Disposition of Federal Records: A Records Management 

Handbook 

2000 Web Edition (of 1997 printed publication) 

Table of Contents 

• Message from the Archivist

• FOREWORD

• I. A MANAGEMENT OVERVIEW 

o Introduction 

o Nature of the Records Disposition Program 

o The Program Directive and Its Contents 

o Program Promotion 

o Program Evaluation 

o Conclusion 

• II. RECORDS IDENTIFICATION AND SCHEDULING: AN OVERVIEW 

o Introduction 

o Records, Nonrecord Materials, and Personal Papers 

o Records Disposition Functions 

o Basic Steps in Scheduling Records 

o Conclusion 

III. THE RECORDS INVENTORY 

o Introduction 

o Review of Agency Functions and Recordkeeping Requirements and 

Practices 

o Inventorying: What, Why, and How 

o Inventorying: Scope, Focus, and Responsibility 

o The Series Inventory 

o The Information System Inventory 

o Verification 

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o Conclusion 

IV. RECORD VALUES AND SCHEDULE INSTRUCTION 

o Introduction 

o Evaluating Records: The Agency's Viewpoint 

o Evaluating Records: NARA's Viewpoint 

o Preparing Disposition Instructions 

o Understanding General Records Schedules 

o Applying General Records Schedules to Agency Records 

o Conclusion 

V. SCHEDULE PREPARATION AND CLEARANCE 

o Introduction 

o Completing an SF 115 

o Description and Added Information 

o Electronic, Audiovisual, and Other Special Records 

o Other Considerations in Completing an SF 115 

o Arranging a Records Schedule 

o Assembling a Draft Records Schedule 

o Obtaining Internal Clearances and GAO's Approval 

o Submitting an SF 115 for NARA's Approval 

o Conclusion 

VI. SCHEDULE IMPLEMENTATION 

o Introduction 

o Issuing the Schedule 

o Training Employees 

o Applying the Schedule to Permanent Records 

o Applying the Schedule to Temporary Records 

o Reviewing and Updating the Schedule 

o Related Disposition Matters 

o Conclusion 

VII. PROGRAM EVALUATION 

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o Introduction 

o Reports on the Program 

o Self-Evaluation Guidelines 

o NARA's Evaluation of Agency Programs 

o Conclusion 

APPENDIX A. RECORDS DISPOSITION STATUTES 

o 44 U.S.C. Chapter 21 

o 44 U.S.C. Chapter 29 

o 44 U.S.C. Chapter 31 

o 44 U.S.C. Chapter 33 

o 18 U.S.C. Chapter 101

APPENDIX B. RECORDS DISPOSITION REGULATIONS (36 CFR 1228) 

o Subpart A: Records Disposition Programs 

o Subpart B: Scheduling Records 

o Subpart C: General Records Schedules 

o Subpart D: Implementing Schedules 

o Subpart E: Loan of Permanent and Unscheduled Records 

o Subpart F: Emergency Authorization to Destroy Records 

o Subpart G: Damage to, Alienation, and Unauthorized Destruction of 

Records 

o Subpart H: Transfer of Records from the Custody of One Executive 

Agency to Another 

o Subpart I: Transfer of Records to Records Storage Facilities 

o Subpart J: Transfer, Use, and Disposition of Records in a NARA Records 

Center 

o Subpart K: Facility Standards for Records Storage Facilities 

o Subpart L: Transfer of Records to the National Archives of the United 

States 

o Appendix A to Part 1228 - Minimum Security Standards for Level III 

Federal Facilities 

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o Appendix B to Part 1228 - Alternative Certified Fire-safety Detection and 

Suppression System(s) Authority: 44 U.S.C. chs. 21, 29, and 33. 

APPENDIX C. APPRAISAL GUIDELINES FOR PERMANENT RECORDS 

APPENDIX D. RECORDS MANAGEMENT PUBLICATIONS 

APPENDIX E. LIST OF REGIONAL RECORDS SERVICES FACILITIES 

From the Archivist 

This web-formatted version of the 1997 reprint of the Disposition of Federal Records

handbook has been changed only to update organizational information and reflect 

changes in regulations. 

As indicated in the National Archives and Records Administration's Strategic Plan, 

Ready Access to Essential Evidence, we are reviewing our records management policies. 

This handbook and other records management issuances will be more extensively revised 

in the future for conformance to changes in policy and in recordkeeping practices 

affected by technological developments. 

Please let me know if you have suggestions for improving this handbook or any of our 

other records management publications. 

JOHN W. CARLIN

Archivist of the United States 

FOREWORD 

An effective records disposition program is the key to successful records management in 

Federal agencies. It helps ensure that agencies have the recorded information necessary to 

conduct Government business, avoid waste, and preserve America's documentary 

heritage. 

This handbook explains how to establish, manage, and operate a records disposition 

program within a Federal agency. It emphasizes the necessity of each agency's 

developing, implementing, and updating a records schedule for all agency records, 

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regardless of media or location. Developing a records schedule includes reviewing 

agency functions and recordkeeping requirements, inventorying and evaluating records, 

preparing disposition instructions, organizing and clearing the schedule internally, and 

obtaining approval from the National Archives and Records Administration (NARA) and, 

if necessary, from the General Accounting Office (GAO). 

Proper implementation involves issuing the approved records schedule as an agency 

directive, training employees to use it, and carefully applying the schedule's provisions to 

both permanent and temporary records. The schedule's final objective is to ensure the 

authorized, appropriate, and timely disposition of the agency's records. Besides being 

developed and implemented, the schedule needs to be reviewed at least annually and 

updated whenever necessary. 

The handbook explains how to evaluate a records disposition program in order to make 

improvements. It also describes NARA's role in helping agencies comply with laws and 

regulations regarding records disposition and other aspects of records management. The 

appendixes contain relevant laws and regulations, appraisal guidelines for permanent 

records, a listing and description of NARA's records management publications, and a list 

of regional records facilities. The frequent repetitions, summaries, and cross-references 

are intended to facilitate use of this edition for instructional purposes as well as for selfstudy. 

This handbook does not cover the disposition of Presidential records or records of the 

U.S. Congress. 

Richard A. Wire wrote this revised edition of Disposition of Federal Records. He wishes 

to thank Frank B. Evans, William H. Leary, and Katherine V. Coram for their advice and 

assistance. This publication was designed and illustrated by John H. Hedges. 

Bibliographic note: The 2000 web edition is based on the 1997 printed publication 

Disposition of Federal Records, a Records Management Handbook, Second Edition, 

National Archives and Records Administration, Office of Records Services -- 

Washington, D.C. (1997). The web edition may vary from the printed version. The text 

has been changed to update organizational information and reflect changes in regulations. 

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I. A Management Overview 

• Introduction

• Nature of the Records Disposition Program 

• The Program Directive and Its Contents

• Program Promotion 

• Program Evaluation

• Conclusion 

I. A Management Overview 

• An effective records disposition program is essential to successful records 

management, which is an integral part of information resources management. 

• A disposition program requires a strong directive. 

• Managing the records disposition program includes training employees, 

publicizing the program, and cultivating professional relationships. 

• Agency records officers should participate in the development of electronic and 

other recordkeeping systems to ensure proper planning for disposition. 

• Agency records officers need to evaluate their records disposition programs 

periodically. 

Introduction 

This chapter describes how to establish and manage a records disposition program, while 

the following chapters explain how to implement it. An effective records disposition 

program is the key to successful records management, which, in turn, ensures that 

Government activities are documented properly, efficiently, and economically. Managing 

Federal records requires an understanding of their essential role in administering 

Government affairs and of the relationship of records management to other information 

resources management programs. It also entails a knowledge of recordkeeping 

requirements. Managing the disposition program is based on a directive establishing the 

program and involves an understanding of the program's nature, of promotion methods, 

and of evaluation techniques. 

Records and Information Resources Management 

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Managing recorded information is an important responsibility of every Federal agency. 

As the basic administrative tool by which the Government does its work, records are a 

basic component of each agency's information resources. Like other resources, they must 

be managed properly for the agency to function effectively and comply with Federal laws 

and regulations. 

According to Federal law (44 U.S.C. 2901), records management means: 

the managerial activities involved with respect to records creation, records maintenance 

and use, and records disposition in order to achieve adequate and proper documentation 

of the policies and transactions of the Federal Government and effective and economical 

management of agency operations. 

Along with data processing and telecommunications, records management is an integral 

part of information resources management (IRM). (See fig. 1-1.) IRM is concerned with 

the creation, maintenance and use, and disposition of information as well as with related 

resources, or assets, such as personnel, equipment, funds, and technology. In accordance 

with 44 U.S.C. 3504, the Office of Management and Budget (OMB) works with the 

National Archives and Records Administration (NARA) and the General Services 

Administration (GSA) to promote the coordination of Federal information policy, 

including records management. (For more details on OMB's role in IRM, see OMB 

Circular No. A-130, Management of Federal Information Resources.) 

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In setting forth records management responsibilities, Federal law requires each agency 

head to 

make and preserve records containing adequate and proper documentation of the 

organization, functions, policies, decisions, procedures, and essential 

transactions of the agency and designed to furnish the information necessary to 

protect the legal and financial rights of the Government and of persons directly 

affected by the agency's activities [44 U.S.C. 3101]. 

The agency head must also "establish and maintain an active, continuing program for the 

economical and efficient management of the records of the agency" (44 U.S.C. 3102). 

This means establishing continuous and systematic control over the creation, 

maintenance and use, and disposition of agency records in accordance with statutory and 

regulatory requirements. It also involves cooperating with NARA and GSA to improve 

records management. 

Recordkeeping Requirements 

Central to the proper management of recorded information is the concept of 

recordkeeping requirements. These requirements are statements in laws, regulations, or 

agency directives providing general and specific guidance on particular records to be 

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created and maintained by an agency. Since each agency is legally obligated to create and 

maintain adequate and proper documentation of its organization, functions, and activities, 

it needs to issue recordkeeping requirements for all activities at all levels and for all 

media and to distinguish records from nonrecord materials and personal papers. 

Agency recordkeeping requirements apply to both the creation and maintenance of 

records. In accordance with NARA regulations (36 CFR 1222), these requirements 

should prescribe the systematic creation and maintenance of all agency records. 

Records Disposition and the Life Cycle of Records 

Disposition is an integral part of records management and is the third and final stage of 

the life cycle of records. According to the life cycle concept, records go through three 

basic stages: (1) creation (or receipt), (2) maintenance and use, and (3) disposition. (See 

fig. 1-2.) Although this handbook focuses on disposition, all three stages of the records 

life cycle are interrelated. Thus an agency must coordinate its programs to manage 

records creation, maintenance and use, and disposition so that each program supports the 

others. 

In Federal usage, records are referred to, depending on the stage they have reached in 

their life cycle, as "current," "semicurrent," or "noncurrent." These terms refer not to the 

date or age of the records, but rather to their use in the current daily work of the office. 

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As used in this handbook, disposition means those actions taken regarding Federal 

records after they are no longer needed in office space to conduct current agency 

business. These actions include: 

• Transfer of records to agency storage facilities or NARA records centers. 

• Transfer of records from one Federal agency to another. 

• Transfer of permanent records to the National Archives of the United States. 

• Disposal of temporary records no longer needed to conduct agency business, 

usually by destruction or occasionally by donation. 

Disposition is a comprehensive term that includes destruction as well as other actions, 

such as the transfer of permanent records to the National Archives. After appraising 

agency records, NARA authorizes either their disposal or their transfer to the National 

Archives for preservation and research. Agencies must also receive NARA's approval 

before lending records outside the Federal Government, before retiring them to NARAoperated record centers, and before transferring them to other Federal agencies, unless 

exceptions have been granted. Finally, they must receive NARA's approval before 

establishing or relocating their records centers and before converting permanent or 

unscheduled originals to microfilm. 

In contrast to disposition, "disposal" in Federal usage refers to only those final actions 

taken regarding temporary records after their retention periods expire. It normally means 

destruction of the record content, such as by recycling or burning the record medium. The 

term is also used occasionally to mean the transfer of temporary records from Federal 

control by donating them to an eligible person or organization after receiving NARA's 

approval. 

Nature of the Records Disposition Program 

Definition 

A records disposition program may be defined as those policies and practices designed to 

achieve effective and efficient disposition by scheduling all records; ensuring their proper 

storage, whether in agency or record center storage space; ensuring the authorized and 

prompt disposal of temporary records; and ensuring the timely transfer of permanent 

records to the National Archives. 

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Elements of the Program 

The primary steps in managing a records disposition program are described below and 

summarized in figure 1-3. These steps make up the elements of the program: 

• Issue a program directive assigning authorities and responsibilities for records 

disposition activities in the agency, and keep that directive up to date. 

• Develop, implement, and update a comprehensive records schedule. 

• Train all those taking part in the agency's records disposition activities. 

• Publicize the program to make all agency employees aware of their records 

disposition responsibilities. 

• Evaluate the results of the program to ensure adequacy, effectiveness, and 

efficiency. 

This chapter describes the steps involving the program directive, training, publicity, and 

evaluation. Later chapters elaborate on developing, implementing, and updating a 

comprehensive records schedule and on evaluating a records disposition program. 

Basic Objectives 

A records disposition program provides for the effective and efficient management of 

records no longer needed in office space to conduct current business. It has three main 

objectives: The prompt disposal of temporary records whose authorized retention periods 

have expired, the timely and systematic transfer to economical storage of records no 

longer needed in office space but not yet eligible for final disposition, and the 

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identification and transfer of permanent records to the National Archives for preservation 

and for reference and research use. 

Most records cannot and should not be kept permanently or even for long periods. All 

records, regardless of media, fall into one of two categories for disposition purposes: 

1. Temporary records. These should be destroyed, or in rare instances donated, 

after a fixed period of time or after occurrence of a specified event. The time may 

range from a few months to many years. Most Federal records are temporary. 

2. Permanent records. These are sufficiently valuable for historical or other 

purposes to warrant continued preservation by the Federal Government. 

Relatively few Federal records are permanent, although the exact percentage 

differs from agency to agency. 

In carrying out a records disposition program, each agency is responsible for 

recommending to NARA retention periods for potentially temporary records and suitable 

transfer dates for potentially permanent records. The agency also needs to determine 

where the records should be kept as they await disposal or transfer to the National 

Archives -- in the office, in an agency storage facility, or in a commercial or NARA 

record center. 

The Program Directive and Its Contents 

Managerial Support 

To establish an effective records disposition program, the agency head must issue a 

strongly worded directive making the program an integral part of the agency's records 

and information management program. Issuing this directive emphasizes the agency's 

commitment to the authorized, timely, and orderly disposition of records. It allows the 

agency to issue the proper delegations of authority, establish staffing patterns, and 

approve procedures. The sections that follow provide details about the directive and its 

contents. 

Organizational Placement 

The organizational placement of the records disposition program will influence its 

effectiveness. In deciding where to place the program, the agency must recognize it as an 

12
important management function and understand the need to relate it to other records and 

information management programs. 

Program Responsibility and Objectives 

The directive should designate the agency records officer as the official responsible for 

the program. It should permit delegation of authority to involve all parts of the agency in 

the program. The most important part of the directive states these program aims and 

duties: 

• To enable agency managers to make informed decisions. 

• To establish effective controls over all records and nonrecord materials in the 

agency's custody. 

• To prepare, obtain approval of, and apply an up-to-date comprehensive schedule 

for all agency records and nonrecord materials. 

• To participate in the development of electronic and other recordkeeping systems 

to ensure proper disposition. 

• To assist and advise agency officials regarding records disposition matters. 

• To act as a liaison with NARA for program direction. 

• To recruit and train the staff necessary to carry out the program. 

• To evaluate the program's results to ensure adequacy, effectiveness, and 

efficiency. 

Staffing and Liaison 

The directive should provide for an adequate network of personnel at major headquarters 

offices and at field offices to carry on records disposition work under the agency records 

officer's direction. The number of people in this liaison group depends on the size of the 

agency and its organizational complexity. Figure 1-4 illustrates the structure of such a 

system. 

Smaller agencies may find that records officers must directly conduct disposition 

activities. In a larger agency, the complexity and volume of records often require 

assigning some people full-time to the disposition function. 

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NARA's Role 

The directive should indicate NARA's role in the disposition program. It should identify 

NARA as the oversight agency responsible for appraising all Federal records, approving 

their disposition, providing program assistance and records center storage, evaluating 

records management programs, and serving as the final custodian of permanent records. 

It should also point out that NARA operates two different types of records facilities: 

• NARA records centers. These provide temporary storage and also reference 

service for records that are needed infrequently by the creating agency but are not 

yet eligible for disposal or transfer to the National Archives. Records stored in a 

NARA records center remain in the legal custody of the creating agency. 

• The National Archives. It stores the Federal Government's permanent records, 

which are also known as the National Archives of the United States. When 

transferring permanent records to the National Archives, agencies also transfer 

legal custody of the records. The National Archives takes conservation measures 

needed to preserve the records and also provides reference service, including 

service to the creating agency. 

Finally, if the directive covers the entire records management program, it should also 

indicate the responsibilities of GSA, OMB, and other oversight agencies. 

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Program Promotion

In working to develop and apply a comprehensive records schedule, the agency needs to 

promote and evaluate the overall records disposition program. Program promotion 

involves training employees, publicizing the program, helping develop and monitor 

electronic and other recordkeeping systems, and cultivating professional relationships 

inside and outside the agency. 

Training 

Proper training is an essential part of a records disposition program. Training should 

involve those agency personnel directly concerned with developing and applying 

schedules. These individuals include the agency records officer and staff, records liaison 

officers in central and field offices, and files custodians. 

NARA's introductory records disposition curriculum provides a basis for internal agency 

training. In addition, records officers and their staffs can keep current by participating in 

more advanced training offered by NARA. These training opportunities are provided by 

NARA's Office of Records Services - Washington, DC and the Office of Regional 

Records Services. These and other training opportunities are described on the NARA 

Records Management Programs training web page. 

Agencies should periodically brief supervisors and other employees on their records 

responsibilities, particularly those relating to records disposition. Audiovisual recordings 

of training and briefing sessions may also be useful, especially for remote locations or 

regional offices. 

Publicizing the Program 

Besides formal training courses and briefing sessions, other ways to publicize the records 

disposition program include: 

Agency Newsletters. These are a valuable way of informing employees about the 

program. 

15
Posters. Appropriate posters are available for display on office walls or in hallways. For 

electronic copies of other records management posters, see the NARA records 

management publications web page. 

Developing and Monitoring Recordkeeping Systems 

Agency records officers should participate in the design and development of 

recordkeeping systems to ensure the proper disposition of recorded information. Such 

involvement is especially important in the design of electronic records systems. 

16
According to OMB Circular No. A-130, agencies are to create or collect information 

"only after planning for its . . . use, storage, and disposition." 

The uncontrolled purchase of recordkeeping equipment can waste money and undermine 

the entire records disposition program. Records officers should review requests for major 

purchases of such equipment to ensure that the records are scheduled and the disposition 

instructions are being carried out promptly. 

Cultivating Professional Relationships 

Records officers need to develop and maintain good professional relationships both 

inside and outside the agency in order to advance records disposition and other aspects of 

records management. They should develop and maintain such relationships with: 

• Records liaison officers. An active network of such officers, both at headquarters 

and in the field, is essential to the success of the agency's records disposition 

program. As those responsible for coordinating records matters in particular 

offices, records liaison officers provide the agency's records officer with much of 

the information and support needed to develop and implement the program. 

• Agency program managers. Involving them is essential to the disposition 

program's success. They must be consulted to determine the value of the records 

to the agency and to identify other users and uses of the information. Their 

involvement will help ensure that records officers participate in the development 

of new information systems. Assisting these managers in disposition and other 

records management matters can open doors to cooperation. Furthermore, the 

records disposition program offers program managers an important service. It 

provides the disposition authorities required to preserve the information they need 

to do their jobs well and to dispose of information when it is no longer needed. 

• Designers and managers of electronic records systems. Because of the growth 

of such systems, records officers should give special attention to helping design 

and develop these systems to ensure adequate documentation and especially 

proper disposition of recorded information. 

• Agency historians. Records officers should assist agency historians and consult 

with them in the process of ensuring adequate documentation and identifying 

records with potentially permanent value. 

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• Records managers outside the agency. Forming a network of contacts outside 

the agency can be useful. Attending meetings sponsored by NARA and 

professional societies, for example, can lead to a sharing of information and ideas 

about records management problems and possible solutions. For information 

about professional societies as well as NARA-sponsored meetings, agencies 

should contact NARA's Life Cycle Management Division. Information about 

NARA events is also available on the records management web page. 

• NARA staff members. NARA staff members are a key resource as agencies 

develop or improve their records disposition programs. Besides approving 

mandatory disposition authorities, NARA provides services such as information, 

training, and record center storage. It also takes legal custody of permanent 

records once their agency use has ended, as described in later chapters of this 

handbook. 

Program Evaluation

Good management necessarily involves evaluating a program's results to make 

improvements such as shorter retention periods for temporary records, more timely 

disposal or transfer of eligible records, and better relations with other agency managers 

and NARA. 

Besides reviewing its records schedule annually, each agency is required to evaluate 

periodically its records management programs, including records disposition, for 

compliance with relevant laws and regulations and for effectiveness. Likewise, in its 

oversight role, NARA periodically conducts single agency and interagency evaluations 

for the same purposes. (36 CFR 1220) 

Chapter VII of this handbook contains further information on evaluating an agency's 

records disposition program. 

Conclusion 

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An effective records disposition program is the key to successfully managing recorded 

information. Such a program helps ensure that agencies have the recorded information 

necessary to conduct Government business, avoid waste, and preserve America's 

documentary heritage for transfer to the National Archives. Managing this program is a 

challenging and rewarding responsibility, one that deserves the highest priority. 

After giving an overview of identifying and scheduling records, the chapters that follow 

explain how to carry out a records disposition program, especially by developing and 

implementing a comprehensive records schedule and by evaluating the program. 

19
 

II. Records Identification and Scheduling: An Overview 

• Introduction 

• Records, Nonrecord Materials, and Personal Papers

• Records Disposition Functions 

• Basic Steps in Scheduling Records 

• Conclusion 

II. Records Identification and Scheduling: An Overview 

• Records must be identified and distinguished from nonrecord materials and 

personal papers. 

• Records are created or received and accumulated as an agency conducts 

Government business. 

• Records may be on paper, electronic, audiovisual, microform, or other media. 

• Scheduling is the process of developing a document that provides mandatory 

instructions for what to do with records (and nonrecord materials) no longer 

needed for current Government business. 

• The scheduling process requires an understanding of records disposition 

functions. 

• Basic scheduling steps include reviewing agency functions and recordkeeping 

requirements, inventorying and evaluating the records, and preparing disposition 

instructions. 

• The steps also include organizing the draft schedule, clearing it internally and 

externally, and then implementing the approved schedule and updating it 

whenever necessary. 

Introduction 

An effective records disposition program depends, at least in part, on the systematic 

creation and maintenance of agency records. Records management during the creation 

and maintenance stages involves identifying records and establishing and meeting 

recordkeeping requirements. (See Chapter I.) It should be based on the recognition that 

records are important because they: 

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• Protect the legal, financial, and other rights of the Government and its citizens. 

• Ensure continuity and consistency in administration. 

• Assist agency officials and their successors in making informed policy and 

program judgments. 

• Provide information required by the Congress and others to oversee the agency's 

activities. 

• Document the agency's organization, structure, and achievements. 

This chapter gives an overview of the process of identifying records and scheduling them 

for appropriate disposition. Identifying records means distinguishing them from 

nonrecord materials and personal papers. It initially involves inventorying the records. 

(See Chapter III.) 

Scheduling records is the process of developing a document that provides mandatory 

instructions for what to do with records (and nonrecord materials) no longer needed for 

current Government business. This document is a records schedule. It is sometimes called 

a records disposition schedule, a records control schedule, a records retention schedule, 

or simply a schedule. In NARA's usage the term includes the SF 115, Request for 

Records Disposition Authority; the General Records Schedules (GRS); and the agency 

records schedule. The agency schedule should be a comprehensive schedule that also 

contains agency disposition instructions for nonrecord materials. 

NARA's regulations (36 CFR 1228) require each agency to develop a comprehensive 

records schedule within 2 years of the agency's establishment and to schedule the records 

of a new program within 1 year of its implementation. Each agency also needs to review 

its comprehensive records schedule annually and to revise and update it as necessary. 

Finally, whenever NARA issues a change to the GRS, the agency has 6 months to update 

its schedule accordingly unless it has received an exception from NARA. 

Records, Nonrecord Materials, and Personal Papers

Federal records need to be distinguished from nonrecord materials and personal papers 

for disposition purposes. Nonrecord materials require only agency approval for 

disposition, and the individual owner determines the disposition of personal papers. In 

contrast, the disposition of Federal records is authorized only when an agency has 

received NARA's approval. 

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Records

What are Federal records? As defined in 44 U.S.C. 3301, the term includes: 

all books, papers, maps, photographs, machine-readable materials, or other documentary 

materials, regardless of physical form or characteristics, made or received by an agency 

of the United States Government under Federal law or in connection with the transaction 

of public business and preserved or appropriate for preservation by that agency or its 

legitimate successor as evidence of the organization, functions, policies, decisions, 

procedures, operations, or other activities of the Government or because of the 

informational value of data in them. 

This legal definition contains several important terms and phrases that require further 

explanation: 

• "Documentary materials" is a collective term that refers to all media on which 

information is recorded, regardless of the nature of the medium or the method or 

circumstances of recording. The term usually refers to records and nonrecord 

materials, but it may also include personal papers as defined later in this chapter. 

• "Regardless of physical form or characteristics" means that the medium may be 

paper, film, disk, or another physical type or form. It also means that the method 

of recording may be manual, mechanical, photographic, electronic, or any 

combination of these or other technologies. 

• "Made" means the act of creating and recording information by agency 

employees, regardless of the method or medium involved. Such recorded 

information is generally circulated to others or placed in files accessible to others. 

• "Received" means the acceptance or collection of documentary materials by 

agency employees: 

o Regardless of who originated the materials, whether employees within the 

agency or in other agencies or whether private citizens, public officials, 

contractors, Government grantees, or others. 

o Regardless of how the materials were transmitted, whether directly by the 

originator or indirectly by messenger, mail, electronic means, or some 

other method. 

In this context the term "received" does not refer to misdirected materials. It may 

22
or may not refer to loaned or seized materials. The question of Government 

ownership of loaned or seized materials depends on the conditions of agency 

custody and use and should therefore be referred to legal counsel for advice. 

• "Preserved" means the filing, storing, or any other method of systematically 

maintaining documentary materials by the agency, even if those materials have 

not yet been filed or have been removed temporarily from existing filing systems. 

• "Appropriate for preservation" means suitable for filing, storage, or other 

systematic maintenance by the agency, regardless of any inadequacies in the 

agency's formal recordkeeping policies and practices. 

Documentary materials are records when they meet both of the following conditions: (1) 

They are made or received by an agency of the U.S. Government under Federal law or in 

connection with the transaction of agency business; and (2) they are preserved or are 

appropriate for preservation as evidence of the agency's organization, functions, and 

activities or because of the value of the information in them. 

In summary, the legal definition has three key points: 

1. Records are made or received by a Federal agency either to comply with a law or 

to conduct public business. As a result, they belong to the Government rather than 

to individuals, and their legal disposition depends on the prior approval of the 

Archivist of the United States. 

2. Records are, or should be, preserved because they constitute evidence or contain 

information of value. They document an agency's organization, functions, and 

activities or the persons, places, things, or matters dealt with by an agency. 

3. Records vary widely in their physical form or characteristics. They may be on 

paper, electronic, audiovisual, microform, or other media. 

Special attention must be given to electronic records throughout their life cycle. These are 

records stored in a form that only a computer can process. Their storage media include 

floppy diskettes, data cartridges, magnetic tapes and disks, and optical disks. These media 

may change frequently because of rapidly expanding technologies. Electronic records are 

increasingly supplementing and sometimes replacing paper records. Furthermore, they 

are found not only in program offices but also in automatic data processing (ADP) 

centers. 

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It is essential to design electronic records systems so that adequate maintenance and 

disposition procedures are in place from the start. An effective records disposition 

program depends on scheduling all records, regardless of location and regardless of 

physical form or characteristics, including electronic records. 

Attention should also be given to working files, or working papers, because of the 

difficulty of determining record status. Normally case working files are records because 

they generally need to be organized and maintained for some specified period of time. 

Other likely record categories include working files used in preparing reports or studies 

and preliminary drafts of policy documents circulated for comment. In contrast, 

preliminary drafts of correspondence not circulated for comment are more likely to be 

nonrecord materials. 

Nonrecord Materials 

An agency's disposition program also needs to include managing nonrecord materials, 

because their volume may exceed that of records. These are US Government-owned 

documentary materials excluded from the legal definition of records (44 U.S.C. 3301), 

either by failing to meet the general conditions of record status already described or by 

falling under one of three specific categories: 

1. Extra copies of documents preserved only for convenience of reference. 

2. Stocks of publications and of processed documents. Each agency needs, however, 

to create and maintain record sets of processed documents and of publications, 

including annual and special reports, special studies, brochures, pamphlets, books, 

handbooks, manuals, posters, and maps. 

3. Library and museum material made or acquired and preserved solely for reference 

or exhibition purposes. 

On the basis of these conditions and the categories specifically cited in the law, 

nonrecord materials include: 

• Information copies of correspondence, directives, forms, and other documents on 

which no administrative action is recorded or taken. 

24
• Routing slips and transmittal sheets adding no information to that contained in the 

transmitted material. 

• Tickler, follow up, or suspense copies of correspondence, provided they are extra 

copies of the originals. 

• Duplicate copies of documents maintained in the same file. 

• Extra copies of printed or processed materials for which complete record sets 

exist, such as current and superseded manuals maintained outside the office 

responsible for maintaining the record set. 

• Catalogs, trade journals, and other publications that are received from other 

Government agencies, commercial firms, or private institutions and that require 

no action and are not part of a case on which action is taken. 

• Physical exhibits, artifacts, and other material objects lacking evidential value. 

Determining whether a particular document is a record does not depend on whether it is 

an original or a copy. As figure 2-1 shows, several copies of a single form may each have 

record status because each serves a separate administrative purpose, and they are 

maintained in different filing systems. A single set of publications should be designated 

the record copy, as distinguished from copies elsewhere or stocks of the same 

publication. 

25
The following guidelines should be used in managing nonrecord materials: 

• Within the agency, only the records officer should determine record or nonrecord 

status, after obtaining any necessary advice from the agency's legal counsel. 

Giving such responsibility to officials at agency staff or operating levels may lead 

to misuse of the nonrecord label, weaken the entire disposition program, and 

result in the loss of valuable records. 

• The records officer should seek NARA's guidance regarding the record or 

nonrecord status of a questionable file or type of document. 

• When it is difficult to decide whether certain files are records or nonrecord 

materials, the records officer should treat them as records. 

• Nonrecord materials should not be interfiled with records. 

• Nonrecord materials should be destroyed when no longer needed for reference. 

NARA's approval is not required to destroy such materials. 

26
• Nonrecord materials should be removed from US Government custody only with 

the agency's approval. The agency should ensure adequate protection of any 

security-classified or administratively controlled information contained in such 

materials. 

Personal Papers 

Some Government employees, especially executives, senior staff, scientists, and other 

specialists, accumulate and keep various personal papers at the office. The maintenance 

of personal papers in agency space and equipment requires agency approval and also 

compliance with Federal and agency requirements. If kept there, such personal papers 

must be clearly designated as such and maintained separately from records. 

Personal papers are documentary materials belonging to an individual that are not used to 

conduct agency business. They relate solely to an individual's personal and private affairs 

or are used exclusively for that individual's convenience. They may refer to or comment 

on the subject matter of agency business, provided they are not used to conduct that 

business. In contrast to both records and nonrecord materials, personal papers are not 

Government-owned. Certain documentary materials are clearly personal and may readily 

be identified and claimed as such. Categories of personal papers include: 

• Materials accumulated by an individual before joining Government service that 

are not later used to conduct Government business. Examples include previous 

work files, political materials, and reference files. 

• Materials brought into or accumulated in the office that are not used to conduct 

agency business and that relate solely to an individual's family matters, outside 

business pursuits, professional activities, or private political associations. 

Examples include family and personal correspondence, volunteer and community 

service records, literature from professional organizations, and manuscripts and 

drafts of articles and books. 

• Work-related materials, such as diaries, journals, notes, personal calendars, and 

appointment schedules, that are not prepared, received, or used in the process of 

transacting agency business. Although these materials contain work-related 

information, they are personal papers if they are claimed as such and serve only 

the individual's own purpose (e.g., as reminders and personal observations about 

27
work-related and other topics). This category is the most difficult to distinguish 

from agency records because of its work-related content. 

Employees should keep in mind that some materials appearing to be personal papers 

could prove to be agency records. Determining their record status depends on all the 

circumstances of their creation, maintenance and use, and disposition. 

In determining whether or not certain documentary materials are records, the Federal 

courts have developed guidance, subject to change, in deciding Freedom of Information 

Act (FOIA) cases. Based on current case law involving executive agencies, the meaning 

of "agency records" for FOIA purposes is broader than that of "records" under 44 U.S.C. 

3301 with respect to such agencies. Therefore, documentary materials falling outside the 

FOIA usage would also fall outside the statutory definition of "records" for those 

agencies. The following topics include relevant questions and guidance regarding the 

record status of work-related documentary materials: 

• Creation. Was the document created or received by an agency employee on 

agency time, with agency materials, and at agency expense? If not, then the 

document is unlikely to be an agency record. If so, it may or may not be an 

agency record, depending on other considerations. 

• Content. Does the document contain only substantive information about agency 

business, or does it contain only information about the employee's personal 

matters? Does it contain both official and personal information? If the document 

does not contain official information, then it is unlikely to be an agency record. If 

it does, then its potential record status depends on additional considerations. 

• Purpose. Was the document created to facilitate agency business? If so, then it 

may be an agency record, depending on its distribution and use by other agency 

employees. Or was it created solely for the employee's personal convenience? If 

so, it is unlikely to be an agency record. 

• Distribution. Was the document distributed to other employees for an official 

purpose? If so, it may be an agency record. 

• Use. Did this employee or others actually use the document to conduct agency 

business? Materials brought into the agency for reference use do not become 

agency records merely because they relate to official matters or influence the 

28
employee's work. However, if the employee relies on such materials to conduct 

agency business or if other employees use them for agency purposes, then the 

materials are more likely to be agency records. 

• Maintenance. Was the document placed in agency files, or was it kept in the 

employee's possession? If placed in agency files, it is likely to be an agency 

record. If not, then its possible record status depends on other considerations. 

• Disposition. Does a NARA-approved records schedule govern the document's 

disposition? If so, the document is a Federal record and is also likely to be an 

agency record for FOIA purposes. Or is the employee free to destroy or remove 

the document solely on the basis of individual discretion? If so, the document is 

unlikely to be an agency record. 

• Control. Has the agency attempted to exercise "institutional control" over the 

document through applicable maintenance or disposition directives? Did it do so 

by requiring the document to be created in the first place? If so, the document is 

most likely an agency record. 

• Segregation. Can substantive agency information in the document be segregated 

from any personal information? If so, the official portion should be extracted and 

placed in agency files. 

In short, mere location in the agency does not mean that the materials are records, nor is 

use alone conclusive in determining record status. Materials generally assume record 

status, however, when the agency asserts control by requiring their creation or retention. 

Furthermore, documents created within an agency cannot be regarded as personal merely 

because the employee is free to dispose of them. Depending on other considerations, they 

may be records or nonrecord materials and therefore subject to agency control. 

Government employees also tend to accumulate extra copies of documents, particularly 

those they have drafted, reviewed, or otherwise acted on. They may retain and remove 

these copies, with agency approval, if such actions do not impose an administrative or 

financial burden or violate the confidentiality required by national security, privacy, and 

other interests protected by law. 

If departing officials want copies of agency records that are classified or otherwise 

restricted, they should seek the advice of the agency's information security manager and 

29
legal counsel. The agency, not the individual, is responsible for arranging the transfer of 

such nonrecord materials to an approved depository. 

Title 18 U.S.C. 798 provides fines and imprisonment for the unauthorized disclosure of 

classified information, and Executive Order 12958 ( and the Amendment to E.O. 12958) 

restricts access to such information. Only the originating agency may waive access 

restrictions and then only when essential for authorized and lawful Government purposes. 

It may do so for historical researchers and former Presidential appointees. Even in those 

instances the agency must certify in writing that such access is consistent with national 

security. It must also ensure that the information is properly safeguarded and limit access 

to documents essential to the historical research project or documents that the former 

Presidential appointee originated, reviewed, signed, or received while in office. 

Each agency needs to establish procedures to prevent departing employees from 

destroying records or removing records from the agency's custody. Such procedures 

include notifying employees of their legal responsibilities and reviewing any 

documentary materials that employees wish to take with them. Special attention should 

be given to reviewing any documentary materials maintained by the agency head or other 

high officials during their tenure. If preventive measures fail, the agency must inform 

NARA of any instances of unauthorized disposition, including unauthorized removal. 

(See Chapter VI for details.) 

Even though documentary materials may have designations such as "personal," 

"confidential," or "private," they are records if they are created or received by the agency 

to conduct Government business and if they are preserved or appropriate for preservation 

because they document the agency's organization, functions, and activities or contain 

information on the persons, places, things, or matters dealt with by the agency. 

Government employees should be careful not to mix personal papers with Federal 

records. Although personal papers may be destroyed or removed at the owner's 

discretion, it is illegal to destroy or remove records without proper authorization (18 

U.S.C. 2071). 

Carefully considering the preceding guidance should aid the agency's legal counsel, 

records officer, or other designated official in determining whether particular documents 

are records, nonrecord materials, or personal papers. Further guidance appears in the 

30
NARA publication Documenting Your Public Service as well as in NARA's regulations 

(36 CFR 1222). Assistance is available from NARA appraisal archivists. 

Records Disposition Functions

In scheduling records, an agency should understand what records disposition functions 

must be carried out. These functions include inventorying, developing a comprehensive 

records schedule, cutting off records, transferring eligible records to Federal records 

centers and agency holding areas, disposing of temporary records when their retention 

periods expire, and transferring permanent records to the National Archives. 

Inventorying 

Inventorying involves distinguishing records from nonrecord materials and personal 

papers and gathering information about the records themselves. Although treated 

separately in this handbook, inventorying is also one of the steps to follow in scheduling 

records. 

Development of a Comprehensive Records Schedule 

A comprehensive schedule is the heart of a records disposition program. Based on careful 

analysis of the agency's documentary materials, it provides mandatory instructions for the 

retention and disposition of each record series or system and of nonrecord materials. It 

authorizes the systematic removal from offices of unneeded records even as new ones are 

being created. The schedule's quality is essential to the success of the entire program. 

To develop this comprehensive schedule, the agency combines its own disposition 

authorities for nonrecord materials with NARA-approved records disposition authorities. 

The specific steps to follow in developing a schedule are described later in this chapter. It 

is important to understand that although all agency records must be scheduled ultimately, 

they need not be scheduled all at once. 

Record Cutoffs 

Records in a series or system should be cut off, or broken, at regular intervals, usually 

annually, to permit their disposal or transfer in complete blocks and, for correspondence 

31
files, to permit the establishment of new files. Normally correspondence files are cut off 

at the end of each year (fiscal or calendar), documents are no longer added to that year's 

files, and new file folders are set up for the next year's files. Unless high volume makes 

more frequent cutoffs necessary, case files normally are cut off at the end of the year 

(fiscal or calendar) in which final action is taken. 

Cutoffs are needed before disposition instructions can be applied because retention 

periods usually begin with the cutoff, not with the creation or receipt, of the records. An 

agency should also cut off unscheduled records to make their disposition possible once 

they have been scheduled and authority has been received from NARA. Nonrecord 

materials do not normally require cutoffs but should be purged periodically, at least 

annually. (See fig. 2-2 for a poster on cutting off records.) 

32
Transfers to NARA Records Centers and Agency Storage Facilities 

Records centers, operated by NARA, store and service agency records no longer needed 

in office space but requiring continued retention until a later disposal date or scheduled 

transfer to the National Archives. Agencies may maintain their own records holding areas 

for temporary records no longer needed in office space but whose volume or retention 

periods are insufficient to warrant transfer to a record center. Instead of storing 

permanent records in such holding areas, agencies should establish separate holding areas 

to protect them during any necessary period between their cutoff and their transfer to a 

record center or the National Archives. Agencies may also operate their own records 

centers, provided they comply with NARA's regulations (36 CFR 1228). More guidance 

33
on transferring records to NARA records centers is contained in these regulations and in 

the publications and training offered by the federal records centers. 

Disposal of Temporary Records 

Temporary records are those determined by NARA to be disposable, or nonpermanent. 

NARA approves such records for destruction or occasionally for donation to an eligible 

person or organization. Many temporary records are eligible for destruction when no 

longer needed in an office to conduct current business. Others are eligible only later, after 

storage in an agency holding area or a records center. Temporary records should normally 

be disposed of promptly in accordance with a NARA-approved records schedule. 

Although NARA-approved retention periods for temporary records are normally 

mandatory, exceptions can and should be made. In rare instances, one particular file may 

have permanent value obviously lacking in the other records found in a series or system 

scheduled as temporary. For example, if a particular case attracts congressional and 

national media attention, it may well deserve special consideration even if it is part of a 

series scheduled for disposal. If such a case comes to the agency's attention, the records 

officer should consult with the NARA appraisal archivist before formally requesting 

NARA approval of a new disposition for the particular file that appears to warrant 

permanent retention. 

Transfer of Permanent Records to the National Archives 

Transferring permanent records to the National Archives' legal and physical custody will 

relieve the agency of having to provide special care for such valuable records. This 

transfer should take place when the agency no longer needs the records for the conduct of 

current business, whether or not the records are stored in agency or other records storage 

facilities. The schedule should specify when the records are to be transferred. 

Each agency needs to ensure the timely transfer of its permanent records to the National 

Archives. The National Archives stores permanent records of primarily national interest 

at its facilities in the Washington, DC, area and those of primarily regional and local 

interest at its regional archives located in major metropolitan areas throughout the 

country. Legal control of the records passes to NARA when the NARA official signs the 

required legal document acknowledging receipt of the records. After the appropriate 

agency official has signed this document indicating the records are ready for immediate 

34
transfer to the National Archives, the agency should be careful not to dispose of the 

records or withdraw them from a NARA records center. 

At its facilities in the Washington, DC, area, the National Archives maintains accessioned 

permanent records created by agencies in that metropolitan area. It maintains all other 

accessioned permanent records at its regional archives located in 12 other metropolitan 

areas throughout the country. 

Basic Steps in Scheduling Records

Before going into detail, it is useful to gain an overview of all the steps needed to 

schedule records. These steps are based on the assumption that the agency has already 

issued a directive establishing its records disposition program. As summarized in figure 

2-3, the basic scheduling steps are as follows: 

1. Review Functions and Recordkeeping Requirements

Review the functions and recordkeeping requirements and practices of the agency 

and of the particular offices whose records are being scheduled. Examine 

pertinent documents, such as laws, regulations, organization charts, and functional 

statements. Also consult with program managers, ADP managers, and records 

personnel. (See Chapter III.) 

35
2. Inventory

Inventory series and systems of agency files, including both records and 

nonrecord materials. Usually at this stage the agency makes a preliminary 

decision as to whether the schedule will be arranged by organization, function, or 

a combination of these. (See Chapter III.) 

3. Evaluate 

Evaluate for disposition the records contained in each series or system by 

determining their uses and analyzing their values. The result of this evaluation 

process is to recommend the records as permanent or temporary and to propose 

specific retention periods for them. (See Chapter IV.) 

4. Draft Instructions

Draft recommended file cutoffs, retention periods, and other disposition 

instructions for all records, along with necessary instructions for all nonrecord 

materials. (See Chapter IV.) During this process, take these actions: 

o Use the General Records Schedules (GRS) for all applicable records. 

o Complete a Standard Form 115, Request for Records Disposition 

Authority, for all records not scheduled by the GRS. 

o Write appropriate disposition instructions for nonrecord materials. 

5. Organize and Clear Internally

By this stage, the agency should have determined the schedule's arrangement. 

Based on that arrangement, assemble the draft schedule, and clear it within the 

agency. (See Chapter V.) 

6. Obtain Approval

Obtain any necessary approval from NARA and the General Accounting Office 

(GAO). No external approval is required for the disposition of nonrecord 

materials. External approval has already been granted for records covered by the 

GRS. (See Chapter V.) 

7. Implement 

Implement the completed and approved schedule by issuing it as a mandatory 

agency directive, training employees in its use, and applying it to agency records. 

(See Chapter VI.) 

36
8. Review and Update

Review the schedule at least annually, and by following the above steps, update it 

to cover new series and systems or to revise the dispositions of current series and 

systems. This step results from careful monitoring of the schedule's 

implementation as well as from constant awareness of new and revised 

recordkeeping requirements and practices. (See Chapter VI.) 

Conclusion

This chapter has provided an overview of identifying records and scheduling them for 

appropriate disposition. It has emphasized the need to distinguish records from nonrecord 

materials and personal papers for disposition purposes. It has also described the major 

records disposition functions and the basic steps in scheduling records. Later chapters of 

this handbook explain in some detail how to carry out these scheduling steps. At the 

outset, however, it should be emphasized that although an agency needs to schedule all its 

records ultimately, it does not need to schedule them all at the same time. Instead it may 

schedule them one office or one function at a time until all its records are covered. 

Furthermore, throughout the scheduling process, the records officer or staff member 

should keep in contact with the NARA appraisal archivist assigned liaison responsibility 

for the agency. 

37
 

III. The Records Inventory 

• Introduction 

• Review of Agency Functions and Recordkeeping Requirements and Practices

• Inventorying: What, Why, and How

• Inventorying: Scope, Focus, and Responsibility

• The Series Inventory 

o Series Inventory Form 

o Series Inventory Form - Back 

o Audiovisual Records Series Inventory Form 

o Audiovisual Records Series Inventory Form - Back 

• The Information System Inventory 

o Information System Description Form 

o Information System Description Form - Back 

• Verification 

• Conclusion

III. The Records Inventory 

• The first step in scheduling records is to review the agency's functions and its 

recordkeeping requirements and practices. 

• The next step is to inventory the agency's records. 

• The inventory provides information needed to schedule records and helps identify 

various records management problems. 

• The inventory should focus primarily on program records in current office space 

and may be completed incrementally by function or organizational unit. 

• The inventory profiles each record series and system. 

• Electronic records should be inventoried by information system, rather than by 

series. 

• It is important to verify the inventory's results. 

38
Introduction 

The process of developing a comprehensive records schedule for an agency begins with a 

review of the agency's functions and its recordkeeping requirements and practices. Next 

comes the inventory, which provides the information necessary to draft the schedule and 

make it comprehensive, clear, and current. Normally the agency makes a preliminary 

decision at this point to arrange the schedule by organization, function, or a combination 

of these. 

Review of Agency Functions and Recordkeeping Requirements and 

Practices 

A careful review of the agency's functions and its recordkeeping requirements and 

practices helps lay the groundwork for inventorying and other steps needed to schedule 

records. 

Agency Functions 

Before the inventory begins, it is necessary to review the agency's functions as reflected 

in its program responsibilities, structure, and levels of authority. Doing this involves 

examining pertinent documents, such as laws, regulations, organization charts, and 

functional statements, and consulting with program managers, ADP managers, and 

records personnel. This process is essential in identifying and locating important records 

within the agency. The following questions should be answered: 

• Which are the key line and staff offices? 

• What programs does the agency have? 

• What units are responsible for developing policies? 

• What is the nature of staff support activities? Legal? Fiscal and budgetary? 

Inspection? General management? Administrative services? 

Agency Recordkeeping Requirements and Practices 

Before inventorying, it is also important to review the agency's recordkeeping 

requirements and practices. The following questions need to be answered: 

39
• What are the agency's recordkeeping requirements? (See Chapter I of this 

handbook for a discussion of such requirements.) 

• Have recordkeeping requirements been established for all electronic records 

systems and for all audiovisual and cartographic records? 

• Is there a prescribed agency-wide records maintenance system? If so, how widely 

is it used? If not, what systems are used? 

• Is there a prescribed classification system for general correspondence? If so, is it 

numeric, subject-numeric, or some other system? 

• Is there a central file? A uniform indexing system? Does each operate as 

planned? At what levels? What records are not included? Where are records 

likely to be that relate to important agency programs? 

• What agency policy and procedures, if any, govern vital records, adequacy of 

documentation, personal papers of officials, and Privacy Act and Freedom of 

Information Act concerns? 

Inventorying: What, Why, and How 

After reviewing its functions and recordkeeping requirements and practices, the agency is 

ready to gather information about the records by conducting an inventory. The remainder 

of this chapter explains the meaning, elements, scope, and verification of the inventory. 

Definition and Purpose 

In records management, an inventory is a descriptive listing of each record series or 

system, together with an indication of location and other pertinent data. It is not a list of 

each document or each folder but rather of each series or system. Its main purpose is to 

provide the information needed to develop the schedule. It also helps identify various 

records management problems. These include inadequate documentation of official 

actions, improper applications of recordkeeping technology, deficient filing systems and 

maintenance practices, poor management of nonrecord materials, insufficient 

identification of vital records, and inadequate records security practices. When 

completed, the inventory should include all offices, all records, and all nonrecord 

materials. An inventory that is incomplete or haphazard can only result in an inadequate 

schedule and loss of control over records. 

40
Link With the Schedule 

The schedule is the heart of an effective records disposition program, and it is based on 

information gathered during the inventory process. The more systematic and complete the 

inventory, the better the schedule is likely to be. Scheduling records involves the steps 

described in Chapter II of this handbook. 

Inventorying is useful not only in developing the schedule but also in ensuring that it is 

applied properly and kept up-to-date. Regardless of the agency's size, the inventory can 

help make the schedule: 

• Comprehensive: Designed to cover simultaneously or incrementally all records 

and nonrecord materials of the agency's organizational and functional 

components. 

• Clear: Containing accurate descriptions and easily understood disposition 

instructions. 

• Current: Reflecting periodic updating to include any new or revised series or 

systems, authorized revisions to disposition instructions, and any changes in the 

General Records Schedules. 

Record Series and Information System Concepts 

The record series concept is a convenient way of grouping file units or documents to 

permit their management as a group. The unit to be inventoried and scheduled is 

normally the record series, not individual documents or file folders. A series is a group of 

records arranged according to a filing system or kept together because they relate to a 

particular subject or function, result from the same activity, document a specific kind of 

transaction, take a particular physical form, or have some other relationship arising out of 

their creation, receipt, or use, such as restrictions on access and use. 

For example, a group of contract files in a procurement office would constitute one series 

and thus an inventory item. Other series in that office might include general 

correspondence, procurement reports from regional offices, and a file on individual 

employees. 

The concept of the records series is applicable to nontextual as well as textual records. 

Thus, a "collection" of motion pictures, photographs, sound recordings, data tapes, etc., 

41
constitutes a series, if the collection is organized in accordance with a single filing 

system, or has been brought together and maintained as a unit for the reasons already 

mentioned. 

Frequently, each of the above types of nontextual records may constitute more than one 

series, or a series may include mixed media. The records custodians should be consulted 

in determining the number of separate series involved. If necessary, the records 

themselves should be examined. In no event should all photographs, magnetic tapes, or 

other types of nontextual records be arbitrarily grouped together as a single series in the 

inventory or as a single entry in the draft schedules. 

When a series of paper records has been microfilmed or converted to electronic form, the 

result in each case is not one but two series that should be separately inventoried and 

scheduled. However, the relationship between the two series should be carefully defined. 

The record series is the unit used in identifying and scheduling most records. Electronic 

records, however, are best inventoried and scheduled in the context of an information 

system. An information system is the organized collection, processing, transmission, and 

dissemination of information according to defined procedures. It includes three categories 

of information: (1) inputs, (2) the information on the electronic media, and (3) outputs. 

Along with these categories of recorded information, the agency should inventory and 

schedule any related indexes and also the documentation needed to maintain and use the 

electronic records. 

Steps in Inventorying Records 

It is useful at this point to gain an overview of how to inventory records. The steps in this 

process are as follows: 

• Define the inventory's goals. The paramount goal is gathering information for 

scheduling purposes, but other goals may include preparing for conversion to 

other media, or identifying particular records management problems such as those 

already mentioned. 

• Define the scope of the inventory; it should include all records and all nonrecord 

materials. 

• Obtain top management's support, preferably in the form of a directive, and keep 

management and staff informed at every stage of the inventory. 

42
• Decide on the information to be collected (the elements of the inventory). 

• Prepare an inventory form, or use an existing one. 

• Decide who will conduct the inventory, and train them if necessary. 

• Learn where the agency's files are located, both physically and organizationally. 

• Conduct the inventory. 

• Verify and analyze the results. 

All nonrecord materials should be included in the inventory. These materials should be 

located, described, and evaluated in terms of use. Retention periods should be assigned to 

them, and this information should be included in the final version of the published 

schedule or in the agency's disposition manual. 

Inventorying: Scope, Focus, and Responsibility 

Besides defining the inventory's goals and obtaining and retaining top management's 

support, the agency needs to decide on the inventory's scope and focus and determine 

who will be responsible for conducting the inventory. 

Scope and Focus 

In establishing a records disposition program, each agency should complete an inventory 

of all records in its legal custody, regardless of their location or physical form. Besides 

paper records, the inventory must include electronic, audiovisual, microform, and other 

records, especially those stored offsite in laboratories and other locations. The inventory 

should also note collections of nonrecord materials to permit their proper management. 

The inventory process should begin with current records in office space and concentrate 

on the program records maintained there; that is, on those records documenting the 

unique, substantive functions for which an agency or office is responsible. Less detailed 

attention can be given to administrative, or housekeeping, records held in many or all 

offices that are already described and scheduled in the General Records Schedules

(GRS). When describing program records, special attention should be given to those 

records likely to be proposed for permanent retention. 

An agency establishing a disposition program need not conduct the inventory 

simultaneously in all locations or complete all of it before beginning the scheduling 

43
process. Instead it may inventory and schedule records incrementally, that is, office by 

office or function by function, until all are covered. 

An agency with an established disposition program should conduct an inventory if it 

begins a new program or undergoes a reorganization affecting program responsibilities. It 

should also use the inventory to identify records management problems, including any 

inadequacies in the schedule or its application. 

Inventorying and the Schedule's Arrangement 

Planning the inventory's scope and focus normally includes consideration of the records 

schedule's arrangement. The schedule can be arranged by organization, function, or a 

combination of these. Since the schedule's arrangement will affect how to inventory the 

agency's records, it is advisable to make at least a preliminary decision on the matter at 

this time. The final decision should be made by the time the draft schedule is ready to be 

assembled. (See Chapter V for details.) 

Responsibility for the Inventory 

Normally records officers or experienced staff members conduct the inventory because 

they are best equipped to understand the project's purposes and the concepts involved. 

However, when speed is essential or when the volume of records is unusually large, other 

agency personnel may be asked to do the job. In that case, careful training will be 

necessary. 

The Series Inventory 

Except for electronic records, agency records are most suitably inventoried by series. 

(See guidance later in this chapter on inventorying electronic records by information 

system.) Whoever conducts the inventory should decide what inventory elements are 

necessary and then use a form, or forms, to collect the same information on each series. 

(See figure 3-1 and figure 3-2 for suggested series inventory forms.) 

44
45

3-1a. Series Inventory Form

1. DATE PREPARED 

 

2. OFFICE MAINTAINING THE FILES (Name and symbol) 

 

3. PERSON DOING INVENTORY (Name, office, 

phone number)

4. SERIES LOCATION 

 

5. SERIES TITLE 

 

6. INCLUSIVE DATES 

 

7. SERIES DESCRIPTION 

 

 

8. MEDIUM (check all that apply) 

 ~ Paper 

 ~ Microform 

 ~ Electronic (use information system form) 

 ~ Audiovisual (use audiovisual form) 

13. REFERENCE ACTIVITY (after cutoff) 

 ~ Current (At least once a month per file unit) 

 For how long after cutoff?___________________ 

 ~ Semicurrent (Less than once a month per file unit) 

 ~ Noncurrent (Not used for current agency business) 

14. VITAL RECORDS STATUS: ~ Yes ~ No 

(If yes, indicate type here; use entry 15 to show any duplication.) 

___ Emergency-operating ___ Rights-and-interests ___ Both 

9. ARRANGEMENT

 ~ Subject file classification 

system 

 ~ Alphabetical by name 

 ~ Alphabetical by subject 

 ~ Geographical by (specify) 

 ~ Numerical by (specify) 

 ~ Chronological 

 ~ Other (specify) 

15. DUPLICATION: Are documents in this series available in another 

place or medium? ~ Yes ~ No 

(If yes, explain where and in what medium.) 

10. VOLUME (in cubic feet) 

 

16. FINDING AIDS (if any) 

 

11. ANNUAL ACCUMULATION (in cubic feet or 

inches) 

 

17. RESTRICTIONS ON ACCESS AND USE (if 

any) 

 

12. CUTOFF (e.g., end of FY) 

 

18. CONDITION OF PERMANENT RECORDS

 ~ Good ~ Fair ~ Poor 

 Comment: 

19. DISPOSITION AUTHORITY: Does the series have an approved disposition authority? 

 ~ Yes (List the schedule and item number, give the current disposition instructions, and justify any 

proposed change.) 

 

 ~ No (Propose an appropriate retention period.) 
3-1b. Series Inventory Form Instructions

Complete an inventory form for each record series. A 

series is defined as file units or other documents 

arranged according to a filing system or kept together 

because they relate to a particular subject or function, 

result from the same activity, document a specific kind 

of transaction, take a particular physical form, or have 

some other relationship arising out of their creation, 

receipt, or use, such as restrictions on access and use. 

Entries 1-4, 13-15, and 19 are self-explanatory. 

5. Give each series a title for brief reference. Examples 

include property control records and bills of lading. 

6. List the earliest and latest dates of the records in 

each series. If the series is still being created at the 

time of the inventory, indicate the latest date by the 

designation "to date" or "to present." NARA requires 

agencies to give inclusive dates for records proposed 

for permanent retention and also for nonrecurring 

records proposed for immediate destruction. 

7. Each series description should contain enough 

information to show the purpose, use, and subject 

content of the records. Follow these guidelines in 

describing the series: 

(a) Avoid emphasizing form numbers, especially when 

describing case files. 

(b) Consider combining into a single inventory item a 

number of very small series of temporary records if 

they serve the same function and are proposed for the 

same retention period. 

(c) Avoid terms, such as "miscellaneous" or "various," 

that add nothing to the description. 

(d) Give special attention to describing potentially 

permanent records, because NARA requires more 

detailed information on them. 

8. Indicate whether the record medium is paper, 

microfilm, electronic, audiovisual, or some 

combination of these. If it includes electronic or 

audiovisual records, use special inventory forms, such 

as those in NARA publications. 

9. Indicate the arrangement, or filing system, used. 

Examples include a subject classification system and 

arrangements that are alphabetical by subject, 

alphabetical by name of claimant, geographical by 

state, numerical by contract number, and chronological 

by date of report. NARA requires agencies to indicate 

the arrangement of records proposed for permanent 

retention but not those proposed for disposal. 

10. Express the volume of records in cubic feet by 

using the conversion table provided. NARA requires 

agencies to give volume figures for records proposed 

for permanent retention and also for nonrecurring 

records proposed for immediate destruction. For 

microform and cartographic records, also give an item 

count. 

Cubic Footage Conversion Table 

- One letter-size file drawer holds 1.5 cubic feet

of records. 

- One legal-size file drawer holds 2 cubic feet 

of records. 

- Seven reels of standard digital computer tape 

(2400 feet long. 1/2 inch wide) equal 1 cubic 

foot. 

- One standard records center carton holds 1 

cubic foot. 

- Fifty 100-foot 35 mm microfilm reels equal 1 

cubic foot.

- One hundred 100-foot 16 mm microfilm reels 

equal 1 cubic foot. 

- One letter-size National Archives box holds 

0.35 cubic feet of records. 

- One legal-size National Archives box holds 

0.43 cubic feet of records. 

11. Estimate the annual rate of accumulation for 

each series if the records are current and 

continuing. NARA requires agencies to furnish 

the rate of accumulation of such records proposed 

for permanent retention but not those proposed 

for disposal. If the records no longer accumulate, 

indicate "none." 

12. Indicate how often the series is cut off and 

when the last cutoff occurred. If it is not cut off, 

explain how inactive records are separated from 

active ones. 

16. Describe any finding aids, such as indexes, 

document lists, lists of file headings or containers, 

and classification or filing manuals. If they cover 

more than one series, note that fact. If they are not 

in the same office or area as the related series, 

indicate their location. 

17. Note any restrictions on access to, and use of, 

the particular series, such as restrictions relating 

to personal privacy or national security. NARA 

requires agencies to indicate any Privacy Act 

restrictions on records proposed for eventual 

destruction and any Freedom of Information Act 

restrictions on records proposed for immediate 

transfer to the National Archives. 

18. Note the physical condition of records that are 

actually or potentially permanent, especially those 

stored offsite. Identify any threats, such as 

overhead water pipes, electrical equipment, 

excessive heat and/or humidity, vermin, and 

inadequate security. 

46
47

3-2a. Audiovisual Records Series Inventory Form

la. PREPARED BY 

 

lb. ORGANIZATION 

 

lc. PHONE NUMBER 

 

2. SERIES LOCATION 

 

3. CREATING OFFICE 

 

4. SERIES DESCRIPTION 

 

 

5. DATES 

 

6. ARRANGEMENT 

 

7. VOLUME 

 

8. RESTRICTIONS 

 

9. ANNUAL 

ACCUMULATION 

~ Cubic Feet ~ Items 

 

10. NATURE AND FREQUENCY OF USE 

 

11. CUTOFF INSTRUCTIONS 

 

12. RETIRE 

REGULARLY? 

~ Yes ~ No 

 

13. PRESENT DISPOSITION 

 

 

14. RECOMMENDATIONS FOR DISPOSITION 

 

 

15. COMMENTS 
48

3-2b. Audiovisual Records Series Inventory Form Instructions 

1. Enter your name, organizational unit, and telephone number. 

2. Include building and room number. If original material (e.g., motion picture 

preprint, master tapes, or still negatives) is not in the same place, where is it? 

3. Which unit created these records? 

4. Include the following in the description: 

a. Format (4x5, 16 mm, and 1/2-inch) and generation. 

b. Subject matter covered in the series. 

c. Purpose served by the series. 

d. Finding aids such as data sheets, shot lists, continuities, review sheets, 

catalogs, indices, and caption lists. Location of such aids. 

e. Related documentation. Do files exist elsewhere that include production 

contracts, scripts, or other documents concerning these records? Where? 

5. What is the date span of the series? 

6. What is the arrangement of the series (e.g., alphabetical by subject, chronological, 

or numerical)? 

7. What is the volume of the series? (See conversion table.) 

8. Are there restrictions on access to or release of items in the series? If so,' what 

statute, exemption to the FOIA, or regulation authorizes this restriction? Are any 

items copyrighted? 

9. How many cubic feet (or, if negligible, items) were added to this series last year? 

10. How many requests for copies does your unit handle in a month? Who requests 

the copies and why? 

11. What is the basis for cutting off a series so earlier parts can be retired without 

disturbing the remainder of the series? (End of calendar year, every 5 years, etc.) 

12. Have parts of the series been retired to agency storage areas or to a Federal 

records storage center? How often? If parts of the series have been retired to a 

Federal records storage center, attach copies of the SF 135's. 

13. Which item of your agency's records schedule applies to this series? If none 

applies, what happens to the records your unit no longer needs? 

14. How long does your unit intend to keep those items added to the series last year in 

order to respond to internal agency requests? 

Conversion Table 

All of these equal 1 cubic foot: 

Still Pictures 

o Negatives 2,300 35mm 6-exposure strips 

8,640 2x2-inch mounted slides 

2,184 4x5-inch file sheets 

5,960 21/4x31/4-inch file sheets 

o Prints 2,350 8x10-inch glossies 

9,400 4xS-inch glossies 
49

Motion Pictures 

6 35mm reels (1,000 feet) 

11 16mm reels (1,200 feet) 

15 16mm reels (800 feet) 

32 16mm reels (400 feet) 

Video Recordings 

10 3/4-inch cassettes 

3 2-inch reels 

9 1-inch reels 

43 1/2-inch reels 

Sound Recordings 

76 16-inch disc recordings 

144 12-inch disc recordings 

48 7-inch audiotape reels 

16 10-inch audiotape reels 

Series Inventory Elements 

To be useful, an inventory needs to include certain elements of information for each 

series. These essential elements are described in the following sections. Although some 

elements are useful only for agency purposes (e.g., date prepared and identification of 

person conducting inventory), most are needed to provide information to NARA for 

scheduling records through the submission of an SF 115, Request for Records 

Disposition Authority. As indicated, NARA requires more complete information on 

records proposed for permanent retention than for those proposed for disposal. If an 

agency proposes for disposal records that NARA later determines to be potentially 

permanent, it must then change the proposed disposition to permanent and give NARA 

the necessary additional information. 

The series inventory elements, with related instructions, are as follows (see figure 3-1): 

1. Date prepared

List the date the inventory was prepared. 

2. Office maintaining the files

List the name and symbol of the office maintaining the records. If this office received this 

series from another office, also indicate the name and symbol of that office and designate 

it as the "creating office." 
3. Person conducting the inventory

List that person's name, office, and telephone number. 

4. Series location

Give the precise location of the series; for example, room 233, building B, annex 1. If the 

series is located in more than one office, it is only necessary to inventory once and then 

indicate multiple locations. 

5. Series title

Give each series a title for brief reference. Such a title can come from one of several 

sources: 

• The agency, which may be using a generally accepted title in its normal day-today procedures. Examples: employee locator file, project progress report. 

• The person who conducts the inventory and who can supply a descriptive title. 

Examples: property control records, meeting transcripts file, loan analysis file. 

• The title of a single form or type of document if it applies to the entire series. 

Examples: bills of lading, notifications of personnel action, narrative quarterly 

reports. 

6. Inclusive dates

List the earliest and latest dates of the records in each series. This information 

supplements or is a part of the description and is needed to schedule records proposed for 

permanent retention. It is also needed to determine when to cut off, or break, records and 

transfer them to records centers or agency storage facilities. Finally, it can provide a clue 

to the rate of growth of the series. For case files or correspondence files, express the 

earliest date as the year only. For series being created at the time of the inventory, 

indicate the latest date by the designation "to date" or "to present." 

NARA requires agencies to give inclusive dates for records proposed for permanent 

retention and also for nonrecurring records proposed for immediate destruction. 

7. Series description

A clear description of the series is basic to the success of the inventory and the schedule. 

It is necessary for NARA's later appraisal of the records. It may also be needed to clarify 

the series title. Examples of such language are: 

50
• "Case files of internal audits of agency programs, operations, and procedures, and 

of external audits of contractors and grantees. Consist of audit reports, 

correspondence, and supporting working papers." 

• "Records relating to the office's internal administrative, or housekeeping, 

activities rather than the functions for which the office exists. Include records on 

office organization, staffing, procedures, and communications; the expenditure of 

funds, including budget files; 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. May also include the office's 

copies of internal activity and workload reports, such as work progress, statistical, 

and narrative reports forwarded to higher levels." 

• "Photographs of routine award ceremonies, social events, and other nonprogram 

activities." 

• "Requests from the public for forms and publications." 

• "Record set of formal directives distributed as orders, circulars, or manuals, 

announcing major changes in the agency's policies and procedures, and relating to 

program functions." 

• "Correspondence on Division matters prepared for the Director's signature, and 

related documents." 

• "Case files of grants to individual institutes for the funding of research related to 

mining and mineral resources. Include pre-proposals, proposals or applications, 

patent information, project reports, studies, certificates, agreements, 

memorandums, letters, and other records relating to the receipt, review, award, 

evaluation, status, and monitoring of grants along with the allocation of funds and 

project budgets." 

• "Record set of Newsclippings and Analysis Service publications, such as Current 

News, Supplemental Clips, Equal Opportunity Current News, Radio-TV Defense 

Dialog, Selected Statements, Foreign Media Edition of Current News, and Friday 

Review of Defense Literature." 

• "Information showing Government employment, private employment, and 

financial interests of civilian employees and military personnel required to file 

such statements under AR 600-50. Included are statements of employment and 

financial interests, supplementary statements, reports of change, review 

comments, and related information." 

51
Inventory items should not emphasize form numbers, especially when case files, or 

transaction files, are being described. Such files, which consist of numerous forms and 

related correspondence, constitute the bulk of all Federal records. Examples include 

contract files, claims files, loan files, clinical files, and personnel files. 

Figure 2-1 in Chapter II shows how each copy of a completed form can become part of a 

separate case file serving a unique purpose. In the inventory, each copy loses its 

individuality and is covered in the item describing the case file of which it is a part. The 

person taking the inventory should: 

• Select a title describing the function served by the series. 

• Sample the contents of a few folders in the series to determine the general kind of 

documentation in it and the range of subject content. 

• Determine whether or not a typical file documents the case from beginning to end. 

For example, in a contract file, the folder may or may not cover the procurement 

process from successful bid to final payment. If not, supplementary 

documentation needs to be located and its relationship to the series indicated in 

the schedule. 

It is permissible to combine into a single inventory item a number of very small series of 

temporary records if they serve the same function and are proposed for the same retention 

period. For example, separate series relating to an office's housekeeping, or internal 

administrative, activities may be merged into a single item called office administrative 

files. However, each series of potentially permanent records must be described and 

scheduled separately. (See Appendix C for permanent records appraisal guidelines.) 

Each series description should contain enough information to show the purpose, use, and 

subject content of the records. Avoid terms, such as "miscellaneous" or "various," that 

add nothing to the description. Give special attention to describing potentially permanent 

records, because NARA requires more detailed information on them. Include in the 

description of audiovisual records the format (e.g., 4 by 5 inches, 16 mm, one-half inch), 

generation, and subjects. 

Finally, it is important to describe the various components of audiovisual, microform, 

cartographic, and related records. For example, a central laboratory often maintains 

photographic negatives, while different agency units maintain specialized series or 

52
collections of prints. Both the negatives and the prints are record components and need to 

be inventoried and scheduled, along with related finding aids. 

8. Medium

Indicate whether the record medium is paper, microform, electronic, audiovisual, or a 

combination of these. For electronic records, see the information system inventory 

described later in this chapter. For audiovisual records, see figure 3-2. 

9. Arrangement

Indicate the arrangement, or filing system, used. Examples include subject classification 

systems and arrangements that are alphabetical by subject, alphabetical by name of 

claimant, geographical by state, numerical by contract number, and chronological by date 

of report. If the series has no apparent arrangement, then mark it "unarranged." If there 

are subordinate patterns of arrangement within the series, list them also. NARA requires 

agencies to indicate the arrangement of records proposed for permanent retention but not 

for those proposed for disposal. 

10. Volume

Express the volume of records in cubic feet rather than in linear feet or any other medium 

of measurement. Since it represents height, width, and depth, a cubic foot figure provides 

a realistic idea of the amount of space actually occupied. Also include the volume of 

older records, which may be wrapped in bundles or packages, or of oversized materials, 

which are too large to be stored in conventional filing equipment. (To calculate the 

contents of file containers in cubic feet, use the conversion table appearing in figure 3-

1b.) 

Although volume information is important, the figure for each series need not be 

measured with extreme accuracy. In calculating the volume of a series, do not include 

fractions, such as one-half inch, but simply round all figures to the nearest cubic foot. If 

the series totals less than half a cubic foot, list the volume as "negligible" or "less than 

one." 

Precise accuracy is not needed in gauging the volume of any series that is obviously 

large. Simply sample the file drawers to see if they are relatively full, and then multiply 

the number of full file drawers by the pertinent conversion ratio. For those records not 

stored in filing equipment, estimate the number of file drawers the records would occupy, 

and then apply the appropriate conversion ratio. 

53
When inventorying audiovisual, microform, cartographic, and related records, provide 

not only total cubic footage but also an item count (e.g., 1200 prints, 3500 negatives) that 

is as accurate as possible. Again sampling may be necessary for large series or 

collections. If so, multiply the average number of items in a cubic foot (or some other 

measure) by the total number of cubic feet (or other measure) in the collection. 

NARA requires agencies to give volume figures for records proposed for permanent 

retention and also for nonrecurring records proposed for immediate destruction. 

11. Annual accumulation

Based on information from the files custodian, estimate the annual rate of accumulation 

for each series if the records are current and continuing. NARA requires agencies to 

furnish the rate of accumulation of such records proposed for permanent retention but not 

those proposed for disposal. If the records no longer accumulate, indicate "none." 

12. Cutoff

Indicate how often the records are cut off and when the last cutoff occurred. If they are 

not cut off, explain how inactive records are separated from active ones. To cut off 

records means to break, or end, them at regular intervals to permit their disposal or 

transfer in complete blocks and, for correspondence files, to permit the establishment of 

new files. (See Chapter II and Chapter V for further details.) 

13. Reference activity

Rate the reference activity of a paper record series, after the regular cutoff, by placing it 

in one of three categories: 

• Current, or active (used more than once a month per file drawer). 

• Semicurrent, or semiactive (used less than once a month per file drawer). 

• Noncurrent, or inactive (not used for current operations). 

Information on reference activity, or frequency of use, is especially important for paper 

records because it affects the timing and type of disposition, particularly in reference to 

offsite storage. For example, if voluminous records are still current, or active, keep them 

in office space rather than transferring them to a records center. Transfer semicurrent, or 

semiactive, records to a records center, if other conditions are met, to await the final 

disposition prescribed by a NARA-approved records schedule. 

54
Reference information may also influence changes in filing practices if only one part of a 

series is active. It may even reveal some unnecessary searches. 

Since most series of paper records are relatively small in volume, accumulating less than 

5 or 6 cubic feet per year, their reference figures will be less precise. For voluminous 

series of paper records, ask the files custodian to survey reference activity. The survey 

should contain information on the number of requests for a fixed period, not to exceed 3 

months; the organizational source of the requests, including sources outside the agency; 

the purpose of the requests; and the age of the records requested. When such precise 

survey information is unnecessary, use code words to indicate reference activity: current, 

semicurrent, and noncurrent. 

For audiovisual records, specify the number of requests for copies per month, the 

source(s) of the requests, and the reason for the requests. 

14. Vital records status

If the records qualify as vital records, specify whether they are emergency-operating 

records, legal and financial rights records, or both. Also indicate whether they are the 

originals or duplicates. (See 36 CFR 1236 for requirements in managing vital records.) 

15. Duplication

Indicate duplication in form or content. It can exist in the following ways: 

• Carbon or other copies may be in the same organizational unit or elsewhere in the 

agency. The copies may contain significant differences or notations. 

• Similar data or information may be available elsewhere in the agency, either 

physically duplicated or in summarized form. 

If the duplication is only partial, state its extent. If the information is recorded on both 

electronic and paper media, both must be inventoried and scheduled as parts of an 

information system. To study duplication in content, examine the agency's paper and 

information flow. Detailed reports of subordinate or field offices are usually summarized 

at higher levels. Understanding the reporting system is basic to recognizing the nature 

and extent of duplication. 

16. Finding aids

Note the existence of any finding aids for the series, especially if the records are to be 

proposed for permanent retention. Finding aids identify the contents of particular series 

55
so that users can locate individual documents, file units, or other parts of the series. They 

may include indexes, document lists, lists of file headings or containers, and 

classification or filing manuals. If they cover more than one series, note that fact. If the 

finding aids are not in the same office or area as the related series, indicate their location. 

17. Restrictions on access and use

Note any restrictions on access to, and use of, the particular series. Such restrictions may 

result from statutes, executive orders, or agency directives. The two most common types 

of restrictions are: 

• Personal Privacy. These files are restricted because they contain information 

about individuals whose privacy would be violated if the information were made 

known to others. Examples are tax returns, medical records, and some personnel 

investigative files. 

• National Security. These files bear classification markings, such as "top secret," 

"secret," or "confidential." They do so because their release, or the release of 

information in them, to unauthorized persons might harm national security. 

Executive orders govern national security classification policies and procedures. The 

intelligence agencies classify many of their files under special statutory and executive 

authority. In dealing with access and restriction matters, also comply with the Freedom of 

Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a), as amended. 

Whenever necessary, consult with the agency officials responsible for such matters. 

NARA requires agencies to indicate any Privacy Act restrictions on records proposed for 

eventual destruction and any Freedom of Information Act restrictions on records 

proposed for immediate transfer to the National Archives. 

18. Condition of permanent records

During the inventory, take note of the physical condition of records that are actually or 

potentially permanent, especially those stored offsite. Identify threats to their preservation 

and security and take appropriate corrective action. Threats include overhead water pipes, 

electrical equipment, excessive heat and/or humidity, vermin, and inadequate security. 

19. Disposition authority 

If the series has an approved disposition authority, list the schedule and item number and 

then the retention period. If the series has no such authority, list the files as 

56
"unscheduled," make sure they are preserved, and ask the program office to recommend a 

suitable retention period. 

Series Inventory Forms

In conducting the inventory, the records manager should use a form or forms. Doing so 

makes it easier to analyze the information and avoids its loss or fragmentation. The 

agency may wish to prepare its own form or select an existing form. figure 3-1 is a 

suggested form for collecting information about a record series. The form in figure 3-2

may be used to inventory audiovisual records. The NARA publication Managing 

Audiovisual Records contains further guidance on inventorying such records. 

- Figure 3-1a. Series Inventory Form

- Figure 3-1b. Series Inventory Form - Back 

- Figure 3-2a. Audiovisual Records Series Inventory Form

- Figure 3-2b. Audiovisual Records Series Inventory Form - Back 

The Information System Inventory 

Electronic records are most effectively and conveniently inventoried and scheduled in the 

context of information systems. As indicated earlier, an information system is the 

organized collection, processing, transmission, and dissemination of information 

according to defined procedures. It includes three categories of information: (1) inputs, 

(2) the information on the electronic media, and (3) outputs. Along with these categories 

of recorded information, the agency should inventory and schedule any related indexes 

and also the documentation needed to maintain and use the electronic records. 

Elements of the Information System Inventory 

Each agency should maintain a complete and accurate inventory of all its electronic 

records systems to meet its own needs and to comply with NARA regulations (36 CFR 

1234). This inventory should include the elements indicated below. The form in figure 3-

3 may be used to collect some of this information. The elements listed below with 

italicized titles are those NARA requires to make an initial appraisal of the information 

system. 

57
58

Figure 3-3a. Information System Description Form 

1. SYSTEM TITLE 

 

2. SYSTEM CONTROL NUMBER 

 

3. AGENCY PROGRAM SUPPORTED BY SYSTEM 4. PROGRAM AUTHORITY 

 

5. SYSTEM DESCRIPTION 

5A. PURPOSE/FUNCTION OF SYSTEM 

5B. SOURCE(S) OF DATA (Include inputs from other systems) 

5C. INFORMATION CONTENT 

5D. SYSTEM OUTPUTS (Include outputs from other systems) 

6. NAME AND ADDRESS OF PRINCIPAL PROGRAM OFFICE SUPPORTED BY THE 

SYSTEM (Include room numbers) 

7. AGENCY CONTACTS (Names, addresses, and phone numbers of system and program personnel who 

can provide additional information about the system and the program it supports.) 

8. PREVIOUS DISPOSITION JOBS 

9A. PREPARER'S NAME 

 

9C. PHONE NUMBER 

 

9B. OFFICE NAME AND ADDRESS 

SIGNATURE 

 DATE 
NA FORM 14028 (9-88) 

Figure 3-3b. Information System Description Instructions 

Definition 

An Information System is the organized collection, processing, transmission, and 

dissemination of information in accordance with defined procedures. NARA's concern is 

with the government information in the system, that is, with information created, 

collected, processed, transmitted, disseminated, used, stored, and disposed of by the 

Federal Government. An electronic information system includes the inputs and outputs 

that are generated, as well as the information on electronic media. The system may 

contain budgetary, fiscal, social, economic, scientific-technical or program-related data 

and information, operated in support of agency programs and management 

responsibilities. 

Explanations 

1. The commonly used name and acronym of the system [e.g., Budget System, Grain 

Monitoring System] 

2. The internal control number assigned to the system for reference, control, or 

cataloging purposes [e.g., Information System Inventory Number, ADP Plan 

control number] 

3. What agency programs or missions does the system support? 

4. What laws, directives, etc., authorize these programs? 

5. Description has the following sections: 

a. Purpose/Function: The reasons for and the requirements met by the system. 

b. Sources of Data: The primary sources or providers of data to the system [e.g., 

broadcast license holders, corporations doing business in the U.S.]. Does this 

system receive information from other systems, either from within or outside your 

agency? 

c. Information content: The principal subject matter, data coverage, time span, 

geographic coverage, update cycle, whether the system saves superseded 

information, major characteristics of the system, and whether the system contains 

microdata or summary data. 

d. Outputs: The principal products of the system [e.g., reports, tables, charts, 

graphic displays, catalogs, correspondence], and an indication of the frequency of 

preparation. Is information from this system transferred to other systems? 

6. Self-explanatory. 

7. Self-explanatory. 

8. Citations of previous NARA disposition jobs approving disposition of 

components [e.g., input forms. printouts, COM, output reports] of the system. 

9. Self-explanatory. NA FORM 14028 BACK (9-88) 

59
1. Name of the system. Indicate the commonly used name and acronym of the system. 

For example, the Grain Monitoring System (GMS) or the State Energy Data System 

(SEDS). 

2. System control number. Specify the internal control number assigned to the system for 

reference, control, or cataloging purposes. For example, the information system inventory 

number or the ADP plan control number. 

3. Agency program supported by the system. Show the agency program(s) or mission(s) 

to which the system relates, and cite any authorizing laws or directives. Also list the 

names, office addresses, telephone numbers, and locations of program personnel who can 

provide additional information about the program and the system supporting it. 

4. Purpose of the system. Indicate the reasons for the system and the requirements it 

meets. 

5. Data input and sources. Describe the primary data input sources and the providers of 

the data to the system. For example, broadcast license holders or corporations doing 

business in the United States. Indicate the form numbers of any agency forms used as 

input sources. Also give the names of any other systems, either inside or outside the 

agency, from which this information system receives data. 

6. Major outputs. Show the system's main products and the frequency of their 

preparation. For example, reports, tables, charts, graphic displays, catalogs, or 

correspondence prepared weekly, monthly, or yearly. Also indicate whether the 

information is transferred to other systems. 

7. Information content. Indicate what persons, places, or things are the subjects of the 

records in the system and what information is maintained on those subjects. Also indicate 

timespan, geographic coverage, update cycle, and other major characteristics of the 

system. Finally, tell whether the system saves superseded information and whether it 

contains microdata or summary data. 

8. Hardware/software environment. Indicate the computer system manipulating this 

information and the software used. For example, IBM 38XX, COBOL application 

programs; DEC VAX 780, BASIS DBMS. 
9. System managers. List the name, office, telephone number, and location of the system 

manager or other system personnel who can provide more information about the system 

and the program it supports. 

10. Location of documentation needed to read and understand the files. Show where the 

codebooks and file layouts are maintained. Indicate the office, room number, and name of 

the person having custody of them. 

11. Restrictions on access and use. Indicate national security, privacy, or other 

restrictions. Cite any Privacy Act restrictions on records proposed for eventual 

destruction and any Freedom of Information Act restrictions on records proposed for 

immediate transfer to the National Archives. 

12. Authorized disposition of the information as determined by the General Records 

Schedules or a NARA-approved SF 115. For example, "Permanent." If not covered by a 

schedule, then indicate "Unscheduled" and recommend a disposition. 

13. Disposition authority citation. Cite any records schedule and item number(s) 

covering the records contained in this system. Include any NARA-approved records 

schedule(s) and item number(s) authorizing disposition of system components, such as 

input forms, printouts, COM, and output reports. If there are no such citations, indicate 

"None." 

14. Location and volume of any storage media containing identical information. Show 

the location of any magnetic tapes or disks containing information identical to that in the 

system being inventoried. Also indicate the number of tapes and/or disks and their 

storage capacity. 

15. Identification of the person conducting the inventory. List that person's name, 

office, telephone number, and location. 

16. Date prepared. List the date the inventory was prepared. 

- Figure 3-3a. Information System Description Form

- Figure 3-3b. Information System Description Form - Back 

61
Description Sources for Information Systems 

An agency normally already has existing descriptions of each electronic information 

system. These descriptions may be found in one or more of the following places: 

IRM office. This office will have an inventory of the agency's major information systems 

or will know which organizational component has it. The IRM office may also maintain 

the agency's current master ADP plan, which may contain management overviews of the 

systems and identify the program office(s) supported by the information in the system. 

Agency clearance officer. If an agency collects information from the public, its 

clearance officer, sometimes assigned to the IRM office, will have documentation on 

requests for OMB clearance. This documentation will include the information's purpose, 

the legal authority for collecting it, the part of the public affected, the program officer's 

name, and the office originating the request. It may also include a justification of the 

system and a description of its inputs and outputs as well as its intended use. 

Interagency liaison officer. Sometimes assigned to the reports control office, this person 

should maintain a file of applications to GSA for collecting information from other 

Federal agencies. This file has the same type of information as that maintained by the 

agency clearance officer. 

Privacy Act coordinator. This person is responsible for publishing annual notices on 

systems of records containing information retrievable by personal identifiers. The 

systems may be either manual or electronic. The notices include the name of the system 

of records, the categories of individuals on whom records are kept, the use(s) made of the 

information, policies affecting the records, and the office responsible for the system. 

ADP facility. In most agencies with advanced computer applications, persons in the ADP 

facility will know which program activities are using ADP resources, what their purposes 

are, and perhaps which files are associated with those offices. 

Records schedule. Any references in the agency schedule to computer printouts or 

computer input documents usually indicate the existence of an electronic information 

system. 

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Public information office. If an agency sells copies of computer files or statistical 

abstracts to the public, its public information office may have a catalog describing them. 

These public use files are outputs of an information system. 

National Technical Information Service (NTIS), Department of Commerce. If an 

agency does not distribute computer files directly to the public, it may do so through 

NTIS. Files available from NTIS are outputs of agency information systems. 

Other sources, such as the FOIA coordinator, the agency librarian, the agency historian, 

and program officers. 

For further guidance, the agency records officer should contact the appropriate NARA 

appraisal archivist. 

Verification 

Once the records have been inventoried, the records manager needs to assess the quality 

of the inventory's results. If the records are nonelectronic, the results should be spotchecked for obvious errors, such as failing to indicate the location of the records 

inventoried, exaggerating their volume, and intermixing two or more potentially 

permanent series or two or more temporary series having potentially varying retention 

periods. If someone else has prepared the inventory, the records manager should 

physically examine some of the records inventoried to confirm the accuracy of the 

information recorded on the inventory form. 

If electronic records are involved, the results should also be checked for obvious errors, 

such as failing to indicate inputs and outputs. If someone else conducted the information 

system inventory, the records manager should schedule some office visits to ask for 

confirmation and also sample printouts if these have not already been provided. 

Regardless of whether or not the records are electronic, the records manager should 

verify more thoroughly and even reinventory the records when spot checks reveal serious 

and frequent problems with the comprehensiveness and accuracy of the original 

inventory. 

63
Conclusion

The scheduling process begins with a review of agency functions and recordkeeping 

requirements and practices. It continues with an inventory of agency records. The 

inventory provides the information needed to develop a schedule as well as to identify 

various records management problems. While nonelectronic records are normally 

inventoried by series, electronic records are best inventoried in the context of an 

information system. 

After the inventory is completed and verified, the next steps are to evaluate the records 

for disposition and to draft recommended disposition instructions. Analyzing the 

inventory's results is treated in the next chapter as part of the process of evaluating the 

records. 

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IV. Record Values and Schedule Instructions

• Introduction 

• Evaluating Records: The Agency's Viewpoint 

• Evaluating Records: NARA's Viewpoint

• Preparing Disposition Instructions

• Understanding General Records Schedules

o Applying General Records Schedules to Agency Records

• Conclusion

IV. Record Values and Schedule Instructions 

• Records are evaluated from the agency's and NARA's viewpoints to determine 

their final disposition. 

• All agency records have value to the agency, but only a small percentage have 

permanent value. 

• Records with temporary value should be identified and scheduled for disposal. 

• Records officers should use NARA's guidelines to help identify records with 

permanent value. 

• Records with potentially permanent value should be proposed for scheduled 

transfer to the National Archives. 

• NARA's guidelines for preparing disposition instructions should be followed. 

• General Records Schedules (GRS) are NARA-issued schedules governing the 

disposition of specified series of records common to several or all Federal 

agencies. 

• Normally the GRS authorities are mandatory. 

• Since the GRS authorities do not apply to program records, agencies need to 

submit an SF 115 to NARA for such records. 

• Applicable GRS disposition authorities should be included in the agency's records 

schedule either by interspersing them among authorities derived from SF 115's or 

by including the entire GRS as part of the schedule or as an appendix. 

65
• Each agency needs to review and, if necessary, update its records schedule at 

least annually and within 6 months of NARA's issuance of new or revised GRS 

items for which the agency has no authorized exception. 

Introduction 

Objectives 

Once the agency has reviewed its functions and recordkeeping requirements and practices 

and has inventoried its records, it is ready to evaluate those records and prepare draft 

disposition instructions. This evaluation and scheduling process, which includes 

information analysis and decision-making, places all records into one of two categories: 

• Temporary: Authorized for disposal immediately or after a specified retention 

period. 

• Permanent: Disposal not authorized. Unless otherwise agreed to by NARA, 

authorized for transfer to the National Archives. 

Agency and NARA Roles 

Agencies play an important part in this process by establishing retention periods for 

nonrecord materials and recommending to NARA retention periods for records. Although 

NARA is solely responsible for appraising Federal records and approving their final 

disposition, agency records officers need an understanding of appraisal objectives and 

standards to prepare and implement schedules. 

Appraisal is the process by which NARA evaluates records to determine their final 

disposition, designating them as either temporary (disposable) or permanent (archival). It 

is basic to records disposition, which in turn is basic to all of records and information 

management. The appraisal process is complex and challenging and requires an 

understanding of: 

• The agency's functions, its documentation practices, and its record and 

information policies, procedures, and systems. 

• The importance of records, especially permanent records, in documenting and 

preserving the memory of an agency, the Federal Government, and American 

society. 

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• The role of records disposition, including appraisal, in avoiding both a loss of 

documentation and too much documentation. 

• The agency and NARA perspectives on the value of records. 

Records fall into three categories—those easy to appraise because they are obviously 

permanent, those easy to appraise because they are clearly temporary, and those in 

between that are difficult to appraise. Some records, such as treaties, laws, executive 

orders, and Supreme Court decisions, obviously have permanent value. Likewise, records 

of an administrative, or housekeeping, nature clearly have only temporary value and are 

disposable after a suitable retention period. 

Between these two extremes fall many modern program records. Such program records 

are difficult to appraise because they document diverse agency functions, reflect differing 

record systems and practices, have various physical forms and characteristics, and 

contain a broad range of unique information. They require considerable attention in the 

appraisal and scheduling process. 

Guidelines for Evaluating and Scheduling Records 

In evaluating and scheduling records for final disposition, it is important to recognize 

that: 

• Records may have permanent value regardless of their physical form or 

characteristics. The medium may be paper, electronic, audiovisual, microform, or 

some other, but as records they must be scheduled for an appropriate disposition, 

which may be permanent. 

• The agency may avoid recommending duplicate information for permanent 

retention by comparing similar records created at different organizational levels. 

NARA generally designates as permanent only the most complete series of 

records. In rare instances, two series of records documenting the same activity or 

containing substantially the same information are designated for permanent 

retention if they are arranged differently (e.g., chronologically as opposed to 

alphabetically by subject) and if these different arrangements make them easier to 

use. 

• Because agency programs vary in importance, the number of record series or 

systems designated as permanent will also vary. 

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• An agency does not need to evaluate or schedule all its records simultaneously. 

Instead it may do so incrementally, that is, office by office or function by 

function, until all its records are covered. 

• The NARA appraisal archivist is available for advice and assistance throughout 

the process. 

Inventory Analysis 

After completing and verifying the inventory, records managers should examine the 

inventory for an overview of agency documentation practices. In doing so, it is helpful to 

bear in mind these three characteristics of Federal agency records: 

• Program records are generally more voluminous than administrative, or 

housekeeping, records. 

• Comparatively few records are permanent, although the exact proportion varies 

from agency to agency and from office to office. 

• Case files are generally far more voluminous than all other types of Federal 

records combined. 

In analyzing the records described in the inventory, records managers should focus on the 

agency's organization, functions, and activities and distinguish between program and 

administrative records. They should also ensure that all records, regardless of medium, 

have been identified for the organizational unit or function covered. Sometimes it may be 

necessary to obtain more information from program and other agency officials before 

proposing disposition instructions for particular series or systems. 

Record Values 

All records have value to the agency creating or receiving them or to oversight or other 

agencies. A few also have permanent value and warrant preservation by the National 

Archives once the agency no longer needs them to conduct regular current business. The 

following sections of this chapter describe the agency's and NARA's perspectives on the 

value of records. 

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General Records Schedules 

In evaluating its records and preparing disposition instructions, the agency should make 

proper use of the General Records Schedules (GRS) as it continues to develop a draft 

comprehensive records schedule. Such a draft schedule is based on records disposition 

authorities derived from the GRS and one or more approved SF 115's, Request for 

Records Disposition Authority. This chapter explains how to use the GRS. Chapter V

will describe how to complete, clear, and submit an SF 115 and will review the 

components of a draft records schedule. 

Evaluating Records: The Agency's Viewpoint 

Records have value to an agency because: 

• They are the basic administrative tool by which the agency conducts its business. 

• They document the agency's organization, functions, policies, decisions, 

procedures, and essential transactions. 

• They furnish the information necessary to protect the legal and financial rights of 

the Government and of persons directly affected by the agency's activities. 

Agency record values fall into three overlapping categories: (1) administrative, (2) fiscal, 

and (3) legal. Understanding these values can help records officers propose to NARA 

retention periods that will satisfy agency needs. 

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Administrative Value 

All records have administrative value because they are necessary to conduct the agency's 

current business. The duration of this value may be long or short. Some records, such as 

program directives, have long-term administrative value. Others, such as messenger 

service files, have short-term administrative value. Many records at operating levels have 

short-term administrative value because they are correspondence duplicated elsewhere, 

reports summarized at higher agency levels, or logs serving as temporary controls. 

Fiscal Value 

Along with general administrative value, some records may have fiscal value. Records 

with fiscal value document the agency's financial transactions and obligations. They 

include budget records, which show how expenditures were planned; voucher or 

expenditure records, which indicate the purposes for which funds were spent; and 

accounting records, which classify and summarize agency expenditures. Such agencies as 

the Office of Management and Budget, the General Accounting Office, the Treasury 

Department, and the General Services Administration prescribe the form and content of 

many fiscal records. In most instances, only the data on the forms differ from agency to 

agency. Consequently the General Records Schedules (GRS) provide disposition 

authorities for many temporary fiscal records. 

Legal Value 

Besides administrative and fiscal value, records may also have legal value. Some legal 

values relate to records that the law requires the Government to create and maintain in the 

course of its operations. Others, however, are quite broad and do not necessarily involve 

an agency's operations. Instead they are intended to protect the rights of individuals and 

organizations. Such records are useful in documenting legally enforceable rights or 

obligations, both those of the Government and those of persons directly affected by an 

agency's activities. 

Records with legal value contain information that may be used to support rights based on 

the provisions of statute or regulation. These provisions may be general, such as the 

statute of limitations on claims or fraud; or they may be specific, such as those providing 

benefits to persons who have been discharged from the military. 

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Legal value has long been associated with records documenting such matters as benefits 

and property ownership. More recently, however, it has also been identified with records 

documenting environmental and potential health concerns, such as the handling or 

regulation of chemical and nuclear materials. 

Examples of records with legal value include formal decisions and legal opinions; 

documents containing evidence of actions in particular cases, such as claims papers and 

legal dockets; and documents involving legal agreements, such as leases, titles, and 

contracts. They also include records relating to criminal investigations, workers' 

compensation, exposure to hazardous material, and the issuance of licenses and permits. 

Still other examples include records relating to loans, subsidies, and grants; entitlement 

programs such as food stamps and social security; and survivor benefits in Government 

pension and other programs. 

Special concern for legal value applies only to temporary records, because if records are 

permanent they will always be available to protect legal rights. The GRS designates as 

temporary many records with legal value, such as those relating to contracts, claims, 

property disposal, payroll, and civilian personnel. 

The duration of legal value varies with the matter at hand. For example, the legal value of 

contracts and claims records diminishes rapidly after final settlement, and it ends when 

relevant statutes of limitations expire. Based on statutes of limitation and fraud, other 

statutory provisions, and practical considerations such as lifespan, records with legal 

value may be disposable, although they may require a long retention period. 

Before recommending retention periods for records that may have legal value, agencies 

should seek the advice of their general counsel. Factors to be considered in determining 

retention periods include applicable statutes of limitation, regulatory limits for claims or 

prosecution, the potential for fraud, and litigation trends involving procedural or 

substantive rights. They also include particular statutes or regulations granting or limiting 

a specific legal right as well as the availability of the same information in other record 

series or systems. 

Agencies should retain documentation adequate to establish that they have fully 

considered legal rights in proposing retention periods for temporary records. 

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Evaluating Records: NARA's Viewpoint 

NARA's Appraisal Responsibility 

Although agencies recommend retention periods, only NARA can determine and approve 

final disposition. In carrying out this responsibility, NARA: 

• Works with agencies to ensure that retention periods of temporary records are 

adequate, but not excessive, for agency needs and for the protection of individual 

rights. 

• Makes sure that disposition instructions meet the requirements of other agencies 

having an interest in certain categories of records; for example, the Office of 

Personnel Management in civilian personnel records and the General Accounting 

Office in program and financial records. 

• Cooperates with agencies to identify and schedule records having permanent 

value. 

NARA designates records as permanent if they have sufficient historical or other value to 

warrant their continued preservation by the Government. Such records may be kept 

mainly because they document an agency's origins, organization, functions, and 

significant transactions and activities. Or they may be kept mainly because they 

document the persons, places, things, or matters dealt with by an agency; that is, because 

they contain information with significant research or reference value. 

Appendix C of this handbook contains guidelines that records officers should use to help 

identify potentially permanent records in terms of their evidential or informational value. 

NARA's Use of Sampling and Other Selection Techniques 

Although records appraisal normally involves determining the disposition of a series or 

system as a whole, occasionally NARA selects only individual files from one series for 

permanent retention. This selection may be qualitative (based on the information content 

of the files) or quantitative (based on a random or statistical sample). Guideline 14 in 

appendix C of this handbook contains a list of frequently used selection criteria for case 

files, and figure 4-2 contains a schedule item involving a selection of permanent records. 

When recommending such selection, agencies should include the type and the proposed 

method of accomplishment. 

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Figure 4-2. Examples of Disposition Instructions for Permanent Records 

1. Unfair Labor Practices Official Case Files. 

All papers relating to the agency's processing of charges of unfair labor practices ("C" 

cases). Arranged alphabetically by name of case while pending, by type of case and 

thereunder by case number after the case is closed. 

Close case upon notification of final action by regional director, the National Labor 

Relations Board (NLRB), or the court, and place in closed case file. Cut off file at end of 

calendar year. 

a. Selected for permanent retention: Between 1 and 3 percent of all NLRB case files, 

these illustrate significant developments in the administration of the National Labor 

Relations Act or otherwise represent the most important cases considered by the Board in 

a given year and are selected according to the following factors: 

(1) The nature of the substantive or procedural issues involved, as constituting a 

landmark or lead case. 

(2) The intensity of public interest and comment. 

(3) The impact upon the local or national economy of the actions giving rise to the 

case. 

(4) The unique character of the issues or procedures involved, as demonstrating the 

agency's resourcefulness. 

(5) The case's influence on the development of principles, precedents, policies, or 

standards of judgment in such matters as the definition of the jurisdiction of the Board 

and the limits of interstate commerce; the meaning of unfair practices; the 

implications of bargaining in good faith; the determination of what constitutes undue 

interference, restraint, or coercion; the unit appropriate for purposes of collective 

bargaining; and the problem of inclusion in bargaining units of fringe group or 

supervisory employees. 

(6) The numbers of workers affected or the size of the establishment shall not be 

regarded alone as a criterion of importance, but attention should be given to the 

preservation of the history of the efforts to organize a given industry. 

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Permanent. Transfer to Headquarters Case Records Unit 2 years after cutoff. Case 

Records Unit will transfer merged cases to FRC 3 years after cutoff. Transfer to the 

National Archives in 5-year blocks 20 years after cutoff (e.g., transfer 198185 block 

in 2006). 

b. Not selected for permanent retention. 

Transfer to FRC 2 years after cutoff. Destroy 6 years after cutoff. 

2. Advisory Opinions. 

Petitions for advisory opinions questioning National Labor Relations Board jurisdictional 

limits, the Board's response, and related papers. Arranged alphabetically. 

Permanent. Cut off file at end of fiscal year. Transfer to FRC 2 years after cutoff. 

Transfer to the National Archives in 5-year blocks 20 years after cutoff (e.g., transfer 

198185 block in 2006). Where representation petition or unfair labor practice charge is 

subsequently filed, place copy of documents in official case file. 

3. Master File Photographs. 

Color and black-and-white photographic prints acquired or produced by the agency for 

use in its information programs. 

Permanent. Cut off file at end of fiscal year. Transfer to the National Archives in 5-year 

blocks when 10 years old (e.g., transfer 198185 block in 1996). 

4. Environmental Support Group (E.G.) Vietnam Experience/Agent Orange Study. 

Study tracks location of 23,000 U.S. Army military personnel in Vietnam. Study supports 

requirements by the Congress and the Centers for Disease Control (CDC) to research, 

abstract, and maintain information for CDC from U.S. military records relating to 

potential exposure of U.S. Army personnel to herbicide spray. 

a. Master file and historical data tapes. 

Permanent. Record dates: 1984-87. 6 tapes. Transfer a copy to the National Archives 

immediately. 

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b. Input data tapes and paper records. 

Destroy after 5 years. 

c. Output data and reports. 

Destroy after 5 years. 

d. System documentation. 

Permanent. Record dates: 1984-87. 1 cubic foot. Transfer a copy to the National 

Archives along with the master file and historical data tapes. 

Preparing Disposition Instructions 

Introduction 

After the records have been evaluated for disposition, the next step is to write 

recommended cutoffs, retention periods, and other disposition instructions for all records, 

along with necessary instructions for nonrecord materials. 

Although instructions for cutting off records are included in this step, such instructions 

should be implemented as soon as possible, even if the records are not yet scheduled. 

This prompt action will avoid unnecessary delays in applying a specific retention period 

once the agency has received NARA's approval. 

Central to preparing disposition instructions is the need to propose specific retention 

periods for the records that have been inventoried and evaluated. Records with potentially 

permanent value deserve special attention. 

Schedule instructions should be clear, especially those on the final disposition of records. 

The timing of destruction or transfer to the National Archives must not be left to chance 

or be subject to possible misinterpretation. 

If NARA does not approve the proposed disposition, the agency may include the series or 

system in its schedule but only with this disposition statement: "Do not destroy. 

Disposition authorization pending NARA's approval." 

75
Instructions for Permanent Records 

If records are proposed as permanent, the disposition instructions need to include these 

elements: 

• The word "Permanent." Use the word "permanent" to designate record series or 

systems that may have sufficient value to warrant archival preservation by the 

National Archives. Alternate words, such as "indefinite" or "retain," should not be 

used. Lengthy retention periods are not equivalent to "permanent." 

• Cutoff instructions. 

• Instructions for transferring the records to a records center, if applicable. The 

timing should be based on the length of time after the cutoff, although it may be 

expressed either as "Transfer ___ years after cutoff" or "Transfer when ___ years 

old." The particular record center should be specified if it is an exception to the 

general rule. 

• Instructions for transferring the records to the National Archives, including both 

timing and blocking. The timing should be based on the length of time after the 

cutoff, although it may be expressed either as "Transfer ___ years after cutoff" or 

"Transfer when ___ years old." The timing of the transfer should normally be 

within 30 years for paper records, within 5-10 years for audiovisual or microform 

records, and as soon as electronic records become inactive or the agency cannot 

meet maintenance requirements for them. Blocking means the chronological 

grouping of records consisting of one or more segments of cutoff records that 

belong to the same series and are dealt with as a unit for purposes of their efficient 

transfer (e.g., transfer in 5-year blocks). Blocking does not apply to permanent 

electronic records because they need to be transferred to the National Archives as 

soon as they become noncurrent or can no longer be maintained properly. If 

permanent records are to be transferred to a National Archives regional archives, 

the name of that facility should be specified whenever possible. (See List of 

Regional Records Services Facilities.) 

Figure 4-2 illustrates how to word disposition instructions for records proposed as 

permanent. 

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Instructions for Temporary Records 

All records not identified as permanent should be scheduled for disposal after a specific 

retention period. This step is unnecessary if the General Records Schedules already 

include an appropriate retention period for the records. Recommended retention periods 

for temporary records are to be based on realistic and informed assessments of their 

administrative, legal, and fiscal values, as discussed earlier in this chapter. 

If records are proposed for destruction, the disposition instructions should contain the 

term "destroy" (or "delete" if the records are on reusable media, such as magnetic tape or 

disk). The wording "dispose of" should be avoided because it does not necessarily mean 

destruction but may include the donation of records as provided for in 36 CFR 1228. 

Retention periods for temporary records may be expressed in two ways: 

1. A fixed period after records in the series or system are created (normally a fixed 

period after their regular cutoff). For example, the phrase "destroy when 2 years 

old" provides continuing authority to destroy records in a given series 2 years 

after their creation (normally 2 years after their regular cutoff). 

2. A fixed period after a predictable event (normally a fixed period after the 

systematic cutoff following that event). The wording in this case depends on the 

kind of action involved. Note the following examples: 

o "After completion" (as of a study, project, audit). 

o "After sale or transfer" (as of personal or real property). 

o "After publication" (as of monthly reports). 

o "After superseded" (as of an administrative directive). 

o "After revision or cancellation" (as of a form). 

o "After acceptance or rejection" (as of an application). 

o "After audit" (as of accounts). 

o "After settlement" (as of accounts or a claim). 

o "After acceptance" (as of a bid or a recommendation). 

o "After end of fiscal year" (as of budget reports). 

o "After termination" (as of a contract). 

o "After transfer" (as of an employee). 

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o "After conversion to paper or microfilm" (as of information contained in 

an office automation system). 

Other specific wording depends on the nature of the action involved. Some retention 

periods are based on the likelihood that two different future events may affect a series of 

records. For example: 

• "Destroy when property is sold or vacated, whichever is later." 

• "Destroy when superseded by revised plan or when building is sold, whichever is 

sooner." 

Every effort should be made, however, to establish retention periods that are fixed rather 

than contingent. 

The wording of retention periods should be realistic. For example, records should not be 

scheduled for destruction on termination of the office or program. More often offices or 

programs are reorganized, or they are incorporated into a second office, or they liquidate 

so slowly that the precise time of termination becomes a complex legal matter. Instead a 

different retention approach, such as a fixed time period, should be used. 

Likewise, temporary records should not normally be scheduled for destruction "when no 

longer needed." Since the application of this retention period would vary from person to 

person, the agency would in effect lose management control of such records, and the 

agency may inadvertently destroy records that are still needed. 

Figure 4-3 illustrates how to word disposition instructions for temporary records. 

Figure 4-3. Examples of Disposition Instructions for Temporary Records 

1. Security Violation Files. 

Case files relating to investigations of alleged violations of Executive orders, 

laws, or agency regulations for the safeguarding of national security information. 

a. Files relating to alleged violations of a sufficiently serious nature that they 

are referred to the Departments of Justice or Defense for prosecutive 

determination, exclusive of files held by Department of Justice or Defense 

offices responsible for making such determinations. 

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Cut off at end of fiscal year in which case is closed. Destroy 5 years after cutoff. 

b. All other files, exclusive of documents placed in official personnel folders. 

Cut off at end of fiscal year in which final action is taken. Destroy 2 years after 

cutoff. 

2. Budget Report Files. 

Periodic reports on the status of appropriation accounts and apportionment. 

a. Annual report (end of fiscal year). 

Destroy when 5 years old. 

b. All other reports. 

Destroy 3 years after the end of the fiscal year. 

3. 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. 

a. A note or other reminder to take some other action. 

Destroy after action is taken. 

b. The file copy, or an extra copy, of an outgoing communication, filed by 

the date on which a reply is expected. 

Withdraw papers when reply is received. (1) If suspense copy is an extra copy, 

destroy immediately. (2) If the suspense copy is the file copy, incorporate it into 

the appropriate files. 

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4. Word Processing Files. 

Documents such as letters, messages, memorandums, reports, handbooks, 

directives, and manuals recorded on electronic media such as hard disks or floppy 

diskettes when used to produce a hard copy that is maintained in organized files. 

Delete when no longer needed to create a hard copy. 

5. Case Handling Information Processing System (CHIPS). 

This system is designed to provide management controls over all cases brought 

before the board. Categories of information include types of cases, case status, 

and regional distribution of cases. The system is used to manage the agency's 

resources, monitor the processing of cases, prepare the agency's budget, and 

publish the annual report to the Congress. 

a. Input forms. 

Destroy after data has been verified. 

b. Electronic data. 

Delete when superseded or no longer needed for administrative purposes. 

c. Computer printouts. 

Cut off at end of fiscal year. Destroy 2 years after cutoff. 

Understanding General Records Schedules 

In evaluating records and preparing disposition instructions, agencies should make proper 

use of the General Records Schedules (GRS). NARA issues the GRS to provide 

disposition authority for records common to several or all Federal agencies. The GRS 

covers records documenting administrative, or housekeeping, functions rather than 

program functions. Many of these administrative functions are regulated by oversight 

agencies, such as the Office of Personnel Management (OPM), the General Accounting 

Office (GAO), and the General Services Administration (GSA). Excluded from GRS 

80
coverage are those records maintained by such oversight agencies that relate to their 

Government-wide management of administrative functions. 

Besides many paper-based office files, the GRS covers certain electronic, audiovisual, 

cartographic, architectural, engineering, and related records. The Index to the General 

Records Schedules is a list of the current GRS (see http://www.archives.gov/recordsmgmt/ardor/). Use of the GRS allows records officers to concentrate on scheduling 

records unique to their agencies. 

GRS disposition authorities are legally mandatory (44 U.S.C. 3303a(d)). Agencies must 

apply the GRS to the greatest extent possible. In practical terms, this means applying the 

GRS to the types of records specified unless one of two situations exist: 

1. The agency has already received approval of a shorter retention period in a 

NARA-approved SF 115. In this situation the agency may apply the shorter 

retention period unless NARA advises otherwise. 

2. NARA has approved an SF 115 granting an exception to the GRS-prescribed 

disposition authority. When submitting the SF 115, the agency must provide 

written justification for the exception. In deciding whether to request an exception 

to a GRS authority, the agency follows the same internal clearance procedure 

used for proposing retention periods for records not covered by the GRS. 

If neither situation exists, then it is necessary to apply the new or revised GRS items 

within 6 months of their issuance by NARA. This action may involve incorporating GRS 

revisions and additions into the agency records schedule and then distributing the updated 

portion of that schedule to agency records personnel. Or it may involve distributing the 

GRS revisions and additions directly to agency records personnel, along with appropriate 

instructions. 

Applying General Records Schedules to Agency Records 

Getting Started 

Before using the GRS to determine the disposition of records, an agency should have an 

overview of the entire process and its component steps, which are listed in figure 4-5 and 

explained in the remainder of this chapter. 

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Figure 4-5. How to Apply General Records Schedules 

1. Before using the GRS: 

a. Examine organization charts and functional statements to find out which agency 

and office functions are administrative, or housekeeping, and which are program, 

or mission-related. For example, an oversight agency should regard as program 

records all its records related to the Government-wide management of 

administrative functions. 

b. Identify the record series or systems documenting the agency's administrative and 

program functions. 

c. Remember that GRS dispositions apply to records common to several or all 

agencies rather than records unique to an individual agency. 

d. Make sure the GRS version being used is the latest edition, including all changes 

issued by NARA. 

e. Read the GRS's overall introduction, each schedule's introduction, and all NARA 

issuances transmitting changes to the GRS, and note any limitations on use. 

2. Use the GRS retention periods for all applicable agency records unless NARA has 

already approved a shorter retention period for particular agency records or unless the 

agency has clear grounds to request an exception by submitting an SF 115 to NARA. (In 

some instances NARA may announce that a revised or new GRS retention period must be 

applied without exception.) 

3. Follow these other rules for applying the GRS to agency records: 

a. Use the GRS table of contents to find a particular category of records. 

b. Use the subject and forms indexes to match record series or systems with GRS 

items. 

c. Do not use a GRS item if it applies to only part of a record series or system. 

d. Do not use the GRS for program records. Instead submit an SF 115 to NARA. 

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e. Do not expect the GRS to contain disposition authorities for all administrative 

records. Submit an SF 115 for those not scheduled by the GRS. 

f. Do not use GRS correspondence items for general correspondence (i.e., 

correspondence covering multiple functional areas) maintained as a single series. 

g. Follow NARA guidelines in tailoring GRS items to fit agency records. 

h. As with all records, remember to cut off, or break, records covered by the GRS 

before applying the disposition instructions. 

i. Refer to NARA any GRS-related questions not resolved within the agency. 

4. Incorporate applicable GRS disposition authorities into the agency records 

schedule by using one of the following methods: 

a. Interspersing them item by item among disposition authorities approved on SF 

115's. 

b. Attaching the GRS as a whole to the remainder of the agency records schedule. 

5. Review and, if necessary, update the agency's records schedule at least annually 

and within 6 months of NARA's issuance of new or revised GRS items for which the 

agency has no exception. 

Noting GRS Limitations 

Before using the GRS, it is important to read the introduction to each GRS and note any 

limitations. Such limitations fall into three main categories: 

• Record Limitations. Agencies must not attempt to use the GRS for program 

records. Nor does the GRS necessarily cover all series of administrative records 

found in agencies. Finally, NARA may grant exceptions to GRS disposition 

standards when an agency submits an SF 115 along with sufficient written 

justification. 

• Agency Limitations. Some agencies or parts of agencies are excluded from using 

a particular GRS to schedule their records. For example, GRS 1 (Civilian 

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Personnel Records) does not apply to the program records of the Office of 

Personnel Management, the Public Health Service's Bureau of Medical Services, 

the Labor Department's Office of Workers' Compensation Programs, and the 

Equal Employment Opportunity Commission. 

• Date Limitations. Most agency records accumulated before 1921 do not fall 

under the GRS but must be scheduled by using an SF 115. GRS 3, 11, 16, and 17 

have other limiting dates. 

Finding GRS Items 

The GRS contains three finding aids for users. (1) The table of contents provides a list of 

GRS titles. (2) The subject index is a list of topics with citations of relevant schedule and 

item numbers. As in all indexes, it may be necessary to check under more general topics 

or under synonyms to find the desired subject. (3) The forms index consists of separate 

lists of standard forms and optional forms referred to in the GRS, along with citations of 

relevant schedule and item numbers. 

Tailoring GRS Items to Fit Agency Records 

Records officers must sometimes modify generally-worded GRS items to fit the records 

of their own agency when adding these items to the agency's records schedule. By 

drawing on their knowledge of agency functions, records, terminology, and procedures, 

they can ensure that their tailored descriptions accurately reflect the actual records in 

their agency's custody. For example, they may insert the name of an organizational unit, 

include titles of agency forms as illustrations, and reword the series or system title or the 

description to conform to the agency's normal usage or editorial style. Although the 

substance of the GRS disposition must remain the same if a definite retention period is 

specified, appropriate cutoff and retirement instructions may be added. 

However, when the GRS disposition authorizes destruction, or deletion, "when no longer 

needed" for the records, the agency should apply a more specific disposition instruction, 

such as "Destroy when 1 year old" or Delete after 2 update cycles," which will meet its 

particular program needs. NARA approval is not needed to establish specific retention 

periods for records authorized by the GRS for destruction, or deletion, when no longer 

needed. 

Sometimes it might not be readily apparent how the agency will use its records 

authorized by the GRS for destruction, or deletion, when no longer needed. For example, 

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the Records Disposition Files covered by GRS 16, Item 2a may be used to answer 

Freedom of Information Act (FOIA) requests or to find out what records may be 

accretions to those permanent records already accessioned by the National Archives. 

All records described in the GRS are scheduled as temporary (that is, disposable or 

nonpermanent). Usually the GRS authorizes destruction of such records, although 

occasionally, as in GRS 4, Item 4, it may direct the transfer of records. 

A few GRS items have as their disposition cross-references to related records covered 

elsewhere in the GRS or in agency schedules. In these instances the GRS simply instructs 

the user to apply the disposition instructions authorized by NARA for the related records. 

Giving Special Care to OPM and GAO Records 

Several record series are unique because the agency that creates and maintains them does 

not have full legal control over them. They therefore require special care in their 

disposition. These series, most of which are covered by the GRS, are: 

• Records of the Office of Personnel Management (OPM). The two main 

examples of OPM records maintained in agencies are: 

o Official Personnel Folders (OPF's). The OPF's document Federal 

employment for each individual, including service, rights, and benefits. 

They travel with each employee from agency to agency, beginning with 

first employment and being closed on separation. If an employee is 

rehired, the OPF is reopened, and the service continues to be documented 

until separation. Authorized disposition instructions for OPF's appear in 

GRS 1, items 1 and 10. 

o The Individual Retirement Record (SF 2806). This shows the amount 

deducted from pay for the retirement fund. The agency forwards this form, 

or its equivalent, to OPM when an employee transfers or is separated. The 

records are not scheduled by the GRS; in fact, GRS 2 specifically excludes 

coverage of retirement records, such as the SF 2806 or its equivalent. 

Their disposition is prescribed by a NARA-approved OPM schedule. 

• Records of the General Accounting Office (GAO). Since 1950, agency 

programs have dealt with records of accountable officers that are held in agency 

space for GAO audit. These records reflect an audit responsibility GAO has had 

since its creation in 1921. It is necessary to distinguish the GAO site audit records 

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from agency "memorandum" copies of accountable officers' records. For 

example, 

o GRS 6, item 1a covers the original or ribbon copy of accountable officers' 

accounts maintained in the agency for site audit by GAO. 

o GRS 6, item 1b covers memorandum copies of accountable officers' 

returns (with some exceptions). 

Title 8 of the "GAO Policy and Procedures Manual for Guidance of Federal Agencies" 

contains GAO requirements and related program information. 

Issuing General Records Schedules Within an Agency 

Agencies should include applicable GRS disposition authorities in their comprehensive 

records schedule, which they should issue and update as a part of a directives system. 

They generally do so in one of two ways: 

• Interspersing the GRS disposition standards item by item among those derived 

from NARA-approved SF 115's. Taking this approach requires keeping track of 

the citations of the GRS items dispersed throughout the schedule. Otherwise the 

agency will be unable to update its comprehensive schedule promptly when 

NARA issues changes to particular GRS disposition authorities. 

• Attaching the entire GRS to the remainder of the comprehensive schedule and 

updating it promptly when NARA makes additions and changes to the GRS 

authorities. This approach may require placing cross-references in the non-GRS 

portion of the schedule to aid the user. 

Whichever approach is used, each agency must review and, if necessary, update its 

records schedule at least annually and within 6 months of NARA's issuance of new or 

revised GRS items for which the agency has no exception. 

Conclusion 

Evaluating records and preparing appropriate disposition instructions are essential steps 

in scheduling records. During this process each agency needs to combine its own 

disposition instructions for nonrecord materials with records disposition authorities 

obtained from NARA. These authorities are obtained partly by using the General Records 

Schedules issued by NARA and partly by submitting to NARA a Standard Form 115, 

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Request for Records Disposition Authority. The GRS disposition authorities are intended 

primarily for the administrative, or housekeeping, records common to several or all 

Federal agencies. In contrast, SF 115 disposition authorities are intended primarily for 

each agency's program records. 

After an agency has reviewed its functions and recordkeeping requirements and practices 

and has inventoried and evaluated the records of an office or function, it is time to use the 

GRS. Without further NARA approval, records managers should incorporate GRS 

authorities into the agency's schedule and have them applied to as many administrative 

records as possible. Proper use of the GRS involves following carefully the instructions 

given in the GRS, NARA regulations, and this chapter. Any remaining questions should 

be referred to a NARA appraisal archivist. 

For those administrative records not covered by the GRS and for all program records, it is 

necessary to complete and submit to NARA an SF 115 in accordance with procedures 

explained in Chapter V. Furthermore, Chapter VI contains general instructions on 

implementing and updating a comprehensive schedule, whether derived from GRS or SF 

115 authorities approved by NARA. 

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V. Schedule Preparation and Clearance 

• Introduction

• Completing an SF 115 

• Description and Added Information 

• Electronic, Audiovisual, and Other Special Records 

• Other Considerations in Completing an SF 115 

• Arranging a Records Schedule

• Assembling a Draft Records Schedule

• Obtaining Internal Clearances and GAO's Approval 

• Submitting an SF 115 for NARA's Approval

• Conclusion

V. Schedule Preparation and Clearance 

• The Standard Form 115 (SF 115) is used to request disposition authority for all 

records not covered appropriately by the General Records Schedules (GRS). 

• Usually the agency initiates the SF 115, but occasionally NARA does so. 

• The SF 115 is used to schedule both recurring and nonrecurring series and 

systems of records. 

• Completing the SF 115 properly can minimize delays during the clearance and 

approval process. 

• For records proposed as permanent, NARA requires information on the 

arrangement and total volume of all such records, the transfer date and annual 

accumulation of recurring records, and any access restrictions applicable to 

records proposed for immediate transfer, such as restrictions on classified 

information. 

• Following NARA's guidelines is especially important in scheduling electronic, 

audiovisual, and other special records. 

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• Besides adequately describing the records, regardless of media, and proposing 

retention periods for them, the agency should provide necessary cutoff and 

transfer instructions. 

• Schedules can be arranged by organization, function, or a combination of these. 

• Assembling a draft comprehensive schedule can make it easier to issue the entire 

schedule once the agency has cleared the schedule and obtained NARA's 

approval of the SF 115. 

• The records officer needs to clear the comprehensive schedule within the agency 

and obtain any necessary approval from NARA and GAO before issuing the 

disposition standards it contains. 

• Before submitting an SF 115 for approval, the records officer should consult with 

the NARA appraiser and understand what NARA looks for in reviewing an SF 115 

and what actions it may take. 

Introduction 

Besides applying appropriate General Records Schedule (GRS) authorities to as many 

administrative records as possible, the agency needs to schedule its program records and 

any remaining administrative records. To do so, it must complete, clear, and submit to 

NARA a Standard Form 115 (SF 115), Request for Records Disposition Authority. After 

NARA processes and approves the SF 115, the agency is ready to issue and apply a 

schedule consisting of an appropriate combination of GRS and SF 115 disposition 

authorities. 

Like using the GRS, completing an SF 115 is based on previous steps in the overall 

scheduling process; namely, reviewing agency functions and recordkeeping requirements 

and practices and inventorying and evaluating agency records. Completing an SF 115 

involves recording information from the inventory and recommending appropriate 

cutoffs, retention periods, and other disposition instructions. 

Agencies initiate most SF 115's because they have detailed information on the records 

and generally have physical custody of them. Occasionally, however, NARA initiates an 

SF 115 when doing one of the following: 

• Carrying out projects to schedule unscheduled records or reduce apparently 

excessive retention periods. These projects often involve agency records stored in 

Federal records centers. 

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• Proposing for disposal records already a part of the National Archives' holdings 

but reappraised and determined no longer to have sufficient value for continued 

preservation. 

If NARA initiates the SF 115, it still must obtain the agency's written concurrence before 

final approval. If the agency initiates the SF 115, it needs to follow carefully the guidance 

given in this chapter. 

After the disposition instructions are drafted, it is time to organize and clear the records 

schedule. By this stage, the agency should have determined the schedule's arrangement. It 

is often helpful to assemble the draft comprehensive schedule before clearing it within 

the agency and obtaining any necessary approval from NARA and GAO. 

The draft schedule should be based on GRS and proposed SF 115 authorities for records, 

as well as on the agency's own disposition standards for nonrecord materials. The GRS 

authorities have already been approved by NARA and, if necessary, by GAO. The 

proposed SF 115 authorities, however, require NARA's approval and sometimes GAO's 

before they can be issued and applied. 

Completing an SF 115 

To complete the SF 115 properly, agencies need to follow the general and specific 

instructions given in this chapter and on the back of the form. (See figure 5-2 for a copy 

of the SF 115.) They should also carry out any new or revised instructions announced in 

NARA bulletins or incorporated into NARA regulations. 

General Instructions 

An SF 115 is required for all records not scheduled by the GRS and all records scheduled 

by the GRS for which the agency needs a different retention period. There are various 

ways in which this form is used: 

• To schedule recurring records as temporary or permanent. 

• To schedule nonrecurring records as permanent. Such nonrecurring permanent 

records are normally excluded from the agency's published schedule. 

• To schedule nonrecurring records for disposal. Sometimes called items on a 

disposal list, such records are normally excluded from the agency's published 

schedule if they are ready for immediate disposal. 

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• To convert paper records or other originals (source documents) to microform 

records, and then destroy the originals, if the originals are unscheduled or 

scheduled as permanent. No SF 115 is required if the originals to be converted to 

microform are already scheduled for disposal. 

Figure 5-1 emphasizes the basic uses of the SF 115. 

If an agency automates its recordkeeping system, an SF 115 is required for disposition 

authority unless the resulting electronic records are already disposable under the GRS. 

The agency should submit two copies of the SF 115 to NARA and retain one copy for its 

own use. Blank SF 115's may be obtained from GSA supply depots and stores, and blank 

SF 115A's (continuation sheets) from NARA. The SF 115 may be used either as the first 

page of a schedule or, in effect, as a cover sheet. When using the form as a cover sheet, 

the agency attaches it to a printed or processed copy of the draft schedule, arranged as it 

will be when incorporated into the agency's records disposition manual. 

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Figure 5-2a. Standard Form (SF) 115

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Specific Instructions 

The following is a list of the numbered entries on the SF 115, along with instructions and 

comments. (See figure 5-2.) 

• ENTRIES 1, 2, AND 3: Under entry 1, give the name of the organization 

submitting the form. The organization may be an executive branch department or 

independent agency, a legislative branch agency, or the Administrative Office of 

the U.S. Courts for the judicial branch. Under entries 2 and 3, show the major and 

minor organizational subdivisions that create or maintain the records described on 

the form. If the organization is not the same one that originally accumulated the 

records, explain this under entry 8. If more than one subdivision maintains the 

records, specify the various office names under entry 8 of the form. 

If the agency's records schedule is arranged organizationally, list as the 

subdivisions the organizational units with custody of the records. Examples: 

Entry 1: Department of Commerce 

Entry 2: Bureau of the Census 

Entry 3: Geography Division 

Entry 1: Department of Agriculture 

Entry 2: Soil Conservation Service 

Entry 3: Technical Staff 

The schedule's coverage may not be so specific as to permit identifying under 

entry 3 the name of the minor organizational unit having custody of the records 

(e.g., Geography Division). If so, it may be possible to identify the organizational 

level of the offices with custody of the records (e.g., all field units or all state 

offices). If the current custodial unit did not originally accumulate the records, 

explain this under entry 8. 

If the agency's records schedule is arranged functionally, it is unnecessary to list 

the major and minor subdivisions under entries 2 and 3, provided that offices with 

custody of proposed permanent records are identified under entry 8, whenever 

possible. 

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• ENTRIES 4 AND 5: Show the name and phone number of the person to contact 

about the records. This may be the records officer or the records custodian. 

• ENTRY 6: Show the agency representative's certification on the two copies 

submitted to NARA. Both copies must contain the signature (with at least one 

being original), date of signature, and title of the agency official authorized to 

certify that the proposed retention periods meet agency needs. After indicating the 

number of any schedule pages attached to the SF 115, the official must certify that 

the General Accounting Office's (GAO's) written concurrence, if required, is 

attached to the SF 115 or has been requested. One box under entry 6 must be 

checked. If no box is checked, NARA will return the form to the agency without 

action. 

• ENTRY 7: Number schedule items in sequence (e.g., 1, 2, 3, 4). Subitems, if any, 

may be numbered consecutively (e.g., 1a, 1b, 1c). 

• ENTRY 8: This is the heart of the SF 115 because it contains descriptions of each 

item (i.e., each record series or part of an information system), along with its 

proposed disposition. Under this entry include centered headings to indicate the 

office of origin if all records described on the form are not those of the same 

office or if they are records created by another office or agency. Describe the 

records clearly, including those on nonpaper media. For more guidance on 

describing records, refer to later sections of this chapter and to the instructions on 

the back of the SF 115. 

• ENTRY 9: Indicate for each item or subitem the General Records Schedule and 

item numbers, the previous NARA disposition job and item numbers, and the 

agency directive or manual and item numbers, whichever may be applicable. 

Leave entry 9 blank only if the records are being scheduled for the first time. If 

continuation sheets are used, provide the required citations in a format acceptable 

to NARA. 

• ENTRY 10: Leave this entry blank. It is for NARA's use. 

NARA uses the space in the upper right corner for registering the request and notifying 

the agency of final action. In the box marked "Job No.," NARA assigns a transaction 

number to the request. For example, in N1-217-93-1, the symbol "N1" represents NARA 

and an internal classification number, the number "217" the record group number, "93" 

the fiscal year, and "1" the first SF 115 submitted for that record group during that year. 

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The box marked "Notification to Agency" contains a statement of approval, disapproval, 

or withdrawal. 

Description and Added Information 

Describing records properly on the SF 115 makes it easier to determine their disposition. 

Furnishing additional information can speed NARA's approval of the SF 115. Adequate, 

clear, and accurate descriptions aid in implementing an approved schedule . 

Importance of Describing Records Properly 

It is important to describe clearly and accurately each record series or each part of an 

information system listed on the SF 115. This task is much easier if the agency has 

properly inventoried its record holdings. (See Chapter II.) The following guidelines are 

useful in describing series or systems under entry 8 of the SF 115: 

• Describe and title a series or system by the subject or function to which it relates. 

• Consider using a single schedule item to cover several closely related temporary 

series if the records will have the same retention period. If not, then subdivide the 

schedule item. 

• In scheduling the records in an electronic information system, describe all input 

records (source documents), all information recorded on electronic media, all 

output records, the documentation associated with the system, and any related 

indexes. Propose a specific retention period for each of these. 

• Identify each potentially permanent series as a separate schedule item. 

• Elaborate on any sampling criteria and procedures for selecting files within a 

series for permanent retention. 

• Identify reports as statistical or narrative and indicate their frequency. 

• Describe correspondence files more precisely as "program subject," "reading," or 

the like. 

• Instead of form numbers alone, use "such as" before the form number or use 

"forms relating to." Otherwise, changing form numbers can void disposition 

authorizations. 

• Consider ending a long description with words such as "related records" or 

"equivalent forms" if appropriate, provided the preceding description is adequate. 

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Need for Additional Information 

Besides describing each item, agency records managers should include additional 

information to help in the appraisal process. They should assess the value of the records, 

describe the functions reflected in them, indicate any duplication of content, and 

document the relationship between that content and information maintained elsewhere in 

the agency. They should also indicate if the series is a Privacy Act system of records. 

Above all, they need to provide on, or with, the SF 115 the following information about 

permanent records: 

• The initial date, arrangement, and total volume of each schedule item proposed as 

permanent. 

• In functional schedules, the current organizational location of each series and 

system. 

• The transfer date and annual accumulation of recurring records proposed as 

permanent. 

• Any access restrictions consistent with the Freedom of Information Act that are to 

be imposed by NARA on records proposed for immediate transfer. Such 

restrictions include security-classified information. 

Finally, if nonrecurring records are proposed on an SF 115 for immediate destruction or 

for immediate transfer to the National Archives, it is necessary to indicate both their 

volume and inclusive dates, along with any applicable NARA records center accession 

and box numbers. 

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Electronic, Audiovisual, and Other Special Records 

Introduction 

Special records are records maintained separately from regular paper records because 

their physical form or characteristics require unusual care or because they have 

nonstandard sizes. They include electronic, audiovisual, microform, cartographic and 

remote-sensing imagery, architectural and engineering, printed, and card records. 

Description of these records must be accurate and complete, especially for records 

proposed as permanent. Before submitting an SF 115 to cover such records, agencies 

should make sure that the records are not already scheduled appropriately by the GRS. If 

they are, an SF 115 is unnecessary. If not, agencies should take the steps needed to 

schedule the records, including describing on the SF 115 each record series or each part 

of an information system. 

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Creation, maintenance, and disposition requirements for special records are prescribed by 

NARA in 36 CFR 1222 through 1234. Particularly important are the requirements for the 

maintenance and prompt transfer to the National Archives of permanent special records. 

Transfer instructions are discussed later in this chapter. 

Special care should be taken to schedule electronic, audiovisual, and other special records 

maintained for the agency by contractors. The contract should clearly state the 

Government's ownership of such records, and the agency must take physical possession 

of the records if they are needed by the Government. (See 36 CFR 1222.) 

More detailed guidance is contained in the NARA publications, specifically Managing 

Audiovisual Records and Managing Cartographic and Architectural Records. 

Electronic Records 

Electronic records are records stored in a form that only a computer can process. The 

systems containing such records must be designed so that adequate maintenance and 

disposition procedures are in place from the start. Some electronic records are scheduled 

for disposal under authorities prescribed by the General Records Schedule. An SF 115 is 

required for all other electronic records, including those requiring retention periods 

differing from the GRS standards. Agencies should schedule these records in the context 

of entire information systems, along with appropriate documentation and related indexes, 

and provide the necessary information elements as described in Chapter III under the 

information system inventory heading. 

In scheduling an information system, it is important to describe each of the following: 

• All input records, or source documents. 

• All information recorded on electronic media. 

• All output records. 

• The documentation associated with the system. 

• Any related indexes. 

Sometimes it is necessary to describe each of these as separate items. Otherwise two or 

more of these may be described together under one schedule item, provided they have the 

same proposed retention period. The records manager should consult with the NARA 

appraisal archivist in considering what approach to take in scheduling a particular 

information system. 

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The records manager should work with the information system manager and the 

information technology manager to schedule and otherwise manage electronic records. 

The information system manager, also called the program manager, oversees the creation 

and use of records in an information system. The information technology manager, also 

called the ADP manager, oversees the purchase and technical operation of an information 

system. 

The recorded information associated with many systems should be proposed as 

temporary. The master files and appropriate documentation and indexes associated with 

some systems, however, may be permanent. Although it is impossible to compile a 

comprehensive list, these examples suggest the variety of potentially permanent 

electronic records: 

• Electronic records replacing paper or microform records, such as reports and 

indexes, already scheduled as permanent on nonelectronic media. 

• Automated indexes to permanent records. 

• Unique and important scientific and technical data resulting from observations of 

natural events or phenomena or from controlled laboratory or field experiments. 

• Management data having Government-wide coverage or significance. 

• Socioeconomic data on topics such as trade, education, health, or behavior. 

• Natural resources data related to land, water, minerals, or wildlife. 

• Data documenting military or civilian operations during times of war, civil 

emergency, or natural disaster. 

• Political or judicial data related to such topics as elections, special investigations, 

or court proceedings. 

• Digital cartographic data used to map the earth's surface and atmosphere, other 

planets, and planetary satellites. 

• Digital architectural and engineering data used to plan and construct selected 

buildings or other structures, complete major public works projects, and produce 

significant weapons and machines. 

• National security and international relations data documenting such activities as 

strategic or foreign policy assessments, intelligence collection, foreign public 

opinion, or international negotiations. 

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Audiovisual Records 

Audiovisual records are records in pictorial or aural form. They include still and motion 

pictures; graphic materials, such as posters and original art; audio and video recordings; 

and combinations of media, such as slide-tape productions. It is important to identify and 

describe separately each series of these records and to avoid combining them into one 

item, such as all photographs or all motion pictures. In describing audiovisual records, 

agencies should follow these guidelines: 

• Identify the working title of the series, and indicate the physical form of the 

records: Motion pictures, still pictures, posters or original art, audio recordings, 

video recordings, or slide-tape productions. 

• Specify the kind of copy. For motion pictures, indicate black-and-white or color, 

sound or silent, the millimeter size, edited or unedited, and whether the copies are 

original negatives, master positives, with separate sound tracks, and/or projection 

prints. For still photographs, indicate black-and-white or color, the size and type 

of negatives (glass, nitrate, or acetate), and the availability of duplicate negatives, 

transparencies, or paper prints. For audio and video recordings, indicate disks 

(vinyl, compact disk, or laser) or tapes, the type of tape (reel-to-reel or cassette), 

and the availability of original, master, or use copies. 

• Describe the subject content, arrangement, and uses of the records. 

• Show the volume by giving both the cubic footage and an item count, including 

the number of reels for motion picture films, the number of negatives and 

positives for still photographs, and the number of disks or tapes for audio and 

video recordings. 

• For potentially permanent series, specify the physical location of all copies and 

give the inclusive dates. 

• Identify all related records, especially production files and finding aids. 

Production files include scripts, contracts and releases. Finding aids include 

indexes, catalogs, shelf lists, log books, caption sheets, and shotlists. 

Microform Records 

Microform records are records on any form containing greatly reduced images, normally 

on microfilm. If an agency plans to convert to microfilm paper records or other originals 

that are unscheduled or scheduled as permanent, it must submit an SF 115 requesting 

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authority to destroy the originals (source documents). In some instances NARA may not 

approve the destruction of the original records because of their intrinsic value or because 

of special access problems or other considerations. 

In requesting authority to destroy the originals, the agency must certify on the SF 115 that 

the microfilming will meet the standards set forth in 36 CFR 1230. That regulation also 

contains standards for storing and inspecting such microform records and taking proper 

steps for their use and disposition. Care should be taken to schedule related indexes along 

with the microform records, and to ensure their transfer to the National Archives if they 

are approved for permanent retention. 

If NARA has already approved the originals for destruction, an SF 115 is not required to 

convert the records to microform. Agencies are authorized to apply the approved 

retention period for such temporary records to the microform. They may also destroy 

these disposable originals immediately after verifying the microform for quality and 

completeness, unless the originals are still required for legal purposes. NARA's 

regulations (36 CFR 1230) cover both temporary and permanent microform records. 

Cartographic, Remote-Sensing Imagery, and Related Records 

Cartographic records are graphic representations drawn to scale of selected features of the 

earth's surface and atmosphere and of other planets and planetary satellites. They include 

maps, charts, photomaps, atlases, cartograms, globes, relief models, and related records, 

such as field survey notes, map history case files, and finding aids. Also included are 

digital cartographic records, such as geographic information system records, which 

should be managed like other electronic records. 

Remote-sensing imagery records are aerial photographs and other visual images of the 

surface of the earth and other planets taken from airborne or spaceborne vehicles to 

evaluate, measure, or map the cultural and/or physical features of the landscape. They 

also include related indexes. 

The following are some guidelines for scheduling such records on an SF 115: 

• Identify separate series of nondigital cartographic and remote-sensing imagery 

records and describe each series as a single schedule item. (Treat digital 

cartographic and remote-sensing imagery records as electronic records.) 

• Describe the subject matter, arrangement, and uses of each record series. 

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• Provide any related file headings, numbers, or descriptive symbols for each series. 

• Provide titles or designations for the group of records. 

• State the origin of the records if they were not produced by the agency submitting 

the SF 115. 

• Show the physical form of the records, whether manuscript, annotated, or 

photoprocessed and whether filed, rolled, or in some other form. 

• Provide the approximate number of maps and the cubic footage. 

• Give inclusive dates. 

• Describe related indexes and other finding aids. 

Architectural, Engineering, and Related Records 

Architectural records are drawings and related records depicting the proposed and actual 

construction of stationary structures such as buildings, bridges, and monuments. 

Engineering records are drawings and related records depicting the planning and 

construction of such objects as roads, canals, ships, planes, weapons, and machines. They 

include design and construction drawings and related records. Also included are 

computer records relating to architecture or engineering, which should be managed like 

other electronic records. 

The following are some guidelines for scheduling such records on an SF 115: 

• Identify separate series of nondigital architectural and engineering records and 

describe each series as a single schedule item. (Treat digital architectural and 

engineering records as electronic records.) 

• Provide file headings or symbols, if any. 

• Describe the subject matter, arrangement, and uses of the records. 

• State whether tracings or other types of reproductions are included. 

• Show the size of the records. 

• Describe origin of the plans, if they were not produced by the agency. 

• Provide the approximate number of architectural or engineering drawings and the 

cubic footage. 

• Give inclusive dates. 

• Describe related indexes and other finding aids. 

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Printed Records 

Printed records are published materials (such as books, maps, and posters) or serial 

issuances (such as directives and press releases) produced by or for a particular agency, 

in contrast to extra copies kept in stock or distributed inside or outside that agency. Each 

issuing office should maintain, as potentially permanent records, a "record set" of each 

series of its publications. The following are guidelines for scheduling printed records on 

an SF 115: 

• Identify the office(s) responsible for maintaining the record sets of publications 

created by or for the agency. 

• List under separate schedule items the record sets of printed records published by 

the Government Printing Office (GPO) and those published by other sources. 

• Distinguish between the publication record sets and extra copies of the 

publication. 

• Describe and schedule related finding aids along with the printed records. 

Card Records 

Finally, in managing card records, an agency should follow these guidelines: 

• Because of their nonstandard size, maintain paper-based cards separately from 

regular paper records. 

• Except for their size, describe paper-based cards in the same way as regular paper 

records. 

• Note that paper-based cards are sometimes finding aids to related records and 

often have the same disposition as that of the related records. 

• Treat microform-based cards as microform records and digital cards as electronic 

records. 

Other Considerations in Completing an SF 115 

In completing an SF 115, agencies should follow the general instructions on scheduling 

records, especially the guidance on drafting disposition instructions. In addition, they 

should consider record cutoffs and transfers and the extent and limits of the schedule's 

coverage. 

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Importance of Instructions on Record Cutoffs and Transfers 

SF 115's should include instructions for cutting off records and, if appropriate, for 

transferring them to agency holding areas or records centers for temporary storage and to 

the National Archives for archival preservation. Agencies may issue general instructions 

applicable to all their records with a particular retention period, incorporate specific 

instructions into each schedule item, or issue general instructions applicable except where 

unique cutoff and transfer instructions are included in individual schedule items. Figure 

4-2 and figure 4-3 in chapter IV show examples of disposition instructions for permanent 

and temporary records. 

• Record cutoffs. All record series need to be cut off, or broken, before the 

approved disposition can be applied. In other words, the retention period normally 

does not start until the records have been cut off. Each agency should provide 

guidance to users on when to cut off records having a particular retention period. 

Cutoffs involve ending the old files and starting new ones at regular intervals. 

Unless unusual volume or other circumstances create a need for different cutoffs, 

the agency should consider following the guidelines given in figure 5-4. Series of 

nonrecord materials, such as technical reference files, do not need to be cut off but 

should be purged periodically of material no longer needed. 

• Transfers. Some noncurrent agency records are destroyed in current office space 

because their high reference activity or short retention periods make transfer 

unnecessary or inappropriate. But semicurrent records with longer retention 

periods and low reference activity are suitable for transfer to storage facilities for 

temporary storage. Still other records are scheduled for transfer to the National 

Archives for permanent retention, either directly from the agency or from a 

storage facility. The timing of the transfer to the National Archives should 

normally be within 30 years for paper records, within 5-10 years for audiovisual 

or microform records, and as soon as electronic records become inactive or the 

agency cannot meet maintenance requirements for them. 

Agencies should provide instructions on all such transfers. For information on 

transferring records to NARA records centers, they should consult publications of the 

records centers and NARA regulations and bulletins. For information on transferring 

104
records to the National Archives, they need to consult NARA regulations and bulletins

along with Chapter VI of this handbook. 

In short, records personnel need to know when and how to transfer records out of the 

office. The records manual is the place to give such instructions, both in the general 

introduction and, if appropriate, under specific schedule items. If it is necessary for an 

agency to change transfer instructions contained in an approved SF115, a new SF 115 is 

not required. Instead the agency should address a letter of request to the appropriate 

NARA office. 

Figure 5-4. General Instructions for Record Cutoffs 

For records with retention periods of less than 1 year: 

Cut off at an interval equal to the retention period. 

• For example, if a record series has a 1-month retention period, cut the file off at 

the end of each month and then apply the retention period (that is, hold the file 1 

more month before destroying.) 

For records with retention periods of 1 year or more: 

Cut off at the end of each fiscal (or calendar) year. 

• For example, if the disposition for a correspondence file is "destroy when 3 years 

old", then destroy it 3 years after the annual cutoff. 

For records with retention periods based on an event or action: 

Cut off on the date the event occurs or the action is completed and then apply the 

retention period. 

• For example, if the disposition for case working papers is "destroy when related 

case file is closed," then cut off and destroy the working papers when closing the 

related file. 

For records with retention periods based on a specified time period after an event or 

action: 

Place in an inactive file on the date the event occurs or the action is completed and cut off 

the inactive file at the end of each fiscal (or calendar) year; then apply the retention 

period. 

105
• For example, if the disposition for a case file is "destroy 6 years after case is 

closed," then destroy 6 years after the annual cutoff along with other case files 

closed during that year. 

Extent and Limits of a Schedule's Coverage 

One SF 115 can cover the program records of an entire agency or only part of it, or else it 

can cover the records of one or more functional areas within the agency. Thus, except for 

records covered appropriately by the GRS, an SF115 may include all agency records, 

central office records only, field office records only, or one organizational unit's records 

only. But an agency must schedule all of its records regardless of the number of SF 115's 

generated. 

Certain limits apply to the schedule's coverage. As already indicated, if the NARAapproved disposition authorities specify an organizational component as creator or 

custodian of the records, the same agency may apply such authorities to the same records 

after internal reorganization but only if the nature, content, and functional importance of 

the records remain the same. 

One department or independent agency must not apply disposition authorities approved 

for another. If interagency reorganization reassigns functions to an existing department or 

agency, the gaining organization may not use the disposition authorities approved for the 

transferring one. Instead it needs to submit an SF 115 to NARA within 1 year of the 

interagency reorganization. If a new department or a new independent agency assumes 

functions from an existing one, it has 2 years to schedule such records and all its other 

records by applying the GRS to eligible records and submitting an SF 115 to NARA to 

cover the remainder. 

Unless the schedule specifies otherwise, disposition authorities apply retroactively to all 

existing records described in the schedule. Such records include those previously 

acquired by transfer of function within or between agencies and then scheduled by the 

receiving organization, with the usual proviso that the nature, content, and functional 

importance of the record series or system must remain the same. 

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Arranging a Records Schedule 

Before the draft schedule has been assembled and cleared, its arrangement should already 

have been decided on. The schedule is usually arranged primarily by organization or 

function. 

Organizational Arrangement 

This is a hierarchical listing arranged by name of organizational unit (by each bureau or 

other major unit and thereunder by its subordinate units). It shows as separate items the 

record series and systems maintained by each major and subordinate unit. To prevent 

confusion, agencies need to update schedules promptly after internal reorganization either 

by amending them when the changes do not affect the nature, content, and functional 

importance of the records or by submitting an SF 115 when they do. (See figure 5-5.) 

Figure 5-5. Sample of an Organizational Schedule

Office of the Director and Deputy Director 

Voice Of America (VOA/M) 

1. Directorate Subject Files. Letters, memorandums, telegrams, Radio Marti Program 

Fact Sheets, weekly reports to the Director of USIA, other reports, speeches, briefing 

books, minutes of staff meetings, and other materials relating to the Radio Marti mandate. 

Arranged by subject-numeric filing system. 

PERMANENT. Cut off annually. Transfer to WNRC 5 years after cutoff. Transfer to the 

National Archives 25 years after cutoff in 5 year blocks. 

2. Biographic Files.

a. Biographies of prominent Cubans, mainly government officials, compiled from 

interviews by Radio Marti and other USIA personnel and from published sources. 

Arranged alphabetically. 

PERMANENT. Cut off file every 5 years. Transfer to the National Archives when 25 

years old or when no longer needed for research, whichever is sooner. 

b. Tapes of interviews used as sources for biographies. 

TEMPORARY. Destroy when no longer needed. 

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Functional Arrangement 

A functional schedule combines series or systems serving the same purpose. Records 

described in the schedule items are covered regardless of where they are created and 

maintained. For example, many of the General Records Schedules are arranged by 

function. A functional approach may be suitable for a number of offices performing the 

same work. For permanent records, however, the organizational location should be given 

in the schedule for all permanent records series and systems. (See figure 5-6.) 

Figure 5-6. Sample of a Functional Schedule 

General Records Schedule No. 10 (Excerpt) 

Motor Vehicle Maintenance and Operation Records

Item Number and Description of Records Authorized Disposition 

1. Motor Vehicle Correspondence Files.

Correspondence in the operating unit responsible for 

maintenance and operation of motor vehicles not 

otherwise covered in this schedule. 

Destroy when 2 years old. 

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. 

b. Maintenance records, including those relating to 

service and repair. 

Destroy when 1 year old. 

3. Motor Vehicle Cost Files. Motor vehicle ledger 

and work sheets providing cost and expense data. 

Destroy 3 years after 

discontinuance of ledger or date 

of work sheet. 

4. Motor Vehicle Report Files. Reports on motor 

vehicles (other than accident, operating, and 

Destroy 3 years after date of 

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maintenance reports), including SF82, Agency Report 

of Motor Vehicle Data, and SF82-D, Agency Report 

of Sedan Data. 

report. 

5. Motor Vehicle Accident Files. Records relating to 

motor vehicle accidents, maintained by transportation 

offices, including SF 91, Operator's Report of Motor 

Vehicle Accident; SF 91A, Investigation Report of 

Motor Vehicle Accident; and SF 94, Statement of 

Witness. 

Destroy 6 years after case is 

closed. 

6. Motor Vehicle Release Files. Records relating to 

transfer, sale, donation, or exchange of vehicles, 

including SF 97A, Agency Record Copy of U.S. 

Government Certificate of Release of Motor Vehicle. 

Destroy 4 years after vehicle 

leaves agency custody. 

7. Motor Vehicle Operator Files. Records relating 

to individual employee operations of Governmentowned vehicles, including driver tests, authorization 

to use, safe driving awards, and related 

correspondence. 

Destroy 3 years after separation 

of employees or 3 years after 

recision of authorization to 

operate Government-owned 

vehicle, whichever is sooner. 

Other Arrangement Patterns 

Some agencies may find it desirable to make their schedule's arrangement partly 

organizational and partly functional. In addition, the schedule's basic arrangement can be 

supplemented with other arrangement patterns, such as: 

• By Files Commonly Held Within an Agency. This is a listing of records and 

nonrecord materials commonly held by most or all offices. This approach avoids 

repeating the same items throughout the schedule. Such a schedule, entitled "Files 

Common to Most or All Offices" (see, for example, GRS 23), may include: 

o Nonrecord materials, such as extra copies of publications and reference 

copies of directives. 

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o Certain temporary program records, such as general correspondence files 

and case files documenting program functions. 

o Office administrative files, which relate to the internal housekeeping 

activities of an office, such as staffing, supplies, and space, rather than the 

functions for which the office exists. 

• By Coordination With the Filing System. The agency may combine its 

comprehensive schedule with its files manual to make a single document. 

Retention periods are prescribed for each entry, whether it is subject-numeric, 

numeric only, or otherwise. A disposition-filing system arrangement requires that: 

o Case files are clearly identified and scheduled. Most agency records are 

case files. 

o All offices use the prescribed filing system. Those not using the system 

will find application of the schedule difficult, if not impossible. 

o Identical retention periods apply to small groups of records whenever 

possible. Otherwise, the disposition process can become too costly. 

For example, in the Modern Army Recordkeeping System (MARKS), the disposition 

plan determines the filing system. Folders or other file units are identified by the 

schedule's "file numbers," which correspond to the Army's system of regulations. They 

are then arranged in the same order as the schedule items. (See figure 5-7.) 

Figure 5-7. Combining the Schedule and the Filing System 

350 

General training correspondence files 

Description and Disposition: 

a. General correspondence relating to training that cannot logically be filed with 

the detailed records listed below: Destroy after 2 years. 

b. Documents relating to training that are received for information only, on which 

no action is required: Destroy after 1 year. 

350a 

Unit-level individual training files

Rescinded. Use file number 350-37a. 

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350-1a 

Training inspections 

Documents related to scheduled training and training inspections. Included are training 

schedules, training inspection reports, and related information. 

Disposition: 

HQDA, major Army commands, and major subordinate commands: Destroy after 2 years. 

Other offices: Destroy after 1 year. 

350-1b 

Physical fitness evaluation scorecards

Documents used to monitor the physical fitness of individual soldiers. 

Disposition: 

Destroy on retirement, separation, death, or transfer of information to new card. 

350-1c 

Training facility requirements

Documents related to deciding needs for training facilities. Included are requirements for 

acquiring, activating, retaining, using, expanding, consolidating, deactivating, and 

disposing of facilities. Also included are studies, justifications, maps, and similar 

information. 

Disposition: 

Office performing Army-wide responsibility: Destroy after 10 years. 

Other offices: Destroy after 5 years. 

Assembling a Draft Records Schedule 

After the schedule's arrangement has been determined but before the SF 115 is cleared 

and approved, it is often useful to combine into one draft document the components of 

the agency's proposed comprehensive records schedule or of the schedule being prepared 

for records relating to a particular function or organizational unit. These components are: 

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• The records disposition authorities proposed in the SF 115, along with any SF 115 

authorities approved earlier that require no substantive change in their 

descriptions and no change in their retention periods. One-time authorities are 

normally excluded from this draft document and later from the published version 

of the agency's schedule. To these disposition authorities it is usually necessary to 

add cutoff instructions and, if appropriate, transfer instructions. 

• The applicable records disposition authorities already approved in the GRS, 

especially if they are to be dispersed item by item throughout the schedule. For 

GRS items, it is usually necessary to add specific retention periods, cutoff 

instructions and, if appropriate, instructions for transfer to an agency storage area 

or a records center. 

• The disposition instructions proposed for the agency's nonrecord materials. 

Assembling this draft document will make it easier to issue the schedule once the agency 

has cleared it and obtained NARA's approval of SF 115 items. 

Obtaining Internal Clearances and GAO's Approval 

After completing a draft records schedule and before submitting the SF 115 to NARA, 

the records officer needs to obtain clearances from agency program offices and to request 

GAO's approval, if necessary. 

Internal Clearances 

To obtain internal clearances, the records officer should send the completed draft 

schedule to liaisons in program offices for circulation and comment. Each office should 

receive only those parts of the schedule relating to its records. Program officials should 

be asked if: 

• All records are covered. 

• Descriptions are clear. 

• Retention periods are adequate. 

• Cutoff and transfer instructions are clear. 

• Nonrecord materials are covered. 

The records officer should also ask for comments on the entire schedule from the 

agency's historian and, especially for records series or systems that involve legal rights, 

112
from the agency's legal office. After all comments are received, any differences should be 

resolved with program officials or files custodians. These internal clearances are 

necessary to avoid having to recall the SF 115 after it has been sent for approval or 

having to submit a new SF 115 to revise an inappropriate disposition. 

GAO's Approval 

The GAO requires that agencies obtain its written approval for SF 115 items falling under 

three general categories: 

• Administrative Records Proposed for Retention Periods Shorter Than Those 

Prescribed by GRS 2 Through GRS 10. GAO has already approved, when 

necessary, the retention periods of records covered by the GRS. Therefore 

agencies should not request GAO's approval of retention periods meeting or 

exceeding GRS standards. They must, however, obtain GAO's written approval 

when proposing retention periods shorter than those prescribed by the following: 

o GRS 2, Payrolling and Pay Administration Records 

o GRS 3, Procurement, Supply, and Grant Records 

o GRS 4, Property Disposal Records 

o GRS 5, Budget Preparation, Presentation, and Apportionment Records 

o GRS 6, Accountable Officers' Accounts Records 

o GRS 7, Expenditure Accounting Records 

o GRS 8, Stores, Plant, and Cost Accounting Records 

o GRS 9, Travel and Transportation Records 

o GRS 10, Motor Vehicle Maintenance and Operation Records 

Agencies should indicate the particular General Records Schedule and item 

number in requesting GAO approval of a retention period shorter than that found 

in the GRS. 

• All Program Records Having a Proposed Retention Period of Less Than 3 

Years. GAO requires the agency to justify fully any such retention period. It 

neither approves nor disapproves proposed retention periods for program records 

held 3 years or longer, although it recommends that their retention periods be as 

short as practicable. 

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• Records Relating to Claims or Demands by or Against the Government.

Excluded from this category are any such records covered by the GRS, provided 

that the proposed retention period is not shorter than that prescribed by the GRS. 

If GAO's approval is necessary, the agency must request it when submitting an SF 115 to 

NARA. While GAO's approval is pending, NARA processes the SF 115 but withholds 

approval until it receives GAO's written concurrence. Title 8 of the "GAO Policy and 

Procedures Manual for Guidance of Federal Agencies" contains further details on GAO 

requirements and related program information. 

Submitting an SF 115 for NARA's Approval 

Introduction 

Agencies need to submit an SF 115 to NARA to request disposition authority for all 

records not scheduled by the GRS. (See figure 5-8 for an example of a completed and 

approved SF 115.) To avoid unnecessary delays, they should consult with NARA 

appraisers beforehand and understand what NARA looks for in reviewing an SF 115 and 

what actions it may take. 

114
Figure 5-8. Completed and Approved Standard Form (SF) 115

115
NARA's Review of the SF 115 

When NARA receives an SF 115, it determines whether the SF 115 should be rejected, 

treated as a draft, or formally registered. If rejected, the SF 115 is returned to the agency 

with a letter of explanation. If NARA treats the SF115 as a draft or a formally registered 

job, it so notifies the agency. In the process, before appraising the records, NARA 

normally examines the completed SF 115 for features such as the following: 

• Contact person's name and telephone number. 

• Centered headings if the records of more than one subdivision are described. 

• Indication of any differences between the custodial agency and the agency of 

origin. 

• Agency representative's signature, with date, on NARA's two copies of the form. 

At least one copy must have an original signature. 

• Indication whether GAO concurrence is attached, has been requested, or is 

unnecessary. 

• Sequential numbering of all pages and schedule items. 

• Clear description of each item. 

• Clear retention period for each item. 

• Instructions, where appropriate, for cutting off and transferring records. 

• Citation, if appropriate, of the most recent GRS or SF 115 item covering the 

records. (The cited item will be superseded if NARA approves the new 

disposition request.) 

• Citation of any Privacy Act restrictions on records proposed for eventual 

destruction. 

• Exclusion from the SF 115 of any items unchanged from previously approved 

dispositions, including those items involving only editorial changes or changes in 

transfer instructions. 

• Written justification of any proposed exceptions to GRS disposition standards. 

• Inclusion of a review cycle in the disposition instructions for contingent 

temporary records to be retired to a records center. 

• Arrangement and total volume of each schedule item proposed as permanent. 

116
• Transfer date and annual accumulation of recurring records proposed as 

permanent. 

• Volume and inclusive dates and, if applicable, NARA records center accession 

and box numbers for all nonrecurring records proposed for immediate destruction 

or for immediate transfer to the National Archives. 

• Any access restrictions on nonrecurring records proposed as permanent and ready 

for immediate transfer to the National Archives, including restrictions on 

classified information. 

• Certification of compliance with 36 CFR 1230 if proposing to convert permanent 

or unscheduled originals to microform records and then to destroy the originals. 

• Citation, whenever applicable, of statutes or regulations governing records 

retention and also justification of any longer retention periods. 

NARA Actions 

In processing the SF 115, NARA takes one or more of the following actions: 

• Consultation and Examination. After reviewing the SF 115 for completeness, 

NARA appraisers may need to consult with agency officials and either see 

samples of the records or examine them at the agency or a records center. 

• Publication of Disposal Notices in the Federal Register. According to Federal 

law (44 U.S.C. 3303a(a)), NARA must publish in the Federal Register a notice of 

agency requests for the disposal (i.e., destruction or donation) of records. If 

NARA has previously approved disposal of the records covered in an agency 

request, a notice is published only if the proposed retention period is shorter. The 

publication of these notices allows interested persons to submit written comments 

on the records to NARA before disposal is approved or else reapproved with a 

shorter retention period. 

• Changes in Disposition Requests. To improve clarity and accuracy, the NARA 

appraiser may make changes to a completed SF 115 but only with the agency's 

approval. Minor changes, such as renumbering the items or correcting punctuation 

or typographical errors, require only the agency's oral approval. Major changes, 

such as modifying the description or the disposition instructions, require the 

agency's written approval on the SF 115. 

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• Withdrawn Requests. If both the agency and NARA agree to withdraw an entire 

SF 115 or individuals items, NARA will mark the job or the items "withdrawn" 

and request a new SF 115 if the records require scheduling. 

• Disapproved Requests. If NARA disapproves an entire SF 115, it will return the 

SF 115 to the agency with a letter requesting appropriate revisions and submission 

of a new SF 115. Sometimes disagreements or revisions result in a substantial 

delay in approving an entire schedule. In such instances, NARA stamps the 

questionable items "disposition not approved" in entry 10 of the SF 115 to the 

agency with a letter requesting submission of a new SF 115 covering the 

disapproved items. Normally the agency should submit the new SF 115 within 6 

months. 

• Approved Requests. If NARA approves the request, it sends the agency a copy 

of the approved SF 115 and, if necessary, a letter outlining any special steps to 

take in its implementation. 

Conclusion 

This chapter has explained how to complete an SF 115 covering those records whose 

dispositions are not prescribed, or appropriately prescribed, by the GRS. The agency also 

should receive NARA's approval before issuing and applying these SF 115 authorities as 

part of its comprehensive records schedule. This chapter has also explained how to 

organize and clear a records schedule and to obtain SF 115 approval from NARA and, if 

required, from GAO. 

Once the schedule has been drafted, organized, cleared internally, and approved 

externally, the agency is ready to implement the schedule and take steps to keep it 

current. This process involves issuing the approved schedule as a directive, training 

employees in its use, and applying it to appropriate documentary materials. It also 

involves reviewing and, if necessary, updating the schedule as part of a coordinated effort 

to manage the records disposition program. 

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VI. Schedule Implementation 

• Introduction 

• Issuing the Schedule 

• Training Employees 

• Applying the Schedule to Permanent Records 

• Applying the Schedule to Temporary Records 

• Reviewing and Updating the Schedule 

• Related Disposition Matters 

• Conclusion 

VI. Schedule Implementation 

• Implementing an approved comprehensive records schedule involves issuing it as 

an agency directive, training appropriate employees, and applying the schedule to 

agency records. 

• The agency directive(s) should include not only approved records schedules but 

also related information about the entire records disposition program. 

• Effectively applying records schedules depends in large part on the proper 

training of agency employees. 

• Permanent records require special care while in agency custody. 

• Agencies should use Standard Form 258 to transfer permanent records to the 

National Archives. 

• Records may be donated only with NARA's approval. 

• With few exceptions, before transferring records to other agencies, the creating 

agency needs NARA's approval. 

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• In some circumstances NARA may approve a temporary extension of retention 

periods or withdraw disposal authority. 

• Agencies must report to NARA any unauthorized disposition of Federal records. 

• Records schedules must be reviewed annually and updated whenever necessary. 

Introduction 

Each agency should implement its approved comprehensive records schedule by issuing 

it as a directive, training appropriate employees to use it, and carefully applying its 

provisions to both permanent and temporary records. The schedule should be reviewed at 

least annually and updated whenever necessary by following the procedures described in 

this chapter. 

Preliminary Steps 

Issuing the schedule as a directive indicates its mandatory nature. The published schedule 

should combine the NARA-approved GRS and SF 115 disposition authorities for 

120
recurring records, along with instructions for retention and disposition of nonrecord 

materials. It should not contain any one-time authorities covering nonrecurring records. 

At the time the schedule is issued, it is essential to train those employees responsible for 

applying the schedule. 

Before applying the schedule for the first time to an office's records, the agency should 

take these steps: 

• Review the office's functions. 

• Consult a current inventory of the office's records. 

• Match the records identified in the inventory with those described in the agency's 

schedule, and alert the records manager to any unscheduled records. 

• Develop a file plan for each office. An office file plan is a document containing 

the identifying number, title or description, and disposition authority of files held 

in an office. Figure 6-2 shows a suggested file plan form. 

Before the schedule is applied in an office with an established records disposition 

program and a file plan, it is necessary to check the file plan against the schedule. The 

file plan should contain up-to-date and accurate disposition authorities and retention 

periods for all records and nonrecord materials maintained in the office. 

121
Figure 6-2. File Plan 

FILE PLAN Page of 

Office (name and symbol) For FY 

Prepared by (files custodian) Phone No. Room No. Date 

Reviewed by (supervisor) Approved by (records manager) 

PLAN 

ITEM 

NO. 

TITLE OR DESCRIPTION OF SERIES OR SYSTEM 

DISPOSITION 

CITATION (Records 

Schedule Item Number) 

General Guidelines 

Unless the schedule specifies otherwise, disposition authorities apply retroactively to all 

existing records described in the schedule. Such records include those acquired by 

transfer of function within or between agencies, as long as there is no change in the 

nature, content, and functional importance of the record series or system. 

122
In applying the schedule, the agency should take these actions: 

• Avoid filing unnecessary materials, such as extra copies in the same series. 

• Cut off, or break, files regularly. 

• Transfer eligible records to an agency storage facility or a Federal records center. 

• Promptly destroy or properly donate temporary records when their retention 

periods expire. 

• Care for permanent records until their timely transfer to the National Archives. 

In the process the agency should review the schedule at least annually and update it, 

whenever necessary, by using new or revised GRS authorities or by submitting an SF 115 

to NARA. 

Issuing the Schedule 

Making the Schedule a Directive 

Whether they are derived from the GRS or from an SF 115, NARA-approved records 

disposition authorities are mandatory. Except for one-time authorities covering 

nonrecurring records, all disposition authorities should be incorporated into the agency's 

directives system to ensure proper distribution and application of the schedule. The 

directive should cite the GRS or SF 115 and item numbers for all schedule items covering 

records. It should also cite any agency and Privacy Act restrictions for each series or 

system of records authorized for eventual destruction. Before issuing this directive and 

related procedural directives, the agency may wish to consult with NARA. 

If the agency has scheduled its records one office or one function at a time, it may issue 

each schedule as approved until all its records and nonrecord materials are covered. All 

schedules issued should be consolidated into a comprehensive schedule. The schedule, or 

schedules, should be issued as a directive, reviewed at least annually, and updated 

whenever necessary. The directive may be published in a looseleaf format to permit easy 

updating. 

Internal distribution of the directive should include at least the following: 

• All staff officials. 

• All office, bureau, division, and branch heads. 

123
• All custodians of major record holdings, such as central files. 

• All records management liaison officers. 

Agencies need to send NARA 20 copies of all formally published directives containing 

schedules and schedule changes. They must also send NARA three copies of any other 

directive or issuance affecting the agency's records disposition program. (See 36 CFR 

1228.) 

Including Related Program Information

Besides transmitting the schedules, the directive should include detailed information on 

the agency's records disposition program unless a related program directive already does 

so. (See Chapter I.) The directive should include the following: 

• A statement of the program's objectives. 

• Any necessary information from laws and regulations governing records 

disposition, including citations. 

• A description of NARA's oversight responsibilities in records management, 

particularly records disposition. 

• Definitions of relevant terms in a glossary. 

• Provisions for proper training of all employees taking part in the agency's records 

disposition activities. 

• Instructions on how to maintain and cut off files. 

• A statement that the records schedule authorities must be applied to all relevant 

agency records on a continuing basis. 

• Provisions for keeping records schedules current. 

• Procedures for retiring records to, and retrieving them from, agency records 

centers or holding areas, if applicable, and NARA-operated records centers. 

• Instructions on the disposal of temporary records in agency space and guidance on 

the NARA records center system of disposal notification. 

• Instructions for transferring permanent records to the National Archives. 

• An indication of the records officer's involvement in developing and monitoring 

electronic and other recordkeeping systems to ensure proper disposition. 

• Provisions for periodic evaluation of the agency's records management program, 

including records disposition. 

124
Training Employees 

When a new or revised comprehensive records schedule is issued, the agency needs to 

train those employees responsible for applying the schedule and carrying out other 

aspects of the records disposition program. Such employees include records management 

staff members (if not already trained), records liaison officers in central and field offices, 

and files custodians. This is also an ideal time to brief program managers regarding 

records disposition and other aspects of the records management program. 

For general training, resources are available from NARA records centers. Besides 

multiagency courses, NARA provides customized training to individual agencies on a 

reimbursable basis. Training opportunities are described on the NARA records 

management training web page. 

Applying the Schedule to Permanent Records 

Permanent records are those determined by NARA to have sufficient historical or other 

value to warrant continued preservation by the Federal Government, generally as part of 

the National Archives, unless otherwise agreed to by NARA. Their disposition authority 

comes from NARA-approved SFs 115. The agency must give special attention to these 

records and transfer them to the National Archives in accordance with the schedule's 

instructions and with regulations (36 CFR 1228) and guidance issued by NARA. 

Caring for Permanent Records 

Permanent records require special attention and should be scheduled for transfer to the 

legal custody of the National Archives as soon as the agency no longer needs them for 

current operations. They should be created on archival-quality media and kept properly 

and in good order. For example, they should be stored in appropriate containers and 

facilities and not be intermixed with other permanent or temporary records. 

To prevent their loss or destruction, the records officer should keep a current list of 

permanent records. The list should identify them by schedule item number and show 

locations, custodians, and any transfer instructions. 

If permanent records are no longer needed in current office space but are not yet ready for 

scheduled transfer to the National Archives, they often can be stored in a records center 

or else in an agency holding area set aside exclusively for such records. If no such offsite 

125
storage is possible, they should at least be kept separate from the office's temporary 

records. Besides meeting general requirements for storing records properly, each agency 

must store its microform, audiovisual, and electronic records under conditions complying 

with the requirements of 36 CFR 1230, 1232, and 1234. 

Permanent electronic records, for example, require special care and storage. Necessary 

steps include controlling temperature and humidity, recopying the information 

periodically, and testing the readability of an annual sample. Specific requirements are set 

forth in 36 CFR 1234. 

Caring for permanent audiovisual records likewise requires special procedures. These 

include separating them from nonpermanent records; filing separately the master and use 

copies, such as negatives and prints; using captions or their equivalent for identification 

purposes; and recording unique identification numbers on every negative jacket or 

storage container as well as on all corresponding prints or other use copies. Specific 

requirements are set forth in 36 CFR 1232 and explained in the NARA publication 

Managing Audiovisual Records. 

If an agency wishes to lend permanent or unscheduled records to a non-Federal user, it 

must first obtain NARA's written approval by submitting a letter of request that includes 

the information required by 36 CFR 1228. All formally executed loan agreements for 

such records must have the signature of the Archivist of the United States before their 

implementation. If the loan request is denied, the Archivist will notify the agency and 

provide written instructions for the disposition of the records. 

Transferring Permanent Records to the National Archives 

The agency's records schedule should contain instructions for transferring permanent 

records to the National Archives, including both timing and blocking instructions. (See 

Chapter IV for examples of such instructions.) The transfer's timing should be based on 

the length of time after the records are cut off. It is normally within 30 years of the cutoff 

for paper records, within 5-10 years for audiovisual or microform records, and as soon as 

electronic records become inactive or the agency cannot meet maintenance requirements 

for them. 

The schedule's blocking instructions are also important in the transfer of permanent 

records. Blocking means the chronological grouping of records consisting of one or more 

segments of cutoff records that belong to the same series and are dealt with as a unit for 

126
efficient transfer (e.g., transfer in 5-year blocks). Blocking does not apply to permanent 

electronic records because they need to be transferred to the National Archives as soon as 

they become inactive or can no longer be maintained properly. 

In addition to the schedule's instructions, the agency's disposition program directive 

should explain how to transfer permanent records to the National Archives. 

Permanent records more than 30 years old must be transferred to the National Archives 

unless the agency head certifies in writing to the Archivist of the United States that the 

records must be retained in the agency to conduct its regular current business. This 

certification must meet the requirements set forth in 36 CFR 1228. Permanent records 

may be transferred earlier if the agency no longer needs them and if any proposed 

restrictions on their use are acceptable to the National Archives. 

Each agency needs to send NARA a report identifying and describing all permanent or 

unscheduled records in the agency's legal custody if they are more than 30 years old, 

unless they are held in a NARA records center. The report is to be made on NA Form 

13148, which includes detailed instructions. 

While records stored in records centers remain in the transferring agency's legal custody, 

permanent records transferred to the National Archives pass to the legal custody of the 

Archivist of the United States. The form documenting the legal transfer of permanent 

records is Standard Form 258, Agreement to Transfer Records to the National Archives 

of the United States. (See figure 6-4.) In using the SF 258 to transfer permanent records 

to the National Archives, agencies must comply with NARA regulations and bulletins, 

including special requirements for electronic, audiovisual, and microform records. (See 

36 CFR 1228, 1230, 1232, and 1234.) 

If permanent records are stored in a NARA records center at the time of the scheduled 

transfer, the center's computer system will automatically generate the SF 258 for agency 

action. After the agency submits the SF 258 and NARA approves it, the records will be 

transferred from records center space to the National Archives. 

If the permanent records to be transferred are stored in agency space, the National 

Archives will contact the agency and provide shipping or delivery instructions. If the 

records are stored in a records center, the National Archives will contact the records 

center. Legal custody of the records passes to NARA when the NARA official signs the 

127
SF 258 to acknowledge receipt of the records or occasionally to confirm their deposit in 

another location as specified in a NARA-approved agreement. 

The NARA records management publications contain more detailed guidance on 

transferring these types of permanent records to the National Archives. 

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Figure 6-3a. NA Form 13148: Report to NARA on Permanent and Unscheduled 

Records Over 30 Years Old in Agency Custody 

1. Department or Independent Agency Name 

2. Name of Agency Contact Person Telephone Number 

 

Office 

3. Description of Records 

a. Series Title 

b. Dates c. Volume (cubic feet) 

d. Series Description 

4. Disposition Authority 

5. Location of Records (Complete Office Address) 

NATIONAL ARCHIVES AND RECORDS 

ADMINISTRATION 

NA FORM 13148 (9-90)

INTERAGENCY REPORTS CONTROL NO. 

0376-NAR-AR

129
Figure 6-3b. Instructions for NA Form 13148: Report to NARA on Permanent and 

Unscheduled Records Over 30 Years Old in Agency Custody

Describe only records that have been appraised as permanent on a Standard Form 115 

(Request for Records Disposition Authority) or that are unscheduled, and that are held by 

the agency or for the agency by an institution other than a Federal records center. 

Excluded from this reporting requirement are (a) records authorized for disposal by the 

General Record Schedules or by an approved SF115 and (b) records that have been 

transferred to a Federal records center. 

Entry 1. Enter the name of the department or independent agency that has custody of the 

records identified on the form. 

Entry 2. Enter the name, telephone number, and office affiliation of the individual within 

the agency who should be contacted for further information on these records. It is very 

important that this entry be filled in on every form submitted. 

Entry 3. Describe the records at the series level, just as on the SF 115. A record series is 

a group of documents filed or maintained together because of subject, function, physical 

form, or some other factor related to their creation, receipt, or use. 

Follow these instructions for the individual subentries: 

a. Each series should be given a brief descriptive title. 

b. Give the inclusive dates for the series of records. The dates can be expressed in 

years. 

c. The volume of records should be expressed in cubic feet. It is not necessary to 

be more precise than to the nearest cubic foot. 

d. The series description should be brief but should include information on the 

function for which the records were created, their current use, the media or format 

of the records, and their content and arrangement. The existence of any finding 

aids should be noted, as should the level of security classification or any other 

restrictions on access to and use of the records. 

Agencies that retain numerous series of records over 30 years old may fill out one form 

for all records series that would have the same entry for Location of Records (entry 5)

and attach a listing of the series or a copy of an agency finding aid that describes the 

record series. 

Entry 4. Give the manual and item number and the SF 115 and item number for 

scheduled permanent records. Indicate "unscheduled" if no disposition has been 

approved. If multiple series are included on one form, please provide all appropriate 

disposition authorities. 

Entry 5. Give the location of the series of records as precisely as possible, including the 

complete address of the office that is responsible for maintaining the records. 

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Figure 6-4a. Standard Form (SF) 258 

131
Applying the Schedule to Temporary Records 

Temporary records are those determined by NARA to be disposable, or nonpermanent. 

Either through an approved SF 115 or the GRS, NARA approves them for destruction or 

occasionally for donation to an eligible person or organization. 

NARA-approved retention periods for temporary records are normally mandatory, but 

exceptions may be made. In rare instances, certain individual files may have permanent 

value lacking in the other records found in a series or system scheduled as temporary. For 

example, if particular cases attract congressional and national media attention or lead to 

significant changes in policy or procedures, they may well deserve special consideration 

even if they are part of a series scheduled for disposal. If such a case comes to the 

agency's attention, the records officer should consult with the NARA appraisal archivist 

before submitting an SF 115 to cover the particular file that appears to warrant permanent 

retention. Normally, however, temporary records should be disposed of promptly in 

accordance with a NARA-approved records schedule. 

Destruction of Temporary Records 

Most temporary records are authorized for destruction when their retention periods 

expire. Methods of destruction include: 

• Sale or salvage of the record medium. This is the normal method unless 

quantities are too small, the market price is too low, or processing time is too 

great. Paper records are normally sold as wastepaper. The record medium of 

nonpaper records, such as audiovisual or electronic records, is normally salvaged 

for reuse or sale. Security-classified or otherwise restricted records require special 

procedures, including witnessed destruction. Executive Order 12356 governs the 

destruction of security-classified documents. Specific laws (including the Privacy 

Act) and regulations govern the destruction of other restricted records. Any sale 

contract for unrestricted records must prohibit their resale as records or 

documents. Finally, all sales must comply with the procedures for the sale of 

surplus personal property. (See 41 CFR 101-45.) 

• Burning, pulping, shredding, macerating, or discarding with other waste 

materials. Records without national security or other restrictions may be 

discarded with other waste materials. These methods are used when the record 

medium cannot be advantageously sold or salvaged. 

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If temporary records are stored in a NARA records center when their retention periods 

expire, they are destroyed according to procedures set forth in NARA regulations (36 

CFR 1228) and bulletins and publications. 

Exceptions to Destruction of Temporary Records 

Temporary records may be donated to an eligible person or organization, but only after 

the agency has obtained NARA's approval. (See 36 CFR 1228.) To obtain such approval, 

the agency needs to send NARA a letter of request with the following information: 

• The name of the department or agency and the units having custody of the 

records. 

• The name and address of the proposed recipient of the records. 

• A list identifying by series or system the records to be transferred, indicating their 

inclusive dates, and citing the NARA disposition job (SF 115) or GRS and item 

numbers authorizing disposal of the records. 

• Evidence that (1) the proposed transfer is in the best interests of the Government, 

(2) the proposed recipient agrees not to sell the records, and (3) the transfer will 

cost the Government nothing. 

• Certification that (1) the records contain no information whose disclosure is 

prohibited by law or contrary to the public interest, (2) any records donated to a 

person or business relate directly to the custody or operation of property acquired 

from the Government, and/or (3) any foreign government desiring the records has 

an official interest in them. 

After reviewing the agency's request, NARA will determine whether the donation is in 

the public interest and will then notify the agency in writing of its approval or 

disapproval. If NARA disapproves, the agency must destroy the records in accordance 

with the proper disposal authority. 

Reviewing and Updating the Schedule 

Introduction 

Agencies need to review their records schedules at least annually and update them 

whenever necessary, including within 6 months of receipt of a NARA issuance of new or 

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revised GRS items. As agencies change, so do their records. These changes include the 

following: 

• Changes in legislation or program regulations. 

• Changes in program priorities, policies, procedures, or information flow. 

• Discontinued programs and responsibilities. 

• New programs and responsibilities. 

• The impact of automation on records, such as electronic or microform systems 

that replace paper-based systems. 

• Internal reorganizations affecting the nature, content, and importance of existing 

records, especially in agencies arranging their schedules organizationally. 

• Increases or decreases in office space. 

These changes can make it necessary to add, revise, or delete schedule items covering 

record series and systems. It may also be necessary to update instructions for handling 

nonrecord materials and for transferring records. In making any schedule changes, 

agencies should follow the procedures described in Chapter V. 

Annual reviews or spot checks can reveal situations affecting the schedule. In large 

agencies, records officers should ask liaison personnel to report any proposed schedule 

changes on a form such as the one in figure 6-6. 

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Figure 6-6. Records Disposition Recommendation 

RECORDS DISPOSITION RECOMMENDATION 1. ACTION RECOMMENDED

~ Addition ~ Revision ~ Deletion 

2. FROM: 3. THROUGH: 4. TO: 

5. OFFICE ACCUMULATING THE RECORDS 6. SERIES OR SYSTEM TITLE 

7. PRESCRIBING DIRECTIVE(S) OR OTHER AUTHORITY CREATING THE RECORDS 

(Submit copies) 

8. TYPE(S) OF DOCUMENTATION/INFORMATION IN THE SERIES OR SYSTEM 

9. HOW FILED 

~ Alphabetical ~ Geographical ~ Other (Specify) 

~ Chronological ~ Numerical 

10. CURRENT OFFICE VOLUME 

(in cu. ft.) 

11. ANNUAL 

ACCUMULATION 

12. IF RECOMMENDED AS PERMANENT, INCLUDE 

CUBIC FEET AT 

(1) Records Centers _________________ (2) Staging Areas 

_________________ 

13. MEDIUM 

~Paper ~Electronic ~ Other (Specify)

~ Microform ~ Magnetic Tape 

~Hard Disk 

~ Floppy Disk 

~ OpticalDisk 

14. PURPOSE OF THE DOCUMENTS/INFORMATION AND FREQUENCY OF USE 

15. ORGANIZATIONAL LEVEL(S) MAINTAINING DUPLICATE RECORDS AND PURPOSE 

SERVED AT EACH 
136

16. RELATED DOCUMENTS 

17. SAMPLES ARE:

~ Attached 

~ Not Available 

18. CURRENT/PROPOSED SCHEDULE AND ITEM NUMBER 

19. RECOMMENDED DISPOSITION INSTRUCTIONS AND JUSTIFICATION

20. DATE 21. NAME AND TITLE OF 

INITIATING OFFICIAL 22. SIGNATURE 

New Schedule Items 

Some series or systems may be missing from the schedule because they were overlooked 

during the inventory. Others result from new programs or new responsibilities for old 

programs. While a new agency has 2 years to develop a comprehensive schedule, an 

established agency must schedule the records of a new program within 1 year of the 

program's implementation. 

Revised Schedule Items 

Schedule items typically need revision for three reasons: 

• Lack of clarity. The approved schedule may have items with unclear descriptions 

or imprecise disposition instructions. Files custodians may not be able to match 

schedule items to their records. Or they may find that the retention periods are 

based on a rare event or on an incorrect cutoff date. Case files normally filed 

together may appear on the schedule as several series with different retention 

periods. Or a schedule item may need revision because a form has had its number 

changed or been merged with other forms. Finally, unclear schedule descriptions 

may have resulted from incorrect inventory information. Whatever the source of 

the problem, it needs to be corrected promptly. An agency must submit an SF 115 

to modify the retention period of a record series or system or to change the 

substance of the description. An SF 115 is unnecessary if the changes are merely 

editorial ones not affecting the final disposition or the description's substance. 

• Inadequate retention periods for non-GRS items. Experience may show that 

the original retention periods may be too long or too short. To identify records 

held too long, agencies should concentrate first on those record series or systems 

with retention periods exceeding 10 years and then on those with shorter retention 
 periods. Whatever the proposed change in retention period, it is necessary to 

 submit an SF 115 to NARA to request approval. 

• New or revised GRS items. Whenever NARA issues a change to the GRS, the 

agency has 6 months to update its comprehensive schedule covering any 

applicable records. This update is unnecessary if the agency has already received 

approval of a shorter retention period in a NARA-approved SF 115, provided 

NARA has not stated otherwise. It is also unnecessary if the agency submits an 

SF 115 requesting and receiving NARA's approval of an exception to the GRS 

disposition standard. 

Discontinued Series or Systems 

Some records described in the agency schedule may no longer accumulate because: 

• A function is transferred by statute, Executive order, or treaty to another agency. 

Before transferring the records, the creating agency should destroy all temporary 

records whose retention periods have expired. As soon as it loses custody of the 

remaining records, the agency should delete the relevant items from its schedule. 

• An agency program is terminated. After meeting its immediate needs, the agency 

should destroy all temporary records whose retention periods have expired and 

retire the remainder to a records center unless all the records can be proposed for 

immediate destruction. The schedule items should remain in effect until all 

applicable records are disposed of or transferred to the National Archives. 

Nonrecord Material Coverage 

Since a comprehensive schedule also contains disposition instructions for nonrecord 

materials, the agency should review these instructions for accuracy and clarity and make 

any necessary changes. The instructions should include a warning against mixing such 

materials with the office's records and against letting them proliferate in expensive office 

space. 

Cutoff Instructions 

The schedule should be reviewed for any necessary revisions to the instructions for 

cutting off, or breaking, records. (See chapter V of this handbook for general guidance on 

record cutoffs.) 
Transfer Instructions 

The agency should review its instructions for transferring records to agency storage areas, 

records centers, and the National Archives to ensure compliance with agency needs and 

NARA regulations. The schedule and related directives should be amended to require the 

prompt and systematic transfer of eligible records to such storage facilities. If the agency 

needs to change its instructions for transferring records to records centers or the National 

Archives, it should not submit an SF 115 but simply send NARA a letter of request, 

citing the appropriate SF 115. 

Related Disposition Matters 

In implementing and updating a comprehensive records schedule, each agency should be 

aware of related disposition matters. These include screening files, superseding a 

disposition authority, transferring records to other agencies, temporarily extending 

retention periods, having disposal authority withdrawn, and destroying records in an 

emergency. Above all, they involve monitoring schedule implementation to prevent the 

unauthorized disposition of Federal records. 

The Screening Process 

In records disposition, screening means examining files to identify and remove 

documents of short-term value, particularly when they are mixed with long-term or 

permanent records. This process usually involves paper-based files. Decisions to screen, 

or weed, paper-based files require rigorous analysis because of the cost involved. The 

amount of time and money spent depends on whether or not: 

• Complete folders, or at least sections of folders, can be removed. 

• It is easy to identify the materials to be removed. 

• The records are easily accessible. 

• Physical processing, such as removal of paper clips or fasteners, is unnecessary. 

Screening is no substitute for following proper filing procedures, and it should be 

unnecessary if such procedures are in effect. It is normally cost-effective only if the 

records to be retained are permanent, are scheduled for periods exceeding 30 years, or 

constitute less than half of the file. Alternatives to screening paper-based files include 

retaining them in the office until final disposition, moving them to an agency holding 

138
area, or retiring them intact to a records center. The best way to avoid screening problems 

is to make sure that permanent or long-term records are not filed with short-term records 

or with nonrecord materials. 

Supersession of Disposition Authority 

If two SF 115 authorities cover the same record series or system, the more recent 

authorization applies, even though it may require longer retention. New or revised GRS 

items supersede NARA-approved SF 115 items unless the latter have shorter retention 

periods or unless the agency obtains NARA's approval of an exception to the GRS 

standard. 

Transfers of Records to Other Agencies 

In accordance with NARA regulations (36 CFR 1228), agencies must obtain NARA's 

written approval before transferring records to another executive agency. NARA's 

approval is unnecessary when the transfer is required by statute, Executive order, 

Presidential reorganization plan, or treaty or when the records are transferred to records 

centers or the National Archives. It is also unnecessary when the records are lent for 

official use or when the transfer is between two parts of the same executive department. 

The agency's letter requesting such approval should include the following information: 

• A concise description of the records, including inclusive dates and the volume in 

cubic feet. 

• Any access restrictions, including those placed on classified information. 

• The agencies and persons using the records and the purpose of this use. 

• The current and proposed physical and organizational locations of the records. 

• Justification of the proposed transfer, including an explanation as to why it is in 

the best interests of the Federal Government. 

Along with the letter, the agency should send copies of concurrences by the other 

agencies concerned. 

If agencies wish to transfer records to recipients other than Federal agencies, they should 

follow NARA regulations for donating records, which are discussed earlier in this 

chapter. If permanent or unscheduled records are proposed for loan to non-Federal 

recipients, NARA's prior approval is required. 

139
Temporary Extension of Retention Periods 

Program audits, litigation, investigations, or other special circumstances may require the 

retention of record series or systems beyond their scheduled destruction date. According 

to NARA regulations 36 CFR 1228), an agency may request approval of a temporary 

extension by sending NARA a letter. The letter should contain a concise description of 

the records and a complete citation of the schedule items governing the disposition of the 

records. It should also contain the estimated length of the extension and the current and 

proposed physical location of the records, including specific records centers. 

If NARA approves a temporary extension for records of one agency, it will notify that 

agency by letter. If it approves such an extension for records common to several or all 

agencies, it will issue a bulletin. If records in records centers are affected, the agency 

should send NARA 20 copies of all formal instructions on extending retention periods. 

When the approved extension expires, NARA will notify the affected agencies to resume 

applying the normal retention periods. 

NARA's approval is unnecessary when a court order requires the retention of records 

beyond the scheduled retention period. Agencies need to notify NARA of the extension 

within 30 days after the court order was issued. Besides enclosing a copy of the court 

order, they should provide the same information as required in the letter of request. 

Separate procedures govern individual shipments of records retired to a records center. If 

the records center sends the agency a notice of intent to destroy specified records eligible 

for disposal, the agency may send the records center a letter requesting longer retention 

of such records if it provides written justification, including a new disposal date, and if it 

makes the request within 90 days of the records centers notice. If the agency wants to 

make a lasting change in the retention period of records in a series or system, it needs to 

follow the procedures for submitting an SF 115 to NARA. 

Withdrawal of Disposal Authority 

In emergencies or for reasons of efficiency, NARA is authorized to withdraw, 

temporarily or permanently, disposal authority previously granted. It will do so whenever 

the disposal would harm Government interests or individual rights. If the withdrawal 

affects only one agency, NARA will send a letter of notification. If it affects more than 

one agency, a NARA bulletin will be issued. If the withdrawal is only temporary, 

140
agencies will be notified when to resume applying the normal retention periods; but if it 

is lasting, NARA will issue further instructions. 

Emergency Destruction of Records 

Under certain conditions, agencies may destroy records regardless of schedule provisions. 

Such conditions involve: 

• Records whose physical condition makes them a menace to human health or life 

and to property. They may be infested by vermin or may be stored under such 

adverse conditions that they cannot be used or repaired. In accordance with 

NARA regulations (36 CFR 1228), the agency must obtain NARA's prior 

approval, except for records stored on nitrate film. If an agency decides such film 

threatens humans or property, it is authorized to destroy it. Within 30 days the 

agency head must send NARA a written report describing the film and explaining 

when, where, and how it was destroyed. Before destroying nitrate film, the agency 

should be aware of the conditions under which it actually poses a threat to persons 

and property. Such conditions exist when the film becomes soft and sticky, emits 

a noxious odor, contains gas bubbles, or has retrograded into an acrid powder. 

NARA provides guidance to agencies regarding how to handle nitrate film and 

how to correct certain infestation problems through fumigation. 

• Records outside the territorial limits of the continental United States when war or 

other hostile action exists or threatens. The agency head may authorize the 

destruction of such records on grounds of harm to U.S. interests or of urgent space 

needs for military operations combined with a lack of sufficient administrative, 

legal, research, or other value to warrant continued preservation (44 U.S.C. 3311). 

Within 6 months the agency official responsible for the destruction must send 

NARA a written statement describing the records and explaining when and where 

they were destroyed. 

Unauthorized Disposition of Federal Records 

Both NARA and agencies are responsible for preventing the unauthorized disposition of 

Federal records, including their unlawful or accidental destruction, defacement, 

alteration, or removal from Federal custody. Agencies should carefully monitor the 

implementation of approved records schedules to prevent such unauthorized disposition. 

They should also inform their employees that the unauthorized disposition of Federal 

141
records is against the law (44 U.S.C. 3106) and may lead to a $2,000 fine, a 3-year 

imprisonment, or both (18 U.S.C. 2071). Employees should be instructed to report any 

such violations of the law. 

Agency heads must report to NARA any unlawful or accidental removal, defacing, 

alteration, or destruction of records in the custody of their agency (See 36 CFR 1228.) 

The report should include the following: 

• A complete description of the records, along with volume and dates if known. 

• The office of origin. 

• An explanation of the exact circumstances surrounding the unauthorized action. 

• Details, when appropriate, of the actions taken to salvage, retrieve, or reconstruct 

the records. 

• A statement of safeguards established to prevent further losses. 

142
NARA will assist the agency head in contacting the Attorney General to recover any 

unlawfully removed records. If the agency head does not notify the Attorney General 

within a reasonable time, NARA will request action by the Attorney General and so 

inform the Congress. 

Conclusion 

After a comprehensive schedule has been properly prepared and approved, it can be 

effective only if it is implemented properly and updated whenever necessary. 

Effectiveness also depends on understanding the related records disposition matters 

discussed in this chapter. At the same time it is necessary to manage the entire records 

disposition program, based on a review of agency recordkeeping requirements and 

practices. Evaluating the program is an important part of this management process and 

will be described in Chapter VII of this handbook. 

143
 

VII. Program Evaluation 

• Introduction

• Reports on the Program 

• Self-Evaluation Guidelines 

• NARA's Evaluation of Agency Programs 

• Conclusion 

VII. Program Evaluation 

• Each agency needs to evaluate its records disposition program periodically. 

• Requiring internal reports on record holdings and cost avoidance helps in the 

evaluation process. 

• Instances of unauthorized disposition of Federal records must be reported to 

NARA. 

• Agencies should follow NARA guidelines for evaluating a records disposition 

program. 

• NARA conducts single-agency and interagency evaluations of records 

management programs, including records disposition. 

Introduction 

Good management necessarily involves evaluating an agency's records disposition 

program to make improvements. These may include clearer schedule instructions, shorter 

retention periods for temporary records, prompter disposal or transfer of eligible records, 

better design of information systems to address disposition concerns, enhanced 

safeguards against unauthorized disposition, and better relations with other agency 

managers and NARA. 

Besides reviewing its records schedule annually, each agency is required to evaluate 

periodically its records management programs, including records disposition, for 

compliance with relevant laws and regulations and for effectiveness. Likewise, in its 

oversight role, NARA periodically conducts single-agency and interagency evaluations 

for the same purposes. (See 36 CFR 1220.) 

144
Reports on the Program 

To aid in the evaluation process, the agency should consider requiring at least two 

statistical reports: one on record holdings and another on cost avoidance. It should also 

require reports on any instances of unauthorized disposition of Federal records, whether 

accidental or deliberate. 

Report on Record Holdings 

This report can help show how well offices are applying approved schedules. It should 

include volume data (in cubic feet) on record holdings, disposals, and transfers taking 

place during the past year. The report should distinguish between transfers of eligible 

records to records centers and transfers of permanent records to the National Archives. It 

should also distinguish paper-based records from electronic, audiovisual, and other 

special records. Analysis of this report can show trends, such as total volume, volume per 

employee, and the increased use of electronic information systems. 

Report on Cost Avoidance 

To compute costs avoided because of the disposition program, records officers should 

consider these factors: 

• Replacement cost of each file cabinet, magnetic tape, or other item released. 

• Value of shelving released (per linear foot), including shelving in tape libraries. 

• Value of office and storage space released (per square foot). 

• Avoidance of personnel costs. 

Since unit costs generally change from year to year, records officers should obtain current 

figures from GSA or NARA. Periodic reports to high officials should emphasize the 

benefits of good records management. Other means of communicating the program's 

value include posters, flyers, newsletters, and articles in agency publications. 

Report on Unauthorized Disposition 

Agencies must report to NARA any instances of unauthorized disposition of Federal 

records because such unauthorized action is illegal (44 U.S.C. 3106) and may lead to 

145
fines and imprisonment (18 U.S.C. 2071). Reporting requirements are set forth in 36 CFR 

1228 and are discussed in chapter VI of this handbook. Records officers should review all 

such reports during the evaluation process. 

Self-Evaluation Guidelines 

Agencies should follow guidelines issued by NARA for evaluating their records 

disposition program and other records management programs, such as files maintenance. 

NARA has issued a self-evaluation guide for agency use entitled "Records Management 

Self-Evaluation Guide," of which part V relates to records disposition. 

Figure 7-1 contains basic questions to answer in evaluating an agency's records 

disposition program. 

Figure 7-1. Disposition Program Evaluation Guidelines 

• Does the agency have specific recordkeeping requirements for all agency 

activities at all levels and locations and for all record media? 

• Does the agency have a current disposition handbook, manual, or other directive 

that sets forth its records disposition policies and procedures? 

o Are these policies and procedures consistent with current NARA 

regulations and guidance? 

o Does the directive define records, nonrecord materials, and personal 

papers and provide general instructions regarding their disposition? 

o Does it contain the agency records schedule? If not, how is the schedule 

issued? 

o Does the directive explain how to transfer eligible records to an agency 

records storage facility and the Federal records centers? 

• Does the agency records schedule cover all recorded information regardless of 

medium (e.g., paper, electronic, audiovisual, and microform), and does it cover all 

agency functions or activities? 

146
• Is the disposition authority of each record series or system in the agency schedule 

based on the General Records Schedules or a NARA-approved SF 115? 

• When proposing records as permanent on an SF 115, does the agency follow 

NARA's permanent records appraisal guidelines found in the Disposition of 

Federal Records handbook? 

• Do SF 115's proposing records as permanent include arrangement statements, 

volume on hand, annual accumulations, cutoff and blocking instructions, and 

transfer dates to the National Archives? 

• Is an SF 115 submitted to NARA when the agency proposes to convert permanent 

and unscheduled records to microfilm; and, if so, does it include the certification 

statement and other information required by 36 CFR 1230? 

• How are SF 115's cleared internally before the agency submits them to NARA? 

Do program officials review those parts of the schedule relating to their office or 

function? Does the general counsel review all or particular schedules before their 

submission? Is the agency historian consulted regarding records proposed as 

permanent? 

• Does the agency send to the General Accounting Office for concurrence only 

those SF 115 items required by Title 8 of the GAO Policy and Procedures 

Manual for the Guidance of Federal Agencies? 

• Does the agency review and, if necessary, update its records schedule at least 

annually and within 6 months of NARA's issuance of new or revised GRS items 

for which the agency has no exception? 

• Does the records schedule also contain disposition instructions for nonrecord 

materials? 

• Do file custodians follow approved disposition instructions and take prompt 

action to cut off files, destroy records whose retention periods have expired, and 

retire eligible records to a Federal records center or other records storage facility? 

• Does the agency prepare SFs 135 or equivalent form properly? Does it maintain a 

complete file of such forms for records previously retired to a records storage 

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facility, and does it routinely update the forms for accessions that have been 

returned to the agency or that have been destroyed or relocated? 

• Do the appropriate agency offices review and take timely action on records center 

requests, such as Federal NA Form 13000, Agency Review for Contingent 

Disposal and NA Form 13001, Notice of Intent to Destroy Records, or equivalent 

notifications from other storage facilities? 

• Does the agency transfer permanent records to the National Archives promptly in 

accordance with approved schedules? Does it follow NARA regulations and 

guidance in completing and submitting SF 258’s and in transferring the records? 

• Has the agency instituted safeguards against the unauthorized disposition of 

Federal records, including their unauthorized destruction or removal; and does it 

report violations to NARA and take corrective action whenever necessary? 

• Does the agency have a policy covering personal documentary materials? Does it 

permit creation and removal of extra or convenience copies of documents? Is 

there any policy with regard to payment for such extra copies? Does the agency 

have any policy regarding the removal of materials involving confidentiality or 

privacy? Does the agency have a policy regarding the removal of securityclassified documents? 

• Does the agency review the personal documentary materials of all officials at all 

levels before their departure from the agency? 

• Has the records management staff received records disposition training from 

NARA, and has internal training been provided for all those responsible for 

applying records schedules and carrying out other aspects of the disposition 

program? 

• Does the agency periodically evaluate its records disposition program for 

compliance with relevant laws and regulations and for effectiveness? 

NARA has also issued a "Checklist for Evaluating Recordkeeping Practices in Your 

Office." Although this checklist relates primarily to files maintenance at the individual 

office level, its use should help ensure that records are ready for appropriate disposition 

action. 

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NARA's Evaluation of Agency Programs 

NARA periodically evaluates the records management programs of Federal agencies. 

These evaluations usually cover overall program management, records creation and 

maintenance, and records disposition. The records disposition aspects include scheduling, 

the use of records storage facilities, and the transfer of permanent records to the National 

Archives. 

The purpose of NARA's evaluations is to assist agencies in adequately documenting their 

activities and in providing for the proper maintenance and disposition of records. NARA 

bases its evaluations of records disposition programs on the requirements set forth in 36 

CFR 12286 and on the guidelines already contained in this chapter. Such evaluations 

enable NARA to assess the effectiveness of its regulations, especially as they relate to 

rapidly changing technologies and agency needs. 

When NARA has completed a program evaluation, the agency has an opportunity to 

comment on the findings before a final report is issued. NARA then requires the agency 

to submit an action plan, detailing how and when the recommendations will be 

implemented. After NARA reviews and comments on the action plan, the agency needs 

to report every 6 months on its progress in implementing the recommendations until it is 

notified otherwise. Meanwhile, NARA assists the agency in implementing the 

recommendations. 

Besides evaluating the records management programs of specific agencies, NARA also 

conducts interagency evaluations and issues general evaluation reports. For example, in 

1991 it published a report entitled "The Management of Audiovisual Records in Federal 

Agencies." This report summarized five individual agency evaluations as well as other 

available information. In examining recent patterns and trends, it concluded that most 

Federal agencies still needed to develop comprehensive inventories and records schedules 

for audiovisual records. It recommended that agencies develop comprehensive 

recordkeeping requirements for such records, implement basic management and 

preservation steps, take immediate measures to safeguard specific audiovisual media, and 

establish procedures for transferring permanent audiovisual records to the National 

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Archives. 

Conclusion 

Periodically evaluating the records disposition program enables the agency to identify 

needed improvements. But just as a records schedule is useless without implementation, 

so a program evaluation is pointless without follow up. If the agency is to have a 

successful records disposition program, it must implement the evaluation's 

recommendations and allocate the necessary staff and other resources. 

NARA evaluates Federal records management programs, including records disposition, 

to assist agencies in managing their records. It also uses such evaluations to determine if 

its regulations are keeping up with rapidly changing technologies and agency needs. 

In short, managing a records disposition program is an important responsibility. A 

successful program helps ensure that the agency has the recorded information necessary 

to conduct Government business, avoid waste, and preserve America's documentary 

heritage. 

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Appendix A. Records Disposition Statutes 

44 U.S.C. Chapter 21 - National Archives and Records Administration 

• §2107 Acceptance of records for historical preservation 

• §2108 Responsibility for custody, use and withdrawal of records 

44 U.S.C. Chapter 29 - Records Management by the Archivist of the United States and by 

the Administrator of General Services 

• § 2901. Definitions. 

• § 2902. Objectives of records management. 

• § 2903. Custody and control of property. 

• § 2904. General responsibilities of Administrator. 

• § 2905. Establishment of standards for selective retention of records; security 

measures. 

• § 2906. Inspection of agency records. 

• § 2907. Records centers and centralized microfilming services. 

• § 2908. Regulations. 

• § 2909. Retention of records. 

• (§ 2910. Repealed.) 

44 U.S.C. Chapter 31 - Records Management by Federal Agencies 

• § 3101. Records management by agency heads; general duties. 

• § 3102. Establishment of program of management. 

• § 3103. Transfer of records to records centers. 

• § 3104. Certifications and determinations on transferred records. 

• § 3105. Safeguards. 

• § 3106. Unlawful removal, destruction of records. 

• § 3107. Authority of Comptroller General. 

44 U.S.C. Chapter 33 - Disposal of Records 

• § 3301. Definition of records. 

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• § 3302. Regulations covering lists of records for disposal, procedure for disposal, 

and standards for reproduction. 

• § 3303. Lists and schedules of records to be submitted to Archivist by head of 

each Government 

• § 3303a. Examination by Archivist of lists and schedules of records lacking 

preservation value; disposal of records. 

• (§3304 to §3307. Repealed.) 

• § 3308. Disposal of similar records where prior disposal was authorized. 

• § 3309. Preservation of claims of Government until settled in General Accounting 

Office; disposal authorized upon written approval of Comptroller General. 

• § 3310. Disposal of records constituting menace to health, life, or property. 

• § 3311. Destruction of records outside continental United States in time of war or 

when hostile action seems imminent; written report to Archivist. 

• § 3312. Photographs or microphotographs of records considered as originals; 

certified reproductions admissible in evidence. 

• § 3313. Moneys from sale of records payable into the Treasury. 

• § 3314. Procedures for disposal of records exclusive. 

18 U.S.C. Chapter 101 - Records and Reports 

• §2071 Concealment, removal, or mutilation generally 

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Appendix B. Records Disposition Regulations (36 CFR 1228) 

Part 1228 was last amended on 1/14/05. 

Sec. 

1228.1 Scope of part. 

Subpart A -- Records Disposition Programs

1228.10 Authority. 

1228.12 Basic elements of disposition programs.

Subpart B -- Scheduling Records

1228.20 Authorities. 

1228.22 Developing records schedules. 

1228.24 Formulation of agency records schedules.

1228.26 Request for records disposition authority.

1228.28 Scheduling permanent records. 

1228.30 Scheduling temporary records. 

1228.32 Request to change disposition authority. 

Subpart C -- General Records Schedules

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1228.40 Authority. 

1228.42 Applicability. 

1228.44 Current schedules. 

1228.46 Availability. 

Subpart D -- Implementing Schedules

1228.50 Application of schedules. 

1228.52 Withdrawal of disposal authority. 

1228.54 Temporary extension of retention periods.

1228.56 Transfer of permanent records. 

1228.58 Destruction of temporary records. 

1228.60 Donation of temporary records. 

Subpart E -- Loan of Permanent and Unscheduled Records

1228.70 Authority. 

1228.72 Approval. 

1228.74 Agency action. 

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1228.76 NARA action on request.

1228.78 Retrieval of records. 

Subpart F -- Emergency Authorization to Destroy Records

1228.90 General provisions. 

1228.92 Menaces to human life or health or to property.

1228.94 State of war or threatened war. 

Subpart G -- Damage to, Alienation, and Unauthorized Destruction of Records

1228.100 Responsibilities. 

1228.102 Criminal penalties. 

1228.104 Reporting. 

1228.106 Exclusions. 

Subpart H -- Transfer of Records From the Custody of One Executive Agency to 

Another

1228.120 Authority. 

1228.122 Approval. 

1228.124 Agency request. 

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1228.126 Agency concurrences. 

1228.128 Records of terminated agencies.

1228.130 Equipment. 

1228.132 Costs of transfers. 

1228.134 Restrictions on use of records. 

1228.136 Exceptions. 

Subpart I -- Transfer of Records to Records Storage Facilities

1228.150 Where can a Federal agency transfer records for storage? 

1228.152 Under what conditions may Federal records be stored in records storage 

facilities? 

1228.154 What requirements must an agency meet when it transfers records to a records 

storage facility? 

1228.156 What procedures must an agency follow to transfer records to an agency 

records center or commercial records storage facility? 

Subpart J -- Transfer, Use, and Disposition of Records in a NARA Records Center

1228.160 How does an agency transfer records to a NARA records center? 

1228.162 How does an agency transfer vital records to a NARA records center? 

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1228.164 What records must be transferred to the National Personnel Records Center 

(NPRC)? 

1228.166 How does an agency transfer records to the National Personnel Records 

Center (NPRC)? 

1228.168 How can records be used in NARA records centers? 

1228.170 How are disposal clearances managed for records in NARA records centers? 

Subpart K -- Facility Standards for Records Storage Facilities

General

1228.220 What authority applies to this subpart? 

1228.222 What does this subpart cover? 

1228.224 Publications incorporated by reference.

1228.226 Definitions. 

Facility Standards

1228.228 What are the facility requirements for all records storage facilities? 

1228.230 What are the fire safety requirements that apply to records storage facilities? 

1228.232 What are the requirements for environmental controls for records storage 

facilities? 

Handling Deviations From NARA's Facility Standards

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1228.234 What rules apply if there is a conflict between NARA standards and other 

regulatory standards that a facility must follow? 

1228.236 How does an agency request a waiver from a requirement in this subpart? 

1228.238 How does NARA process a waiver request? 

Facility Approval and Inspection Requirements

1228.240 How does an agency request authority to establish or relocate records storage 

facilities? 

1228.242 What does an agency have to do to certify a fire-safety detection and 

suppression system? 

1228.244 When may NARA conduct an inspection of a records storage facility? 

Subpart L -- Transfer of Records to the National Archives of the United States

1228.260 Authority. 

1228.262 Types of records to be transferred. 

1228.264 Certification for retention of records in agency custody.

1228.266 Audiovisual records. 

1228.268 Cartographic and architectural records. 

1228.270 Electronic records. 

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1228.272 Transfer of records. 

1228.274 Restrictions on transferred records. 

1228.276 Records subject to the Privacy Act of 1974. 

1228.278 Release of equipment. 

1228.280 Use of records transferred to the National Archives. 

1228.282 Disposal clearances. 

Appendix A -- Minimum Security Standards for Level III Federal Facilities

Appendix B -- Alternative Certified Fire-safety Detection and Suppression 

System(s)

Authority: 44 U.S.C. chs. 21, 29, and 33. 

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Appendix C. Appraisal Guidelines for Permanent Records 

These appraisal guidelines take the form of 15 general series and system descriptions 

intended to illustrate the types of records normally appraised by NARA for permanent, or 

archival, retention. Records officers should use these descriptions as guides to help 

identify permanent records, regardless of physical form or characteristics. Because of the 

wide variety of records accumulated by the Government and because of differences in 

agency organizations, functions, and recordkeeping systems, these guidelines cannot 

include all the records that may be eligible for permanent retention. 

Many of the records described in this appendix may be created in multiple formats. 

Sometimes the format is specified, such as in the case of audiovisual and graphic records; 

but many textual records are increasingly being created electronically, often along with 

related electronic indexes. If an agency maintains in electronic form any of the records 

described in this appendix or any indexes related to them, it should bring such records to 

NARA's attention and not destroy them without NARA's prior approval. 

These guidelines apply only to current records whose life cycle has been controlled. 

Because many important pre20th century records were destroyed by fire, flood, and 

neglect, otherwise routine administrative, or housekeeping, records are often preserved 

for that period to document the Government's organization, functions, and activities. 

More detailed appraisal guidelines for electronic, audiovisual, and other records appear in 

the NARA publications "Managing Audiovisual Records" and "Managing Cartographic 

and Architectural Records" and in records management Frequently Asked Questions. 

1. Records on Organization and Functions. 

a. Organizational charts and reorganization studies. Organizational 

charts are graphic illustrations providing a detailed description of the 

arrangement and administrative structure of the functional units of an 

agency. Reorganization studies, conducted to design an efficient 

organizational framework to carry out the agency's programs, include 

materials such as final recommendations, proposals, and staff evaluations. 

These files also usually contain administrative maps showing regional 

boundaries and headquarters of decentralized agencies, or the geographic 

extent or limits of an agency's programs and projects. 

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b. Functional statements. These are formally prepared descriptions of the 

responsibilities assigned to agency officials at the division level and 

above. 

2. Formal Minutes of Boards and Commissions. 

These document substantive policy and procedural decisions, especially when a 

board or commission rather than an individual appointee gives an agency 

executive direction. Typically, these agencies are regulatory bodies but also 

include organizations such as the Pension Benefit Guaranty Corporation and the 

Commission of Fine Arts. Minutes may be literal transcriptions or edited 

summaries. Audio or video recordings of the meetings also should be preserved. 

3. Records of Internal Agency, Interagency, and NonFederal Committees. 

Included are minutes, agenda, proposals submitted for review, and final 

recommendations of meetings of ad hoc committees as well as more formally 

established councils, conferences (e.g., White House Conferences), and task 

forces and study groups attended by senior agency officials. Meetings may be 

limited to internal agency personnel or may include representatives from other 

Federal agencies or nonFederal groups. The minutes may be summaries, verbatim 

transcripts, or audio or video recordings. Records selected for permanent retention 

to document interagency meetings normally are those of the agency designated as 

the group's secretariat. 

4. Legal Opinions and Comments on Legislation. These are memorandums 

prepared by an agency's legal counsel or program officials on interpretations of 

existing laws and regulations, or the effects of proposed laws and regulations 

governing the agency or having a direct effect on its operations. Records selected 

concern the agency's primary missions and normally exclude general opinions and 

comments relating to other Federal agencies. Included are formal comments on 

pending legislation prepared at the request of the Congress or the Office of 

Management and Budget. Most of these records are permanent when created in 

the offices of general counsels of departments and independent agencies. 

Excluded are copies of bills, hearings, and statutes held for convenient reference. 

Similar records maintained below the departmental level may or may not be 

permanent depending on their content and relationship to records of the 

departmental counsel. 

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5. Formal Directives, Procedural Issuances, and Operating Manuals Relating to 

Program Functions. 

Formal directives are distributed as orders, circulars, or manuals announcing 

major changes in the agency's policies and procedures. Normally these are issued 

by authority of the agency's head. Extensive procedures are frequently detailed in 

lengthy operating manuals. NARA generally designates as permanent those 

formal directives, procedural issuances, and operating manuals relating to 

program functions, but generally not those relating to routine administrative, or 

housekeeping, functions. 

6. Selected Evaluations of Internal Operations. 

These are studies conducted to determine the effectiveness of the procedures 

adopted to achieve established policy goals. Audit case files are generally 

excluded. The studies may include evaluations of both program and 

administrative operations and may be made by the agency itself (inspectors 

general) or by outside oversight agencies (e.g., General Accounting Office). Only 

those studies recommending significant changes in policies and procedures merit 

preservation. Studies prepared by outside oversight agencies should be proposed 

as permanent by the creating agency. All other copies that have not been 

annotated or integrated into operational files are disposable. 

7. Analytical Research Studies and Periodic Reports. 

This category includes analytical research studies and periodic reports prepared 

by the agency, or by private organizations or individuals under contract to the 

agency or in receipt of a grant from the agency. Studies and reports selected for 

permanent retention may be statistical or narrative and may be recorded on paper, 

electronic, audiovisual, or other media. Regional reports prepared by field offices 

and forwarded to the agency's headquarters are frequently permanent because they 

contain information on ethnic, social, economic, or other aspects of specific 

localities. Sometimes only selected studies and reports are designated as 

permanent. Excluded from selection are published studies and reports included 

elsewhere in the agency's record set of publications. (See guideline 11 for 

publications permanently retained.) 

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8. Agency Histories and Selected Background Materials. 

This category consists mainly of narrative agency histories and histories of 

agency programs, including oral history projects completed by agency historians, 

public affairs officers, or private historians under agency contract. Some 

background materials, such as interviews with past and present personnel, 

generated during the research stage may also be selected for permanent retention. 

9. Briefing Materials. 

These consist of statistical and narrative reports and other summaries, including 

audiovisual materials, created to inform agency heads and their senior advisers of 

the agency's current status or of major issues confronting the agency. They may 

be used to prepare such officials for hearings, press conferences, or major 

addresses. 

10. Public Relations Records. 

a. Speeches, addresses, and comments. These include remarks made at 

formal ceremonies and during interviews by agency heads or their senior 

assistants concerning agency programs and activities. The speeches and 

addresses may be presented to executives from other Federal agencies, 

representatives of State and local governments, or private groups, such as 

university students and members of business associations and cultural 

organizations. Interviews may be granted to radio, television, or printed 

news commentators. The medium selected may be paper, audiovisual, 

microform, or electronic. 

b. News releases. These consist of one copy of each prepared statement or 

announcement issued by the agency's public affairs office for distribution 

to the news media regarding such significant events as the adoption of new 

agency programs, the termination of old programs, major shifts in policy, 

and changes in senior agency personnel. The medium selected may be 

paper, audiovisual, microform, or electronic. Excluded are news releases 

that provide only transitory or routine information. 

11. Publications. 

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This category consists of formal publications printed or issued by the Government 

Printing Office, the National Technical Information Service, an outside 

contractor, or the agency itself. Examples include annual reports to the Congress; 

studies conducted by the agency or under contract for the agency; and procedural 

brochures, pamphlets, and handbooks distributed for guidance to other Federal 

agencies, State and local governments, and private organizations and citizens. 

Also included are maps and posters as well as instructional and educational 

materials in audiovisual form (audio or video recordings, motion pictures, 

filmstrips, and slidetape productions) and film productions and television and 

radio programs prepared to furnish information on agency policies or to promote 

agency programs and operations. Even though there may be reference copies of 

audiovisual publications in nonFederal depositories, the Government still needs to 

retain the original production elements and related textual records required to 

ensure the preservation and facilitate the use of such audiovisual publications. 

12. Selected Audiovisual and Graphic Records. 

These consist of agency originated motion pictures, still photographs, posters, 

audio and video recordings, cartographic materials, and architectural drawings 

created to record substantive events or information that cannot be or normally is 

not recorded in written form, along with related records needed to identify and 

facilitate the use of such records. Examples include instantaneous recordings or 

photographic coverage of significant scientific or technological phenomena and 

significant nonrecurring events, such as combat operations, lunar and planetary 

explorations, extemporaneous occurrences, discussions, and interviews. Also 

included are maps recording topographic information for specific geographic 

areas as well as architectural or engineering drawings of significant Federal 

buildings and other structures. 

13. General Correspondence, or Subject, Files Documenting Substantive Agency 

Programs. 

These files include correspondence with the President and the Executive Office of 

the President, Members of Congress and congressional committees, other Federal 

agencies, and private organizations and individuals; internal agency 

memorandums; narrative and statistical reports; budget estimates and 

justifications; and other records documenting all of the agency's substantive 

165
program functions. Whether in paper or electronic form, these records show the 

development of major policies and procedures and are often designated for 

permanent retention when created at the following levels: Secretary; under 

secretary; deputy secretary; assistant secretary; administrators, chairpersons, 

commissioners, and directors of administrations, bureaus, and services within a 

department; and heads of independent Federal agencies and their chief assistants. 

When the agency's important programs are not documented in correspondence 

maintained at these higher levels, NARA generally designates as permanent 

similar records created at lower office levels. 

How many general correspondence files are selected as permanent depends not 

only on their importance but also on the extent of their duplication at various 

office levels. Where substantial duplication exists, those created at the highest 

level should be chosen. Where little or no duplication exists, those at more than 

one level may be chosen for permanent retention. 

14. Selected Case Files. 

Many Federal records are maintained as case files, which are records, regardless 

of media, documenting a specific action, event, person, place, project, or other 

matter. Sometimes called project or transaction files, they document particular 

agency activities from initiation to conclusion. Although the case files in most 

series or systems are scheduled for disposal, sometimes NARA designates all of 

those in a series or system for permanent retention, especially when they are 

electronic master files. Occasionally, however, NARA selects only a few of those 

in a series or system for permanent retention. Individual case files may be chosen 

because the case meets one or more of the following criteria: 

a. It establishes a precedent and results in a major policy or procedural 

change. 

b. It is involved in extensive litigation. 

c. It receives widespread attention from the news media. 

d. It is widely recognized for its uniqueness by specialists or authorities 

outside the Government. 

e. It is reviewed at length in the agency's annual report to the Congress. 

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f. It constitutes a significant accumulation of documentary material and 

information on a particular subject (a "fat file"). 

g. It is selected to document agency procedures rather than capture 

information on the subject of the individual file. 

Criteria "a" through "f" indicate the exceptional nature of particular case files, 

whereas criterion "g" relates to routine files chosen because they illustrate the 

agency's procedures. Individual case files selected as permanent under these 

criteria may include, but are not limited to, research grants awarded for studies; 

research and development projects; investigative, enforcement, and litigation case 

files; social service and welfare case files; labor relations case files; case files 

related to developing natural resources and preserving historic sites; and public 

works case files. 

Sometimes a case file series may be approved for disposal because the agency 

maintains an electronic index containing extensive information on the cases. Such 

indexes themselves may be selected for permanent retention. NARA may also 

select as permanent those final reports and decisions drawn from case files but 

maintained separately. 

15. Selected Data. 

a. Scientific and technical data. These data result from observations of 

natural events or phenomena or from con trolled laboratory or field 

experiments. They generally are created at project or operating levels 

rather than at higher office levels. They may be found in laboratory 

notebooks, completed forms, tabulations and computations, graphs, 

microforms, and electronic files. Generally data selected for permanent 

retention are unique, accurate, comprehensive, and complete, and they are 

actually or potentially applicable to a wide variety of research problems. 

b. Social and economic microdata. These are unsummarized data collected 

for input into periodic and onetime studies and statistical reports including 

information filed to comply with Government regulations. The 

information may be on such subjects as economic conditions, taxes, health 

care, demographic trends, education, discrimination, and other social 

science areas. It may also consist of data on natural resources including 

167
their use, condition, and ownership; emergency operations including 

military actions and civil strife; political and judicial proceedings; national 

security activities; and international relations. Although agency reports 

and studies, briefing materials, and official releases often summarize these 

data, the unsummarized information, usually in the form of electronic 

records, may have permanent value. 

In conclusion, many of the records described in this appendix are increasingly created in 

electronic form. For more detailed guidance on potentially permanent electronic records, 

agencies should refer to the examples given in Chapter V of this handbook. 

Appendix D: Records Management Publications 

http://www.archives.gov/publications/records-mgmt.html

Appendix E: List of Regional Records Services Facilities 

http://www.archives.gov/locations/

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