Agricultural 

Marketing 

Service 

AMS Handbook 

202 

Febaiary 1996 

AMS Records 

Management 

Handbook 
TABLE OF CONTENTS 

Chapter 1 - Introduction 

1.1 Purpose 

1.2 Authority 

1.3 Overview 

1.4 Penalties 

1.5 Definitions 

1.6 Replacement 2 

Chapter 2 - Responsibilities 

2.1 Overview 2 

2.^2 Originators/Creators 2 

2.3 Records Management Liaisons 3 

2.4 Administrative Officers 3 

2.5 Division/Staff Directors 3 

2.6 Records Management Officer 3 

Chapter 3 - AMS Records Management Program 

3.1 Overview 4 

3.2 Records Management and AMS Programs 4 

3.3 Records 4 

3.4 Information/Records 5 

3.5 Information/Records Life Cycle 5 

Chapter 4 - Creating Records 

4.1 Protecting Information 5 

4.2 Records and Personal Papers 5 

4.3 Informational Material and Records 5 

4.4 Records Creation Requirements 6 

4.5 Application 6 

Chapter 5 - Maintenance and Use of Records 

5.1 Maintaining Records 7 

5.2 Centralized Records Maintenance Systems 7 

5.3 Decentralized Records Maintenance Systems 7 

5.4 Records Maintenance 7 

5.5 Maintenance Procedures 7 

5.6 AMS Files/Disposition Plan 8 
Chapter 6 - Records Disposition 

6.1 Records Disposition 8 

6.2 Records Disposition Program 9 

6.3 Inventorying 9 

6.4 Development of a Records Schedule 9 

6.5 Records Cutoffs 9 

6.6 Transfer to Federal Records Centers 10 

6.7 Disposal of Temporary Records 10 

6.8 Transfer of Permanent Records to the National 

Archives 10 

6.9 Procedures to Transfer Eligible Records 10 

6.10 Reference Service for Stored Records 11 

Chapter 7 - Electronic Records 

7.1 Overview 11 

7.2 Approval Requirements for Electronic Recordkeeping 

Systems 11 

7.3 Basic Records Management Principles 12 

7.4 Validation/Authentication Process 12 

/— 7.5 Electronic Recordkeeping Systems 12 

7.6 Permanent Records 13 

7.7 Electronic Signatures 14 

7.8 System Backups 14 

7.9 Summary 14 

Chapter 8 - Vital Records Program 

8.1 Overview 14 

8.2 Records Protection 14 

8.3 Vital Records .14 

8.4 Application 15 

Appendices 

Appendix A ^ Definitions 

Appendix B Records Schedules Users Guide 

Appendix C Forms Retention Requirements Index 

Appendix D ' File Plan 

Appendix E Transfer Guidelines 
AMS Records Management Handbook 

Chapter 1 

Introduction 

1.1 Purpose. The purpose of this Handbook is to 

assist AMS managers in meeting their requirement to 

properly manage evidentiary documentation, from its 

creation through final disposition, according to Federal 

laws. Departmental regulations, and Agency directives. 

This Handbook: 

a. Provides the basic guidelines necessary to preserve 

those records needed to protect the rights and interests 

of AMS. 

b. Identifies those records accumulating in AMS that 

are of a permanent nature. 

c. Assists in ensuring that those records related to 

matters involved in administrative or legal proceedings 

will be retained until the appropriate managerial reviews 

authorize resunq>tion of normal disposition. 

d. Provides the legal authority for retaining and 

disposing of evidentiary information accumulating in 

AMS. 

e. Provides life cycle management guidelines for the 

systec^c identification, maintenance, storage, 

retirement, and destruction of AMS evidentiary 

documentation recorded on any medium (paper, 

microform, electronic, or any other). 

f. Assists managers in ensuring that required AMS 

documentation is available when and where needed; that 

it is in a usable format; and that it is created, 

maintained, used, and disposed of at the least possible 

cost. 

g. Provides for the systematic removal of less active 

records from current office space to low cost storage 

space. 

1.2 Authority. The Federal Records Act of 1950, as 

amended, which is codified in Giapters 21, 29, 31, and 

33 of Title 44 of the United States Code (U.S.C), 

establishes that the Head of each Federal agency shall 

establish and maintain an active, continuing program for 

the economical and efficient management of the records 

of the ag^icy. It also requires the Head of each 

Federal agency to make and preserve records containing 

adequate and proper documentation of the organization, 

functions, policies, decisions, procedures, and essential 

transactions of the agency. The Paperwork Reduction 

Act, codified in Chapter 35 of Title 44 of the U.S.C, 

makes records management a part of a broader program 

of Federal information resources management. In 

addition, the National Archives and Records 

Administration (NARA) has broad authority, imder 

Tjitl^36 of the Code of Federal Regulations (CFR), to 

set standards for t^e management of records, evaluate 

agency programs, preserve permanently valuable 

records, and approve the destruction of tenqrarary 

records. The General Services Administration's (GSA) 

records management regulations are part of the Federal 

Information Resources Management Regulations 

(FIRMR), and are located in Title 41 of the CFR. In 

addition, AMS Division/Staff Directors have concurred 

with the policies establifjied and the responsibilities 

assigned in AMS Directive 270.1, dated November 8, 

1993, AMS Records Management Program. 

1.3 Overview. The AMS Records Management 

Program is focused on assisting managers in meeting 

their requirement to adequately create and preserve the 

documentation (regardless of the medium) of all 

transactions of an agency. All managers need to be 

particularly aware that this information/documentation 

can be, and most likely is being, created and maintained 

in non-traditional forms, such as an electronic medium; 

a record does not necessarily mean a paper copy. 

Official records created or received from offices outside 

AMS are the property of the Federal Government. The 

AMS-unique records disposition schedule and the 

NARA General Records Schedules (GRS) contain the 

only approved guidelines authorizing the retention and 

disposition of Federal records accumulating in AMS. 

The creation of additional instructions or changes to 

disposition schedules shall not be made without prior 

approval by the AMS Records Management Officer. 

1.4 Penalties. The theft, falsification, or mutilation 

of records is forbidden by law and is punishable by a 

fine of up to $2,000 and imprisonment for up to 3 

years, together with removal from office (18 U.S.C. 

Section 2071). 

1.5 Definitions. The term record "includes all 

books, pqiers, 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. Library and museum material made or 

acquired and preserved solely for reference or 

exhibition purposes, extra copies of documents 

preserved only for convenience of reference, and stocks 

of publications and of processed documents are not 

included" (44 U.S.C. 3301). See Appendix A for a 

complete explanation of all other related terms used in 

this Handbook. 

1.6 Replaconent. This Handbook replaces the 

Agricultural Marketing Service Files Maintenance and 

Records Disposition Handbook, dated April 19S0. 

Chapter 2 

Responsibilities 

2.1 Overview. General responsibilities have been 

outlined in AMS Directive 270.1, dated November 8, 

1993, AMS Records Management Program. This 

chapter will, therefore, focus on idaitifying ^)ecific 

functions aimed at assisting the user in meeting those 

responsibilities. 

2.2 Originators/Creators. Originators/creators 

(hereafter referred to as originators), including 

employees who receive record material from outside 

AMS, are responsible for the proper creation, 

maintenance, use, and disposition of the AMS record 

copy. This will be accomplished (applying information 

life cycle concepts) in the following manner: 

a. Creation. Federal records are created for the 

purpose of preserving adequate and proper 

documentation of the organization, fimctions, policies, 

decisions, procedures, and essential transactions of the 

Agency. The originator must, therefore, authenticate 

the information being created and assign a value to it. 

As part of the authentication process, the creator must 

be knowledgeable of aU the requirements for the 

information and adhere to the principles of owner^p. 

(1) Requirements. Tlie specific requirements 

detailing the information necessary for adequate 

Federal records in functional areas will be contained 

in public laws, Departmental regulations, and 

Agency directives. It is the responsibility of the 

originator to ensure that all requirements have been 

met and that the records being created are accurate, 

essential, and current in accordance with these 

publications. 

(2) Ownership. All Federal records created within 

the Agency, or received from outside the Agency, 

belong to AMS. The internal organizational 

compon^it creating the record, or receiving it from 

outside the organization, assumes ownership 

responsibilities for AMS. 

(3) Collection. Often information (raw data) is 

collected from various sources in order to properly 

document AMS transactions, and the information is 

arranged in one standardized format. Usually, this is 

accomplished by using an Agency form. All Agency 

forms will be processed through the Forms 

Management Office. See Appendix B - Forms 

Retention Requirements Index. 

b. Maintenance/Use. Records are to be maintamed in 

locations that will ensure that needed information is 

available to all potential users, when and where needed, 

in a usable format. This is to be accomplished by 

implementing a filing system, approved by the Agency 

Records Management Officer, that applies the 

disposition instructions contained in this Handbook to 

all records being created. AMS record copies are not 

to be removed from the control of AMS employees. 

(1) Transmission. Particular care must be exercised 

wh^i transferring AMS record copies from one 

location to another. Originators need to ensure that 

required documentation is not lost or distorted during 

the transfer process. 

(2) Processing. The originator will ensure that all 

established administrative processing requirements 

have been met. As a minimum, this would include 

obtaining the necessary coordination signatures on 

the record copy, dating the documentation, and 

ensuring that the proper value of the information has 

been assigned. 

(3) Storage. The originator will ^isure that an ' 

appropriate storage device has been selected to retain 

the dociunentation. The appropriate storage medium 

should afford the maximum protection, at the least 

cost, necessary to protect the interests of AMS. 

(4) Retrieval. The originator will ensure that the 

information is readily available to all potential users, 
and that filing procedures as outlined in this 

Handbook have been correctly applied. 

c. IHsposition. The originator will ensure that the 

appropriate tenqx>rary and permanent disposition 

instructions have been id^itified and applied as 

established in the General Records Schedules (issued 

imder separate cover) or the AMS-unique records 

schedule found in Appendix B. In the event that the 

appropriate disposition instructions cannot be 

determined, contact the AMS Records Management 

Officer for assistance. 

2.3 Records Management Liaisons. Each Brandi 

Chief (headquarters) or Office Supervisor (field 

locations) will assign the duty of Records Management 

Liaison (RML) to an individual who is knowledgeable 

of all fimctions performed by the office. The RML will 

assist each originator in making the appropriate 

determinations regarding records management issues. 

In addition, the RML will fimction as the Branch/Office 

representative handling unresolved records management 

issues. The RML will coordinate the resolution of 

these issues with the AMS Records Managem^t 

Officer and advise the Division's/Staffs Adndnistrative 

Officer of his/her action. As a minimum, the RML 

will: 

a. Ensure that internal office procedures have been 

established that will allow all authorized users to have 

access to office records. 

b. Review procedures to ensure that the AMS record 

copy is retained under the control of AMS personnel. 

c. Review new functions, or changes to existing 

functions, to ensure that all recordkeeping requirem^ts 

have been identified and that the correct disposition 

instructions are contained in this Handbook or have 

been submitted for approval. 

d. Periodically review the procedures being used by 

originators of records to oisure that records 

management principles are being properly applied. 

2.4 Administrative Officers. The Administrative 

Officer (AO) will keep the Division/Staff Director 

informed of the status and implementation of the 

internal records management program. The AO will 

assist, as needed, the RML in performing records 

management functions. In addition, prior to the 

implementation of new programs or changes to existing 

programs, the RML should notify the AMS Records 

Management Officer of any possible changes to the 

Records Schedules. The AO will also coordinate any 

internal records managem^it training programs. 

2.5 Division/Staff Directors. Division/Staff 

Directors will ensure that all enoployees imderstand their 

records management responsibilities by making it a 

priority for all employees to dociun^it the functions 

and/or transactions they perform. In addition, they will 

ensure that adequate and proper training regarding these 

responsibilities is provided to all en^loyees. 

2.6 Records Management Officer. The Records 

Management Officer (RMO) is responsible for 

establishing an Agency records management program 

designed to control records through the life cycle (from 

creation to disposition), and for developing and 

furnishing policy guidelines. Specifically, the RMO 

wiU: 

a. Formulate, direct, and coordinate the AMS Records 

Management Program. 

b. Develop uniform records systems, including file 

guide outlines and disposition schedules. 

c. Review AMS records management practices and 

recomanend appropriate action to improve procedures. 

d. Develop, conduct and/or coordinate briefings and 

training programs for headquarters and field en:q)loyees 

involved in Agency records management activities. 

e. Report to NARA any instances of unauthorized 

removal or destruction of AMS records. 

f. Serve as an advisor to Division/Staff Directors, 

Administrative Officers, Records Management Liaisons, 

and originators of records to resolve any and all records 

management issues. 

g. Serve as Agency liaison with NARA/Federal 

Records Centers (FRC's) for the disposition, transfer, 

and retrieval of records. 

h. Serve as Agency liaison with the Department and 

other Federal agencies on matters relating to records 

management. 

i. Review and take appropriate action on all requests 

for filing equipment. 
j . Conduct an AMS internal records management 

evaluation biennially (every 2 years), and forward the 

results to NARA, if appropriate. (36 CFR 1220, 

Subpart C.) 

Chapter 3 

AMS Records Managonent Program 

3.1 Overview. The AMS Records Management 

Program is based on meeting the requirements in^sed 

on the Agency by Federal laws. Departmental 

regulations, and AMS directives. The methods and 

procedures presented in this Handbook are designed to 

meet the minimmn Federal requiremaits without 

iaqwsing any unnecessary administrative burdra on 

enq>loyees. This Chapter is designed to present the 

rationale for the development of these methods and 

procedures. 

3.2 Records Management and AMS Plrograms. 

Because AMS is an organization focused on providing a 

quality service to our clients in the most cost effective 

manner, the in^sition of any additional requirements 

that appeal to be purely bureaucratic in nature is 

rightfully questioned. The fact that the requirement is a 

matter of public law is often not enough to satisfy 

individual perceptions of the best methods and 

procedures to follow in order to meet all customer 

requiremoits. Therefore, a brief explanation of a few 

of the practical b^iefits of an effective records 

management program will be addressed in this section. 

Organizations begin by defining the services that are 

provided, then detailing the methods and procedures 

used to provide the services. The information 

generated from this basic documentation directs the 

course, and ultimately determines the success or failure, 

of the organization. Managing the required 

documentation generated by this process is the focus of 

a records management program. An effective records 

management program will accomplish all of the 

following: 

• Facilitate quick access to information required for 

customer response. 

• Assist management decision-making and operations 

by ensiuing that necessary information exists, is 

available, and is properly documented. 

• Ensure that obsolete information, which slows 

retrieval time, is destroyed in the normal course of 

conducting business. 

By instituting a set of standardized methods and 

procedures to accomplisdi the above tasks, the program 

manager is able to focus on performing the functions 

associated with the program. Resources are not 

redirected to performing additional evaluations, 

analysis, and reviews for eveiy piece of information 

being g&aeoAed. In addition, valuable time is not lost 

in attempting to locate or recreate needed 

documentation. The resources can be focused on 

meeting mission requirements. 

3.3 Records. Several universal misconceptions 

concerning records, records management techniques, 

and individual reqjonsibilities need to be dispelled in 

order to properly meet and understand Federal 

recordkeeping requirements. While the total content of 

this Handbook is focused on providing this needed 

clarification, this section will concentrate on two of the 

most common misconceptions. The first involves 

understanding the definition of a record; the second 

involves understanding who is responsible for the 

record. 

Because organizations have traditionally documented 

transactions using paper, the misconception that the 

record copy will be created and maintained only in 

paper has been perpetuated. Using this logic, it would 

follow that records management's only concern is with 

organizing and managing paper. The legal definition of 

a record is contained in Appendix A. This definition is 

intoitionally lengthy in order to oisure that, by 

definition, all "records" have been correctiy identified. 

While the majority of records being created and 

maintained in an organization may be in the form of 

paper, the intait of the law from which the definition 

was extracted is to manage all of the evidentiary 

information being generated and accumulated in an 

organization. Thus, this definition could be 

summarized and restated simply: "If you create 

information, or receive information from outside AMS, 

regardless of the form, and that information is 

appropriate for preservation, one copy is the Agency 

record copy." 

While Federal law requires the Head of an agency to 

make and preserve records containing adequate and 

proper documentation of the organization, all employees 

under the direction of the agency Head have a 

responsibility to ensure that this requirement has been 

met. Therefore, the employee who creates the 

information, or receives it from outside AMS, is 
responsible for the record copy. A secretary may 

provide assistance in meeting this responsibility, but the 

responsibility remains with flie originator or the receiver 

(if the information was created outside the Agency) for 

the record copy. 

3.4 Information/Records. The detailed components 

and the acceptable structure of information that 

constitutes a record is discussed throughout this 

Handbook. However, before examining each of these 

con^)onents, basic information concepts must first be 

understood in order to provide managers with the 

necessary tools to manage their information. Aside 

from the legal requirements to create and maintain 

records, sound management techniques and procedures 

dictate that all actions taken with respect to the 

functions that are performed be properly documented. 

Having information readily available about all fimctions 

performed, or actions tak&i, is a requirement that most 

employees need to perform their jobs. 

Information is a valuable resource. It must be 

managed, controlled and treated in the same manner as 

other resources, such as personnel, money, buildings, 

equipmoit, etc. Therefore, systematic methods and 

procedures must be established for the optimal 

management of information. In addition, these systems 

must serve sound information management, not the 

other way around. The proper appUcation of the basic 

records managem^it techniques and principles presented 

in this Handbook will assist in managing this resource. 

3.5 Information/Records Life Cyde. 

Information/records, like all resources, have a natural 

life cycle. While this life cycle has been defined as 

consisting of three main phases (creation, 

maintmance/use, and disposal), information/records 

actually migrate through seven stages. These stages 

consist of: 

• determining requirements 

• collection 

• transmission 

• processing 

• storage 

• retrieval 

• disposition 

At each of these stages, information must be reviewed, 

evaluated, costed, and assigned ownership. The 

procedures discussed throughout this Handbook will 

explain the basic requirements of each of these stages, 

and assist the manager in making the correct decisions 

regarding managing information as a resource, as well 

as developing and maintaining adequate documentation. 

Chapter 4 

Creating Records 

4.1 Protecting Information. By definition, all 

mission related information created within the Agency, 

or received from outside the Agency, that is appropriate 

for preservation is a record, and the creator or receiver 

is responsible for the proper management of it. 

Because this is not a new concept, most employees have 

be^i performing these tasks as a matter of routine and 

without a great deal of effort. While most employees 

may not be able to quote the legal definition or rephrase it as above, they can easily recognize 

information that is important to the fimctions that are 

being performed. With all the information that is being 

created or received in the course of conducting 

business, it sometimes becomes confusing as to exactly 

what information needs to be kept, what information 

can be destroyed, and when the appropriate action 

should be taken. If you are not sure of the importance 

of the information you are working with, -cHSBk^th 

your supervisor. Before a determination regarding the 

importance of the information can be made, a manager 

needs to understand where the important information 

originates. This will be discussed in the requirements 

section below. The appropriate action to take after the 

information has been created is found in the records 

schedules; however, before a discussion of records 

requirements begins, an understanding of what is not a 

record is needed. 

4.2 Records and Personal Papers. Occasionally, 

during the course of conducting business, personal 

papers are created or received. Since these papers are 

not concerned with documenting the official fimctions 

performed, they are not Federal records. They belong 

to the individual, as opposed to the agency, and may be 

filed or disposed of as determined by the individual. 

Personal papers may not be filed and maintained with 

Federal records, and Federal resources may not be 

dedicated to maintaining or disposing of personal 

records (with few exceptions). 

4.3 Informational Material and Records. As a 

general rule, informational material that is not 

evidentiary in nature is not a Federal record. Its 

purpose is to inform the reader of something the sender 

deems relevant; therefore, the sender would maintain 

the record copy, if appropriate. Most of the material 

received from other offices will be for informational 
purposes only. If the receiver takes action on the 

material, as part of the required fimctions performed by 

the Agency, this material could become an AMS 

record. For example, the Agency Weekly Activity 

Report maintained on the bulletin board service is 

informational material for individuals reviewing the 

material. The record copy is maintained by the 

originator. If, however, an en^)loyee is required to 

perform a fimction as a direct result of an item in the 

Weddy Activity Report, that item could become a 

record for the organizational unit assigning the task to 

the eaeployee. 

4.4 Records Creation Requirements. The 

requirement to create and maintain the specific records 

accumulating in your office will be found in the public 

laws, regulations, directives, and internal instructions 

that govern the functions you are performing. Since 

you are the Agency expert for these functions, you are 

responsible for reviewing, evaluating, and costing the 

information that you are creating. Specifically, the 

originator reviews, evaluates, and costs the 

informational content in the following manner: 

• The originator reviews the content to eosme that a 

Federal requirement exists for the information being 

created. 

• The mformation is evaluated in terms of its current 

and future worth to the organization. 

• Finally, the cost of the information is assigned in 

terms of its worth by assigning a retention value to 

the information. 

Because most of the fimctions that we perform are 

i^>etitive in nature, the above three steps for the most 

part have been performed and standardized before the 

originator begins to create the information. The 

General Records Schedules (GRS) and/or the AMSunique records schedule describe the records that will 

be accumulating in our organization. Before an item is 

added to these schedules, all Federal requirements for 

the information are reviewed. In addition, the 

information is evaluated in terms of the current and 

future worth, and a value is assigned by providing the 

appropriate disposition instructions. In the event that 

information is created and cannot be found in these 

schedules, it must be reported through the RML and a 

supervisor to the AMS Records Management Officer. 

The Records Management Officer will initiate the 

appropriate actions to add, delete, or change the 

information described in the schedules. 

4.5 Application. When records are created, 

regardless of the media used, the following concepts 

must be applied at the time of creation: 

a. Ownership. The owner and creator of the 

information must be clearly identified. While all 

Federal records created by AMS are the property of the 

Agency, the specific component of the organization 

creating the record is the most knowledgeable of its 

content, and assumes ownership responsibilities for the 

Agency. Therefore, the owner must be clearly 

identified on the record copy, and should be identified 

on all other copies. Often, the issue of ownership 

becomes clouded when one component creates the 

record and another one authenticates (signs) it. Because 

the fimctions of the creator and the authenticator are 

often different, both may have a requirement to 

maintain a record copy. The records schedules reflect 

the recordkeeping requirements for both the creator and 

the authenticator. 

b. Original Signatures. The requirement for an 

original signature to be placed on the record copy will 

be determined by the type of record being created. 

This will include both the legal and operational 

consequences of not being able to produce an original 

signature. Record copies of all correspondence 

containing statements of policy will contain an original 

signature of the official authorized to direct the policy. 

As a general rule, the requirements established by the 

program being administered will dictate if an original 

signature is required. Questions should be addressed to 

the person responsible for the program and/or legal 

counsel. When an original signature is not required, 

one of the following notations will be placed on the 

record copy: 

• a signature stamp of the responsible official; 

• the notation "Signed"; or 

• tiie notation "/S/". 

c. Date. The record copy will be dated the day it was 

signed. 

d. Evaluation. The creator reviews the content of the 

record to ensure that it is accurate, complete, and meets 

a legitimate requirement. The content is then evaluated 

in terms of its current and future worth to the Agency. 

e. Value Assignment. As information is being 

created, or when it is received from outside AMS, the 

originator/receiver shoidd review the GRS or the AMSunique records schedule, and select the description that 
best identifies the information. Once the information 

has been identified, the appropriate disposition 

instructions found in the schedules should be indicated 

on the "record copy", and that copy properly filed. 

Chapter 5 

Maintenance and Use of Records 

5.1 Maintaining Records. The process of 

maintaining needed information begins with the 

originator. Once the record has been created, it must 

be properly filed, retained as long as needed, and 

disposed of appropriately. Unless each member of the 

organization is able to quickly locate and retrieve a 

record when it is needed, the system used for 

maintaining records is not meeting the needs of the 

organization. 

Currently, AMS does not have a uniform Agency-wide 

system for maintaining records. Individuals have 

established procedures aimed at meeting the immediate 

needs of their organizational units. Check wldi your 

inunediate supervisor to determine the preferred method, 

for maintaining records in your office. Review the 

minimum Federal requirements provided in this 

Handbook to be sure that your methods and procedures 

are meeting all of the requirements. 

5.2 Centralized Records Maintenance Systems. A 

centralized records maint^iance system is one in which 

all records accumulating in an organizational unit are 

centralized in one location, and designated personnel 

are assigned the responsibility to properly manage die 

organization's records. As technology advances and the 

need for information grows, a centralized records 

maintenance system may prove to be more cost 

effective and achieve greater benefits than those 

associated with a decentralized system. 

5.3 Decentralized Records Maintenance Systons. 

A decentralized records maintoiance system is one in 

which accumulating records are maintained by the 

individuals performing the agency's functions, or the 

originators. 

5.4 Records Maintenance. Regardless of die system 

selected for maintaining the records accumulating in 

AMS, the following minimum requirements will be 

adhered to by all organizational conq>onents: 

a. Federal records created by AMS components (to 

include contractors and State Cooperators performing 

fimctions for AMS) are the property of AMS. 

Procedures will be established to ensure that the "record 

copy" is maintained under the general supervision of an 

AMS noanager and in accordance with the GRS and the 

AMS-unique records schedule. 

b. Federal records and personal papers will not be 

maintained in the same file. 

c. AMS records will be maintained in a manner which 

facilitates the easy retrieval of the information when 

needed. 

d. All records maintained will be reviewed, at least 

annually, to ensure that only authorized records are 

being maintained, the appropriate storage method has 

be^ selected, and the records that are no longer of 

value have been properly disposed of in accordance 

with instructions contained in these guidelines. 

5.5 Maintenance Procedures. To meet the above 

minimum requirements, the following procedures have 

been developed: 

a. As information is being created or accumulated, it 

will be grouped together by common subject matter, 

and maintained with similar information having the 

same retention value. This value must be assigned by 

the originator and be in accordance with the 

descriptions provided in the records schedules. This 

grouping of information is called a file. 

(1) A file consists of related information that is 

arranged in some logical order for fiiture reference. 

Normally, accumulating information will be arranged 

by date, with the latest action on top. In the event 

that the information is arranged differently, an 

explanation of this unique arrangement needs to be 

placed in the beginning of the folder. This will 

assist someone unfamiliar with the arrangement to 

find needed information. 

(2) To facilitate the retrieval of information, files 

should be arranged in some logical order. (The 

preferred arrangement of files will be presented in 

Section 5.6.) In addition, separating your files into 

the categories of active and inactive will not only 

assist you in retrieving the information, but also in 

the destruction and/or disposal process. An active 

file would consist of those records that are referred 

to on a regular and routine basis; an inactive file 

would contain records that must be retained but not 

routinely referred to on a regular basis. 
b. Regardless of the system (centralized or 

decentralized) used to maintain records, a file plan is 

needed to facilitate locating the information. In addition 

to identifying the subject matter of the material being 

maintained, the file plan needs to cover the location of 

all records being maintained by the organizational unit. 

5.6 AMS Fde/Disposition Plan. 

a. Consistently, throughout this Handbook, the user 

has been directed to refer to the GRS, the AMS-unique 

records schedule, and/or a file plan. To assist you in 

properly managing the records accumulating in your 

office, the GRS and the AMS-imique records schedule 

have been combined under one cover. In addition, an 

Agency file plan, using a numeric code, has been 

developed and incorporated into this one document. As 

an added feature, this docummt can be tailored to meet 

your specific needs by extracting only the numeric file 

codes and disposition instructions applicable to the 

records your office accumulates. Thus, the specific 

reference material you need to effectively manage your 

records can be id^itified and provided with assistance 

from the AMS Records Management Office. 

b. The recommended AMS file plan is based on the 

AMS issuances system. The initial separation of 

accumulating records is based on the functions 

performed and the organizational components of AMS. 

AU records accumulating in AMS will initially be 

organized and grouped using the appropriate numeric 

series identified below: 

1000 Series 

2000 Series 

3000 Series 

4000 Series 

5000 Series 

6000-6249 Series 

6250-6499 Series 

6500-6999 Series 

7000-7299 Series 

7300-7499 Series 

7500-7999 Series 

8000-8299 Series 

8300-8499 Series 

8500-8999 Series 

9000-9499 Series 

9500-9599 Series 

9600-9699 Series 

9700-9999 Series 

Organization Management 

Administrative Services 

Persoimel Services 

Financial Managem^t 

Electronic Systems 

AMS Administration 

Cotton Division 

Dairy Division 

Fruit & Vegetable Division 

Livestock & Seed Division 

Poultry Division 

Science & Technology 

Division 

Tobacco Division 

Transportation & Marketing 

Division 

Market News Reports 

Research and Promotion 

Conunodity Procurem^it 

Reserved 

c. Once the appropriate major records series has been 

determined, the specific file within the series that best 

describes the information contained in the record, is 

selected. For example, the documentation illustrating 

the disposition of organizational records would be found 

in series 1000, item 70, and could be shown on a file 

guide as 1070, Records Disposition Files. 

d. Since most offices will be accumulating different 

types of records, the file guide could be fiirther 

categorized by describing the unique types of records 

within each series, or by the date of origination. The 

decision to fiirther subdivide this grouping of records ' 

should be based on the volume of records accumulating, 

and the need for easy retrieval. 

e. Once the appropriate series and sub-series have been 

identified for all records accumulating in your office, 

and placed in the proper file, a listing by series number 

and location (to include file cabinet and drawer number) 

is to be prepared. This listing is your file plan. An 

example of a file plan can be found in Appendix C. 

f. When a document is created, the originator is to 

assign the filing/disposition instructions to the document 

by placing the appropriate file code on the record copy. 

NOTE: The GRS and/or the AMS-unique records 

, schedule record retention periods should be strictly 

followed. Any discrepancy or new record series (new 

program requirements) should be brought to the 

immediate attention of the AMS Records Management 

Officer. 

Chapter 6 

Records Disposition 

6.1 Records Disposition. Disposition is an integral 

part of records management and is the third and final 

stage of the life cycle of records. As with all stages in 

the cycle, disposition is also the responsibility of the 

originator. The records disposition process refers to 

those actions taken regarding Federal records after they 

are no longer needed to conduct current AMS business; 

this process must be performed in accordance with 

retention periods ^proved for AMS by the National 

Archives. These actions include destruction, transfer of 

temporary records to free storage at Federal Records 

Caiters (FRC's), or transfer of permanent AMS 

records to the National Archives for preservation and 

research. 
Most of the records accumulating in AMS are 

temporary in nature. After being identified as eligible 

for destruction by the AMS reviewing official 

(originator or the manager of the originating office), the 

records should be disposed of promptly, and in 

accordance with the NARA-approved schedule. 

Maintaining records beyond established retention 

periods can put the Agency at risk, and the 

Administrator can be held responsible. Additionally, it 

slows down the search and retrieval time of important 

information. 

6.2 Records Disposition Pn^ram. The AMS 

records disposition program is designed to achieve 

effective and efficient disposition of accumulating 

documentation by: 

• scheduling all AMS records; 

• ensuring they are properly stored; 

• ensuring the authorized and prompt disposal of 

temporary records; and, 

• ensuring the timely transfer of permanent records to 

the National Archives. 

In scheduling records for retention and disposition, 

AMS managers should understand what records 

disposition fimctions must be carried out. These 

fimctions include inventorying, developing an AMSunique records schedule, cutting off records, 

transferring eligible records to FRC's, disposing of 

temporary records when their retention periods expire, 

and transferring permanent records to the National 

Archives. Accumulating unscheduled records within 

AMS uimecessarily puts our programs at risk. The 

accumulation of unscheduled records iiiq>lies that the 

Agency does not follow Federally mandated guidelines 

and is not aware of Agency internal instructions. In 

addition, it questions our ability to systematically make 

complete and accurate documentation to: 

• protect the legal and financial rights of the 

Government and of individuals directly affected by 

Government activities; 

• preserve institutional memory so that informed 

decisions are possible and thus facilitate action by 

Agency officials and their successors in office; and, 

• be held accountable through the proper scrutiny by 

the Congress and oversight agencies. 

Properly following approved records schedules can also 

protect AMS during Freedom of Information Act 

(FOIA) or Privacy Act requests. By systematically 

maintaining and disposing of Agency documentation, as 

described in the records schedules, an agency can 

demonstrate that adequate documentation was created 

and disposed of properly. Following these guidelines 

will reduce the amount of time needed to retrieve the 

documentation and/or defend the disposal of unavailable 

requested information. 

6.3 Inventorying. Inventorying involves 

distinguishing AMS records from nonrecord materials 

and personal papers, and gathering information about 

the records themselves. Inventorying is one of the first 

steps in the process of scheduling records. 

6.4 Devdopment of a Records Schedule. The 

records schedule is the heart of AMS' records 

disposition program. Based on carefiil analysis of 

AMS' documentary materials, it provides mandatory 

instructions for die retention and disposition of each 

record series, or systematic accumulation of 

documentation within AtAS. With NARA approval, 

records schedules authorize the systematic removal of 

uimeeded records from offices. It is important to 

understand that all AMS records series must be 

scheduled and approved by the Archivist of the United 

States, since Agency documentation is the property of 

the Federal Government. 

6.5 Records Cutoffs. Records should be cut off, or 

broken, at regular intervals, usually aimually, to permit 

their disposal or transfer in complete blocks and, for 

correspondence files, to permit the establishment of new 

files. 

a. 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 next year's files. 

b. 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. 

c. Unscheduled AMS records should also be cut off to 

make their disposition possible once AMS has received 

the necessary authority from NARA. 

d. Nonrecord materials do not normally require 

cutoffs, but should be purged periodically, at least 

aimually, and in accordance with the needs of the 

office. 
Cutoffs are needed before AMS disposition instructions 

can be applied, because retention periods usually begin 

with the cutoff, not with the creation or receipt, of the 

records. 

6.6 Transfers to FRC's. FRC's store AMS records 

that are no longer needed in office ^ace, but that 

require continued retention until a later disposal date, or 

scheduled transfer of permanent records to the National 

Archives. Some of the benefits of transferring records 

to an FRC: 

• AMS saves money, time, space, equipment, and 

supplies; 

• the FRC provides reference service; and 

• the FRC makes final disposition action easier. 

Records are eligible for transfer when there is sufficient 

volume, the reference rate is not unduly high, and the 

cost of retirement is not greater than keeping the 

records in their present space or equipment. Before 

transferring any records to an FRC, the AMS reviewing 

official must oisure the records are not involved in 

litigations or investigations, and are not needed on a 

regular and routine basis. Specific transfer instructions 

for AMS records and an example can be found at the 

end of this chapter. See Appendix E for a listing of 

Regional FRC's. 

6.7 Disposal of Tonporary Records. Temporary 

records are those determined by NARA to be 

disposable, or nonpermanent. NARA approves (during 

the records schedule development phase) such records 

for destruction. Many temporary records are 

determined to be eligible for destruction when no longer 

needed in an office to conduct current business. Others 

are eligible only later, after storage in an FRC. 

Teinporary records should normally be disposed of 

promptiy in accordance with a NARA-approved records 

schedule. 

6.8 Transfer of Permanent Records to the National 

Archives. Eventually, permanent records become the 

property of the Archivist of the United States. 

Transferring permanent records to the National 

Archives' legal and physical custody will relieve AMS 

of having to provide special care for such valuable 

records. This transfer should take place when AMS no 

longer needs the records for the conduct of current 

business, whether or not the records are stored in AMS 

or FRC facilities. The AMS-imique records schedule 

usually specifies when the records are to be transferred. 

6.9 Procedures to Transfer Eligible Records. The 

following are general steps for transferring eligible 

records to an FRC and will be accomplished by, or 

under the direction of, the AMS reviewing official. 

a. Before transferring records, dispose of all nonrecord 

material, extra copies of records, and items such as 

paperclips, buckslips, and yellow "Post-it" notes. 

b. Separate the records into "series". Identify and 

separate the records into series by item number and 

cutoff date. A series is a block of records having the 

same disposition authority and same disposition date. 

Each series needs to be transferred as a separate 

accession. 

c. Pack the records into special FRC boxes: for legal 

and letter size material, use standard size, tuck bottom, 

record boxes, 14 3/4" X 12" X 9 1/2", NSN 8115-00-

117-8249. You can order these boxes through your 

Administrative Officer in quantities of 25. See 

Appendix £ for Packing and Labeling Record Boxes. 

d. When packing records, do not force files into the 

boxes. Leave approximately 1 inch of space in each 

box to permit easy withdrawal of individual folders. 

Pack folders upright, with letter size folders facing the 

front of the container. The back of the box is the 

stapled end. Do not place folders on top of each other 

in the box. See illustrations shown in Appendix E. 

e. All transfers/accessions must be accon^anied by an 

SF-135, Records Transmittal and Receipt, and/or an 

SF-135-A, Continuation Sheet. 

f. Prepare the SF-135 according to the sample shown 

in Appendix E, Sanqile of SF-13S. Attach a detailed 

listing of the contents of each box to the SF-135. 

g. Forward the completed SF-135 to: 

AMS Records Managanent Officer 

USDA/AMS/ERO/IMB 

Room 3528-South Building 

P.O. Box 96456 

Washington DC 20090-6456 

The Records Management Officer will review the 

accession for accuracy, assign the accession number, 

and then forward it to the FRC for approval. For field 

locations, the accession number will be assigned by the 

nearest FRC - see Appaidix E. The completed SF-135 

will be forwarded by the transferring office. 

10 
^ . 

h. After the files are boxed, number the boxes 

sequentially (1 of 10, 2 of 10, 3 of 10, etc.) with 

permanent black marker in the upper right front comer. 

Once the SF-135 is approved, the accession number 

(Items 6a, 6b, and 6c) is placed in the upper left front 

of the box. 

i. After approval by the FRC, place the approved SF135 in the first box of the accession, i.e., inside Box #1 

of 20. 

j . For your office records, retain a copy of the SF-135 

with the detailed lists of the contents of boxes, indexes 

to records, and other specialized finding aids, so that 

you will be able to clearly identify documents needed 

for future reference. 

k. For pickup by the FRC, leave boxes opai. If 

sending records by mail/UPS, make sure the filamrat 

tape does not cover the accession number or box 

number. 

6.10 Reference Service for Stored Records. If AMS 

records are in FRC storage and it becomes necessary to 

use these records to conduct AMS business, the FRC's 

and the Washington National Records Center (WNRC) 

provide referaice service. The FRC's and the WNRC 

can generally fulfill routine reference requests within 24 

hours of receipt. Emergaicy requests can be on site 

within 24 hours. 

a. For routine requests, use Optional Form (OF) 11, 

Reference Request - Federal Records Center. When 

coiiq>leting the OF-11, furnish the accession number, 

AMS box number, FRC/WNRC location number, and 

the nature of the service. Always indicate if the 

records are to be permanentiy withdrawn. Finish by 

completing Section III - requester's name, telephone 

number, date, and address. 

b. Mail or deliver the completed OF-11 to the FRC or 

WNRC. Routine requests usually are returned by mail 

unless otherwise indicated in the "Remarks" section of 

the OF-11. Retain a copy of the request for your 

records, or the pink middle copy, and fiimish an 

information copy to the AMS Records Management 

Officer. With tiie information copy, the AMS Records 

Management Officer can provide assistance by 

identifying duplicate requests, rectifying delays or other 

problems, and expediting your emergency requests. 

c. The AMS Records Management Office offers 

electronic processing of reference requests. The 

Centers Information Processing System (CIPS) 

establishes an electronic link between records colters 

and agencies to transmit routine reference requests. 

Send your coiiq)leted OF-11 to the AMS Records 

Management Officer for prompt processing. 

d. Emergency requests requiring immediate (within 24 

hours) pick-up or delivery should be sent via facsimile 

with specific instructions. The WNRC emergency 

request FAX line is (301) 457-7123. 

e. Return recalled records by the most economical 

means available. Do not re-folder or re-box records 

recalled from the FRC/WNRC. They must be returned 

in the original folders or containers to allow accurate 

refiling. If the box is unusable for shipment, copy the 

accession number, box number, and location onto the 

front of its replacement. 

Chapter 7 

Electronic Recordkeeping 

7.1 Qysxst^0, The regulations governing the 

creatiodimii^iilfeance, use, and disposition of FederaF 

records apply to all electronic recordkeeping systems. 

Electronic recordkeeping systems have the capability to 

enhance the sharing of information, increase 

productivity through on-line updates and rapid mass 

dissemination of information, and improve the 

efficioicy of records maintenance and disposition 

methods and procedures. However, sound records 

management practices need to be instituted to aisure 

that with the increased efficiency, an organization does 

not put itself at risk. In addition, electronic 

recordkeeping systems should serve the user; 

procedures should not be established that require the 

user to serve the system. This Chapter will provide 

the minimum requirements and procedures to be 

followed when establishing an electronic recordkeeping 

system. 

7.2 Approval Requirements for Electronic 

Recordkeeping Systems. All proposed electronic 

recordkeeping systems will be reviewed by the AMS 

Records Management Officer, the Administrator, and 

(if required) the Department's General Counsel, the 

National Archives and Records Administration 

(NARA), and the General Accounting Office prior to 

implementation. This review is necessary because each 

electronic record maintained could require different 

methods to be employed to ensure that all Federal 

records management requirements have been met. 

11 
Once it has been determined that the system will meet 

die minimum requirements for documenting Agency 

business, approval will be granted and the system may 

become operational. 

7.3 Basic Records Management Principles. 

Although electronic records are included in the 

definition of a record (see Chapter 1.5), electronically 

created records open up a wide spectrum of records 

management hurdles that must be overcome. 

Maintaining files or information electronically is not the 

problem; maintaining a record, on the other hand, 

involves ensuring that the information is valid, has been 

authenticated, and caimot be modified or lost as a result 

of the methods used to store or disseminate the 

information. Records that do not require original 

signatures may be maintained electronically and 

disposed of in accordance with the established records 

schedules, as long as a validation/authentication process 

has occurred. 

a. Information Versus a Record. While all records 

contain information, information can be maintained 

without being established as a record. Thus, the 

distinction between Agency information and the AMS 

record must be made prior to establishing any electronic 

recordkeeping system. The definition for a record is 

included in this Handbook (Chapter 1.5 and Appendix 

A) and should be reviewed. However, in order to 

provide clarification regarding an AMS record, a record 

is any material that is preserved or appropriate for 

preservation for the purpose of properly documenting 

the organization, functions, policies, decisions, 

procedures, and essential transactions of the Agency. 

b. Ownership. One copy of the Federal records 

created (to include material received from an entity 

other than an AMS component) by an AMS office will 

become the AMS record copy. The organizational 

component creating or receiving the material (from 

outside sources) assumes ownership responsibilities for 

AMS. Thus, the manager most knowledgeable of the 

subject matter is responsible for making the appropriate 

decisions regarding the management of these records. 

7.4 Validation/Authentication Process. Until the 

information has been validated by someone 

knowledgeable of the subject matter, and authenticated 

by someone authorized by AMS, the information is 

considered a "working paper" or raw data. At this 

point in the process, it is not a record. This principle is 

appUed to all material accumulating in AMS, regardless 

of the format used. In the paper format, this 

information becomes a record when it is signed and 

dated (authenticated and validated). Because of the 

nature of electronic systems, each electronic 

recordkeeping system developed will require the 

establishment of procedures that ensure the 

validation/authentication process. 

7.5 Electronic Recordkeeping Systems. Each 

electronic recordkeeping system developed and 

maintained could require different methods to be 

employed to ensure that all records management 

requirements have been met. In order to provide a 

basic understanding of the minimum requirements, three 

electronic systems are discussed below. 

a. Word Processing Records. Information created 

using electronic word processing systems is 

questionable "information" until it has been validated 

and authenticated. Originators use word processors 

generally to facilitate the creation of documentation 

prior to printing. However, this documentation does 

not become an AMS record until the responsible official 

reviews the information to ensure that it is correct 

(validates), and affixes a signature and date to the 

documentation (authenticates). This action affirms that 

the information accurately represents a policy, decision, 

and/or legitimate transaction of the Agency. The 

record paper copy is then filed and disposed of as 

determined by the records schedules. This process may 

be accon^}Iished electronically, when original signatures 

are not required, in the same basic maimer. The 

following describes the required steps to follow: 

(1) Once the information has been created, it must 

be reviewed and authenticated by the AMS official 

authorized to accomplish this task. To auUienticate 

information in an electronic format, the authorized 

official's name and tide will be placed on the 

electronic document (in the same manner as the 

traditional date stamping of a hard copy) with the 

notation "signed" (or other notations found in 

Chapter 4.5.b) placed beside the name and tide. In 

addition, the date that die information was 

authenticated will be placed beside the "signed" 

notation. This information will then become the 

AMS record copy. 

(2) The record copy will be placed in a stand alone 

storage device, such as a diskette or a hard drive, 

that is not connected to a shared system. It will be 

placed in a directory containing accumulating records 

with the same retention value, as determined by 

record schedules. 

12 
(a) If the record is placed on a diskette, a label 

will be prepared containing the tide of the 

directory, the disposition instructions, the 

authority for retaining the record, and the initials 

of the person asserting diat the information 

contained is the AMS record copy. A backup 

copy of the diskette with the annotation "backup 

copy" will be made and updated as changes 

occur. 

(b) If the record is placed on a hard drive, an 

index of the directories in which records are 

maintained will be made. This index will contain 

the same information and be authenticated in the 

same manner used for diskettes. A backup of die 

drive will be made and updated as changes occur. 

(3) Users should be aware that most systems 

generate the date that the documentation was placed 

in the directory. This date can be used as a check 

method to identify possible unauthorized changes to 

your documentation. 

b. Databases and System-Originated Records. 

(1) Databases are valuable tools that are commonly 

used to accumulate large amounts of information that 

can be used in a variety of ways. The General 

Records Schedule 23, Item 3, provides the basic 

authority for eliminating hard copy records for 

general administrative material that has been placed 

in a database. However, before an administrative 

database can be used as the AMS record, it must be 

reviewed to ensure that all recordkeeping 

requirements have heea met and approved by the 

AMS Records Management Officer. Databases used 

to replace bard copy records for AMS marketing 

programs must be reviewed and approved by the 

Deputy Administrator, Marketing Programs; the 

Administrator; the AMS Records Management 

Officer; and the National Archives and Records 

Administration. The authority to replace hard copy 

records with databases will be found in the AMSunique records schedule after all approvals have been 

obtained. The general rule is that the retention value 

for these databases will be the same as the value for 

the hard copy. However, because of the many uses 

of a database, the appropriate value of die 

information and the methods used to capture 

meaningful documentation will be reviewed and 

assessed by both the program manager and the AMS 

Records Management Officer before final approvals 

are granted. 

(2) System originated records are new records 

created as a result of a process or procedure that 

collects or groups records from other sources to 

create new documentation. An example of this type 

of record would be the consolidation of several 

databases or raw data retrieved from several sources 

for the purpose of creating one database. If it can be 

supported that the appropriate retention value for 

these records is the same as the approved value of 

the input documentation, approval for retaining this 

information as the Agency record may be granted 

internally. Otherwise, these systems will require 

approval by NARA. 

c. Electronic Mail Systems. Electronic Mail (E-Mail) 

systems are used for sharing information quickly with 

anyone using the systems. They are not authorized 

records storage systems. However, AMS records may 

be created or received on these systems. When this 

occurs, it is the responsibility of the creator or the AMS 

office receiving the material from an organization or 

oitity other than AMS, to properly maintain the AMS 

record copy. This will be accon^lished in the same 

maimer as described for records created using word 

||BK>cesslBSS9BraEaiiai^^@I^7.5.a . ThsC"^ 

following illustrates the procedures necessary to 

properly capture E-Mail records. 

(1) Originators. Most of the messages created on an 

E-mail system are for informational purposes and are 

not records. This information should be eliminated 

from the system as quickly as possible in order for 

the system to operate at maximum performance 

levels. However, if the message created by an 

originator meets the definition of a record, the 

procedures outiined in Chapter 7.5.a (word 

processing records) are to be followed. 

(2) Recipients. As a general rule, all messages 

received from another AMS office will be for 

informational purposes. In addition, most messages 

received from an organization or entity other than 

AMS is information. Again, this information should 

be eliminated from the system as quickly as possible 

in order for the system to operate at maximum 

performance levels. However, if the message 

received meets the definition for a record, the 

procedures outiined in Chapter 7.5.a (word 

processing records) are to be followed. 

7.6 Permanent Records. The procedures outlined in 

Chapter 7.5 are focused on electronic records that may 

be disposed of by AMS. Permanent records eventually 

13 
become the property of the Archivist of the United 

States. These records, when in electronic format, wUI 

be transferred to the Archivist using the most current 

methods and procedures prescribed. In order to 

facilitate the transfer of these records, users must 

ensure diat all permanent electronic records are 

upgraded as systems change. 

7.7 Electronic Signatures. The procedures described 

in Chapter 7.5 are focused on electronic records that do 

not require original signatures. The requirement for an 

original signature will be determined by the type of 

record being created. This will include both the legal 

and operatioiul consequences of not being able to 

produce an original signature. As technology advances, 

methods for using electroiuc signatures will be 

established. Approvals for the use of electronic 

signatures on records will be required internally from 

the Deputy Director of the Science and Technology 

Division, the AMS Records Management Officer, the 

responsible manager for the applicable program, and the 

Administrator. Externally, approvals will be required 

from the Department's legal counsel, the General 

Accounting Office, and the National Archives and 

Records Administration. 

7.8 System Backups. System backups are made for 

the purpose of being able to recapture the information 

in the event of a system (hardware or software) failure. 

The system backups are not the Agency's record copies 

because thejrare not preserved in a way which allows 

for use or review before final disposition is made. 

7.9 Summary. Electronic records are another format 

for creating and maintaining records. The procedures 

used to protect Agency records are basically the same 

for paper and electronic formats. The most difficult 

part of maintaining an electronic record is determining 

if the information is an Agency record. Once the 

concept of a record is understood, most users will not 

have any difficulty. Any and all questions should be 

addressed to the Agency Records Management Officer. 

Chapter 8 

Vital Records Program 

8.1 Overview. The management of the Agency's 

vital records is a continuation of the basic concepts of 

the overall Records Management Program. The vital 

records component of the Records Management 

Program is focused on developing and implementing 

policies, plans, and procedures to systematically 

identify, use, and protect designated essential Agency 

records. These vital records are needed to meet AMS' 

operational responsibilities under national security 

emergencies or other emergency conditions, or are 

needed to preserve the Government's rights and 

interests or those of its citizens. 

8.2 Records Protection. Federal records have value, 

which determines the level of protection that must be 

provided while they are in an agency's custody. The 

Senior Official in each office, the Records Management 

Liaison, and the Records Management Officer should 

review all accumulating documentation, including vital 

records, and identify the most suitable protective 

measures for AMS' documentation. Protective 

measures include, but are not limited to, the following: 

a. Maintaining the documentation in fire-rated filing 

equipment. 

b. Providing on-site vault storage for records required 

for more than routine protection. These records may 

be needed for continuing Agency operations or for 

protecting legal or financial rights and interests. 

c. Transferring records to off-site storage facilities that 

are not subject to the same hazards, emergencies, or 

disasters at the same time. 

d. Duplicating records at the time of creation, such as 

computer backup tapes, or using existing duplicated 

copies created routinely in the normal course of 

business, and storing copies in a different location from 

the record copy. 

8.3 Vital Records. While all records accumulating in 

AMS are necessary for the Agency to conduct normal 

and routme fimctions, sound judgment must be 

exercised when identifying any item of documentation 

as a vital record. The volume of vital records must be 

kept at manageable levels, with retrieval procedures 

requiring only routine effort. Keep in mind that those 

who will use the records under emergency situations 

may not be die same individuals who would use them 

imder normal conditions. Vital records fall into the 

following two categories: 

a. Emergency operating records are vital records 

essential to the continued functioning or reconstitution 

of an organization during and after an emergency. 

Included are emergency plans and directives, orders of 

succession, delegations of authority, staffing 

assignments, and related records of a policy or 

14 
procedural nature that provide guidance for conducting 

operations imder emergency conditions, and for 

resuming normal operations after an emergency. 

b. Rights-and-interests records are vital records 

ess^itial to protect the legal and financial rights and 

interests of an organization, and of the individuals 

directiy affected by organizational activities. Included 

are records having such important value that their loss 

would significanUy impair the completion of essential 

agency activities, to the detriment of the legal or 

financial rights of the organization or individuals 

directly affected by its activities. Exan^les of this 

category of vital records involve the areas of accounts 

receivables, Social Security, payroll, retirement, and 

insurance. 

8.4 Application. 

a. The Agricultural Marketing Service has been 

designated as a category "I" agency in Departmental 

Regulation 1800-1, dated March 5, 1993, subject: 

Departmental Emergency Programs Responsibilities. A 

category "I" agency is one widi essential functions that 

must have a continuous emergency operating capability 

during national security emergencies. As such, vital 

records must be created and maintained in a manner to 

support the responsibilities outiined for AMS during 

these emergency situations. The copies of detailed 

documentation, alternate storage sites, and methods for 

retrieval should be identified as part of each office's 

disaster planning. 

b. Copies of essential rights-and-interests 

documentation should be kept at alternate storage sites. 

c. The methods and procedures described in this 

Handbook should be followed for all other accumulating 

documentation. 

15 
Appendix A 

October 1995 

Appendix A - Definitioiis 

Accession. The transfer of the legal and physical 

custody of records from an agency to an archival 

agency or a records center. The agency retains legal 

custody of the records when transferred for temporary 

storage at a records center. 

Accession Number. A number assigned to identify 

shipments of records in the records center. 

Adequacy of Documentation. A standard of 

sufficiently and properly recorded actions and/or 

decisions. Derives from the legal requirement that 

agency heads "make and preserve records containing 

adequate and proper documentation of the 

organizations, functions, policies, decisions, 

procedures, and essential transactions of the agency and 

designed to fiimish die information necessary to protect 

the legal and financial rights of the Government and of 

persons directly affected by the agency's activities" 

(U.S.C. 3101). 

Alphabetic-Subject Filing Syston. A classification 

system in which subjects are arranged in alphabetical 

order regardless of their relationship to one another. 

For example, the subject "adrenalin" might immediately 

follow the subject "administration." 

Appraisal. The process of determining the value, and 

thus the final disposition of records, making them either 

temporary or permanent. 

Archives. The noncurrent records of an organization, 

preserved because of their continuing or enduring value. 

Audiovisual Records. Records in pictorial or audio 

form, regardless of format. Includes still photographs 

or still pictures, graphic arts (posters and original art), 

motion pictures, video recordings, audio (or sound) 

recordings, and related records. 

Block. A 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 sufficient transfer, especially the 

transfer of permanent records to the National Archives. 

For example, the records schedule may direct a transfer 

of permanent records in 5-year blocks. In electronic 

recordkeeping, a grouping of data stored as a unit on an 

external storage medium and dealt with as a unit by the 

computer for input or output. 

Cartographic Records. Graphic representations at 

reduced scale of selected physical and cultural features 

of the surface of the earth and other planets. Includes 

maps, charts (hydrographic/nautical, weather, and 

aeronautical), photomaps, atlases, cartograms, globes, 

relief models, and related records, such as field survey 

notes, map history case files, and finding aids. Also 

includes geographic information system records, or 

digital cartographic records, which are managed like 

other electronic records. 

Central Files. Files accumulated by several offices or 

organizational units, and maintained and supervised in 

one location; also called centralized files. This 

arrangement is most effective in small organizations. 

Chai^eout. The act and result of recording the 

removal and loan of a document or a file, fix)m the 

main filing system, to include its location. Usually 

involves the use of a form, such as OF-23, Chargeout 

Record. 

Classification. The process of determining the 

sequence or order in which to arrange documents. 

Classified Information. Records or information 

requiring, for national security reasons, safeguards 

against unauthorized disclosure. 

Closed File. A file unit or series containing 

documents, on which action has been completed and to 

which more documents are not likely to be added. A 

file unit or series to which access is limited or denied. 

Contingent Records. Records scheduled for final 

disposition after the occurrence of an event at some 

unspecified future time, such as an internal audit. 

A - 1 
Appendix A 

October 1995 

Continuity Reference. A reference form used to 

replace material withdrawn for consolidation with more 

up-to-date material. 

Current Records. (Also referred to as "active 

records.") Records that are necessary for conducting 

the current business of an office and must be maintained 

in office space and equipment. 

Cut-Off. Breaking or ending files at regular intervals, 

usually at the close of a fiscal or calendar year, to 

permit their disposal or transfer in complete blocks and 

to permit the establishment of new files. (Also called 

file cutoff or file break.) 

Decentralized Files. Files accumulated by each 

principal element of an agency and maintained at the 

point of reference. 

Disposal. The actions taken regarding temporary or 

nonpermanent records after their retention periods 

expire, and including either destruction or, in rare 

instances, donation. Also, when so specified, the 

actions taken regarding nonrecord materials when no 

longer needed, especially their destruction. 

Disposal Authority. Legal approval empowering an 

agency to transfer permanent records to the National 

Archives or carrying out the disposal of temporary 

records. Must be obtained from the National Archives 

and Records Administration and also, for certain 

records proposed as tenqiorary, from the General 

Accounting Office. The agency's approval of 

disposition instructions for nonrecord material. 

Dispose. To carry out disposal, which includes either 

the destruction or the donation of temporary records, 

but not die transfer of permanent records to the 

National Archives. 

Disposition Schedule. A document providing authority 

for the final disposition of recurring or nonrecurring 

records. Also called records disposition schedule, 

records control schedule, records retention schedule, or 

schedule. Includes the SF-115, Requests for Records 

Disposition Authority, the General Records Schedules, 

and the agency records schedule, which when 

completed becomes a comprehensive records schedule 

that also contains agency disposition instructions for 

nonrecord materials. 

Electronic Mail System. A computer application used 

to create, receive, and transmit messages and other 

documents or create calendars that can be used by 

multiple staff members. Excluded from this definition 

are file transfer utilities (software that transmits files 

between users but does not retain any transmission 

data), data systems used to collect and process data that 

have been organized into data files or databases on 

either personal computers or mainframe computers, and 

word processing documents not transmitted on an Email system. 

Electronic Record. Numeric, graphic, text, and any 

other information recorded on any medium that can be 

read using a computer ind satisfies the definition of a 

Federal record in 44 U.S.C. 3301. This includes, but 

is not limited to, both on-line storage and off-line media 

such as tapes, disks, and optical disks. [36 CFR 

1234.1] 

Electronic Mail Message. A document created or 

received on an E-mail system, including brief notes, 

substantive documents, and any attachments which may 

be transmitted with the message. 

Emergency-Operating Records. Vital records 

essential to the continued functioning or reconstitution 

of an organization during and after an emergency. 

Federal Records Center. A storage facility operated 

by the National Archives and Records Administration. 

Files. A collective term usually applied to all records 

and nonrecord materials of an office or agency. 

Files Custodian. The individual or office in charge of 

agency files. Often used interchangeably with records 

custodian. 

Filing System. A set of policies and procedures for 

organizing and identifying files or documents to speed 

their retrieval, use, and disposition. (Sometimes called 

recordkeeping system.) 

A - 2 
Appendix A 

October 1995 

Finding Aids. Indexes or other lists, manual or 

automated, that are designed to make it easier to locate 

relevant files. 

Fiscal Value. The usefulness of records in 

documenting an agency's financial transactions and 

obligations. 

Frozen Records. In records disposition, those 

temporary records that cannot be destroyed on schedule 

because special circumstances, such as a court order, 

require a temporary extension of the approved retention 

period. 

General Records Schedule. Schedules authorizing the 

disposal, after the lapse of specified periods of time, of 

records common to several or all agencies, if such 

records will not, at the end of the periods specified, 

have sufficient administrative, legal, research, or other 

value to warrant their further preservation by the United 

States Government. [44 U.S.C. 3303A(d)] 

Inactive or Noncurrent Records. Records no longer 

required to conduct agency business and therefore ready 

for final disposition. 

Information System. The organized collection, 

processing, transmission, and dissemination of 

information in accordance with defined procedures. 

Normally refers to a system containing electronic 

records. Sometimes called a record system. 

Intrinsic Value. In archives administration, the value 

of those permanent records that should be preserved in 

their original form rather than as copies. 

Inventory. A survey of agency records and nonrecord 

materials taken before developing schedules. 

Item. A separately numbered entry describing records 

on Form SF-115, Request for Records Disposition 

Authority. Usually consists of a record series or part 

of an information system. A document. 

L^a l Custody. Guardianship, or control, of records, 

including both physical possession (physical custody) 

and legal responsibility (legal custody), unless one or 

the other is specified. 

L^a l Value. The usefulness of records in 

documenting legally enforceable rights or obligations, 

both those of the Federal Government and those of 

persons directly affected by the agency's activities. 

Life Cycle of Records. The concept that records pass 

through three main stages: creation, maintenance and 

use, and disposition. 

Mnemonic Filing System. A classification system in 

which records are coded by symbols that remind the 

user of the subjects; for example, ADM for 

administration and PER for personnel. These symbols 

are usually arranged alphabetically. 

National Archives. The organization or agency 

responsible for appraising, accessioning, preserving, 

and making available permanent records. 

National Archives and Records Administration 

(NARA). The agency having overall responsibility for 

the records management program throughout the 

Federal Government. When permanent records are 

transferred to the National Archives, they are placed in 

the custody of NARA's Office of the National 

Archives. 

Nonrecord. U.S. Government-owned informational 

materials excluded from the legal definition of records. 

Consists of extra copies of documents kept only for 

convenience of reference, stocks of publications and of 

processed documents, and library or museum material 

intended solely for reference or exhibition. 

Numeric-alphabetic Filing System. A classification 

system in which numbers are assigned to main 

divisions, and letters and numbers to succeeding 

subdivisions, and the records are arranged accordingly. 

For example, "ADM" might stand for "Administrative 

Management," and "1 " for the subdivision "Policy." 

"ADM 2" might stand for "Reports and Statistics," and 

fiirther subdivided imder this subject may be "ADM 2-

1, Activity Reports." 

Office of Primary Responsibility (OPR). The office 

delegated responsibility for a specific fimction. This 

office normally maintains the official agency record, 

including the yellow copy and related incoming 

A - 3 
Appendix A 

October 1995 

correspondence. The OPR may designate other offices 

to maintain the official agency record copy for that 

fimction. 

Official File Station. Any location in an organization 

at which records are maintained for current use. 

Official Record Copy. The yellow file or otiierwise 

designated copy maintained by the originating office. 

Also includes incoming correspondence used to 

document a specific fimction. 

Permanent Records. Records appraised by the 

National Archives and Records Administration as 

having sufficient historical or other value to warrant 

continued preservation by the Federal Government, 

beyond the time they are needed for administrative, 

legal, or fiscal purposes. Sometimes called "archival 

records." 

Personal Papers. Nonofficial or private papers, 

relating solely to an mdividual's own affairs. Must be 

clearly designated as such and kept separate from the 

agency's records. Also called "personal files" or 

"personal records." 

Preserved Record. Documentary materials that have 

been deliberately filed, stored, or otherwise 

systematically maintained as evidence of the 

organization, functions, policies, decisions, procedures, 

operations, or other activities of the Government, or 

because of the informational value of the data. This 

applies to documentary materials in a file or other 

storage system, including electronic files and systems, 

and those temporarily removed from the files or other 

storage systems. 

Program Records. Records documenting the unique, 

substantive functions for which an agency is 

responsible, in contrast to administrative records. 

Public Records. In general usage, records accumulated 

by Government agencies. Records open to public 

inspection by law or custom. 

Reading Files. Outgoing correspondence records 

arranged chronologically, in contrast to those arranged 

by subject. (Chronological (chron) or day files.) 

Record Group. A body of organizationally related 

records, established by an archival agency after 

considering the organization's administrative history and 

complexity and the volume of its records. National 

Archives and Records Administration uses record group 

numbers to keep track of agency records during and 

after the scheduling process, including those transferred 

to a Federal Records Center and/or the National 

Archives. 

Record Series. File units or documents arranged 

according to a filing system, or kept together because 

they relate to a particular subject or fimction, 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. 

Recordkeeping System. A system for collecting, 

organizing, and storing records to facilitate their 

preservation, retrieval, use, and disposition, and to 

fulfill recordkeeping requirements. 

Records. According to 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 imder 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, 

fimctions, policies, decisions, procedures, operations, or 

other activities of the Government or because of the 

informational value of data in them. Library and 

museum material made or acquired and preserved solely 

for reference or exhibition purposes, extra copies of 

documents preserved only for convenience of reference, 

and stocks of publications and of processed documents 

are not included." A more simple, working definition: 

Official Federal Government records include 

documentary material that you create, or that you 

receive from outside of AMS. 

A - 4 
Appendix A 

October 1995 

Records Maintenance and Use. Any action involving 

the location of Federal agency records or the storage, 

retrieval, and handling of records kept at office file 

locations by, or for, a Federal agency. This is the 

second stage of the records life cycle. 

Records Management. The planning, controlling, 

directing, organizing, training, promoting, and other 

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. [36 CFR 1220.14] 

Records Management Program. A plaimed, 

coordinated set of policies, procedures, and activities 

needed to manage an agency's recorded information. 

Encompasses the creation, maintenance and use, and 

disposition of records, regardless of media. Essential 

elements include issuing up-to-date program directives, 

properly training those responsible for implementation, 

and carefully evaluating the results to ensure adequacy, 

effectiveness, and efficiency. 

Records Officer. The person assigned responsibility 

by the agency head for overseeing an agency-wide 

records management program. 

Records Schedule. A document describing, providing 

instructions for, and approving the disposition of 

specified Federal records. It consists of one of the 

following: 

(a) An SF-115, Request for Records Disposition 

Authority, which the National Archives and 

Records Administration (NARA) has approved 

to authorize the disposition of Federal records; 

(b) the General Records Schedules (GRS) issued 

by NARA; or 

(c) a printed agency manual or directive containing 

the records descriptions and disposition 

instructions approved by NARA on one or 

more SF-115's or issued by NARA in the 

GRS. [36 CFR 1220.14] 

Retention Period. 

to be kept. 

The length of time that records are 

Retirement. The sending of inactive records to the 

Federal Records Center or to the National Archives, 

either for storage until time for disposal (destruction) 

for permanent retention. 

Rights-and-interests Records. Vital records essential 

to protecting the rights and interests of an organization 

and of the individuals directly affected by its activities. 

Screening. Reviewing files to apply access restrictions. 

Examining files to identify and remove documents of 

short-term value, especially those eligible for immediate 

destruction. Also called weeding or purging. 

Security Backup. Copy of a record in any medium 

created to provide a means of ensuring retention and 

access in the event the original record is destroyed, 

inaccessible, or corrupted. 

Special Records. Types of records maintained 

separately from textual/paper records because their 

physical form or characteristics require imusual care, 

and/or because they have nonstandard sizes. Includes 

electronic, audiovisual, microform, cartographic and 

remote-sensing imagery, architectural and engineering, 

printed, and card records. 

Standard Form 115, Request for Records Disposition 

Authority. The form used by Federal agencies to 

obtain disposition authority from the National Archives 

and Records Administration for records which the 

General Records Schedules are inapplicable. 

Standard Form 135, Records Transmittal and 

Receipt. The form to be submitted by Federal agencies 

before transferring records to a Federal Records Center. 

Sometimes referred to as "shelf lists." 

Subject Files. Records arranged and filed according to 

their general informational or subject content. Mainly 

letters and memorandums, but also forms, reports, and 

other material, all relating to program and 

administrative fimctions, not to specific cases. 

Subject-Numeric Filing System. A subject 

classification system in which the main topics are 

arranged alphabetically and the subdivisions, i.e., 

secondary (second) and tertiary (third) are coded 

A - 5 
Appendix A 

October 1995 

numerically. For example, "Persoimel 8" might stand 

for "Hours of Duty." This system may be modified by 

combining it with the mnemonic filing system so that, 

for example, "Personnel 8" would become "PER 8." 

Primary Subjects are the prime or major subject 

designations that identify and describe groups of 

related records. 

Secondary Subjects are one or more related subjects 

that have been created or established by the division 

of a primary subject. 

Tertiary Subjects are one or more related subjects 

that have been created or established by the division 

of a secondary subject. 

System Backup. Copy of off-line storage media of 

software and data stored on direct access storage 

devices in a computer system, used to recreate a system 

and its data in case of unintentional loss of data or 

software. 

Technical Reference Files. Nonrecord copies of 

articles, periodicals, reports, studies, vendor catalogs, 

and similar materials that are needed for reference and 

information but are not properly part of the office's 

records. 

Temporary Records. Any Federal record that the 

Archivist of the United States has determined to have 

insufficient value to warrant its preservation by the 

National Archives and Records Administration. [36 

CFR 1220.14] 

Transmission and Recdpt Data. 

Vital Records. Records essential to the continued 

fimctioning or reconstitution of an organization during 

and after an emergency; also, those records essential to 

protecting the rights and interests of that organization 

and of the individuals directly affected by its activities. 

Sometimes called essential records. Include both 

emergency-operating and rights-and-interests records. 

Vital record considerations are part of an agency's 

records disaster prevention and recovery program. 

Washington National Records Center. The Federal 

Records Center for the inactive permanent records 

(except those located in the National Archives) and 

temporary Federal records for offices located in the 

Washington metropolitan area. 

(a) Transmission Data. Information in E-mail 

systems regarding the identities of sender and 

addressee(s), and the date and time messages 

were sent. 

(b) Receipt Data. Information in E-mail systems 

regarding date and time of receipt of a 

message, and/or acknowledgement of receipt or 

access by addressee(s). 

Unscheduled Records. Records for which no ultimate 

disposition has been determined. 

A - 6 
Appendix B 

October 1995 

Appendix B 

Records Schedules User's Guide 

General Records Schedules (GRS) 

AMS File Codes - Cross Reference 

The GRS, issued by the Archivist of the United States, is a collection of 23 separate, 

functional schedules, and provides disposal authorization for temporary records 

common to most Federal agencies. They include records relating to civilian 

personnel, fiscal accounting, procurement, communications, printing, and other 

common functions; and certain nontextual records. These records comprise an 

estimated one-third of the total volume of records created by Federal agencies. 

The use of the GRS is legally mandatory. The disposition instructions in the GRS are 

to be implemented without further approval from the National Archives and Records 

Administration (NARA), and must be used by AMS to the greatest extent possible. 

Because these schedules are designed to cover records common to several agencies, 

the records descriptions are general. A complete copy of the GRS is located in this 

Appendix. The AMS Records Management Office will continue to update the GRS as 

changes occur. The entire GRS publication is also available electronically. 

The GRS record series' titles have been assigned AMS file codes for use in an 

organization's files plans. They have been incorporated at the beginning of this 

Appendix as a section titled, "AMS File Codes - Cross Reference." This crossreference will be updated periodically to coincide with the new and changed GRS 

items. 

AMS-Unique Records Schedules 

The GRS does not cover all records accumulating in AMS. It must be supplemented 

by schedules for AMS program-specific records. To cover records not included in 

the GRS, AMS must schedule these records and obtain NARA approval. In this 

Appendix, the AMS-unique records schedules are organized according to the AMS 

filing code system, and include the record series description, disposition instructions, 

and the NARA-approved authority. These schedules are separated into 13 sections, 

either by organization (Cotton, Dairy, etc.) or by the AMS-unique function (Market 

News, Commodity Procurement, etc.). The AMS Records Management Officer 

should be notified as soon as new or changed mission requirements are known, in 

order to schedule the accumulating documentation. 

B- 1 
Appendix B 

October 1995 

Abbreviations 

AD - Agriculture Department Form 

AMS - Agricultural Marketing Service, USDA 

CY - Calendar Year 

D/S/0 - Destroy/delete when discontinued, superseded or obsolete. 

ERO - Executive Resources Office, AMS 

FPM - Federal Personnel Manual 

FRC - Federal Records Center 

FY - Fiscal Year 

GAO - General Accounting Office 

GRS - NARA's General Records Schedule 

HQ - Headquarters 

1MB - Information Management Branch, ERO, AMS 

LAW - In Accordance With 

N/A - Not Applicable 

NARA - National Archives and Records Administration 

NAU - Destroy or delete when no longer needed for administrative use. 

NCI - NARA-Approved Exemption to GRS Records Retention Period 

NFC - National Finance Center 

NLT - No Later Than 

NPRC - National Personnel Records Center; St. Louis, MO 

OF - Optional Form 

OPF - Official Personnel Folder 

0PM - Office of Personnel Management 

S/0 - Destroy or delete when superseded or obsolete. 

SES - Senior Executive Service 

SF - Standard Form 

TBD - To Be Determined 

USDA - United States Department of Agriculture 

B - 2 
Appendix B, GRS Cross Reference 

October 1995 

General Records Schedules (GRS) 

AMS File Codes - Cross Reference 

Organization & Information Management 

Records GRS 23 & 16 

1000 Office Administrative Files 23 (1) 

1010 Schedules of Daily Activities ... . 23 (5) 

1020 Suspense Files 23 (6) 

1030 Transitory Files 23 (7) 

1040 Tracking & Conti^ol Records ... . 23 (8) 

1050 Finding Aids (or Indexes) 23 (9) 

1060 Administrative Issuances 16 (1) 

1070 Records Disposition Files .^ . . . . 16 (2) 

1080 Forms Files 16 (3) 

1090 Records Holdings Files 16 (4) 

1100 Project Control Files 16 (5) 

1110 Reports Control Files 16 (6) 

1120 Records Management Files 16 (7) 

1130 Committee & Conference Files .. . 16 (8) 

1140 FeasibiUty Studies 16 (9) 

1150 Microform Inspection Records .. . 16 (10) 

1160 IRM Triennial Review Files 16 (11) 

1170 Information Collection Budget Files 16 (12) 

1180 Documents Published in the Federal 

Register 16 (13) 

1190 Management Control Records ... . 16 (14) 

Procurement, Supply & Grant Records . . . GRS 3 

2200 General Correspondence Files 3 (2) 

2200-1 Real Property Files 3 (1) 

2200-2 Routine Procurement Files 3 (3) 

2200-3 Supply Management Files 3 (4) 

2200-4 Solicited & Unsolicited Bids & 

Proposals Files 3 (5) 

2200-5 PubUc Printer Files 3 (6) 

2200-6 Nonpersonal Requisition File 3 (7) 

2200-7 Inventory Requisition File 3 (8) 

2200-8 Inventory Files 3 (9) 

2200-9 Telephone Records 3 (10) 

2200-10 Contractors' Payroll Files 3 (11) 

2200-11 Tax Exemption Files 3 (12) 

2200-12 Unsuccessful Grant Application 

Files 3 (13) 

2200-13 Grant Administrative Files 3 (14) 

2200-14 Contract Appeals Case Files 3 (15) 

2200-15 Contractor's Statement of 

Contingent or Odier Fees 3 (16) 

2200-16 Small & Disadvantaged Business 

Utilization Files 3 (17) 

Property Disposal Records GRS 4 

2300 Property Disposal Correspondence 

Files 4 (1) 

2300-1 Excess Personal Property Reports . . 4 (2) 

2300-2 Surplus Property Case Files 4 (3) 

2300-3 Real Property Files 4 (4) 

Travel & Transportation Records GRS 9 

2310 General Travel & Transportation 

Files 9 (4) 

2310-1 Commercial Freight & Passenger 

Transportation Files 9 (1) 

2310-2 Lost or Damaged Shipments Files . . 9 (2) 

2310-3 Noncommercial, Reimbursable 

Travel Files 9 (3) 

2310-4 Records Relatmg to Official 

Passports 9 (5) 

Motor Vehicle Maintenance & Operation 

Records GRS 10 

2400 Motor Vehicle Correspondence Files 10 (1) 

2400-1 Motor Vehicle Operating & 

Maintenance Files 10 (2) 

2400-2 Motor Vehicle Cost Files 10 (3) 

2400-3 Motor Vehicle Report Files 10 (4) 

2400-4 Motor Vehicle Accident Files ... . 10 (5) 

2400-5 Motor Vehicle Release Files 10 (6) 

2400-6 Motor Vehicle Operator Files ... . 10 (7) 

Space & Maintenance Records GRS 11 

2500 Space & Maintenance General 

Correspondence Files H (1) 

2500-1 Agency Space Files 11 (2) 

2500-2 Directory Service Files 11 (3) 

2500-3 Credentials Files 11 (4) 

2500-4 Building & Equipment Service Files 11 (5) 

Conununications Records GRS 12 

2600 Communication General Files ... . 12 (2) 

2600-1 Messenger Service Files 12 (1) 

2600-2 Telecommunications Operational 

Files 12 (3) 

2600-3 Telephone Use Records (Reserved) . 12 (4) 

2600-4 Post Office & Private Mail Company 

Records 12 (5) 

2600-5 Mail & Delivery Service Control 

Files 12 (6) 

B - 3 
Appendix B, GRS Cross Reference 

October 1995 

2600-6 Penalty Mail Report Files 12 (7) 

2600-7 Postal Irregularities Files 12 (8) 

Printing, Binding, Duplication, & 

Distribution Records GRS 13 

2700 Administrative Correspondence Files 13 (1) 

2700-1 Project Files 13 (2) 

2700-2 Control Files 13 (3) 

2700-3 Mailing Lists 13 (4) 

2700-4 JCP Reports Files 13 (5) 

2700-5 Internal Management Files 13 (6) 

Informational Services Records GRS 14 

2750-1 Information Requests Files 14 (1) 

2750-2 Acknowledgement Files 14 (2) 

2750-3 Press Service Files 14 (3) 

2750-4 Information Project Files 14 (4) 

2750-5 Commendation/Complaint 

Correspondence Files 14 (5) 

2750-6 Indexes & Check Lists 14 (6) 

Freedom of Information Act (FOIA) 

Records GRS 14 (11-15) 

2760 FOIA Administrative Files 14 (15) 

2760-1 FOIA Requests Files 14 (11) 

2760-2 FOIA Appeals Files 14 (12) 

2760-3 FOIA Control Files 14 (13) 

2760-4 FOIA Reports Files 14 (14) 

Privacy Act Records GRS 14 (21-26) 

2770 Privacy Act General Administrative 

Files 14 (26) 

2770-1 Privacy Act Requests Files 14 (21) 

2770-2 Privacy Act Amendment Case Files 14 (22) 

2770-3 Privacy Act Accounting of 

Disclosure Files 14 (23) 

2770-4 Privacy Act Control Files 14 (24) 

2770-5 Privacy Act Reports Files 14 (25) 

Mandatory Review for Declassification 

Records GRS 14 (31-35) 

2780 Mandatory Review for Declassification 

Administrative Files 14 (35) 

2780-1 Mandatory Review for Declassification 

Requests Files 14 (31) 

2780-2 Mandatory Review for Declassification 

Appeals Files 14 (32) 

2780-3 Mandatory Review for Declassification 

Control Files 14 (33) 

2780-4 Mandatory Review for Declassification 

Reports Files 14 (34) 

2785 Erroneous Release Files 14 (36) 

Housing Records GRS 15 

2790 Housing General Correspondence 

Files 15 (1) 

2790-1 Housing Maintenance & Repair Files 15 (2) 

2790-2 Housmg Management Files 15 (3) 

2790-3 Housing Lease Files 15 (4) 

2790-4 Housing Assignment & Vacancy 

Card FUes 15 (5) 

2790-5 Housing Inventory Files 15 (6) 

2790-6 Housing Application Files (Other 

than Copies in Lease Files) 15 (7) 

Security & Protective Services Records . . GRS 18 

Classified Information Accounting & 

Control Records GRS 18 (1-7) 

2800 Classified Documents Administrative 

Correspondence Files 18 (1) 

2800-1 Document Receipt Files 18 (2) 

2800-2 Destruction Certificates Files ... . 18 (3) 

2800-3 Classified Document Inventory Files 18 (4) 

2800-4 Top Secret Accounting & Control 

Files 18 (5) 

2800-5 Access Request Files 18 (6) 

2800-6 Classified Document Container 

Security Files 18 (7) 

Facilities Security & Protective Services 

Records GRS 18 (8-20) 

2830 Security & Protective Services 

Administrative Correspondence . . 18 (8) 

2830-1 Survey & Inspection Files 

(Government-Owned Facilities) . . 18 (9) 

2830-2 Survey & Inspection Files (PrivatelyOwned Facilities) 18 (10) 

2830-3 Investigative Files 18 (11) 

2830-4 Property Pass Files 18 (12) 

2830-5 Guard Assignment Files 18 (13) 

2830-6 Police Functions Files 18 (14) 

2830-7 Personal Property Accountability 

Files 18 (15) 

2830-8 Key Accountability Files 18 (16) 

2830-9 Visitor Control Files 18 (17) 

2830-10 Facilities Checks Files 18 (18) 

2830-11 Guard Service Control Files 18 (19) 

2830-12 Logs & Registers 18 (20) 

B - 4 
Appendix B, GRS Cross Reference 

October 1995 

Personnel Security Clearance Records GRS 18 (21-25) 

2850 Security Clearance Administrative 

Subject Files 18 (21) 

2850-1 Persoimel Security Clearance Files . 18 (22) 

2850-2 Personnel Security Clearance Status 

Files 18 (23) 

2850-3 Security Violations Files 18 (24) 

2850-4 Classified Information Nondisclosure 

Agreements 18 (25) 

Emergency Planning Records ... . GRS 18 (26-29) 

2860 Emergency Planning Administrative 

Correspondence Files 18 (26) 

2860-1 Emergency Planning Case Files .. . 18 (27) 

2860-2 Emergency Operations Tests Files . 18 (28) 

2860-3 National Defense Executive Reserve 

(NDER) Case Files 18 (29) 

Inspector General Records GRS 22 

2870-1 Investigative Case Files for Civilian 

Agencies Other Than the Central 

Intelligence Agency 22 (1) 

2870-2 Audit Case Files of Civilian 

Agencies Other Than the Central 

Intelligence Agency 22 (2) 

Civilian Personnel Records GRS 1 

3000 Persoimel Correspondence Files .. . 1 (3) 

3010 Official Personnel Folders 1 (1) 

3020 Service Record Cards 1 (2) 

3030 Offers of Employment Files 1 (4) 

3040 Certificate of Eligibles Files 1 (5) 

3050 Employee Record Cards 1 (6) 

3060 Position Classification Files 1 (7) 

3070 Interview Records 1 (8) 

3080 Performance Rating Board Case Files 1 (9) 

3090 Temporary Individual Employee 

Records 1 (10) 

3100 Position Identification Strips 1 (11) 

3110 Employee Awards Files 1 (12) 

3120 Incentive Awards Program Reports 1 (13) 

3130 Notifications of Personnel Actions . 1 (14) 

3140 Employment Applications 1 (15) 

3150 Personnel Operations Statistical 

Reports 1 (16) 

3160 Correspondence & Forms Files .. . 1 (17) 

3170 Supervisors' Persoimel Files & 

Duplicate OPF Documentation . . 1 (18) 

3180 Individual Non-Occupational Healdi 

Record Files 1 (19) 

3190 Health Unit Control Files 1 (20) 

3200 Employee Medical Folder (EMF) . . 1 (21) 

3210 Statistical Summaries 1 (22) 

3220 Employee Performance File System 

Records 1 (23) 

3230 Financial Disclosure Reports ... . 1 (24) 

3240 Equal Employment Opportunity 

Records 1 (25) 

3250 Personnel Counseling Records .. . 1 (26) 

3260 Standards of Conduct Files 1 (27) 

3270 Labor Management Relations 

Records 1 (28) 

3280 Training Records 1 (29) 

3290 Administrative Grievance, Disciplinary 

& Adverse Action Files 1 (30) 

3300 Personal Injury Files 1 (31) 

3310 Merit Promotion Case Files 1 (32) 

3320 Examining & Certification Records 1 (33) 

3330 Occupational Injury & Illness Files . 1 (34) 

3340 Denied Health Benefits Requests 

Under Spouse Equity 1 (35) 

3350 Federal Workplace Drug Testing 

Program Files 1 (36) 

3360 Donated Leave Program Case Files 1 (37) 

3370 Wage Survey Files 1 (38) 

3380 Retirement Assistance Files 1 (39) 

3390 Handicapped Individuals Appointment 

Case Files 1 (40) 

3400 Pay Comparability Records 1 (41) 

Payrolling & Pay Administration Records . . GRS 2 

3500 Payroll 2 (1-2) 

3510 Individual Employee Pay Record ... . 2 (1) 

3520 Non-Current Payroll Files 2 (2) 

Time & Attendance GRS 2 (6-9) 

3610 Leave Application Files 2 (6) 

3620 Time & Attendance Source Records 2 (7) 

3630 Time & Attendance Input Records . . 2 (8) 

3640 Leave Record 2 (9) 

Deductions, Allotments, & Electronic Funds 

Transfers GRS 2 (13-18) 

3710 Tax Files 2 (13) 

3720 Savings Bond Purchase Files ... . 2 (14) 

3730 Combined Federal Campaign & 

Other Allotment Authorizations . . 2 (15) 

3740 Thrift Savings Plan Election Form . 2(16) 

3750 Direct Deposit Sign-Up Form 

(SF-1199A) 2(17) 

3760 Levy & Garnishment Files 2 (18) 

B - 5 
Appendix B, GRS Cross Reference 

October 1995 

Payroll Administi-ation GRS 2 (22-24) 

3810 Payroll System Reports 2 (22) 

3820 PayroU Change Files 2 (23) 

3830 Payroll Correspondence 2 (24) 

Retirement GRS 2 (28) 

3910 Retirement Files 2 (28) 

Budget Preparation, Presentation, & 

Apportionment Records GRS 5 

4000 Budget Correspondence Files 5 (1) 

4010 Budget Background Records 5 (2) 

4020 Budget Reports Files 5 (3) 

4030 Budget Apportionment Files 5 (4) 

Accountable Officers' Accounts Records . . . GRS 6 

4110 Accountable Officers' Files 6 (1) 

4120 GAO Exceptions Files 6 (2) 

4130 Certificates Settiement Files 6 (3) 

4140 General Fund Files 6 (4) 

4150 Accounting Administrative Files .. . 6 (5) 

4160 Federal Personnel Surety Bond Files . 6 (6) 

4170 Gasoline Sales Tickets 6 (7) 

4180 Telephone Toll Tickets 6 (8) 

4190 Telegrams 6 (9) 

4210 Administrative Claims Files 6 (10) 

4220 Waiver of Claims Files 6 (11) 

Expenditure Accounting Records GRS 7 

4310 Expenditures Accounting General 

Correspondence & Subject Files . . 7 (1) 

4320 General Accounting Ledgers 7 (2) 

4330 Appropriation Allotment Files 7 (3) 

4340 Expenditure Accounting Posting and 

Control Files 7 (4) 

Stores, Plant, & Cost Accounting Records . GRS 8 

4410 Plant, Cost, and Stores General 

Correspondence Files 8 (1) 

4420 Stores Invoice Files 8 (2) 

4430 Stores Accounting Files 8 (3) 

4440 Stores Accounting Background Files . 8 (4) 

4450 Plant Accounting Files 8 (5) 

4460 Cost Accounting Reports 8 (6) 

4470 Cost Report Data Files 8 (7) 

Electronic Records GRS 20 

5010 Files/Records Relating to the Creation, 

Use, and Maintenance of Computer 

Systems, Applications, or 

Electronic Records 20 (1) 

5020 Input/Source Records 20 (2) 

5030 Electronic Versions of Records 

Scheduled for Disposal 20 (3) 

5040 Data Files Consisting of Summarized 

Information 20 (4) 

5050 Records Consisting of Extracted 

Information 20 (5) 

5060 Print File 20 (6) 

5070 Technical Reformat File 20 (7) 

5080 Backups of Files 20 (8) 

5090 Finding Aids (or Indexes) 20 (9) 

5100 Special Purpose Programs 20 (10) 

5110 Documentation 20 (11) 

5120 Downloaded & Copied Data 20 (12) 

5130 Word Processing Files 20 (13) 

5140 Electronic Mail Records 20 (14) 

5150 Electronic Spreadsheets 20 (15) 

Audiovisual Records GRS 21 

5210 Still Photography 21 (1-4) 

5220 Graphic Arts 21 (5-8) 

5230 Motion Picbires 21 (9-13) 

5240 Video Recordings 21 (14-21) 

5250 Audio (Sound) Recordings ... . 21 (22-27) 

5260 Related Documentation 21 (28-29) 

Cart(^raphic, Aerial Photographic, 

Architectural, & Engineering Records . . GRS 17 

5310 Cartographic Records Prepared 

During Intermediate Stages of 

Publication 17 (1) 

5320 Vertical & Oblique Aerial 

Photography 17 (2) 

5330 Architectural Drawings of Temporary 

Structures <& Buildings or of 

Buildings Not Critical to the 

Mission of the Agency 17 (3) 

5340 Drawings of Electrical, Plumbing, 

Heating, or Air Conditioning 

Systems 17 (4) 

5350 Contract Negotiation Drawings .. . 17 (5) 

5360 Space Assignment Plans 17 (6) 

5370 Architectural Models 17 (7) 

5380 Engineering Drawings of Routine 

Mbor Parts 17 (8) 

5390 Drawings Reflecting Minor 

Modifications 17 (9) 

5400 Paint Plans & Samples 17 (10) 

B - 6 
Appendix C, AMS Forms Index 

October 1995 

Appendix C 

Forms Retention Requu'ements Index 

The Forms Retention Requirements Index is a supplement to the records schedules, and will 

be updated periodically to include new and changed forms or requirements. The records 

retention requirements are not for the blank forms, but for the value of the information 

contained on the form. Since the majority of the information recorded in AMS constitutes 

forms, the AMS Records Management Office utilized the AMS Forms Catalog to develop a 

Forms Retention Requirements Index. AMS offices have already determined the need, or 

requirement, for forms for recording agency information through the Administrative Issuance 

Program; now, AMS personnel must assign a value to this record by determining where it 

fits into the current records schedules. The policy and responsibilities for administering the 

AMS Records Management Program are outlined in AMS Directive 270.1, dated 11/8/93. 

The Forms Retention Requirements Index is divided into nine (9) sections. Each section 

itemizes records retention requirements for AMS organizational Divisions/Staffs, using 

current AMS-unique form numbers. For example: 

Under the Fruit and Vegetable Division (FV) section, the form FV-374 is to 

be maintained in the office of record for three (3) years after cutoff. Usually, 

offices have either calendar year (CY) or fiscal year (FY) cutoff dates. This 

disposition is authorized by the National Archives under NCI 136-80-1, Item 

24, and is indicated under the "Disposition Authority" column. 

The term "Unscheduled" in the "Disposition Authority" column indicates, at 

this time, either the disposition is not authorized, or the associated 

Divisions/Staffs have not decided what are the appropriate retention 

requirements. Until a decision has been made, these records must be 

maintained in the organization until further notice. 

NOTE: General retention periods for Standard Forms (SF) and Optional Forms (OF) are 

located in an index of the General Records Schedule (GRS). The GRS is a collection of 23 

schedules issued by the National Archives to provide disposal authorization for temporary 

records common to most Federal agencies. 

The Forms Retention Requirements Index is intended to be used as a ready reference guide, 

and as a supplement to the AMS Records Management Handbook. The listed, authorized 

values are all contained in records schedules approved by the National Archives, either in the 

GRS, or in AMS-unique schedules. 
Appendix C, AMS Forms Index 

October 1995 

Forms Retention Requirements Index 

Table of Contents 

Agency (AMS & APHIS Forms) 1 - 5 

Cotton Division (CN) 7 - 10 

Dairy Division (DY) 11-14 

Fruit & Vegetable Division (FV) 15-30 

Livestock and Seed Division (LS) 31-37 

Poultry Division (PY) 39-42 

Science Division (SD) 43-48 

Tobacco Division (TB) 49-50 

Transportation &. Marketing Division (TMD) 51 

Footnotes 53-54 

m 
Appendix C, AMS Forms Index 

October 1995 

Deflnitions 

1. Records: "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." 

Using simple terms, the above could be summarized as follows, ff you create 

information or receive it from outside your agency (regardless of the form), one 

copy is the agency record copy. 

2. Form Number: The number assigned to all currently approved and required AMS 

administrative, staff, and program division forms. 

3. T^le: Title as shown on form. 

4. Disposition: The actions taken by the office of record regarding records no longer 

needed for current Government business. These actions include: a) transfer to 

Federal Records Centers; b) transfer from one agency to another; c) transfer of 

permanent records to the National Archives; and, d) disposal instructions of 

temporary records. 

5. Disposition Authority: The legal approval empowering AMS to transfer permanent 

records to the National Archives or carry out die disposal instructions of temporary 

records. This authority must be obtained from NARA, and also for certain 

temporary records, from the General Accounting Office (GAO). The number 

enclosed in bracket (e.g., [1000]) is the file code used as a cross-reference. 

6. General Records Schedule (GRS): The GRS is a NARA-issued comprehensive 

schedule, consisting of 23 separate functional schedules, governing the disposition of 

specified records common to several or all agencies. 

7. Unscheduled: Under the disposition authority column, these records have not been 

approved, or scheduled, for disposition by the National Archives. Therefore, these 

records must be retained in the record office until their disposition is authorized. 

For assistance in scheduling these records, please contact the AMS Records 

Management Officer, Information Management Branch, Executive Resources Office, 

through the appropriate organizational channels. 
Appendix C, AMS Forms Index 

October 1995 

Abbreviations 

AD - Agriculture Department Form 

AMS - Agricultural Marketing Service, USDA 

CY - Calendar Year 

D/S/0 - Destroy/delete when discontinued, superseded or obsolete. 

ERO - Executive Resources Office, AMS 

FPM - Federal Personnel Manual 

FRC - Federal Records Center 

FY - Fiscal Year 

GAO - General Accounting Office 

GRS - NARA's General Records Schedule 

HQ - Headquarters 

lAW - In accordance with 

1MB - Information Management Branch, ERO, AMS 

N/A - Not Applicable 

NARA - National Archives and Records Administration 

NAU - Destroy or delete when no longer needed for administrative use. 

NCI - NARA-Approved Exemption to GRS Records Retention Period 

NFC - National Finance Center 

NLT - No later than 

NPRC - National Personnel Records Center; St. Louis, MO 

OF - Optional Form 

OPF - Official Personnel Folder 

0PM - Office of Personnel Management 

S/0 - Destroy or delete when superseded or obsolete. 

SES - Senior Executive Service 

SF - Standard Form 

TBD - To be determined 

USDA - United States Department of Agriculture 

VI 
AMS Forms Index 

October 1995 

Forms Retention 

Requirements Index 

AGRICULTURAL MARKETING SERVICE (AMS) 

FORM 

NUMBER 

AMS-1 

AMS-4 

AMS-12R 

AMS-20 

AMS-20-1 

AMS-20-2 

AMS-20-3 

AMS-20-4 

AMS-22 

AMS-24-1 

AMS-24-2 

TITLE 

Miscellaneous Payments 

Request for Authorization of Relocation 

Expenses 

Conflicts of Interest and Outside Employment 

Certification 

Cooperative Agreement (State Agency) 

Cooperative Agreement (Cooperator) 

Cooperative Agreement - Statement of Work 

Amendment to Cooperative Agreement 

Continuation Sheet 

Foreign Travel Addendum 

Application for Promotion/Reassignment(Part I-Work History) 

Application for Promotion/ Reassignment 

(Part II-Experience, Training and Awards) 

DISPOSITION 

6 years -1- 3 

months 

6 years + 3 

months 

6 years 

See Note' 

See Note' 

See Note' 

See Note' 

See Note' 

6 years + 3 

months 

After OPM audit 

or 2 years after 

the personnel 

action is 

completed, 

whichever is 

sooner 

After OPM audit 

or 2 years after 

the personnel 

action is 

completed, 

whichever is 

sooner 

DISPOSniON 

AUTHORITY 

GRS 6, Item la 

[4110a] 

GRS 6, Item la 

[4110a] 

GRS 1, Item 24b 

[3230(b)] 

NCI 136-83-2 

Item 7 [6170] 

NCI 136-83-2 

Item 7 [6170] 

NCI 136-83-2 

Item 7 [6170] 

NCI 136-83-2 

Item 7 [6170] 

NCI 136-83-2 

Item 7 [6170] 

GRS 6, Item la 

[4110a] 

GRS 1, Item 32 

[3310] 

GRS 1, Item 32 

[3310] 
AMS Forms Index 

October 1995 

AGRICULTURAL MARKETING SERVICE (AMS) 

FORM 

NUMBER 

AMS-29 

AMS-32 

AMS-50 

AMS-71 

AMS-85 

AMS-87 

AMS-100 

AMS-162 

AMS-180 

AMS-188 

AMS-199 

AMS-200 

AMS-313 

AMS-409 

AMS-430 

TITLE 

Publications Notice 

Notice for Reorder of Form 

Detail of Personnel Conq)eTisafion 

Summary of Information Collection 

Request for Approval to Produce Publication 

Checklist for Preparation of a request for 

0MB review 

ID Card for Tobacco Grading Supervisor, 

Meat Grading Supervisor, and Review 

Officer 

Examination Worksheet for Determining Net 

Weight 

Request for Clearance of Cooperative 

Document 

Printing Request 

Compliance Officer ID 

Authorization Card 

Report on Consideration of Application 

Market News Subscription Request 

Status of Employment 

DISPOSITION 

3 years after 

publication date 

When related 

form is D/S/0 

1 year after FY 

covered by 

budget 

7 years 

3 years after 

publications date 

2 years after 

report is 

discontinued 

3 months after 

return to issuing 

office 

6 years and 3 

months 

See Note' 

1 year after 

completing job 

3 months after 

return to issuing 

office 

When related 

form is D/S/0 

2 years 

5 years 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 

Item 7b [6050b] 

GRS 16, Item 3b 

[1080b] 

GRS 5, Item 2 

[4010] 

GRS 16, Item 12 

[1170] 

NCI 136-79-1 

Item 7b [6050b] 

GRS 16, Item 6 

[1110] 

GRS 11, Item 4a 

[2500-3a] 

NCI 136-83-2 

Item 24 [7530] 

NCI 136-83-2 

Item 7 [6170] 

GRS 13, Item 2a 

[2700-la] 

GRS 11, Item 4a 

[2500-3a] 

GRS 16, Item 3b 

[1080b] 

GRS 1, Item 32 

[3310] 

NCI 136-79-1 

Item la [6000a] 

GRS 5, Item 3b 

[4020b] 
AMS Forms Index 

October 1995 

AGRICULTURAL MARKETING SERVICE (AMS) 

FORM 

NUMBER 

AMS-453 

AMS-541 

AMS-550-3 

AMS-557 

AMS-570 

AMS-571 

AMS-631 

AMS-633 

AMS-634 

AMS-635 

AMS-636 

TITLE 

Orientation Training Checklist 

Bill for Collection 

Object Class Detailed Obligation Planning 

Worksheet 

Summary of Staff-Years, Positions, and 

Employment by Fund and Activity 

Civil Rights Compliance Review 

Agency Energy 

Check Transmittal 

Request for Validation of Need on LowUsage Form 

Form Action Request 

Request for Clearances/Approval of Issuance 

Nomination for AMS Special Emphasis 

Award 

DISPOSITION 

3 years 

6 years + 3 

months 

1 year after FY 

covered by 

budget 

1 year after FY 

covered by 

budget 

Disposition not 

authorized. 

Retain until 

fiirther notice. 

Disposition not 

authorized. 

Retain until 

further notice. 

6 years + 3 

months 

When related 

form is D/S/0 

When related 

form is D/S/0 

When issuance is 

destroyed 

2 years after 

approval / 

disapproval 

DISPOSITION 

AUTHORITY 

GRS 1, Item 3 

[3000] 

GRS 6, Item la 

[4110a] 1 

GRS 5, Item 2 

[4010] 

GRS 5, Item 2 

[4010] 

Unscheduled 

Unscheduled 

GRS 6, Item la 

[4110a] 

GRS 16, Item 3b 

[lOSOb] 

GRS 16, Item 3b 

[1080b] 

GRS 16, Item lb 

[1060b] 

GRS 1, Item 12a(l) 

[3110a(l)] 
AMS Forms Index 

October 1995 

AGRICULTURAL MARKETING SERVICE (AMS) 

FORM 

NUMBER 

AMS-637 

AMS-637A 

AMS-638 

AMS-640 

AMS-959 

APHIS-64 

TITLE 

Appointments Above the Minimum Rate 

NOTE: Filed on die right side of die OPF 

which is held by FSO. 

Salary Computation Sheet for Appointments 

Above the Minimum Rate 

NOTE: Filed on die right side of die OPF 

which is held by FSO. 

Payment of Travel and Transportation 

Expenses 

Progress Under the Resource Conservation 

and Recovery Act (RCRA) 

Employee Flexitime Log 

Motor Vehicle Operations Report 

DISPOSITION 

a. Transfers -

See FPM for 

iostructions. 

b. Separations -

Transfer OPF to 

NPRC 3D days 

after separation. 

NPRC will 

destroy 65 years 

after separation 

from Federal 

Service 

a. Transfers -

See FPM for 

instructions. 

b. Separations -

Transfer OPF to 

NPRC 30 days 

after separation. 

NPRC will 

destroy 65 years 

after separation 

from Federal 

Service 

6 years 

Disposition not 

authorized. 

Retain until 

further notice. 

After GAO audit 

or 6 years, 

whichever is 

sooner 

3 years after date 

of report 

DISPOSITION 

AUTHORiry 

a. GRS 1, Item la 

[3010a] 

b. GRS 1, Item lb 

[3010b] 

a. GRS 1, Item la 

[3010a] 

b. GRS 1, Item lb 

[3010b] 

GRS 9, Item 3a 

[2310-3a] 1 

Unscheduled 

GRS 2, Item 7 

[3620] 

GRS 10, Item 4 

[2400-3] 
AMS Forms Index 

October 1995 

AGRICULTURAL MARKETING SERVICE (AMS) 

FORM 

NUMBER 

APHIS-114 

APHIS-123 

iiiill|ji!iililiiiiliiiiliiilii§^ 

Request to Establish, Close, or Relocate 

Facilities 

Motor Vehicle Operations Record 

DISPOSITION 

2 years after 

termination of 

assignment, or 

when lease is 

cancelled, or 

when plans are 

S/O 

1 year 

DISPOSITION 

AUTHORITY 

GRS 11, Item 2a 

[2500-la] 

GRS 10, Item 2b 

[2400-lb] 
Cotton Forms Index 

October 1995 

COTTON DIVISION (CN) 

FORM 

NUMBER 

CN-1 

CN-2 

CN-5 

CN-24 

CN-29 

CN-59 

CN-60 

CN-62 

CN-62-1 

CN-69 

CN-70 

CN-76-8 

CN-84 

CN-85 

CN-87 

TITLE 

Bill for Collection 

Bill for Collection (Automated) 

Order Blank for High Volume Instrument 

(HVI) 

Staple Bale Information 

Cottonseed Sampling Report 

Cotton Sampling Inspection Report 

Visits to Gins or Warehouses Not Sanq>ling 

Order Blank for Samples of International 

Calibration Cotton Standards 

Order Blank for Samples of International 

Calibration Cotton Standards 

Cotton Testing Service Record 

Authority to Report for Duty 

Official Cotton T inters Standards of the U.S. 

Color Diagram for Nickerson-Hunter Cotton 

Colorimeter-Spinlab Model-Stds. for 

American Pima Cotton 

Color Diagram for Nickerson-Hunter Cotton 

Colorimeter-Spinlab Model-Stds. for 

American Upland Cotton 

Color Diagram for Nickerson-Hunter Cotton 

Colorimeter-Spinlab Model-Stds. for 

American Upland Cotton 

DISPOSITION 

3 years 

3 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

2 years 

4 years 

4 years 

4 years 

4 years 

DISPOSITION 

AUTHORITY 

GRS 7, Item 4a 

[4340a] 

GRS 7, Item 4a 

[4340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1, Item 

43j & 43b [6340b/j] 

NCI 136-79-1 

Item 38e [6290e] 

NCI 136-79-1 

Item 47g [6380g] 

NCI 136-79-1 

Item 47g [6380g] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340al 

NCI 136-79-1 

Item 50 [6410] 

GRS 9, Item 4a 

[2310a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43b [6340b] 

NCI 136-79-1 

Item 43b [6340b] 

NCI 136-79-1 

Item 43b [6340b] 
Cotton Forms Index 

October 1995 

COTTON DIVISION (CN) 

liiiiiiiiiiiii 

NUMBER 

CN-90 

CN-116 

CN-117 

CN-117-2 

CN-229 

CN-237 

CN-245 

CN-246 

CN-247 

CN-248 

CN-250-1 

CN-250-2 

CN-250-3 

CN-250-4 

CN-261 

CN-261-1 

CN-261-2 

illlllllilll 

Classification Summary of Form A Claim 

Cotton 

Special Condition or Irregular Bale 

Identification 

Cotton Identification 

Cotton Classification Memorandum Form 1 

(HVI) 

Field Office Weekly Report 

License (Cotton Sampler) 

Application for Practical Forms of Cotton 

Linters Standards 

Application for License to Sample Cotton 

Under the United States Cotton Standards Act 

Application for Practical Classing Examination and Certificate 

Application for Cottonseed Chemist or 

Cottonseed Sampler License 

1-5/16" Staple Label (American Upland) 

1-3/8" Staple Label (American Pima) 

1-7/16" Staple Label (American Pima) 

1-1/2" Staple Label (American Pima) 

Official Cotton Standards of die U.S. 

(American Pima) 

Grade Label 1 (American Pima) 

Grade Label 2 (American Pima) 

DISPOSITION 

4 years 

S/0 

S/0 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 

Item 48f [63901] 

NCI 136-79-1 

Item 47c [6380c] 

NCI 136-79-1 

Item 47c [6380c] 

NCI 136-79-1 

Item 42c [6330c] 

NCI 136-79-1 

Item 36c [6270c] 

NCI 136-79-1 

Item 39a [6300a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 39a [6300a] 

NCI 136-79-1 

Item 36a [6270a] 

NCI 136-79-1 

Item 39a [6300a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340al 
Cotton Forms Index 

October 1995 

COTTON DIVISION (CN) 

FORM 

NUMBER 

CN-261-3 

CN-261-4 

CN-261-5 

CN-261-6 

CN-277 

CN-326 

CN-327 

CN-332 

CN-336 

CN-351-1 

CN-351-2 

CN-351-3 

CN-351-4 

CN-351-5 

CN-351-6 

CN-351-7 

CN-351-8 

TITLE 

Grade Label 3 (American Pima) 

Grade Label 4 (American Pima) 

Grade Label 5 (American Pima) 

Grade Label 6 (American Pima) 

Supervisory Results for Airflow Instrument 

Supervisory Sample Tag 

License (Cottonseed Sampler) 

Cottonseed Sampler's Bond 

Fiber I .ength—Array Mefliod 

Good Middling White Color (ll)/Leaf Grade 

(1) 

Strict Middling White Color (21)/I^Jif Grade 

(2) 

Middling White Color (31)/Leaf Grade (3) 

Strict Low Middling White Color (41)/Leaf 

Grade (4) 

Low Middling White Color (51)/Leaf Grade 

(5) 

Strict Good Ordinary White Color (61)/Leaf 

Grade (6) 

Good Ordinary White Color (71)/Leaf Grade 

(7) 

Strict Middling Spotted Color (23) 

DISPOSITION 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 50 [6410] 

NCI 136-79-1 

Item 39a [6300a] 

NCI 136-79-1 

Item 39a [6300a] 

NCI 136-79-1, Item 

43b or 50 [6340b] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 
Cotton Forms Index 

October 1995 

COTTON DIVISION (CN) 

FORM 

NUMBER 

CN-351-9 

CN-351-10 

CN-351-11 

CN-351-12 

CN-351-13 

CN-351-14 

CN-351-15 

CN-353 

CN-354 

CN-357 

CN-358 

CN-360 

CN-378 

CN-383 

CN-417 

TITLE 

Middling Spotted Color (33) 

Strict Low Middling Spotted Color (43) 

Low Middling Spotted Color (53) 

Strict Good Ordinary Spotted Color (63) 

Middling Tinged Color (34) 

Strict Low Middling Tiaged Color (44) 

Low Middling Tinged Color (54) 

Universal Standards for Grades of American 

Upland Cotton 

Form A-Sample Classification Memorandum 

Request for Classification 

Form R-Classification Memorandum 

Classification Comparison Sheet 

Record Sheet 

Application for Practical Forms of Official 

Cotton Standards 

Form D-Sample Classification Memorandum 

DISPOSlilON 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

4 years 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340al 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 48d [6390d] 

NCI 136-79-1 

Item 48c [6390c] 

NCI 136-79-1, Item 

48d&48f[6390d/f| 

NCI 136-79-1 

Item 48c [6390c] 

NCI 136-79-1 

Item 48e [6390e] 

NCI 136-79-1 

Item 43a [6340a] 

NCI 136-79-1 

Item 48d [6390d] 

10 
Dairy Forms Index 

October 1995 

DAIRY DIVISION (DA) 

FORM 

NUMBER 

DA-4 

DA-6 

DA-15R 

DA-19R 

DA-24 

DA-25 

DA-126 

DA-128 

DA-129 

DA-131 

DA-132 

DA-136 

DA-137 

TITLE 

Employee Pay Card 

Administrative Petition Log 

Application for Qualification of State or 

Regional Dairy Product Promotion, 

Research, or Nutrition Education Program 

Nomination of MiUc Producers to Serve on 

the National Dairy Promotion and Research 

Board 

a. Appointed Members File. 

b. "Not Appointed" Potential Member's 

File. 

Annual Report of Cooperative Milk 

Marketing Association 

Application for Qualification of Cooperative 

Milk Marketing Association 

Butter Grading Certificate 

Warehouse Condition Checklist 

Amendment to Gradmg Certificate 

Cheese Grading Certificate 

Cheese Grader's Memorandum 

Dry Milk Grading Certificate 

Dairy Miscellaneous Inspection Report 

DISPOSlilON 

4 years 

5 years 

10 years 

Transfer to FRC 

when 3 years old 

a. 3 years after 

termination of 

individual's 

membership 

from board; or 

b. Immediately 

upon 

rejection/NAU 

2 years 

3 years after 

termination of 

agreement 

3 years 

2 years 

3 years 

3 years 

2 years 

3 years 

2 years 

DISPOSITION 

AUTHORITV 

NCI 136-79-1 

Item 54 [6515] 

NCI 136-79-1 

Item 73 [6700] 

NCI 136-79-1 

Item 32 [9520] 

NCI 136-83-2 

Item 10a (9530a] 

Item 10b 19530b] 

NCI 136-79-1 

Item 71a [6680a] 

NCI 136-83-2 

Item 7b [6170b] 

NCI 136-85-1 

Item 8a [6820a] 

NCI 136-85-1 

Item 8b [6820b] 

NCI 136-85-1 

Item 8a [6820a] 

NCI 136-85-1 

Item 8a [6820a] 

NCI 136-85-1 

Item 8b [6820b] 

NCI 136-85-1 

Item 8a [6820a] 

NCI 136-85-1 

Item 8b [6820b] || 

11 
Dairy Forms Index 

October 1995 

DAIRY DIVISION (DA) 

FORM 

NUMBER 

DA-144 

DA-147 

DA-151 

DA-151a 

DA-151-1 

DA-151-2 

DA-151-3 

DA-151-4 

DA-151-5 

DA-151-6 

DA-151-7 

DA-151-8 

DA-151-9 

DA-151-10 

DA-151-11 

DA-152 

TITLF, 

Milk Quality ~ DMCC Slides 

USDA Product Control 

Plant Survey Report (Page A) 

Plant Survey Report 

Plant Survey Report (Page B - Butter) 

Plant Survey Report (Page C - Cheese) 

Plant Survey Report (Page D - Dry Products) 

Plant Survey Report (Page E - Evaporated 

Milk) 

Plant Survey Report (Page F - Butter 

Packaging) 

Plant Survey Report (Page G - Dry Products 

Blending and Packaging) 

Plant Survey Report (Page H - Instant 

Products) 

Plant Survey Report (Page J - Instant 

Products Packaging) 

Plant Survey Report (Page K - Process 

Cheese) 

Plant Survey Report (Page L) 

Plant Survey Report (Page Z) 

In-Process Inspection Certificates 

DISPOSITION 

5 years 

2 years 

5 years 

5 years 

5 years 

5 years 

5 years 

5 years 

5 years 

5 years 

5 years 

2 years 

5 years 

5 years 

5 years 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 8b [6820b] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 8a [6820a] 

12 
Dairy Forms Index 

October 1995 

DAIRY DIVISION (DA) 

FORM 

NUMBER 

DA-153 

DA-155 

DA-159 

DA-174 

DA-179 

DA-181 

DA-201 

DA-201B 

DA-214 

DA-??5 

DA-226 

DA-226-1 

MO-1 

MA-4 

MO-8 

t ,, TJTT.E . ; - * 

Sample Selection and Test Weighing Record 

AppUcation to Use Official Identification and 

Grading Labels 

Volume of Dairy Products Packaged Witii 

Official Grade ID or Inspection Legend 

Continuous Service Rendered 

Recommendation for Licensing 

Farm Inspection Report 

Grading Certificate 

Application for Butter Grading Service 

Inspection & Laboratory Certificate 

Dairy Products Grading Certificate 

Report of Supervision 

Comparative Grading Worksheet 

Butter/Cheese 

Price and Pool Statistics 

Operating Statement 

Status of Audits and Audits Reviewed 

DISPOSITION 

2 years 

2 years 

2 years 

1 year 

1 year 

5 years 

3 years 

2 years 

3 years 

3 years 

3 years 

3 yeare 

5 years 

Permanent 

3 years or 6 

months after next 

audit, whichever 

is sooner 

DISPOSITION 

AUTHORITY 

NCI 136-85-1 

Item 8b [6820b] 

NCI 136-85-1 

Item 3a [6770a] 

NCI 136-85-1 

Item 3a [6770a] 

NCI 136-85-1, Items 

2a & b [6760a & b] 

NCI 136-85-1 

Item 6a [6800a] 

NCI 136-85-1 

Item 9 [6830] 

NCI 136-85-1 

Item 8a [6820a] 

NCI 136-85-1 

Item 8b [6820b] 

NCI 136-85-1 

Item 8a [6820a] 

NCI 136-85-1 

Item 8a [6820a] 

NCI 136-85-1 

Item lb [6750b] 

NCI 136-85-1 

Item lb [6750b] 

NCI 136-79-1 

Item 62a [6590] 

NCI 136-83-2 

Item 6a(l)(a) 

[6160a(l)(a)] 

NCI 136-79-1 

Item 9a [6070] 

,r^. 

13 
Dairy Forms Index 

October 1995 

DAIRY DIVISION (DA) 

FORM 

NUMBER 

MO-10 

MO-11 

TIFLF 

Report of Receipts of Fluid Milk Produced 

Report of Transfers of Fluid Milk Products 

DISPOSITION 

1 year after end 

of CY prepared 

2 years 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 

Item 27a [9060a] 

NCI 136-79-1 

Item 30a [9090a] 

14 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-1 

FV-2 

FVQ-3 

FVQ-3A 

FV-5 

FV-6 

FV-10 

FV-11 

FV-16 

FVQ-16-2 

FV-27 

TITLE 

Ledger of Inspections 

Official Referendum Ballot (Pecan Promotion 

& Research Plan) 

NOIL: Headquarters. Destrov 5 vears after 

date of referendum or 1 year after close of 

final court action (adjudicated in all courts 

involved) if litigation has been instituted 

regarding the validity of the referendum, 

whichever is later. 

Instructor's T^^son Plan 

Instructor's I.esson Plan (Con't. Sheet) 

Imported Date Report 

Importer's Exempt 

Notice of Hold 

Hold 

Notice of Hold for Re-Examination 

Notification to Food and Drug Administration 

Federal-State Inspection Certificate 

DISPOSITION 

6 years and 3 

months 

See Note 

5 years or 5 

years after 

conqiletion of a 

specific training 

program 

5 years or 5 

years after 

completion of a 

specific training 

program 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

1 year 

DISPOSITION 

AuiHORrr y 

GRS 7, Item 2 

[4320] 

NCI 136-80-1 

Item 14 [7130] 

GRS 1, Item 29a(l) 

[3280a(l)] 

GRS 1, Item 29a(l) 

[3280a(l)] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 25 [7240] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NN-168-113 

Item 2a [7230b] 

15 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-27-1 

FV-29 

FV-55 

FV-62 

FV-64 

FV-65 

FV-66 

FVQ-67 

FV-68 

FV-69 

FV-70 

FV-71 

FV-72 

FV-73 

FV-79 

TITLE 

Federal-State Inspection Certificate 

Agent's Monthly Statement of Daily 

Shipments 

Bi-Weekly Time Sheet 

Official Producer Ballot (Fresh Peaches) 

PACA Transmittal 

Marketing Agreement for Regulating the 

Handling of Fresh Peaches 

Memorandum Report of Inspection 

Quality Assurance Report of Inspection 

Official Producer Ballot 

Marketing Agreement for Regulating die 

Handling of Tomatoes Grown m Florida 

Referendum Ballot (Kiwifruit) 

Marketing Agreement for Regulating the 

Handling of Kiwifruit 

Producer Referendum Ballot (Domestic 

Dates) 

Marketing Agreement for Regulating the 

Handling of Domestic Dates 

Marketing Agreement for Handling of Irish 

Potatoes 

DISPOSITION 

1 year 

1 year after FY 

prepared 

After GAO audit 

or 6 years, 

whichever is 

sooner 

See Note for 

form FV-2 

5 years 

5 years 

3 years 

3 years 

See Note for 

form FV-2 

5 years 

See Note for 

form FV-2 

5 years 

See Note for 

form FV-2 

5 years 

5 years 

DISPOSITION 

AUTHORITY 

NN-168-113 

Item 2a [7230b] 

NCI 136-79-1 

Item 27a [9060] 

GRS 2, Item 7 

[3620] 

NCI 136-80-1 

Item 14 [7130] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-80-1 

Item 13 [7120] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 14 [7130] 

NCI 136-80-1 

Item 13 [7120] 

NCI 136-80-1 

Item 14 [7130] 

NCI 136-80-1 

Item 13 [7120] 

NCI 136-80-1 

Item 14 [7130] 

NCI 136-80-1 

Item 13 [7120] 

NCI 136-80-1 

Item 13 [7120] 

16 
Fruit & Vegetable Forms Index 

October 1995 

FRUrr AND VEGETABLE DFVISION (FV) 

FORM 

NUMBER 

FV-79A 

FV-80 

FV-81 

FV-82 

FV-83 

FV-84 

FV-85 

FV-95 

FV-lOO 

FV-100-1 

FV-101 

FV-117 

FV-117-1 

FV-117-2 

Tm. F 

Certificate of Resolution (Irish Potatoes -

Incorporated Handlers) 

Continuance Referendum Official Ballot 

(Irish Potatoes) 

Marketing Agreement for Handling of 

Oranges and Grapefruit 

Confidential Background Statement (Oranges 

and Grapefruit) 

Citrus Producer Referendum Ballot 

Confidential Nectarine Producer Nominee 

Questionnaire 

Marketing Agreement for Handling 

Nectarines Grown in California 

Federal-State Inspection Service-Peanut 

Inspection Notesheet 

Weekly Report of Red Tart Cherries 

Received and Processed (Michigan) 

Weekly Report of Red Tart Cherries 

Received and Processed (New York) 

Date Inspection Report 

Weekly Report of Uninspected Farmers Stock 

Seed Peanuts Received for Custom Shelling 

Handler's Monthly Report 

Acquisitions of Non-Edible Grades of 

Commercial Shelled Peanuts for Crushing, 

Fragmenting or Dyeing 

DISPOSITION 

2 years 

See Note for 

form FV-2 

5 years 

when 

appointment is 

terminated 

See Note for 

forms FV-2 

when 

appointment is 

terminated 

5 years 

3 years 

2 years 

2 years 

2 years 

3 years 

3 years 

3 years 

DiSPOsrrioN 

AUTHORITY 

NCI 136-80-1 

Item 16 [7150] 

NCI 136-80-1 

Item 14 [7130] 

NCI 136-80-1 

Item 13 [7120] 

NCI 136-80-1 

Item 17b [7160b] 

NCI 136-80-1 

Item 14 [7130] 

NCI 136-80-1 

Item 17b [7160b] 

NCI 136-80-1 

Item 13 [7120] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-79-1 

Item 24a [9030a] 

NCI 136-79-1 

Item 24a [9030a] 

NCI 136-79-1 

Item 24a [9030a] 

NCI 136-80-1 

Item 22a [7210b] 

NCI 136-80-1 

Item 22a [7210b] 

NCI 136-80-1 

Item 22a [7210b] 

17 
Fruit & Vegetable Forms Index 

October 1995 

ERUTT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-117-3 

FV-117-4 

FV-117-5 

FV-117-6 

FV-117-7 

FV-117-8 

FV-117-9 

FV-140 

FV-140-1 

FV-142-R 

FV-146 

FV-146-CF 

FV-146-CS 

FV-147 

TITLE 

Report of Disposition to and Acquisition 

From Anodier Handler Shelled Peanuts 

Failing Edible Quality Requirements for 

Remilling and Further Handling 

Report of Movement to Blancher or Remiller 

- For Blanching or Custom Remilling Peanuts 

Failing Edible Quality Requirements 

Handlers Report of Dispositions of NonEdible Quality Shelled Peanuts to Crusher or 

Fragmenter or Dyeing Processor 

Handlers Report of Export of "Unrestricted" 

Non-Edible Quality "Fragmented" Peanuts 

Handlers Report of Disposition of Peanuts 

for Wild Life Feed or Rodent Bait 

Handlers Report of Disposition of Dyed NonEdible Quality Peanuts to Animal Feed Use 

(Unrestricted Peanuts Only) 

Handlers Report of Export of "Restricted" 

Non-Edible Quality "Fragmented" Peanuts 

Foreign Material Record/Mold Count Record 

Tally Sheet for Mold Counts 

Sample Reliability Tests 

Certificate of Quality and Condition 

(Processed Foods) 

Certificate of Quality and Condition 

(Processed Foods) 

Certificate of Quality and Condition 

(Processed Foods) 

Certificate of Quality and Condition 

(Processed Foods) Quality Assurance 

DISPOSITION 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

DisposrriON 

AUTHORITY 

NCI 136-80-1 

Item 22a [7210b] 

NCI 136-80-1 

Item 22a [7210b] 

NCI 136-80-1 

Item 22a [7210b] 

NCI 136-80-1 

Item 22a [7210b] 

NCI 136-80-1 

Item 22a [7210b] 

NCI 136-80-1 

Item 22a [7210b] 

NCI 136-80-1 

Item 22a [7210b] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

18 
Fruit & Vegetable Forms Index 

October 1995 

FRUrr AND VEGETABLE DIVISION (FV) 

— 

FORM 

NUMBER 

FV-147-CS 

FV-148 

FV-149 

FV-149-CF 

FV-149-CS 

FV-159 

FV-183 

FV-184 

FV-184-7 

FV-184-9 

FV-184-9A 

FV-184-9A-1 

FV-184-12 

FV-184-13 

FV-187 

FV-188 

TITLE 

Certificate of Quality and Condition 

(Processed Produces) Quality Assurance 

Quality Assurance Verification Report 

Certificate of Quality and Condition 

(Processed Foods) (Continuous Inspection) 

Certificate of Quality and Condition 

(Processed Foods) (Continuous Inspection) 

Certificate of Quality and Condition 

(Processed Foods) (Continuous Inspection) 

Application for Inspection of Unofficially 

Submitted Samples of Processed Food 

Products 

Statement of Fees or Charges 

Federal-State Inspection Certificate 

Almond Inspection Certificate 

Inspection Certificate (Peanuts) 

Inspection Certificate (Peanuts) 

Milled Peanut Inspection Certificate 

Transfer Clearance Certificate (Peanut) 

Federal-State Inspection Notesheet 

Notice of Sampling (For Grade or Chemical 

Analysis) 

Prune Form No. 1 (Entry Declaration) 

DISPOSITION 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

6 years and 3 

months 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

1 

DISPOSITION 

AUTHORITY 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

GRS 6, Item la 

[4110a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 22b [7210b] 

19 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-189 

FV-190 

FV-191 

FV-192 

FV-195 

FV-197 

FV-198 

FV-200 

FV-201 

FV-202 

FV-204 

FV-205 

FV-206 

FV-206-6 

FV-207 

TTFLE 

Prune Form No. 2 (Certification of Processor 

or Reseller) 

Date Examination Report 

Date Form No. 1 (Entry Declaration) 

Date Form No. 2 (Certification of Processor 

or Reseller) 

Inspection Certificate/Canner's Report of 

Fresh Citrus Receipts 

Raisin Form No. 1 (Entry Declaration) 

Raisin Form No. 2 (Certification of 

Processor or Reseller) 

Authorization Card 

Authorization Card for Inspection of 

Interstate/Intrastate Shipments 

Application for Interstate/Intrastate 

Commerce Inspector's License 

Preliminary Inspection Report 

Memorandum of Inspection for Canadian 

Destinations 

Shipping Clearance Report 

California Shipping Clearance Report 

Export Form Certification for Non-Canadian 

Destination 

DISPOSITION 

3 years 

3 years 

3 years 

•3 years 

3 years 

3 years 

3 years 

5 years 

5 years 

5 years 

3 years 

3 years 

3 years 

3 years 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-80-1 

Item 22b [7210b] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 22b [7210b] 

NCI 136-80-1 

Item 22b [7210b] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 22b [7210b] 

NCI 136-80-1 

Item 22b [7210b] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

20 
Fruit & Vegetable Forms Index 

October 1995 

FRVTT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-211 

FV-213 

FV-214 

FV-218R 

FV-227 

FV-228 

FV-230-1 

FV-231 

FV-231-1 

FV-234 

FV-237 

FV-291-2 

FV-291-3 

FV-291-4 

FV-291-5 

TTTI-E 

Application for License - PACA 

Services Rendered to Other Fruit and 

Vegetable Division Branches 

Collaborator Services Rendered to Federal 

Markets 

Federal-State Cooperative Agreement 

Monthly Financial Report 

Reparation Complamt Action-PACA 

Disciplinary Action-PACA 

Time Sheet for In-Plant Inspection 

License Certificate Issued Under PACA 

PACA License Renewal Application 

Notice of Correction 

Record of Request for 

Inspection/Reinspection of Food Products 

Federal-State Inspection Service Inspector's 

Notes (Potatoes) 

Federal-State Inspection Service Inspector's 

Notes (Potatoes) 

Federal-State Shipping Point Inspection 

Service Inspector's Notes (Potatoes) 

Federal-State Notesheet Inspection Report 

DISPOSITION 

5 years 

6 years and 3 

months 

6 years and 3 

months 

6 years and 3 

months 

2 years 

5 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-80-1 

Items 4a & 4b/ 

NCI 136-79-1, Item 

15a [7060/6100a] 

GRS 6, Item la 

[4110a] 

GRS 6, Item la 

[4110a] 

GRS 6, Item la 

[4110a] 

NCI 136-80-1 

Items 3b(l) & 3b(2) 

[7020b] 

NCI 136-80-1 

Items 3c(l) & 3c(2) 

[7030c] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 9 [7090] 

NCI 136-80-1 

Item 9 [7090] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

21 
Fruit & Vegetable Forms Index 

October 1995 

FRUrr AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-291-5-1 

FV-291-6 

FV-291-6-1 

FV-291-7 

FV-291-7-1 

FV-291-8 

FV-291-8-1 

FV-291-9 

FV-292 

FV-293 

FV-294 

FV-297 

FV-300 

FV-300-N 

FV-301 

FV-342 

TTTLE 

Federal-State Notesheet Inspection Report 

(Continuation Notesheet) 

Federal-State Notesheet Inspection Report 

Federal-State Notesheet Inspection Report 

(Continuation Notesheet) 

Federal-State Notesheet Inspection Report 

Federal-State Notesheet Inspection Report 

(Continuation Sheet) 

Federal-State Inspection Report 

Federal-State Inspection Report (Continuation 

Sheet) 

Federal-State Shipping Point Inspection 

Service Inspector's Notes (Potatoes) 

Licensee's Application (Federal-State 

Inspection Service) 

Licensee's Performance Rating 

Report on Sanitary Inspection 

Temporary Field Receipt 

Inspection Certificate 

Inspection Notesheet 

Certificate of Miscellaneous Inspection 

Service 

Checklist for Sampling/Checkloading or 

Condition of Container 

DISPOSITION 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

5 years 

5 years 

3 years 

5 years 

3 years 

3 years 

3 years 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230aJ 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-83-2 

Item 19 [9650] 

22 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-345 

FV-346 

FV-356 

FV-358 

FV-359 

FV-359-1 

FV-360 

FV-361 

FV-364 

FV-364-1 

FV-364-4 

FV-364-5 

FV-364-8 

FV-364-10 

FV-364-11 

TITLE 

Summary of Terminal Market Inspections 

Summary of Federal-State Inspections 

Application for Inspection and Certificate, of 

Sampling 

Surety Bond 

Monflily Report of Operations 

Personnel Compensation and Travel Cost 

Report of Interoffice Assignment 

Licensed Sampler Training Program Record 

Score Sheet for: 

Score Sheet for Canned Apples 

Score Sheet for Canned Applesauce 

Score Sheet for Caimed Apricots 

Score Sheet for Canned Green and Wax 

Beans 

Score Sheet for Canned Beets 

Score Sheet for Canned Blackberries and 

Other Similar Berries 

DISPOSITION 

3 years 

3 years 

3 years 

15 years after 

bond becomes 

inactive or after 

end of bond 

premium period 

3 years 

6 years 

2 years 

5 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

_=_= , 

DISPOSITION 

AU'lHORITY 

NCI 136-79-1 

Item 18c [6120c] 

NCI 136-79-1 

Item 18c [6120c] 

NCI 136-80-1 

Item 24 [7230a] 

GRS 6, Items 6a(l) 

&. a(2) [4160a(l) & 

a(2)] 

NCI 136-79-1 

Item 18c [6120c] 

GRS 9, Item 3a 

[2310-3a] 

GRS 9, Item 4a 

[2310a] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

23 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

1 FORM 

NUMBER 

FV-364-12 

FV-364-13 

FV-364-14 

FV-364-17 

FV-364-18 

FV-364-21 

FV-364-22 

FV-364-23 

FV-364-42 

FV-364-43 

FV-364-46 

FVQ-364-47-

1 

FV-364-47-2 

FV-364-47-3 

FVQ-364-47-

4 

FV-364-47-5 

TITLE 

Score Sheet for Canned Blueberries 

Score Sheet for Canned Carrots 

Score Sheet for Canned Red Tart Pitted 

Cherries 

Score Sheet for Canned Cream Style Com 

Score Sheet for Canned Whole Kernel 

(Whole Grain) Com 

Score Sheet for Canned Fruit Cocktail 

Score Sheet for Fruit Jelly 

Score Sheet for Fruit Preserves (or Jams) 

Score Sheet for Segmented, Chopped and 

Sliced Canned Ripe Olives 

Score Sheet for Whole Catmed Ripe Olives 

Score Sheet for Canned Clingstone Peaches 

Tally Sheet for Canned Freestone Peaches 

(Sample Unit Size-25 Whole) 

Tally Sheet for Canned Freestone Peaches 

(Sample Unit Size-25 Halves) 

Tally Sheet for Canned Freestone Peaches 

(Sample Unit Size-25 Quarters) 

Tally Sheet for Canned Freestone Peaches 

(Sample Unit Size-50 Slices) 

Tally Sheet for Cjinned Freestone Peaches 

(Sample Unit Size-100 Slices 

DISPOSITION 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

24 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-364-47-6 

FV-364-47-7 

FV-364-48 

FV-364-49 

FV-364-50 

FVQ-364-52 

FV-364-56 

FV-364-67 

FV-364-70 

FV-364-71 

FV-364-72 

FV-364-73 

FV-364-79 

FV-364-84 

FV-364-86 

FV-364-87 

TITLE 

Tally Sheet for Canned Freestone Peaches 

(Sample Unit Size-200 Grams) - Diced 

Tally Sheet for Canned Freestone Peaches 

Halves and Pieces or Irregular Pieces 

Score Sheet for Peanut Butter 

Score Sheet for Canned Pears 

Score Sheet for Canned Peas 

Score Sheet for Pickles 

Score Sheet for Canned Plums 

Score Sheet for Canned Sweet Potatoes 

Score Sheet for Canned Tomatoes/ Stewed 

Tomatoes 

Score Sheet for Tomato Catsup 

Score Sheet for Tomato Juice 

Score Sheet for Tomato Paste/Canned 

Tomato Puree Clomato Pulp) 

Score Sheet for Dried Figs 

Score Sheet for Frozen Apples 

Score Sheet for Frozen Asparagus 

Score Sheet for Frozen Lima Beans 

DISPOSITION 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230al 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

25 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FVQ-364-89 

FVQ-364-90 

FV-364-92 

FV-364-93 

FV-364-94 

FV-364-95 

FV-364-97 

FV-364-98 

FV-364-103 

FV-364-105 

FV-364-107 

FV-364-108-

1 

FV-364-108-

2 

FV-364-113 

FV-364-118 

FV-364-120 

TITT.E 

Score Sheet for Frozen Berries 

Score Sheet for Frozen Blueberries 

Tally Sheet for Frozen Brussels Sprouts 

Score Sheet for Frozen Carrots 

Score Sheet for Frozen Cauliflower 

Score Sheet for Frozen Red Tart Pitted 

Cherries 

Score Sheet for Frozen Cora-on-the-Cob 

Score Sheet for Frozen Whole Kernel (or 

Whole Grain) Com 

Score Sheet for Frozen Mixed Vegetables 

Score Sheet for Frozen Concentrated Orange 

Juice/Reduced Acid Frozen Orange Juice 

Score Sheet for Frozen Peas 

Tally Sheet for Frozen Leafy Greens-Leaf 

Style 

Tally Sheet for Frozen Leafy GreensChopped/Pureed 

Score Sheet for Frozen Strawberries 

Score Sheet for Tomato Sauce 

Score Sheet for Concentrated Orange Juice 

for Manufacturing 

DISPOSITION 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

26 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-364-122 

FV-364-123 

FV-364-125 

FV-364-154 

FV-364-155 

FV-364-156 

FV-364-160-

1 

FV-364-160-

2 

FV-364-160-

3 

FV-364-164-

1 

FV-364-164-

2 

FV-364-164-

3 

FVQ-364-

164-4 

FV-364-164-

5 

FVQ-364-

166 

FV-364-167 

TITLE 

Score Sheet for Frozen French Fried Potatoes 

Score Sheet for Frozen Peas and Carrots 

Score Sheet for Concentrated Tangerine Juice 

for Manufacturing 

Defect Tally Sheet for Frozen Asparagus 

Defect Tally Sheet for Canned Leafy Greens 

Defect Tally Sheet for Canned Spinach 

Tally Sheet for Frozen Green and Wax 

Beans-(Cut, Short Cut and Mixed Styles) 

Tally Sheet for Frozen Green and Wax Beans 

(Whole Style) 

Tally Sheet for Frozen Green and Wax Beans 

(Sliced Lengtiiwise Style) 

Tally Sheet for Frozen Broccoli-Pieces 

Tally Sheet for Frozen Broccoli-Cut 

Tally Sheet for Frozen Broccoli-Chopped 

Tally Sheet for Frozen Broccoli-Short Spears 

Tally Sheet for Frozen Broccoli-Spears 

Defect Tally Sheet for Frozen Field Peas and 

Frozen Blackeyed Peas 

Score Sheet for Processed Raisins 

DISPOSITION 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

1 

DISPOSITION 

AUTHORITY 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230al 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

27 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

1 FORM 

NUMBER 

FV-365-1 

FV-366 

FV-370 

FV-374 

FV-375 

FV-376 

FV-390 

FV-391 

FV-394 

FV-397 

FV-405 

FV-416 

FV-416A 

FV-416-1 

FV-416-2 

TITLE 

Plant Survey/Followup 

Basic Level Training Program Record 

Application and Contract of Agreement for 

Pack Certification Service 

Canned Ripe Olive Size Worksheet 

In-T ine Score Sheet for Segmented, Chopped 

and Sliced Olives 

In-Line Score Sheet for Canned Ripe Olives 

Application and Contract of Agreement for 

Continuous Inspection Service 

Application and Contract of Agreement for 

Continuous Inspection Service (Florida) 

Market News Station Report 

Preliminary Inspection Report 

Coffee Inspection Record 

Daily Inspection Report 

Daily Inspection Report (Florida Citrus) 

Sanitation Score Sheet for Canned Food 

Processing Plants 

Sanitation Score Sheet for Frozen Processing 

Plants 

DISPOSITION 

3 years 

5 years or when 

S/0, whichever 

is sooner 

3 years after 

termination of 

agreement 

3 years 

3 years 

3 years 

3 years after 

termination of 

agreement 

3 years after 

termination of 

agreement 

20 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-80-1 

Item 24 [7230a] 

GRS 1, Item 29b 

[3280b] 

NCI 136-83-2 

Item 7b [6170b] 

NCI 136-80-1 

Item 24 [7230al 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-83-2 

Item 7b [6170b] 

NCI 136-83-2 

Item 7b [6170b] 

NCI 136-79-1 

Item 29a [9080] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

28 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

FORM 

1 NUMBER 

FV-416-3 

FV-416-5 

FV-416-6 

FV-416-7 

FV-416-8 

FV-419 

FV-419-1 

FV-420 

FV^25 

FV-432 

FV-433 

FV-433-A 

FV-434 

FV-434-A 

FV-435 

FV-435-A 

TITLE 

Sanitation Score Sheet for Citrus Food 

Processing Plants 

Sanitation Score Sheet for Processing Plants 

(Continuation Sheet) 

Sanitation Score Sheet for Canned Olive 

Plants 

Sanitation Score Sheet for Raisin Processing 

Plant 

Sanitation Score Sheet for Raisin Dehydrators 

Certificate of Loading 

Certificate of Loading 

Loading Report 

Report of Regulatory Agency Inspection 

Inspection Certificate for Processing Plants 

(Florida) 

Fee/Charge Document-Lot and Miscellaneous 

Fee/Charge Document-Lot and Miscellaneous 

(Worksheet) 

Fee/Charge Document In-Plant Inspection 

Fee/Charge Document-In-Plant Inspection 

(Worksheet) 

Fee/Charge Document Raisin Inspection 

Worksheet for Fee/Charge Document Raisin 

Inspection 

DISPOSITION 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

6 years and 3 

months 

6 years and 3 

months 

6 years and 3 

months 

6 years and 3 

months 

6 years and 3 

months 

6 years and 3 

months 

DISPOSITION 

AUTHORITY ) 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] | 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-83-2 

Item 19 [9650] 

NCI 136-83-2 

Item 19 [9650] 

NCI 136-83-2 

Item 19 [9650] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

GRS 6, Item la 

[4110a] 

GRS 6, Item la 

[4110a] 

GRS 6, Item la 

[4110a] 

GRS 6, Item la 

[4110a] 

GRS 6, Item la 

[4110a] 

GRS 6, Item la 

[4110a] 

29 
Fruit & Vegetable Forms Index 

October 1995 

FRUIT AND VEGETABLE DIVISION (FV) 

FORM 

NUMBER 

FV-468 

FV-489 

FV-490 

FV-494 

FV-498-1 

FV-498-2 

FV-502A 

FV-502B 

FV-503 

FV-635 

FVQ-636 

FV-637 

FV-638 

TITLF 

Application for License to Sample Processed 

Foods 

Memorandum Report of Inspection for 

Processed Raisins 

Memorandum Report of Inspection for 

Unprocessed (Natural Condition) Raisins 

Memorandum Report of Inspection for 

Imported Dates (White) 

Weekly Report of Berries Received for 

Processing (Form Letter) 

Weekly Report of Asparagus and Berries 

Received for Processing (Form Letter) 

Evaluation of Inspection Performance 

Evaluation of Inspection Performance 

(Continued) 

Package Award Candidates, Fiscjil Year 19~ 

Unit Load Inspection Record and Report 

Notice to Update, Revise, Correct 

Laboratory Sample Submittal Sheet 

Summary 

DISPOSITION 

5 years 

3 years 

3 years 

3 years 

2 years 

2 years 

3 years 

3 years 

3 years 

3 years 

3 years 

3 years 

6 years and 3 

months 

DISPOSITION 1 

AUTHORITY 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-79-1 

Item 24a [9030a] 

NCI 136-79-1 

Item 24a [9030a] 

NCI 136-79-1 

Item lb [6000b] 

NCI 136-79-1 

Item lb [6000b] 

NCI 136-79-1 

Item lb [6000b] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

NCI 136-80-1 

Item 24 [7230a] 

GRS 6, Item la 

[4110a] 

30 
Livestock & Seed Forms Index 

October 1995 

LTVESTOCK & SEED DIVISION (LS) 

FORM 

NUMBER 

LPGS-1 

LS-2 

LS-5-3 

LS-5-4 

LS-5-5 

LS-5-6 

LS-7 

LPGS-9 

LS-9-1 

LS-10 

LMGS-14 

TITLE 

Application for Livestock Acceptance Service 

Market News Field Office Activities 

Agricidture Product Certificate 

Grading Worksheet 

Applicant Charges 

Live Animal/Carcass Certification 

National Livestock Grading and Marketing 

Association 

Livestock Acceptance Certificate 

Livestock Acceptance Certificate 

USDA Product Control 

Report of Seed Identification 

DISPOSITION 

Permanent' 

Permanent' 

Disposition is not 

authorized. 

Retain until 

further notice. 

Disposition is not 

authorized. 

Retain until 

fiirther notice. 

Disposition is not 

audiorized. 

Retain until 

fiirther notice. 

Disposition is not 

audiorired. 

Retain until 

further notice. 

Disposition is not 

authorized. 

Retain until 

fiirther notice. 

Permanent' 

Permanent^ 

Disposition is not 

authorized. 

Retain until 

further notice. 

3 years 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

Unscheduled 

Unscheduled 

Unscheduled 

Unscheduled 

Unscheduled 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

Unscheduled 

NCI 136-79-1 Item 

92a [7330a] 

31 
Livestock & Seed Forms Index 

October 1995 

LIVESTOCK & SEED DIVISION (LS) 

FORM 

NUMBER 

LS-16 

LS-18 

LS-19 

LS-20 

LS-22 

LS-25 

LS-26 

LS-26-1 

LS-28 

LS-29 

LS-30 

Tin.E 

Production Record 

Grader's Work Performance Evaluation 

Performance Appraisal Record 

Performance Appraisal Recap 

Reference Chart-Standards for Carcass Beef 

Application for Certification of Organization 

or Association 

Nomination of Cattie Producers for 

Appointment to Cattiemen's Beef Promotion 

and Research Board 

Nomination of Importers for Appointment to 

the Beef Promotion and Research Board 

Statement of Certification (Beef Promotion 

and Research Act of 1985) 

Slaughter Barrow and Gilt Evaluation 

Feeder Cattle Evaluation 

DISPOSITION 

Disposition is not 

authorized. 

Retain until 

further notice. 

Disposition is not 

authorized. 

Retain until 

fiirther notice. 

Disposition is not 

authorized. 

Retain until 

fiirther notice. 

Disposition is not 

authorized. 

Retain until 

further notice. 

Disposition is not 

audiorized. 

Retain until 

fiirther notice. 

Disposition is not 

authorized. 

Retain until 

further notice. 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

DISPOSITION 

AUTHORITY 

Unscheduled 

Unscheduled 

Unscheduled 

Unscheduled 

Unscheduled 

Unscheduled 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

32 
Livestock «fc Seed Forms Index 

October 1995 

LIVESTOCK & SEED DIVISION (LS) 

1 FORM 

NUMBER 

LS-31 

LS-32 

LS-33 

LS-34 

LS-35 

LS-41 

LS-44 

LS-45R 

LS-49 

LS-49-1 

LS-49-2 

LS-49-3 

LS-50 

LS-50-1 

TITLE 

Feeder Pig Evaluation 

Vealer and Slaughter Cjilf Evaluation 

Slaughter Lamb Evaluation 

Dairy Breeding Cattle (Females) 

Nomination of Pork Producers for Election 

and Appointment to the National Pork 

Producers Consumer Delegate Body 

Assignment to Temporary Duty Station 

USDA Donated Meat Product Production 

Information 

Nomination of Soybean Products for 

Appointment to Soybean Board 

Referendum on Soybean Promotion and 

Research Order 

Soybean Ballot Envelope 

Referendum Registration Envelope 

Referendum on die Soybean Promotion & 

Research Order Voter Registration List 

Referendum on the Soybean Promotion and 

Research Order Absentee Voting 

Soybean Referendum Envelope 

DISPOSITION 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Disposition is not 

authorized. 

Retain until 

further notice. 

Disposition is not 

audiorized. 

Retain until 

further notice. 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

Unscheduled 

Unscheduled 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

33 
Livestock & Seed Forms Index 

October 1995 

LTVESTOCK & SEED DIVISION (LS) 

FORM 

NUMBER 

LS-50-2 

LS-57 

LS-58 

LS-105 

LS-106-2 

LS-107 

LS-108 

LS-110 

LS-111 

LS-112 

TITLE 

Referendum on the Soybean Promotion and 

Research Order Absentee Voter List 

Daily Assigmnents Call Sheet 

Employee Work Report and T&A 

Beef Carcass Worksheet 

Carcass Data Service Worksheet (Beef) 

Slaughter Cattie Evaluation 

Sample Identification for Laboratory Analysis 

Laboratory Sampling Form for Meat 

Products 

Pork Belly Worksheet 

Sample Identification for Laboratory Analysis 

DISPOSmON 

Permanent' 

Disposition is not 

audiorized. 

Retain until 

further notice. 

Disposition is not 

authorized. 

Retain until 

further notice. 

Disposition is not 

authorized. 

Retain until 

further notice. 

Disposition is not 

authorized. 

Retain until 

further notice. 

Permanent' 

Permanent' 

Disposition is not 

audiorized. 

Retain until 

further notice. 

Disposition is not 

authorized. 

Retain until 

further notice. 

Disposition is not 

authorized. 

Retain until 

further notice. 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 Items 

89a & 89b [7300] 

Unscheduled 

Unscheduled 

Unscheduled 

Unscheduled 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

Unscheduled 

Unscheduled 

Unscheduled 

34 
Livestock & Seed Forms Index 

October 1995 

LIVESTOCK & SEED DIVISION (LS) 

FORM 

NUMBER 

LS-127 

LMGS-157 

LS-182-1 

LS-214 

(PGS. lA?) 

(PGS. 3&4) 

LMGS-233 

LMGS-233A 

LS-256 

LS-258 

LS-259 

LS-260 

LS-261 

LS-262 

TITLE 

Inspection of Records (Under the Federal 

Swd Act) 

a. Where no action is taken. 

b. Where only a warning is issued. 

Application for Meat Grader's License 

Actual Auction Receipts of Livestock 

Livestock Detailed Quotations (Weekly) 

Seed Analysis Card (White) 

Seed Analysis Card (Yellow) 

Report of Meat Grading Equipment 

Transactions 

Application for Samples Representative of die 

Official Wool Top Standards (Form Letter) 

Application for Samples Representative of the 

Official Wool Standards (Form Letter) 

Application for Samples Representative of the 

Official Grease Mohair Standards (Form 

Letter) 

Samples Representative of die Official 

Standards of the U.S. for Grades of Grease 

Mohair 

Application for Samples Representative of the 

Official Mohair Top Standards (Form Letter) 

DISPOSITION 

a. 3 years 

b. 5 years 

Disposition is not 

authorized. 

Retain until 

further notice. 

Permanent' 

Permanent' 

3 years or NAU 

3 years or NAU 

Disposition is not 

audiorized. 

Retain until 

fiirther notice. 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 Item 

95a [7360a] 

Item 95b [7360b] 

Unscheduled 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Item 

92b [7330b] 

NCI 136-79-1 Item 

92b [7330b] 

Unscheduled 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] || 

35 
Livestock & Seed Forms Index 

October 1995 

LIVESTOCK & SEED DIVISION (LS) 

FORM 

1 NUMBER 

LS-263 

LS-264 

LS-270 

LS-270-1 

LS-274 

LS-274-1 

LS-274-2 

LS-313 

LS-315 

LS-317 

1 LS-326 

TITLE 

Samples Representative of the Official 

Standards of die U.S. for Grades of Mohair 

Top 

Samples Representative of the Official 

Standards of the U.S. for Grades of Mohair 

Top 

Samples Representative of the Official 

Standards of die U.S. for Grades of Wool 

Top 

Samples Representative of the Official 

Standards of tiie U.S. for Grades of Wool 

Top 

Sample Representative of the Official 

Standards of tiie U.S. for Grades of Wool 

Sample Representative of the Official 

Standards of tiie U.S. for Grades of Wool 

Sample Representative of the Official 

Standards of the U.S. for Grades of Mohair 

Application for Meat Grading or Certification 

Service 

Application for Commitment Grading Service 

or Certification Service 

Notification of Removal of Samples 

Beef Grading Correlation 

DISPOSITION 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Permanent' 

Disposition is not 

authorized. 

Retain until 

fiirther notice. 

Disposition is not 

authorized. 

Retain until 

fiirther notice. 

Disposition is not 

authorized. 

Retain until 

further notice. 

Disposition is not 

authorized. 

Retain until 

further notice. 

DISPOSITION 

AUTHORITY j 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] 

NCI 136-79-1 Items 

89a & 89b [7300] | 

NCI 136-79-1 Items 

89a & 89b [7300] | 

NCI 136-79-1 Items 

89a & 89b [7300] 

Unscheduled 

Unscheduled 

Unscheduled 

Unscheduled 

36 
Livestock & Seed Forms Index 

October 1995 

LTVESTOCK & SEED DIVISION (LS) 

FORM 

NUMBER 

LS-328 

LS-368 

GR-371 

LS-375 

TITI.E 

Lamb Grading Correlation 

Report of Investigation 

a. Where no action is taken. 

b. Where only a warning is issued. 

Summary of Facts and Evidence 

a. Where no action is taken. 

b. Where only a warning is issued. 

Seed Analysis Certificate 

DISPOSITION 

Disposition is not 

audiorized. 

Retam until 

further notice. 

a. 3 years 

b. 5 years 

a. 3 years 

b. 5 years 

5 years 

DISPOSITION 

AUTHORITY 

Unscheduled 

NCI 136-79-1 

Item 95a [7360a] 

Item 95b [7360b] 

NCI 136-79-1 

Item 95a [7360a] 

Item 95b [7360b] 

NCI 136-79-1 

Item 91 [7320] 

37 
Poultry Forms Index 

October 1995 

FORM 

NUMBER 

PY-31 

PY-32 

PY-33 

PY-38 

PY-75 

PY-75A 

PY-75-1 

PY-76 

PY-100 

PY-101 

PY-101-1 

PY-IOIA 

PY-102 

POULTRY DIVISION (PY) 

TITLF 

Control Sheet for Grading Service 

Application 

Application for Service 

Application for Specification Approval 

Application for Off-Premise Freezing of Egg 

Products 

Shell Egg Online Candling Record (10% 

Checks) 

Shell Egg Online Candling Record (8% 

Checks) 

Shell Egg Online Candling Record Worksheet 

Shell Egg Surveillance Cost Report Quarteriy 

Work Schedule Request - Mandatory 

Inspection Service - Voluntary Grading 

Service 

Report of Grading Services Rendered 

Report of Grading Services Rendered 

Work Report Continuation Sheet 

Grading Branch Worksheet for Voluntary 

Resident Service or Mandatory Resident 

Service 

DISPOSITION 

1 year after 

service is 

terminated 

1 year after 

service is 

terminated 

1 year after close 

of FY in which 

was terminated 

or becomes 

obsolete 

1 year after 

service is 

terminated 

1 year 

1 year 

1 year 

6 years and 3 

months 

1 year after 

service is 

terminated 

6 years 

6 years and 3 

mondis 

6 years 

6 years and 3 

months 

DISPOSITION 

AUTHORITY 

NCI 136-83-2 

Item 27a [7560a] 

NCI 136-83-2 

Item 27a [7560al 

NCI 136-83-2 

Item 42a [7710a] 

NCI 136-83-2 

Item 27a [7560a] 

NCI 136-83-2 

Item 30c [7590c] 

NCI 136-83-2 

Item 30c [7590c] 

NCI 136-83-2 

Item 30c [7590c] 

NCI 136-83-2 

Item 24 [7530] 

NCI 136-83-2 

Item 27a [7560a] 

GRS 2, Item 7 

[3620] 

NCI 136-83-2 

Item 24 [7530] 

GRS 2, Item 7 

[3620] 

NCI 136-83-2 

Item 24 [7530] 

39 
Poultry Forms Index 

October 1995 

FORM 

NUMBER 

PY-110 

PY-140 

PY-154 

PY-155 

PY-155-1 

PY-156 

PY-157 

PY-158 

PY-159 

PY-171 

PY-171-1 

PY-179 

POULTRY DIVISION (PY) 

TITLE 

Packaging Defects Worksheet 

Plant Survey for Poultry Grading 

Nondenatured Inedible Egg Product Inventory 

and Shipping Record 

Registration of Shell Egg Handlers 

Registration Record of Shell Egg Handlers 

Shell Egg Regulatory Inspection Report 

a. Paper/Record Copy-National Office 

b. Microfilmed Record Copy 

c. Violation Report Copy-Regional 

d. Otiier Copies-State Offices &. Plants 

Application for License 

Shell Egg Plant Survey 

Report of Egg Drying Operations 

Claim for Reimbursement for Services of 

Cooperating Agency Employees 

Supplement to Claim for Services of 

Cooperating Agency Employees 

Record of Grader, Inspector, and/or License 

Cards 

DISPOSITION 

1 year 

1 year after 

service is 

terminated 

6 months 

1 year after firm 

deregistered 

Retain until 

superseded or 

obsolete -

indefinite. 

a. 4 years 

b. 4 years 

c. 2 years 

d. 1 year 

1 year after 

license 

terminates 

1 year after 

service is 

terminated 

1 year 

6 years and 3 

months 

6 years and 3 

months 

1 year after 

license 

terminates 

DISPOSITION 

AUTHORITY 

NCI 136-83-2 

Item 30d [7590d] 

NCI 136-83-2 

Item 27a [7560a] 

NCI 136-83-2 

Item 30e [7590e] 

NCI 136-83-2 

Item 29a(l) 

[7580a(l)] 

NCI 136-83-2 

Item 29a(2) 

NCI 136-83-2 

Item 29b(l)(a) 

Item 29b(l)(b) 

Item 29b(2) 

Item 29b(3) 

[7580b] 

NCI 136-83-2 

Item 35a [7640a] 

NCI 136-83-2 

Item 27a [7560a] 

NCI 136-83-2 

Item 30b [7590bl 

NCI 136-83-2 

Item 24 [7530] 

NCI 136-83-2 

Item 24 [7530] 

NCI 136-83-2 

Item 35b [7640b] 

40 
Poultry Forms Index 

October 1995 

FORM 

1 NUMBER 

PY-185 

PY-200 

PY-200A 

PY-202 

PY-203 

PY-209 

PY-210 

PY-210A 

POULTRY DIVISION (PY) 

TITLE 

Consignment, Receipt, and Disposition 

a. When consigned to PY-200 or PY-210 for 

resident grading purposes (plant level). 

b. When consigned to a PY-209 (plant 

level). 

c. When consigned by Regional or FederalState office. 

Egg Products Inspection and Grading 

Certificate 

a. When performing fee grading. 

b. When performing resident grading. 

c. When performing environmental testing. 

Egg Products Inspection and Grading 

Certificate (Copy) 

a. When performing fee grading. 

b. When performing resident grading. 

Official Inspection Certificate for Egg 

Products 

Daily Report of Plant Operation (Egg 

Products) 

Reprocessing Production Certificate 

a. When performing fee grading. 

b. When performing resident grading. 

Poultry Products Grading Certificate 

a. When performing fee grading. 

b. When performing resident grading. 

Poultry Products Grading Certificate (Copy) 

a. When performing fee grading. 

b. When performing resident grading. 

[ DISPOSITION 

a. 1 year 

b. 3 years 

c. 3 years 

a. 6 years and 3 

months 

b. 3 years 

c. 1 year 

a. 6 years and 3 

mondis 

b. 3 years 

3 years 

1 year 

a. 6 years and 

3 mondis 

b. 3 years 

a. 6 years and 3 

months 

b. 1 year 

a. 6 years and 3 

months 

b. 1 year 

DISPOSITION 

AUTHORITY | 

a. NCI 136-94-2 

Item 1 [7550] 

b. NCI 136-83-2 

Item 21b [7500] 

c. NCI 136-83-2 

Item 21b [7500] | 

a. NCI 136-83-2 

Item 24 [7530] 

b. NCI 136-83-2 

Item 21b [7500] 

c. NCI 136-94-2 

Item 1 [7550] || 

a. NCI 136-83-2 

Item 24 [7530] 

b. NCI 136-83-2 

Item 21b [7500] || 

NCI 136-83-2 

Item 36a [7650] | 

NCI 136-83-2 

Item 30b [7590b] | 

a. NCI 136-83-2 

Item 24 [7530] 

b. NCI 136-83-2 

Item 21b [7500] | 

a. NCI 136-83-2 

Item 24 [7530] 

b. Nl 136-94-2 

Item 1 [7550] | 

a. NCI 136-83-2 

Item 24 [7530] 

b. Nl 136-94-2 

Item 1 [7550] 

41 
Poultry Forms Index 

October 1995 

FORM 

NTJMBER 

PY-211 

PY-214 

PY-221 

PY-222 

PY-227 

PY-232 

PY-235 

PY-237 

PY-238 

PY-240 

PY-301 

PY-518-1 

PY-518-2 

PY-518-3 

POULTRY DIVISION (PY) 

TITI.E 

Poultry Products Grading Memorandum 

a. When performing fee grading. 

b. When performing resident grading. 

Inspection of Egg Products Plant 

Label Notice 

Import Request (Eggs and Egg Products) 

Employee's Performance Record 

Poultry Grading Record 

Egg Products Grading Weekly Report 

Poultry Grade Yield Report 

Grading Stamp Control Record 

Grading Volume Report (Poultry, Shell Eggs, 

Egg Products) 

Annual Performance Awards 

Alleged Violation and Detention Notice 

Regional Report of Alleged Violations 

Violation Record 

DISPOSITION 

a. 6 years and 3 

months 

b. 1 year 

3 years 

1 year after label 

became inactive 

or microfilmed 

3 years 

3 years 

1 year 

6 months 

6 months 

6 months 

6 years and 3 

months 

2 years after 

approval or 

disapproval 

3 years 

10 years after list 

completion or 

NAU 

10 years after list 

completion or 

NAU 

DISPOSITION 

AUTHORIiy 

a. NCI 136-83-2 

Item 24 [7530] 

b. Nl 136-94-2 

Item 1 [7550] 

NCI 136-83-2 

Item 30a [7590a] 

NCI 136-83-2 

Item 34a(l) [7630al] 

NCI 136-83-2 

Item 36a [7650] 

NCI 136-83-2 

Item 31 [7600] 

NCI 136-83-2 

Item 30c [7590c] 

NCI 136-83-2 

Item 30e [7590e] 

NCI 136-83-2 

Item 30e [7590e] 

NCI 136-83-2 

Item 30e [7590e] 

NCI 136-83-2 

Item 24 [7530] 

GRS 1, Item 12a(l) 

[3110a(l)] 

NCI 136-83-2 

Item 22b(l) [7510b] 

NCI 136-83-2 

Item 22c [7510c] 

NCI 136-83-2 

Item 22c [7510c] 

42 
Science Forms Index 

October 1995 

SCIENCE DIVISION (SD) 

FORM 

NUMBER 

SD-1 

SD-2 

CSSD-3 

CSSD-3A 

SD-6 

SD-7 

SD-10 

SD-470 

LS-470-1 

LPGS-470-2 

LPGS-470-3 

LPGS-470-4 

LPGS-470-5 

TITLE 

License (Cottonseed Chemist) 

License (Peanut Chemist) 

Certificate of Analysis for Official Samples 

Certificate of Analysis for Official Sample 

Certification (Trichinellae in Horsemeat) 

Certificate of Recognition 

Federal Pesticide Recordkeeping Program 

Application for Plant Variety Protection 

Certificate 

Objective Description of Variety (Lettuce) 

Objective Description of Variety (Soybean) 

Objective Description of Variety 

(Agrotricum) 

Objective Description of Variety (Cowpea) 

Objective Description of Variety (Barley) 

DISPOSITION 

5 years 

5 years 

3 years 

3 years 

5 years 

5 years 

3 months after 

return to issuing 

office 

* Pending -

18 years 

* Pending -

18 years 

^ Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

DISPOSITION 

AUTHORITY 

1 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-83-2 

Item 38c [7670c] 

NCI 136-83-2 

Item 38c [7670c] 

NCI 136-79-1 

Item 15a [6100a] 

NCI 136-79-1 

Item 15a [6100a] 

GRS 11, Item 4a 

[2500-3a] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

43 
Science Forms Index 

October 1995 

SCIENCE DIVISION (SD) 

FORM 

NUMBER 

LMGS-470-6 

GR-470-7 

LS-470-8 

LPGS-470-9 

LPGS^70-10 

GR-470-11 

LPGS-470-12 

LPGD-470--

13 

LMGS-470-

14 

LPGS-470-15 

LPGS-470-16 

LS-470-17 

TITLE 

Objective Description of Variety (Wheat) 

Objective Description of Variety (China 

Aster) 

Objective Description of Variety (Cotton) 

Objective Description of Variety (Marigold) 

Objective Description of Variety 

(Beet/Chard) 

Objective Description of Variety (Calendula) 

Objective Description of Variety (Bean) 

Objective Description of Variety (California 

Poppy) 

Objective Description of Variety (Pea) 

Objective Description of Variety („inia Bean) 

Objective Description of Variety (Onions) 

Objective Description of Variety (Rice) 

DISPOSITION 

•• Pending -

18 years 

'' Pending -

18 years 

^ Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

'' Pending -

18 years 

"* Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

'' Pending -

18 years 

'' Pending -

18 years 

DISPOSITION 

AUTHORITY 

i OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

44 
Science Forms Index 

October 1995 

SCIENCE DIVISION (SD) 

FORM 

NUMBER 

LPGS-470-19 

LPGS-470-20 

LPGS-470-21 

LPGS-470-22 

GR-470-23 

GR-470-24 

GR-470-25 

GR-470-26 

GR-470-27 

LPGS-470-28 

LPGS-470-29 

LS-470-31 

TITLE 

Objective Description of Variety 

(Watermelon) 

Objective Description of Variety 

(Pumpkin/Squash/Gourd) 

Objective Description of Variety (Zinnia) 

Objective Description of Variety (Safflower) 

Objective Description of Variety (Verbena) 

Objective Description of Variety (Dahlia) 

Objective Description of Variety (Sweetpea) 

Objective Description of Variety 

(Snapdragon) 

Objective Description of Variety (Nasturtium) 

Objective Description of Variety (Com) 

Objective Description of Variety (Peanut) 

Objective Description of Variety (Tobacco) 

DISPOSITION 

'' Pending -

18 years 

* Pending -

18 years 

'' Pending -

18 years 

" Pending -

18 years 

" Pending -

18 years 

" Pending -

18 years 

^ Pending -

18 years 

* Pendmg -

18 years 

'' Pending -

18 years 

" Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

DISPOSITION 

AUTHORITY 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OT ,D - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

45 
Science Forms Index 

October 1995 

SCIENCE DIVISION (SD) 

FORM 

NUMBER 

LS-470-32 

LMGS-470-

33 

LPGS-470-34 

GR-470-35 

LMGS-470-

36 

LMGS-470-

37 

LPGS-470-3 8 

LPGS-470-39 

GR-470-40 

LS-470-41 

LPGS-470-42 

LPGS-470-43 

Tnr.E 

Objective Description of Variety (Alfalfa) 

Objective Description of Variety (Triticale) 

Objective Description of Variety (Coleus) 

Objective Description of Variety (Oat) 

Objective Description of Cultivars Ryegrass 

Objective Description of Variety (Fescue) 

Objective Description of Variety 

(Muskmelon) 

Objective Description of Variety (Eggplant) 

Objective Description of Variety 

(Orchardgrass) 

Objective Description of Variety (Rye) 

Objective Description of Variety (Red 

Clover) 

Objective Description of Variety (Radish) 

DISPOSITION 

* Pending -

18 years 

" Pendmg -

18 years 

* Pending -

18 years 

* Pending -

18 years 

' Pending -

18 years 

* Pending -

18 years 

'' Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

DISPOSITION i 

AUTHORITY 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

46 
Science Forms Index 

October 1995 

SCIENCE DIVISION (SD) 

FORM 

NUMBER 

LPGS-470-44 

LPGS-470-45 

LPGS-470-46 

LPGS-470-47 

LPGS-470-48 

LPGS-470-49 

LPGS-470-50 

LMGS-470-

51 

LMGS-470-

52 

LMGS-470-

53 

LMGS-470-

54 

LMGS-470-

55 

THTLE 

Objective Description of Variety (Broccoli) 

Objective Description of Variety (Sunflower) 

Objective Description of Variety (Trefoil) 

Objective Description of Variety (Cabbage) 

Objective Description of Variety (Flax) 

Objective Description of Variety (Vetch) 

Objective Description of Variety (Smooth 

Bromegrass) 

Objective Description of Variety (Celery) 

Objective Description of Variety (Endive) 

Objective Description of Variety (lall and 

Meadow Fescue) 

Objective Description of Variety (Caper 

Spurge) 

Objective Description of Variety (Tomato) 

DISPOSITION 

•* Pendmg -

18 years 

* Pending -

18 years 

" Pending -

18 years 

* Pending -

18 years 

•• Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

* Pendmg -

18 years 

* Pending -

18 years 

* Pending -

18 years 

* Pending -

18 years 

DISPOSITION 

AUTHORITY 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

47 
Science Forms Index 

October 1995 

SCIENCE DIVISION (SD) 

FORM 

NUMBER 

LMGS-470-

56 

LMGS-470-

59 

LMGS-470-

60 

LS-470-61 

SD-471 

SD-472 

SD-473 

SD-474 

SD-475 

TITLE 

Objective Description of Variety (Pepper) 

Objective Description of Variety (Timothy) 

Objective Description of Variety (Bluegrass) 

Objective Description of Variety (Dry Edible 

Bean) 

Objective Description of Variety (Sorghum) 

Objective Description of Variety (Parsley) 

Objective Description of Variety (Spruce) 

Objective Description of Variety (Sainfoin) 

Objective Description of Variety (Okra) 

DISPOSITION 

* Pending -

18 years 

" Pending -

18 years 

" Pending -

18 years 

" Pending -

18 years 

* Pending -

18 years 

'' Pending -

18 years 

" Pending -

18 years 

^ Pending -

18 years 

'' Pending -

18 years 

DISPOSITION 

AUTHORITY 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OT ,D - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

OLD - 17 years 

NCI 136-79-1 

Item 93 [7340] 

48 
Tobacco Forms Index 

October 1995 

FORM 

NUMBER 

TB-1 

TB-2 

TB-3 

TB-5 

TB-26 

TB-28R 

TB-31 

TB-39 

TB-40 

TB-50 

TB-55 

TB-78 

TB-78A 

TOBACCO DIVISION (TB) 

TITLE 

Tobacco Compliance Auditor 

Performance Plan Appraisal Worksheet 

Photo ID Card 

Gross Sales Record - Types 22 and 23 

Tobacco Stocks Report 

Redrying and Stemming Yields as Percent of 

Original Farm-Sales-Weight 

Application for Permit to Export Tobacco 

Seed or Plants 

Quarterly Report of Manufacture and Sales 

of Snuff, Smoking, and Chewing Tobacco 

Special Hogshead Case Tobacco Inspection 

Certificate 

Inspection Service Invoice 

Declaration of Financial Interest in Tobacco 

Farming and Warehouse Operations 

Flue-Cured Sales by Warehouse 

Flue-Cured Daily Warehouse Sales Summary 

DISPOSmON 

3 months after 

return to issuing 

office 

3 years after date 

of appraisal 

3 months after 

return to issuing 

office 

Disposition is not 

authorized. 

Retain until 

further notice. 

5 years 

1 year 

3 years after 

certificate is 

issued, voided, 

or accounted for 

5 years 

2 years 

Permanent' 

6 years 

1 year 

1 year 

DISPOSITION 

AUTHORITY 

GRS 11, Item 4a 

[2500-3a] 

GRS 1, Item23a(4) 

[3220-a4] 

GRS 11, Item 4a 

[2500-3a] 

Unscheduled 

NCI 136-79-1 

Item 126 [8370] 

NCI 136-79-1 

Item 122 [8330] 

NCI 136-79-1 

Item 124 [8350] 

NCI 136-79-1 

Item 127 [8380] 

NCI 136-79-1 

Item 121 [8320] 

NCI 136-79-1 

Item 120a [8310] 

GRS 1, Item 24b 

[3230b] 

NCI 136-79-1 

Item 122 [8330] 

NCI 136-79-1 

Item 122 [8330] 

49 
Tobacco Forms Index 

October 1995 

FORM 

NUMBER 

TB-82 

TB-84 

TB-86 

TB-87 

TB-89 

TB-91 

TB-92 

TB-94 

TB-95 

TB-96 

TB-97 

TB-98 

TOBACCO DIVISION (TB) 

TTTLE 

Tobacco Sample Tag 

Record of Lot Count and Sales by 

Warehouse 

Inspection Tag 

Imported Tobacco Pesticide Residue and End 

Users Certification 

Imported Tobacco Pesticide Residue Analysis 

Employee Assignment Notice 

Import Tobacco Inspection Certificate 

, Pesticide Test Sample Removed Label 

Pesticide Test Sample Removed Tag 

USDA Controlled Label 

USDA Controlled Tag 

Burley Sales By Warehouse 

DISPOSITION 

1 year 

1 year 

1 year 

Permanent' 

Permanent' 

Review annually 

& destroy S/O 

documents; or 

destroy file 

relating to an 

employee within 

1 year after 

separation or 

transfer 

Permanent' 

1 year 

1 year 

1 year 

1 year 

1 year 

DISPOSITION 

AUTHORITY 

NCI 136-79-1 

Item 122 [8330] 

NCI 136-79-1 

Item 122 [8330] 

NCI 136-79-1 

Item 122 [8330] 

NCI 136-79-1 

Item 120a [8310] 

NCI 136-79-1 

Item 120a [8310] 

GRS 1, Item 18a 

[3170a] 

NCI 136-79-1 

Item 120a [8310] 

NCI 136-79-1 

Item 122 [8330] 

NCI 136-79-1 

Item 122 [8330] 

NCI 136-79-1 

Item 122 [8330] 

NCI 136-79-1 

Item 122 [8330] 

NCI 136-79-1 

Item 122 [8330] 

50 
Transportation & Marketing Forms Index 

October 1995 

TRANSPORTATION & MARKETING DIVISION (TMD) 

iiiiiiliiiliii 

NUMBER 

TMD-4 

TMD-5 

llllillllliBI 

Food Facility Survey 

Food Facility Survey (Cost Questionnaire) 

DKPOsnroN 

10 years or NAU 

10 years or NAU 

DISPOSITION 

AUTHORITY 

NCI 136-81-1 

Item 28 [8590] 

NCI 136-81-1 

Item 28 [8590] 

51 
AMS Forms Index 

October 1995 

Footnotes 

* Cooperative Agreements as currently approved for AMS. 

DESCRIPTION AND 

FILING INSTRUCTIONS 

COOPERATIVE DOCUMENTS/AGREEMENTS - Filed by 

State and thereunder by program number. 

a. Cooperative Agreements and Memorandums of Understanding 

with other Federal agraicies which are substantive or are of an 

exceptional or precedent nature. 

PERMANENT. Cut off files at die end of die FY/CY in which 

agreement terminates. Transfer to FRC 5 years after cutoff. 

Transfer to the National Archives 25 years after cutoff in 5 year 

blocks. 

b. Cooperative Agreements and Memorandums of Understanding 

which are nonsubstantive or of a routine nature. Filed by State and 

thereunder by number of agreement. 

c. Reimbursable Agreements (including related records) with other 

Federal agencies and with other public and private agencies. 

NO IE: Final reports, evaluations, summaries of results, etc., 

related to the accomplishment of the agreements described in a, b, 

and c above, see NCI 136-83-2, Item 11. 

d. Case files on activities of State Milk Control Agencies. These 

case files consist of copies of State and local agreements, such as 

State Milk Orders, Price Schedules, statistical and background 

information. 

e. Case files of agreements with transportation companies 

pertaining to their reporting to Market News Branch of die Fruit & 

Vegetable Division the rail movements on fruits and vegetables. 

Includes assigned line codes for reporting purposes. 

f. An agreement between USDA, in cooperation widi die Cotton 

Division, and 14 foreign associations to establish universal 

standards for cotton. The purpose of this agreement is to facilitate 

and promote foreign commerce of cotton. 

PERMANENT. Cut off files at die end of die FY/CY in which 

agreement terminates. Transfer to FRC 5 years after cutoff. 

Transfer to the National Archives 25 years after cutoff in 5 year 

blocks. 

DisposrnoN | 

RECORD 

OFFICE 

Permanent 

3 years after 

termination of 

agreement 

3 years after 

termination of 

agreement 

S/O 

2 years after 

end of CY 

agreement 

terminated 

Permanent 

DISPOSITION 

AUTHORITY 

NCI 136-83-2 

Items 7a(l) 

NCI 136-83-2 

Item 7b 

NCI 136-83-2 

Item 7c 

NCI 136-83-2 

Item7d 

NCI 136-83-2 

Item 7e 

NCI 136-83-2 

Item 7f 

53 
AMS Forms Index 

October 1995 

Footnotes (Continued) 

^The following form's are obsolete: CN-7, CN-43, CN-48, and CN-94. 

^PERMANENT. Cut off files at the end of the each FY. Transfer files to the FRC 5 years 

after cutoff. Transfer to the National Archives 15 years after cutoff. 

"NCI 136-79-1, Item 93 [File Code 7340], Plant Variety Protection (PVP) Case Files. 

Disposition is pending until the change from 17 years to 18 years is approved through the National 

Archives. NOTE: Science Division forms in the 470 series (i.e., LS-470-1, LPGS-470-2, etc.) were 

transferred from the Livestock and Seed Division to the Science Division. As these forms are 

revised, they will have the prefix identification symbol "SD". 

^PERMANENT. Cut off files at the end of each FY. Transfer to the FRC 10 years after 

cutoff. Transfer to the National Archives 20 years after cutoff. 

54 
Appendix D 

Instructions for Preparing a File Plan 

A file plan is created for the purpose of assisting someone in quicldy locating the records that 

you maintain when you are not available. A file plan is not a listing of every document you 

maintain, but, rather is a listing of the major categories of the documentation on hand. It 

should be prepared in a mamier that will facilitate the location of needed information by 

someone not familiar with the metiiods you use to maintain the records. It should contain as 

a minimum the following information: 

1. Identify organizational component accumulating records. 

For example: AMS, ERO, 1MB, AMS Records Management Office 

2. Identify the Location of the Records. 

For example: Room 3929-S, Filing Cabinet #1, #2, etc. 

3. Identify the contents of each drawer by using major headings. 

For example: 

Drawer #1 - Organization Management Records ('1000' record series), 

and Civilian Personnel Records ('3000' record series) 

1060 Administrative Issuances 

Folders accumulating under the major heading should be listed on the plan the same way they are 

shown on the folder. For example: 

• RMPDMS Comments on AMS Issuances/Directives 

1120 Records Management Files 

A major heading containing multiple folders could be sub-divided numerically. For example: 

1120.1- Accession Number Master Lists (01 Listing firom WNRC) 

1120.2- Electronic Systems Management 

1120.3- INFOTECH/MAP/FSVIS Committee 

1120.4- Professional Associations/Meetings - QTR's 1-4 

1120.5- Records Management General Correspondence 

1120.6- Records Management Program/Projects: 

• 1120.6a Project #IMB-93-02 

• 1120.6b Project #IMB-94-07 

• 1120.7- USDA ARMS AIR Team - General Correspondence 

3280 Training Records 

• Basic Records Management Training 

• NARA Briefing for Program Managers 

Reference Files - For Reference Only: Activity Reports, Reader Files 

The contents of each drawer should be listed as outlined above. 
Exampl e o f a Fil e Pla n - Prepar e for Eac h Cabine t 

File Plan for AMS, ERO, 1MB, AMS Records Management Office 

Room 3929-S 

CABINET tfl Active (Current FY) Records Management Files 

Drawer #1 - Active Organization Management Records ClOOO' record series), 

and Civilian Personnel Records ('3000' record series) 

1060 Administrative Issuances 

• RMPDMS Comments on AMS Issuances/Directives 

1120 Records Managonent Files 

• 1120.1 - Accession Number Master Lists (01 Listmg from WNRC) 

• 1120.6 - Records Management Program/Projects: 

• 1120.6a Project #IMB-93-02 

• 1120.6b Project #IMB-94-07 

• 1120.6c Project #IMB-94-08 

• 1120.7 - USDA ARMS AIR Team - General Correspondence 

3280 Training Records 

• Basic Records Management Training 

• NARA Briefing for Program Managers 

Reference Files - For Reference Only: Activity Reports, Reader Files 

Drawer #2 - Active Transfer and Authority Records 

1070 Records Disposition Files 

• SF-135, Records Transmittal & Receipt - PENDING 

• SF-135's - FY57, FY60-95 

• SF-115's - NCI 136-79-1 (AMS), NCI 136-81-1 (TMD), NCI 136-81-2 (SD), NCI 136-80-1, (FV), 

NCI 136-85-1 (DA), NCI 136-83-2 (Admin, PY & Comm Procmt), Nl 136-94-1 (SD-Pesticide Data 

Program), Nl 136-94-2 (PY-Grading Certificates & Memorandums), Nl 136-94-3 (AMS-Call Detail 

Records) 

Drawer #3 - Inactive Records - FY94 

[List File Folder Headings] 

Drawer #4 - Inactive Records - FY93 

[List File Folder Headings] 

Drawer #5 - Inactive Records - FY92 

[List File Folder Headings] 
Appendix £ 

1 '^^ 

REGIONAL FEDERAL RECORDS CENTERS 

FEDERAL RECORDS CENTER - BOSTON 

380 TRAPELO ROAD 

WALTHAM, MA 02154 

617-647-8745 

FEDERAL RECORDS CENTER - NEW YORK 

BUn DING 22 - MDJTARY OCEAN TERMINAL 

BAYONNE, NJ 07002-5388 

201-823-7161 

FEDERAL RECORDS CENTER - PHn.ADELPHL\ 

500ft WISSAHICKON AVENUE 

PHILADELPHL^, PA 19144 

215-951-5588 

FEDERAL RECORDS CENTER - ATLANTA 

1557 ST. JOSEPH AVENUE 

EAST POINT, GA 30344 

404-763-7438 

FEDERAL RECORDS CENTER - CHICAGO 

7358 SOUTH PULASKI ROAD 

CHICAGO, n . 60629 

312-353-0164 

FEDERAL RECORDS CENTER - DAYTON 

3150 SPRINGBORO ROAD 

DAYTON, OH 45439 

513-225-2878 

FEDERAL RECORDS CENTER - KANSAS CFFY 

2312 EAST BANNISTER ROAD 

KANSAS CITY, MO 64131 

816-926-7272 

FEDERAL RECORDS CENTER - FORT WORTH 

501 WEST FELDC STREET 

FORT WORTH, TX 76115 

817-334-5515 

FEDERAL RECORDS CENTER - DENVER 

BUn DING 48, DENVER FEDERAL CENTER 

PO BOX 25307 

DENVER, CO 80225 

303-236-0804 

FEDERAL RECORDS CENTER - SAN FRANCISCO 

1000 COMMODORE DRIVE 

SAN BRUNO, CA 94066 

415-876-9015 

FEDERAL RECORDS CENTER - LOS ANGELF.S 

24000 AVILA ROAD 

LACUNA NIGUEL, CA 92677-6719 

714-643-4220 

FEDERAL RECORDS CENTER - SEATTLE 

6125 SAND POINT WAY 

SEATTLE, WA 98115 

206-526-6501 

WASHINGTON NATIONAL RECORDS CEN ThR 

WASHINGTON, DC 20409 

30M57-3057 

AREA COVERED 

MAINE, VERMONT, NEW HAMPSHIRE, 

MASSACHUSETTS, CONNECTICUT, AND RHODE ISLAND 

NEW YORK, NEW JERSEY, PUERTO RICO, AND THE 

VIRGIN ISLANDS 

DELAWARE, PENNSYLVANL\, MARYLAND, VIRGINL^, 

AND WEST VIRGINIA 

KENTUCKY, NORTH CAROLINA, SOUTH CAROLINA, 

TENNESSEE, MISSISSIPPI, ALABAMA, GEORGL^, AND 

FLORIDA 

ILLINOIS, WISCONSIN, MINNESOTA, AND U.S. COURT 

KFrORDS FROM INDLVNA, MICHIGAN, AND OHIO 

INDIANA, MICHIGAN AND OHIO 

KANSAS, NEBRASKA, IOWA, MISSOURI 

TEXAS, OKLAHOMA, ARKANSAS, LOUISIANA, AND 

NEW MEXKO 

NORTH DAKOTA, SOUTH DAKOTA, COLORADO, 

WYOMING, UTAH, AND MONTANA 

NEVADA (EXCEPT CLARK COUNTY); CALIFORNIA 

(EXCEPT SOUTHERN CAT.IFORNL\); AND AMERICAN 

SAMOA 

CLARK COUNTY, NEVADA; SOUTHERN CALIFORNIA 

(COUNTIES OF SAN LUIS OBISPO, KERN, SAN 

BERNADINO, SANTA BARBARA, VENTURA, LOS 

ANGFT F.S, RIVERSIDE, ORANGE, IMPERIAL, INYO, AND 

SAN DIEGO), AND ARIZONA 

WASHINGTON, OREGON, nJAHO, ALASKA, HAWAD, 

AND PACIFIC OCEAN AREA (EXCEPT AMERICAN 

SAMOA) 

WASHINGTON DC 
FRC Box Assembly Instructions 

APPENDIX E 

ASSEMBLY INSTRUCTIONS 

- 1 

/ 

J 

STEP 1 . SQUARE UP BOX ON ITS SIDE 

AND FOLD FLAP A INSIDE. 

STEP 2. FOLD EXTENSIONS OVER ON 

FLAP B AND FOLD TO CLOSED 

POSITION. 

STEP 3. LIFT FLAP A TO VERTICAL 

POSITION AND THEN LIFT 

AND FOLD EXTENSIONS OF 

FLAP B UP AGAINST END 

WALLS OF BOX. 

STEP 5. FOLD ALL FLAPS IN TO TOP. 

SMALL FLAPS FIRST, LARGE 

FLAPS LAST. 

STEP 4. LOWER FLAP A TO BOTTOM 

OF BOX. 
APPENDIX E 

PACKING AND LABELING RECORD BOXES 

Stapled 

End 

Filament tape 

Accession 

Number 

Box 

Number 

Letter-size documentation 

Legal-size documentation 
Sample of SF 135 

» 

•jsw • 

DINS 

8£S 

•I 

« o «i e 

C O £ 3 

Of « U 4J 

O « V) M 

>- s 

r " S - •** 2 3 — 

II 

> 

oa 

• o 

a 

,-1 

c 

C «M 

3 a> 

o c» 

o —« 

LI « I 

41 «0 

c o 

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CO 

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