 5

Correspondence 15 1

Furnishings inventory 15 6

Lease 15 4

Maintenance and repair 15 2

Reports 15 3

Requests (EEO) 1 25e

Tenant 15 5a

209
Transmittal No. 8

December 1998

Geners

Vacancy

Identification Credentials

Immigration and Naturalization Service 1-9

Forms

Incentive Award Case Files

Indexes (see Finding Aids)

Information Collection Budget

Information Resources Management

Information collection budget

Systems studies

Triennial reviews

Informational Services

Acknowledgment files

Bibliographies

Correspondence

Erroneous release

Freedom of information

al Records Schedule Index

Schedule Item

15 5

11 4

<'I~

1

1

16

16

16

16

14

14

14

14

14

l0b

13

12

12

9

11

2

6

1,2,5

36

11-15

V>

210
Transmittal No. 8

December 1998

General ]

Press service files

Privacy Act files

Project case files

Publications indexes & bibliographies

Information Technology

Requests

Assets and configuration

Computer security incidents

Customer Service

Financing IT Resources

Infrastructure Design and

Implementation

IT Facility Site Management and

Equipment Support Service

Oversight and Compliance

Operations

Security of systems and data

Systems backups and tape library

User identification

Records Schedule Index

Schedule Item

14 3

14 21-25

14 4

14 6

14

23

24

24

24

24

1

7a

3

7

10

9

24 11

24 2

24 1

24

24

24

5

6

6

211
Transmittal No. 8

December 1998

Ger

Injury and Illness, Occupational

Inspections

Microform logs

Safety and Security

Government-owned facilities

Privately-owned facilities

Internal Control Review

Interview

Inventory, equipment and supplies

Investigative Files

Invitations

Bid

Committee meetings

Invoices, Stores Accounting

Job Descriptions

Key Control, Security

Labor Management Relations

ieral Records Schedule Index

Schedule Item

1 31,35

16

18

18

16

1

3

18

2

3

26

8

1

18

1

10

9

10

14

8

9

11

1

V1

5

2b

2

7

16

28

212
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Leave 2 6-9

Donated 1 37

Ledgers

Allotment 7 3

Cost report 8 7

General accounts 7 2

Plant accounting 8 5

Subsidiary 7 4

Levy and Garnishment 2 18

Losses in Shipment Act, Government 9 2

Mail

Administration 12 5g

12 5a

Certified 12 5a

Control 12 5

Delayed delivery report 12 Sc

Express 12 5a

Insured 12 5a

213
Transmittal No. 8

December 1998

General Ri

Loss report

Messenger service

Metered

Overnight

Postal irregularities

Private mail companies

Receipt and routing

Receipts

Registered mail

Stamps

Statistical reports

Mailing List

Maintenance

Management (see Administrative Management)

Mandatory Review for Declassification

Administrative files

Appeals

-cords Schedule Index

Schedule Item

12 5c, 8

12 1,6h

12 7

12 5a

12 8

12 5

12 6a

12 6a, 6f

12 5a, 6b

12 6c, 6e

12 6b, 6d

13 4

11 1,5

\<-I

14

14

35

32

214
Transmittal No. 8

December 1998

Ge

Control

Reports

Requests

Maps (see Cartographic)

Measurement Data, Electronic

Medical Records

Merit Promotion Case Files

Messenger Service

Microform Inspection

Motion Pictures (also see Audiovisual)

Motor Vehicle

Accidents

Correspondence

Cost and expense data

Maintenance

Operation

Operators

:neral Records Schedule Index

Schedule Item

14 33

14 34

14 31

20

1

1

12

16

21

10

10

10

10

10

10

2d

19-21

32

1

10

9, 11-

12

5

1,7

3

2b

2a

7

215
Transmittal No. 8

December 1998

Gener

Releases

Reports

National Defense Executive Reserve Cases

Nondisclosure Agreements (Classified

Information)

Notices

Notification of Personnel Action

Observational Data, Electronic

Occupational Injury and Illness

Official Personnel Folders

Overseas Employment

Parking Permits

Passes

Passports

Photographs

Pay and Payroll

Allotment authorizations

216

al Records Schedule Index

Schedule Item

10 6

10 4

18 29

KJ

18

16

23

1

20

1

1

1

11

11

18

9

21

2

25

1

7

14

2d

31,34

1, 10

3

4a

4a

12

5

2

15, 16

\K>1-
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Bonds

Authorization 2 14

Purchase 2 14

Receipt and transmittal 2 14

Registration 2 14

Combined Federal Campaign 2 15a

Correction records 2 23

Correspondence 2 24

Direct deposit 2 17

Electronic fund transfer 2 17

Flexitime records 2 7

Individual employee pay record 2 1

Leave application 2 6

Leave record 2 9

Levy and garnishment 2 18

Pay comparability 1 40

P 2

Payrolls (copy) 2 2

217
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Reports 2

Error 2 22a

Fiscal 2 22c

Management or workload 2 22b

Tax 2 13c

Retirement 2 28

Savings allotment authorizations 2 15b

Taxes 2 13

Thrift Savings Plan 2 16

Time and attendance reports 2 7, 8

Union dues 2 15b

Wage survey 1 38

Performance Rating 1 23

Personal Injury 1 31

Personnel (Civilian)

Adverse action 1 30b

Affirmative Action Plans 1 25h

218
Transmittal No. 8

December 1998

Altemative Dispute Resolution

Application record card

Applications for employment

Appointments

Awards

Certificates of eligibles

Certification request control index

Correspondence

Counseling

Delegated agreements

Discrimination cases

Displaced employee program

Dispensary logs

Driver tests

Drug testing

Employee interviews

ral Records Schedule Index

Schedule Item

1 27

1 33e

33k,

l 331, 33m,

33n

1 4,41

1 12, 13

1 5, 33p

1 33g

3,4,

1 17a,

17c

1 26

1 33

1 25

- 1 33r,

33s

1 20

10 7

1 36

1 8

.219
Transmittal No. 8

December 1998

Employee medical folder

Employee record card

Equal Employment Oppor

Ethics

Evaluations

Examination announcement cases

Examinations

Financial disclosure reports

Non-Federal funded travel

Grievance

Handicapped individuals

Health benefits claims, denied

Health record cases

Health records, individual

Health unit control files

Incentive awards

Cases

eral Records Schedule Index

Schedule Item

1 21

1 6

y 1 25

25 1-10

1 7c(2)

I 33f

33d,

1 33f,

33i

25 2

25 5

1 30a

1 41

1 35

1 21

1 19, 21

1 20

KUj

1 12a

220
Transmittal No. 8

December 1998

Reports

Informational files

Injury and illness,

Interviews

Labor-management relations

Leave

Letters of reference

Motor vehicle operation

Notification of Personnel Action

Official Personnel Folder

Pay comparability

Performance ratings

Personnel security case files

Position classification

Appeals

Standards

Survey

mneral Records Schedule Index

Schedule Item

1 13

1 18

1 31,34

1 8

1 28

2 6,7,8, 9

1 10

10 7

1 14

1 1,10

1 41

1 23

18 22

1

1

7d

7a(1)

7c

221
Transmittal No. 8

December 1998

Position descriptions

Position identification strips

Reduction-In-Force (RIF) records

Registers of eligibles

Reports

Affirmative action

Audits of delegated examining

operations

Statistical

Retention registers

Retirement assistance

Retirement (payroll)

Security clearance

Security violation

Service record card

Standards of conduct

Temporary records

eral Records Schedule Index

Schedule Item

I 7b

1 11

I7b

1 (1),

30b

1 33g

K>

K>

1

1

1

1

1

2

18

18

I

1

I

25h

(4)

33t

16,22,

25f

17b

39

28

22, 23

24

2

27

10

222
Transmittal No. 8

December 1998

Test material stock control

Time and attendance

Training

Vacancy announcements

Personnel Security

Case files

Correspondence

Status

Violations

Photographs (also see Audiovisual)

Plant Accounting

Account cards

Correspondence

Ledgers

Police Records

Position Descriptions

Postal Irregularities

General Records Schedule Index

Schedule Item

1 33d

2 6-9

1 29

1 32,

33f

18

18

18

18

21

22

21

23

24

1-4

8

8

8

18

1

12

5

1

5

14

7b

8

223
Transmittal No. 8

December 1998

Postal Records

Press Service

Printing

General Records Schedule Index

Schedule Item

12 5,7

14 3

Correspondence

Mailing lists

Management

Planning

Projects

Reports to Congress

Registers

Privacy Act

Administrative

Amendment cases

Control records

Disclosure

Erroneous release

Reports

13

13

13

13

13

13

13

1

4

6

2b

2a

5

3

26

22

24

23

36

25

K>

<2

14

14

14

14

14

14

224
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

Requests

Procurement

Bids and proposals

Bond and surety

Contract appeals

Contractors' payrolls

Contracts

Correspondence

Federal Procurement Data System

Inventories

Purchase orders

Real property acquisition

Requisitions

Small and disadvantaged business utilization

Supply management

Survey, reports of

Tax exemption certificates

14 21

5

3

15

11

3

2

3d

9

3

1

3,6,7,

8

17

4

9c

12

3

3

3

3

3

225
Transmittal No. 8

December 1998

Telephone statements

Production Files (Audiovisual)

Promotion, Merit

Property Disposal

Correspondence

Excess personal property reports

Real property disposal

Surplus property

Proposals (see Bids and Proposals Files)

Property Pass

Purchase Orders

Reasonable Accommodation

Recordings

General Records Schedule Index

Schedule Item

3 10

21 28

1 3,32

K)j

4

4

4

4

18

3

1

I

2

4

3

12

3

24

K)

Sound (audio)

Video

Records Disposition Files

Records Holdings Files

21

21

22-24,

26

14, 16-

20

2

4

16

16

226
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

Records Management Files 16 7

Reduction-In-Force (RIF) Records (see Personnel)

Reports

Accident, motor vehicle

Budget

Building space and maintenance

Communications

Control Files

Cost accounting

Freedom of Information

Health programs, civilian

Housing

Incentive award

Joint Committee on Printing

Losses in Shipment Act, Government

10

5

11

12

16

8

14

1

15

1

13

9

5

3

2b

2b

6

6

14

22

3

13

5a

2

Sc, 6b,

6d, 7,

8

4

Mail 12

Motor vehicle 10

227
Transmittal No. 8

December 1998

Pay and payroll

Personnel

Privacy Act

Property disposal

Security (facility)

Space

Statistical

Communications

Cost accounting

Health

Mail

Payroll

Personnel

Surplus property

Requisitions

Bindings

General Records Schedule Index

Schedule Item

2 22,28

13, 16,

22,

1 25f,

25h

(4),

33t

14 25

4 2

18 18

11 2

12

8

1

12

2

1

4

2c

7

22

6b, 6d

22

16

2

13 2

228
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Control registers 13 3

Duplication 13 2

Housing maintenance and repair 15 2b

Non-personal 3 7

Printing 13 2a

Procurement 3 83 6,7,

Public Printer 3 6

Stamps 12 6c

Supplies and equipment 3 8

Retirement 2 28

Assistance 1 39

Safety and Security Inspections 18 9, 10

Schedules of Daily Activities 23 5

Scripts 21 28

Security and Protective Services

Correspondence .18 8

Guard assignment and strength 18 13

229
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

Guard force facility checks 18 18

Guard log and registers 18 20

Guard service control 18 19

Investigations 18 11

Key accountability 18 16

Lost or stolen property 18 15

Police files 18 14

Property pass files 18 12

Survey and inspection 18 9, 10

Visitor control files 18 17

Selective Placement 1 5

Shortage and Demurrage Reports 9 1

Site Audit Records 6 1

2 1

9 1

Small and disadvantaged business utilization (see Procurement)

KJ

Software

Sound Recordings (also see Audiovisual)

20 10

22-24,

26 21

230
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Space and Maintenance

Allocation and utilization 11 2

Building plans 11 2

Correspondence 11 1, 2b

Credentials 11 4

Directory service listings 11 3

Maintenance and repair 11 5

Reports 11 2b,5

Specifications, Real Property 4 4

Statement of Employment and Financial Interest 25 2

Statistical Files

Extracted data 20 5

Summarized data 20 4

Still Pictures (also see Audiovisual) 21 1-4

Stores Accounting

Correspondence 8 1

Invoices 8 2

Returns and reports 8 3

231
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Work papers 8 4

Suggestions, Employee I 12a

(1)

Supply

Inventory 3 9

Requirements 3 4

Requisitions 3 8

Surety Bond Files 6 6

Surplus Property

Correspondence 4 1

Personal Property 4 3

Real Property 4 4

Reports 4 2

Suspense Files 23 6

Tax Exemption Certificates 3 12

Tax Files 2 13

Telecommunications 12 2,3

Telegrams 6 9

232
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

Telephone

Statements and toll slips

Use

3

6

10

8

12 4

Temporary Commissions, Boards, Councils

and Committees

Internal Agency Committees

Records Created by Advisory

Commissions, Committees, Boards

and Other Groups Established Under

the Federal Advisory Committee Act

(FACA)

Committee Records Not Maintained

by the Sponsor or Secretariat

Committee Management Records

Electronic Mail and Word

Processing

Thrift Savings Plan

Time and Attendance

Title Papers

Tracking Files (see Control Files)

Training Records

Transit Certificates

26 I

26 2

26 3

26 4

26 5

2 16

2 6-9

3 1

1 29

9 1

233
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

Transitory Files 23 7

Transportation

Accountability

Bills of Lading

Correspondence

Freight records

Lost or damaged shipment

Subsidies

9

9

9

9

9

9

4

1

4

1

2

7

Travel

'V

Accountability

Authorization

Correspondence

Non-Federally funded

Orders

Passports

Reimbursement

Requests

Vouchers

9

9

9

4

4

4

25

9

9

9

9

9

5

3

5

3

1

1, 3 K-'

234
Transmittal No. 8 - - General Records Schedule Index

December 1998

Schedule Item

U.S. Postal Service Records 12 5

U.S. Savings Bonds':

Payroll savings 2 14

Receipt and transmittal 2 14

Registration 2 14

Vacancy Announcements 1 32

33f

Video Recordings (see also Audiovisual) 21 14, 16-

20

Viewgraphs 21 5

Visitors' Passes 11 4

Vouchers

Communications . 12 2d

General 6 1

Passenger transportation 9 1

Wage Survey - 1 38

Waiver of Claims 6 11

Work Papers

Budget 5 2

Stores accounting 8 4

'235
General Records Schedules

Forms Index

Chart 1: Standard Forms

Chart 2: Optional Forms

Chart 1: Standard Forms

SF Title Schedule Item

Number

I Printing and Binding Requisition 3 6

13 2

1A Binding Instructions 3 6

13 2

LB List of Books to be Bound 3 6

13 2

IC Printing and Binding Requisition for Specialty 3 6

Items

13 2

2 U.S. Government Lease for Real Property 3 3

2B U.S. Government Lease for Real Property Short 3 3

Form

7 Service Record (obsolete as of Dec. 31, 1994) 1 2

Service Record - Continuation (obsolete as of 1 2

7A Dec. 31, 1994)

7B Employee Record (obsolete as of Dec. 31, 1 6

1994)

7D Position Identification Strip (obsolete as of I 11

Dec. 31, 1994)

14 Telegraphic Message 12 3

236
Transmittal No. 8

December 1998

15

18

24

25

25A

25B

26

28

30

33

34

35

39

39A

44

44a-d

50

50B.

52

59

General Recoi

Application for 10-Point Veteran Preference

Request for Quotation

Bid Bond

Performance Bond

Payment Bond

Continuation Sheet (For Standard Forms 24,

25, and 25A)

Award/Contract

Affidavit of Individual Surety

Amendment of Solicitation/Modification of

Contract

Solicitation, Offer and Award

Annual Bid Bond

Annual Performance Bond

Request for Referral of Eligibles

Request and Justification for Selective Factors

and Quality Ranking Factors

Purchase Order - Invoice - Voucher

Purchase Order - Invoice - Voucher

Notification of Personnel Action

Notification of Personnel Action

Request for Personnel Action

Request for Approval of Non-Competitive

Action

rds Schedule Index

Schedule Item

1 1

3 3,5

3 3

3 3

3 3

3

3,5

3

3,5

3,5

3,5

3,5

5,33

5,33

3

1

3

1

1,14

1,14

1,33

1

237
Transmittal No. 8

December 1998

61

61B

62

66

71

81

83

82

85

86

91

94

97

98

98A

99

113A

114

114A

General Recor

Appointment Affidavits

Declaration of Appointee

Agency Request to Pass Over a Preference

Eligible or Object to an Eligible

Official Personnel Folder

Application for Leave

Request for Space

Request for OMB Review (Replaced by OMB

83, Paperwork Reduction Act Submission)

Agency Report of Motor Vehicle Data

Questionnaire for Non-Sensitive Positions

Questionnaire for National Security Positions

Motor Vehicle Accident Report

Statement of Witness

The United States Government Certificate to

Obtain Title to a Vehicle

Notice of Intention to Make a Service Contract

and Response to Notice

Notice of Intention to Make a Service Contract

and Response to Notice (Attachment A)

Notice of Award of Contract

Monthly Report of Federal Civilian

Employment

Sale of Government Property - Bid and Award

Sale of Government Property - Item Bid Page -

Sealed Bid

*ds Schedule Index

Schedule Item

1 1

1 1

.1

I

2

11

16

10

18

18

10

10

4

5

1

6

2

6

4

22

22

5

5 K>v

3

10 6

3

3

3

1

4

4

11

11

3

16

3

3

238
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

114B Sale of Government Property - Item Bid Page -

Sealed Bid

114C Sale of Government Property - General Sale Terms and Conditions

114C-1 Sale of Government Property - Special Sealed

Bid Conditions

114C-2 Sale of Government Property - Special Sealed

Bid - Term Conditions

Sale of Government Property - Special Spot

114C-3 Bid Conditions!:

114C-4 Sale of Government Property - Special Auction Conditions

Sale of Government Property - Amendment of 1 14D Invitation for Bids/Modification of Contract

Sale of Government Property - Negotiated

Sales Contract

114F Sale of Government Property - Item Bid Page -

Spot Bid or Auction

115 Request for Records Disposition Authority

115A Request for Records Disposition Authority -

Continuation

4 3

4

4

4

4

4

4

4

4

16

16

3

4

4

4

4

4

4

3

3

3

3

3

3

3

3

2

2

119

120

120A

121

122

123

123A

Statement of Contingent -or Other Fees

Report of Excess Personal Property

Continuation Sheet (Report of Excess Personal

Property)

Annual Report of Utilization and Disposal of

Excess and Surplus Personal Property

Transfer Order - Excess Personal Property

Transfer Order- Surplus Personal Property

Transfer Order - Surplus Personal Property

3,5,

16

2

2

2

2

2

2

- 239
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

123A

126

126A

127

132

133

135

135A

144

145

150

151

152

180

182

203

215

224

Transfer Order - Surplus Personal Property

(Continuation Sheet)

Report of Personal Property for Sale

Report of Personal Property for Sale

(Continuation Sheet)

Request for Official Personnel Folder

(Separated Employee)

Apportionment and Reapportionment Schedule

Report on Budget Execution

Records Transmittal and Receipt

Records Transmittal and Receipt

(Continuation)

Statement of Prior Federal Service

Telephone Service Request

Deposit Bond - Individual Invitation, Sale of

Government Personal Property

Deposit Bond - Annual Sale of Government

Personal Property

Request for Clearance or Cancellation of a

Standard or Optional Forms or Exception

Request Pertaining to Military Records

Request, Authorization, Agreement and

Certification of Training

Annual Audiovisual Report

Deposit Ticket

Statement of Transactions (Classified

According to Appropriation, Fund and Receipt

Account, and Related Control Totals)

4 2

4 2

4 2

1 17

5

5

16

4

3

2

16 2

I

3

12

1

3

2

4

4

16

3

3

3

14 21

1

16

6

6

1

4

1

1

<2y

240
Transmittal No. 8

December 1998

225

252

254

255

258

269

270

271

272

272A

273

274

275

278

278A

279

308

311

General Recor

Report on Obligations

Architect-Engineer Fixed-Price Contract

Architect-Engineer and Related Services

Questionnaire

Architect-Engineer and Related Services

Questionnaire for Specific Project

Agreement to Transfer Records to National

'Archives of the United States

Financial Status Report (Long Form)

Request for Advance or Reimbursement

Outlay Report and Request for Reimbursement

for Construction Programs

Federal Cash Transactions Report

Federal Cash Transactions Report -

Continuation

Reinsurance Agreement for a Miller Act

Performance Bond

Reinsurance Agreement for a Miller Act . ... ... I . ..

Payment Bond

Reinsurance Agreement in Favor of the United

States

Executive Branch Personnel -Public Financial

Disclosure Report

Assets and Income Public Financial Disclosure

Report

Federal Procurement Data System FPDS

Individual Contract Action Report

Request for Wage Determination and Response

to Request

Agency Information Security Program Data

ds Schedule Index

Schedule Item

5 3

3 3

3

3

3

3

16 2

3

3

3

3

3

3

3

3

24

24

3

3

18 1

- 241
I .

Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

312

344

360

361

362

364

701

702

1012

1012A

1013A

1034

1034A

1035

1035A

1038

1047

1048

1049

Classified Information Nondisclosure

Agreement

Multiuse Standard Requisitioning/Issue System

Document

Request to Approve an Interagency Reporting

Requirement

Transportation Discrepancy Report

U.S. Government Freight Loss/Damage Claim

Report of Discrepancy

Activity Security Checklist

Security Container Check Sheet

Travel Voucher

Travel Voucher (Memorandum)

Payroll for Personal Services

Public Voucher for Purchases and Services

Other Than Personal

Public Voucher for Purchases and Services

Other Than Personal (Memorandum)

Public Voucher for Purchases and Services

Other Than Personal (Continuation Sheet)

Public Voucher for Purchases and Services

Other Than Personal (Memorandum)

(Continuation Sheet)

Advance of Funds Application and Account

Public Voucher for Refunds

Memorandum - Public Voucher for Refunds

Public Voucher for Refunds

18 25 \-)

3

6

9

9

9

18

18

6

9

2

6

6

8

3

2

2

2

7b

7b

1

1

2

\K->

I

I

6

6

6

9

6

6

6

1

I

I

3

1

I

1

242
Transmittal No. 8

December 1998

1050

1069

1080

1081

1093

1094

1094A

1096

1098

1103A

1104

1109A

1113

1113A

General Records Schedule Index

Schedule Item

Public Voucher for Refunds (Memorandum)

Voucher for Allowances at Foreign Posts of

Duty

Voucher for Transfers Between Appropriations

and/or Funds

Voucher and Schedule of Withdrawals and

Credits

Schedule of Withholdings Under the DavisBacon Act (40 U.S.C. 276a) and/or The

Contract Work Hours and Safety Standards Act

(40 U.S.C. 327-333) . -

U.S. Tax Exemption Certificates

U.S. Tax Exemption Certificate Accountability

Record

Schedule of Voucher Deductions

Schedule of Canceled or Undelivered Checks

U.S. Government Bill of Lading -

Memorandum Copy

U.S. Government Bill of Lading - Shipping

Order

U.S. Government Bill of Lading - Continuation

Sheet - Memorandum

Public Voucher for Transportation Charges

Public Voucher for Transportation Charges

(Memorandum)

6 1

6 1

6 1

6 1

3,11

12

12

1

1

1

1

1

1

1

9 1

1128

1128A

Payroll for Personal Services - Payroll

Certification and Summary

Payroll for Personal Services - Payroll

Certification and Summary - Memorandum

6

2

I

2

243
I 11

Transmittal No. 8

December 1998

1145

1145A

1150

1151

1152

1154

1156

1156A

General Records Schedule Index

Schedule Item

Claims Act

Voucher for Payment Under Federal Tort

Claims Act - Memorandum

Record of Leave Data

Nonexpenditure Transfer Authorization

Designation of Beneficiary - Unpaid

Compensation of Deceased Civilian Employee

Public Voucher for Unpaid Compensation Due

a Deceased Civilian Employee

Public Voucher for Fees and Mileage of

Witnesses

Public Voucher for Fees and Mileage of

Witnesses - Memorandum

6 1

2

6

9a

1

1

6

6

6

I

1

I

1

9 3

1157

1164

Claims for Witness Attendance Fees, Travel,

and Miscellaneous Expenses

Claim for Reimbursement for Expenditures on

Official Business

9

6

3

I

1165

1166

1166A

1167

1167A

1169A

1170

Receipt for Cash - Subvoucher

Voucher and Schedule of Payments

Voucher and Schedule of Payments -

Memorandum

Voucher and Schedule of Payments

(Continuation Sheet)

Voucher and Schedule of Payments

(Continuation Sheet) - Memorandum

U.S. Government Transportation Request -

Memorandum Copy

Redemption of Unused Tickets

9

6

6

3

I

I

6 1

6 1

6 I

9 1

9 I

244
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Public Voucher for Unpaid Pay and

1176 Allowances Due a Deceased Member of the 6 1

Armed Forces

Public Voucher for Unpaid Pay and

1176A Allowances Due a Deceased Member of the 6 1

Armed Forces - Memorandum

1177 U.S. Savings Bond Issue File Action Request 2 14c

1182 Subscriber List for Issuance of United States 2 14b Savings Bonds

Subscriber List for Issuance of United States

Savings Bonds

1186 Transmittal for Transportation Schedules and 9 1

Related Basic'Documents1187 Request for Payroll Deductions for Labor 2 15b Organization Dues

7-

1188 Cancellation of Payroll Deductions forLabor 2 15b Organization Dues

Request by Employee'for'Allotment of Pay for

1198 Credit to Savings Accounts with a Financial 2 15b

Organization

1199a Direct Deposit Sign-up Form 2 17

1203A U.S. Government Bill of Lading, Privately 9 1 Owned Personal Property - Memorandum Copy

1204 U.S. Government Bill of Lading, Privately 9 Owned Personal Property'- Shipping Order

1205 U.S. Government Freight Waybill - Privately 9 1 Owned Personal Prdperty - Original

1218 Statement of Accountability (Fore ign Service 6 1

Account)

1219 Statement of Accountability 6 1

245
I It.

Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

6 5 K

Statement of Transactions According to

1221 Appropriations, Funds, and Receipt Accounts 6 1

(Foreign Service Account)

6 5

1303 Request for Federal Cataloging/Supply Support 3 2 Action

3 4

2800 Application for Death Benefits - Civil Service 1 1 Retirement System

2801 Application for Immediate Retirement under 1 1

the Civil Service Retirement System

2801-1 Certified Summary of Federal Service - Civil 1 1 Service Retirement System

2802 Application for Refund of Retirement I I Deductions - Civil Service Retirement System 1

2803 Application to Make Deposit or Redeposit - 1 1 Civil Service Retirement System

2804 Application to Make Voluntary Contributions - 1 1 Civil Service Retirement System

2805 Request for Recovery of Debt Due the United 2 18 States

2808 Designation of Beneficiary - Civil Service 1 1 Retirement System

2809 Health Benefits Registration Form - Federal 1 1 Employees Health Benefits Program

2810 Notice of Change in Health Benefits 1 1 Enrollment

Transmittal and Summary Report to Carrier - 2 22b

2811 Federal Employees Health Benefits Program

246
Transmittal No. 8

December 1998

General Records Schedule Index

Schedule Item

2812

2812A

2823

5515

Report of Withholdings and Contributions for

Health Benefits, Life Insurance, and Retirement

Report of Withholdings and Contributions for

Health Benefits by Enrollment Code

Designation of Beneficiary - Federal

Employees' Group Life Insurance Program

Debit Voucher

2 22b

2

6

1

22b

1

1

247
I it

Transmittal No. 8 General Records Schedule Index

December 1998

Optional Forms

OF TITLE Schedule Item

NUMBER

7 Property Pass 11 4

8 Position Description 1 7

16 Sales Slip - Sale of Government Personal 4 3 Property

30 Motor Vehicle Service and Inspection Work 10 2

Orders

55 U.S. Government Identification (Card) 11 4

68 Record of Travel Expenses 9 3

101 Summary Worksheet for Estimating Reporting 16 6

108 Daily Vehicle Usage Report 10 2

112 Classified Material Receipt 18 5

116 Record of Top Secret Material 18 5

117 Notice of a Security Violation 18 24

118 Record of Violation 18 2824

119 Record of Material Removed for Overnight 18 4,5

Custody

123 Top Secret Document Inventory Records 18 5

131 Stock Control Card 3 9

136 Application for Retirement - Foreign Service 1 1

Retirement and Disability System

137 Designation of Beneficiary 1 1

248
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

Application for Refuhnd of Compulsory

138 , Contributions - Foreign Service Retirement 1 1

System

Election to Receive Extra Service Credit

140 Towards Retirement and Report of Residence of 1 1

Spouse

141 Application for Service Credit 1 1

144 Temporary Duty (TDY) Official Travel 9 1

Authorization

153 Telegram 12 3

153A Telegram (Continuation Sheet) 12 3

158 General Receipt 6 1

164 Meritorious Service Increase Certificate 1 12

187 Telegram Repeat Request 12 3

189 Travel Reimbursement Voucher 6 1

189A Travel Reimbursement Voucher - Memorandum 6 1

9 1

Travel Reimbursement Voucher (Continuation

189B Sheet) Schedule of Expenses and Amounts 6 1

Claimed

Travel Reimbursement Voucher (Continuation

189C Sheet) - Memorandum Schedule of Expenses 6 1

and Amounts Claimed

9 1

190 Foreign Service Emergency Locator Information 1 6

191 Outgoing Telegram - 12 3

191A Outgoing Telegram - Continuation Sheet 12 3

199 Notice of Shipment of Effects - Residence-to- 9 1

Residence Method

-; 249
Transmittal No. 8 General Records Schedule Index

December 1998

Schedule Item

200 Monthly Record of Vehicle Operation Costs 10 2

202 Leave Record 2 7

202A Leave Summary 2 7

205 Statement of Operating Cash Advance and 6 1 Replenishment Voucher

206 Purchase Order, Receiving Report and Voucher 3 3

206A Purchase Order, Receiving Report and Voucher 3 3

(Continuation Sheet)

208 Statement of Collections - Foreign Service of 6 1 the United States of America

1,32,

33k,

612 Optional Application for Federal Employment 1 331,

33m,

33n

1017G Journal Voucher 7 4

1121 Bill of Lading Accountability Record 9 1

1130 Time and Attendance Report 2 7

1135 Time and Attendance Report 2 7

1136 Time and Attendance Report 2 7

1137 Leave Record 2 9

V>

250
NRC FORM 335 U.S. NUCLEAR REGULATORY COMMISSION 1. REPORT NUMBER

(9-2004) (Assigned by NRC, Add Vol. Supp., Rev.,

NRCMD 3.7 and Addendum Numbers, I any.)

BIBLIOGRAPHIC DATA SHEET

/ (See hnstotin the reverse) NUREG-0910 Revision 4

2. TITLE AND SUBTITLE 3. DATE REPORT PUBUSHED

NRC Comprehensive Records Disposition Schedule MONTH YEAR

March 2005

4. FIN OR GRANT NUMBER

5. AUTHOR(S) 6. TYPE OF REPORT

7. PERIOD COVERED (tnuive Dates)

8. PERFORMING ORGANIZATION - NAME AND ADDRESS ({ NRopa eDirOffce or gin U.S. NudearFletatoryCormissl. and maildngedressIwconractor, provide inae and na lng addressi)

Information and Records Services Division

Office of Information Services

U.S. Nuclear Regulatory Commission

Washington, D.C. 20555-0001

9. SPONSORING ORGANIZATION *-NAME AND ADDRESS (tRN=C typ 'Sartneas above'; lfcntractor. provideNRCD£vsbon, OfficearRegion U.S. NucdearRoguiaotyornrnsson.

and maing address)

Same as above

-.1 -

10. SUPPLEMENTARY NOTES

I1. ABSTRACT (200 wrds or Aess)

Title 44 United States Code, 'Public Printing and Documents," regulations issued by the General Services Administration (GSA)

in 41 CFR Chapter 101, Subchapter B, Management and Use of Information and Records," and regulations Issued by the

National Archives and Records Administration (NARA) In 36 CFR Chapter X11, Subchapter B. * Records Management," require

each agency to prepare and issue a comprehensive records disposition schedule that contains the NARA approved records

disposition schedules for records unique to the agency and contains the NARAs General Records Schedules for records

common to several or all agencies. The approved records disposition schedules specify the appropriate duration or retention

and the final disposition for records created or maintained by the NRC. NUREG-0910, Rev. 4, contains 'NRC's Comprehensive

Records Disposition Schedule," and the original authorized approved citation numbers issued by NARA. Rev. 4 incorporates

NARA approved changes and additions to the NRC schedules that have been implemented since the last revision and includes

the lates transmittal from NARA, transmittal no. 26 dated September 2004.

12. KEY WORDSIDESCRIPTORS List words orphrases hat wtassistresearchers hi basthg the report.) 13. AVAILABILITY STATEMENT

Disposition Schedule unlimited

Official Records 14. SECURnTY CLASSIFICATION

Records Disposition Schedule This Page)

Records Retention Periods unclassified

Records Schedules (This Report)

unclassified

15. NUMBER OF PAGES

16. PRICE

NRC F-ORM 335 (9-2004) PRINTED ON RECYCLED PAPER