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APPENDIX A

RECORDS MANAGEMENT MANUAL

U. S. Department of the Interior

Office of Surface Mining Reclamation and Enforcement

August 2008
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Table of Contents

PART I - POLICY AND PROCEDURES.......................................................................5

CHAPTER 1 - INTRODUCTION............................................................................... 5

A. Organization of the Manual ................................................................................. 5

B. Security of Records.............................................................................................. 6

C. Definitions............................................................................................................ 7

A. D. Acronyms...................................................................................................... 12

CHAPTER 2 – PLANNING AND ARRANGING FILES ...................................... 13

A. Location of Official Files................................................................................... 13

B. Basic Types (Groups) of Files ........................................................................... 13

C. Use of Media/Formats of File ............................................................................ 14

CHAPTER 3 – FILES MAINTENANCE AND DISPOSITION PLAN................ 16

A. Purpose............................................................................................................... 16

B. Requirements ..................................................................................................... 16

C. Preparation Instructions..................................................................................... 16

D. Review and Approval ........................................................................................ 16

E. Updating and Revising the Plan......................................................................... 16

CHAPTER 4 – FILE MAINTENANCE PROCEDURES ...................................... 18

A. Filing Efficiently................................................................................................ 18

B. Classifying ......................................................................................................... 18

C. Assembling the File Material............................................................................. 18

D. Retiring and Disposing of Files ......................................................................... 19

E. Cutting Off Files................................................................................................ 19

F. Charging-out Material from the Files................................................................ 19

G. Maintaining the Files ......................................................................................... 19

PART II – SUBJECT FILE CLASSIFICATION SYSTEM .......................................21

CHAPTER 1 – INTRODUCTION............................................................................ 21

A. Purpose and Benefits.......................................................................................... 21

B. Subject Filing Defined ....................................................................................... 21

C. Distinction Between Subject Correspondence and Other File Groups.............. 21

D. Subject File Codes and Arrangement of Subject Outlines................................. 22

E. Further Subdivisions and Addition of Topics.................................................... 22

F. Functional System.............................................................................................. 22

G. Separation of Program and Administrative Correspondence............................. 23
Table of Contents Continued

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CHAPTER 2 – ESTABLISHING THE SUBJECT FILES..................................... 24

A. Application of the System.................................................................................. 24

B. Selection of Subtopics........................................................................................ 24

C. Preparation of File Outline................................................................................. 24

CHAPTER 3 – ARRANGING THE SUBJECT FILES.......................................... 25

A. Applicability ...................................................................................................... 25

B. Folders and Guides ............................................................................................ 25

C. Folder Labels ..................................................................................................... 25

CHAPTER 4 – CLASSIFYING SUBJECT FILE PAPERS................................... 26

A. Basic Steps in Classifying.................................................................................. 26

B. Techniques in Classifying.................................................................................. 26

PART III - CASE FILE CLASSIFICATION SYSTEM..............................................28

CHAPTER 1 – INTRODUCTION............................................................................ 28

A. Purpose and Objectives...................................................................................... 28

B. Case Filing Defined ........................................................................................... 28

C. Common Types of Case Files............................................................................ 28

D. Case File Standardization .................................................................................. 28

E. Establishing Case File Folders........................................................................... 28

CHAPTER 2 – ARRANGING AND MAINTAINING CASE FILES ................... 29

A. Labels, Arranging Folders, and Guides ............................................................. 29

CHAPTER 3 – ORGANIZATION OF THE CASE FILES ................................... 31

A. Organization of Program Case Files.................................................................. 31

B. Organization of Administrative Case Files........................................................ 31

PART IV - RECORDS DISPOSITION CONTROL SYSTEM ..................................32

CHAPTER 1 – INTRODUCTION............................................................................ 32

A. Purpose and Objectives...................................................................................... 32

B. Records Disposition........................................................................................... 32

CHAPTER 2 – DISPOSITION SCHEDULE........................................................... 34

A. Arrangement of Disposition Schedule ............................................................... 34

B. Numbering ......................................................................................................... 34

C. File Reviews....................................................................................................... 34
Table of Contents Continued

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CHAPTER 3 – FILES CUTOFF PROCEDURES .................................................. 36

A. Definition and Objective.................................................................................... 36

B. Cut-off Standards............................................................................................... 36

CHAPTER 4 – RETIREMENT PROCEDURES.................................................... 37

A. Records Retirement Criteria .............................................................................. 37

B. Retirement Deviations ....................................................................................... 37

C. FRC.................................................................................................................... 38

D. FRC Boxes......................................................................................................... 38

E. General Retirement Procedures ......................................................................... 38

F. Preparing Transmittal Forms – SF-135.............................................................. 39

G. Submission Instructions for SF-135................................................................... 39

H. Processing the SF-135........................................................................................ 39

I. Entering FRC Box Numbers and Accession Number........................................ 40

J. Shipping the Records......................................................................................... 40

K. Signed SF-135.................................................................................................... 40

L. Referrals to Stored Records............................................................................... 40

M. Disposal of Records by FRCs............................................................................ 41
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PART I - POLICY AND PROCEDURES

CHAPTER 1 - INTRODUCTION

The Office of Surface Mining Reclamation and Enforcement (OSM) records must be 

maintained in recordkeeping systems so that they will be integrated, either physically or 

intellectually, with related records where they will be accessible to OSM staff who may 

need them. OSM records must remain in the custody of OSM and may be removed only 

in accordance with the guidelines contained in this Manual. Electronic records (erecords) will be covered in more detail when National Archives and Records 

Administration (NARA) and Department of the Interior (DOI) guidance is available. 

This Manual should be used as a guide to help you control the paperwork in your office 

and on your desk. If you ask yourself, “Can I throw this away or should I file it?” you 

will find the answer here. If you are wondering whether you need to copy an e-mail 

message for storage before deleting the original, the Manual will tell you.

Inside, you will find standards and procedures for classifying, indexing, filing, retrieving, 

and disposing of records. There is also an established procedure for the maintenance of 

special records, which are those in formats other than traditional paper, such as e-mail.

This Manual provides guidance for all employees on the definition of Federal records and 

personal papers.

This Manual may be periodically updated to ensure that it complies with current Federal 

records management regulations and OSM practices. Of course, you may always ask 

your Records Liaison Officer (RLO) for additional assistance with your records 

management questions.

This Manual will aid in documenting and preserving the history of OSM activities, will 

simplify the training of new employees, and will provide a source of information on how 

OSM’s files are being managed. The Manual is designed to be flexible and to meet the 

specific requirements of various offices. However, it is essential that the basic pattern of 

primary subjects and numerical codes be followed carefully so that an adequate degree of 

standardization can be maintained in operating the file system and disposing of the 

records.

A. Organization of the Manual

The Manual is comprised of four parts: Part I is the Policy and Procedures for Records 

Management; Part II is the Subject File Classification System used for general 

correspondence; Part III is the Case File Classification system; and Part IV is the Records 

Disposition Control system. 
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B. Security of Records

1. Ownership of Records

Bureau records are defined as all documentary materials, regardless of physical form, 

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

connection with the transaction of public business, and preserved or appropriate for 

preservation as evidence of agency activities or because of the value of the information 

they contain are considered the property of the United States. Bureau records are listed in 

the OSM Records Disposition Schedule, Appendix C. Any employee who knowingly 

conceals, removes, mutilates, obliterates, or destroys bureau records will be prosecuted in 

accordance with Federal law (18 U.S.C. § 2071).

Non-Bureau records are identified as U.S. Government-owned information materials 

excluded from the legal definition of records or not meeting the requirement of the 

definition. Non-Bureau records also includes extra copies of documents kept only for 

convenience of reference, stocks of publications and of processed documents, and library 

or museum materials intended solely for reference or exhibition.

Personal papers belonging to Bureau employees that were created before entering 

Government service, brought into, created, or received in the office but not in the course 

of transacting Government business, and work-related personal papers not used in the 

transaction of Government business are the property of the employee. If personal papers 

are kept in an employee’s work area, they are to be clearly identified and kept separately 

from Bureau records and non-record materials.

2. Disclosure Rules

Every official and employee who is involved in the design, development, operation, or 

maintenance of a system of records relating to an individual or who has access to such a 

system of records must comply with the requirements of the Privacy Act of 1972 

(5 U.S.C. 552a).

From these records that are subject to the Privacy Act, no personal information may be 

disclosed except as provided by law. Additionally, the Privacy Act requires agencies to 

establish appropriate administrative, technical, and physical safeguards to ensure the 

security and confidentiality of records containing personal information. This means that 

records containing personal information must be stored in locked file cabinets or locked 

rooms. A Privacy Act Notice Statement must be attached on the cabinet or door to the 

room where this information is kept. 

For the purpose of this Act, the term “record” means any item, collection, or grouping of 

information about an individual that is maintained by an agency. This includes, but is not 

limited to, information concerning the individual’s name, social security number,

education, financial transactions, medical, criminal or employment history, or 

information that contains the individual’s identifying number, symbol, or other identifier 
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assigned to the individual such as fingerprints, voiceprint, or photograph. Records that 

are subject to the Privacy Act are those that may be retrieved by name, number, or other 

individual identifier.

3. Filing Confidential Records 

Safeguards must be applied when filing confidential records to ensure that improper 

disclosure of protected information is not made. Confidential records must be filed 

separately in equipment affording proper security. Use a cross-reference form in a nonconfidential subject or case file folder to indicate that the confidential material is filed in 

security equipment or a secure location. The cross-reference form will not reveal the 

content of the confidential material. If the entire folder is kept in secure equipment or a 

secure location, use a charge-out card to show the location of the folder.

4. Vital Records

Vital Records must be protected and easily retrievable in usable condition. Vital records 

should be duplicated for storage, with sets maintained offsite (which may be at a separate 

location within OSM). When the duplicate is magnetic or other machine-readable media, 

a copy of the software program or other information required to use the records should be 

stored with them. Store vital records for safeguarding as follows: 

• Storage within OSM is considered the most economical and feasible method for 

protecting vital records. 

• Offsite storage is permissible. Consideration must be given to the availability of 

special equipment, transportation, security, and feasibility of updating and 

maintaining the records. 

• The atmospheric conditions at the Federal Records Centers (FRC) are ideal for 

proper storage of photographic files, magnetic tapes, and paper records. 

C. Definitions

1. Accession is the process of taking over records from a creating or 

holding agency for the purpose of retaining them when they are no 

longer in current use, e.g., a body of records taken over by an FRC.

2. Active Records, also referred to as current records, are records 

which must be retained because frequent reference is necessary in 

conducting day-to-day operations.

3. Administrative Material, also referred to as “housekeeping 

records,” reflects activities common to most Government agencies,

such as Budget, personnel, space, parking, office supplies, printing 

and reproduction, and managerial activities concerned with 

organization, systems, methods, and procedures. Administrative 

material should not be confused with the Administrative Record. 
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4. The Administrative Record is associated with both rulemaking and 

quasi-judicial actions. By law, certain documents must be made 

available for review by the public. 

5. Archives are the permanently valuable records, in whatever form, 

that have been created or received by a governmental body for its 

official purposes and made a part of its official documentation. In 

the records disposition schedule, these are the records that are 

designated as “PERMANENT.” Only the NARA is authorized to 

determine which records of an agency are archival. Archives also 

refers to an agency established to preserve and make such records 

available for use, or a building in which such records are kept, 

e.g., the National Archives in Washington, D. C.

6. Case Working Papers are composed of extra copies of official file 

material; supporting or background material used in developing 

official files but not needed as part of the official file; and papers 

used as local administration aids that do not serve as a basis for 

official action. Because working papers are considered to be nonrecord material, they are kept only as long as they are needed and 

then destroyed unless specified otherwise in the Disposition 

Schedule.

7. Closed Files are files (usually in a series) on which action is 

assumed to be completed and to which no papers are added.

8. Convenience Files are files, usually consisting of non-record, 

informational papers, kept in or near the user’s desk for immediate 

reference purposes.

9. Cutoff is the termination (closing) of files at regular intervals to 

permit their transfer, retirement, or destruction in complete file 

blocks. Under this process, a file is terminated regularly at the end 

of a specified time or event and, if necessary, a new file 

established.

10. Disposition is a broad term which may refer to any of the 

following:

• Destruction of records;

• retirement of records to the FRC or NARA; or

• transfer of records from one office or agency to another.

11. Electronic record is any information that is recorded in a form that 

only a computer can process and that satisfies the definition of a 

Federal record in 44 U.S.C. 3301.

12. Federal Archives and Records Center (FARC)/FRC refers to a 

storage facility established for the receipt, maintenance, servicing, 

and disposition of files which are retired in accordance with 

standards established by this Manual.
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13. Federal Records are documentary materials that agencies create 

and receive while conducting business that provide evidence of the 

agency’s organization, functions, policies, decisions, procedures, 

and operations, or because they contain information of value (44 

U.S.C. 3301). Records may be in paper, film, tape, disk, or other 

physical form. They may be generated manually, electronically, or 

by other means.

14. File Series is a separately maintained group of files with similar 

characteristics such as a uniform subject matter, a single system of 

arrangement, or similar types of paper within each folder. Each 

file or record series comprises the largest practical grouping of 

separately organized and logically related materials that can be 

treated as a single unit for purposes of disposal.

15. General Records Schedules (GRS) are the retention and disposal 

schedules issued by NARA listing records common to several or 

all Federal agencies which establish mandatory standards for 

general use in records management.

16. Inactive Records are records which are no longer referred to but 

which must be retained, temporarily or permanently, by OSM, 

FRC, or NARA because of legal, historical, or research value.

17. Maintenance of Records, in relationship to current records, refers 

to all operations incidental to the upkeep of an organized filing 

system including classification, indexing, sorting, filing, and 

reference service. In relationship to records in the custody of an 

FARC/FRC or Archives, maintenance of records refers to their 

proper storage, protection, repair, and restoration, when necessary.

18. Non-record Material consists of material which has no 

documentary or evidential value and may be disposed of when no 

longer needed. Non-record material includes, but is not limited to:

• Stocks of publications, blank forms, and photocopied 

documents for distribution;

• Preliminary or intermediate drafts of letters, memoranda, 

reports, or other papers and preliminary work sheets and 

information notes that do not represent basic steps in the 

preparation of record copies of documents;

• Letters of transmittal that do not contain any information 

supplemental to that contained in the material transmitted;

• Photocopied or published materials catalogs, trade journals,

or other papers received from other activities or office, 

Government agencies, commercial firms, or private 

institutions that require no action and are not part of a case 

upon which action is taken;

• Library material preserved solely for reference;
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• Reading or chronological files of correspondence;

• Tickler, follow-up, or suspense copies of correspondence; 

and

• Convenience, reference, or information copies.

19. Official Files are papers received by or created in OSM

documenting the transaction of its business. These files are 

preserved as evidence of the organization, functions, policies, 

decisions, procedures, or other activities of OSM or are preserved 

because of their information value. Official files include paper, 

photographs, maps, film, magnetic tapes, or other documentary 

materials regardless of physical form or characteristics that have 

documentary or evidential value. Official files may be destroyed 

only according to the provisions of authorized Records Disposition 

Schedules.

20. Official File Station is any office in which official record copies of 

correspondence and other documents are maintained.

21. Permanent Records are those records of Federal agencies that are 

determined through appraisal by NARA as worthy of permanent 

preservation. These records have been designated by the Archivist 

of the United States as having historical, legal, continuing, or 

enduring value.

22. Program Records are the mission records which relate to the reason 

OSM, or a particular office within OSM, was established, its plan 

of work, and its objectives. Examples include records related to 

abandoned mine lands, inspection and enforcement, and technical 

services and research.

23. Records are all documentary materials, regardless of physical 

form, that are made or received by an agency of the U.S. 

Government under Federal law or in connection with transaction of 

public business and preserved or appropriate for preservation as 

evidence of agency activities or because the value of the 

information they contain.

24. Records Schedules are comprehensive listings and descriptions of 

records created or accumulated that show all legally authorized 

action to be taken in relation to their retention and disposition. 

Record control schedules provide for the periodic retirement of 

records to FRCs and their final disposal or retirement.

25. Record Copy is the copy of a document specifically intended to be 

kept as a record, also referred to as “official file copy.” It may be 

the original, a carbon, or a photocopy, or in non-paper format, such 

as magnetic tape or microform.

26. Record Set is the group of serial issuances of a particular type 

(press releases, manual issuance, or administrative notices) that, 
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among many groups of copies, has been designed as the official 

record or is preserved archivally to serve as such.

27. Retention Period is the period of time that records must be kept. 

Records are retained in offices while active and in FRCs or the 

National Archives after they become inactive.

28. Retirement is the transfer of inactive records to FRCs or other 

authorized repositories for storage.

29. Schedule Item is a separately identifiable type or group of records 

included in a records disposition schedule.

30. Schedule Records are records for which retention periods and 

disposition authority have been included in this Manual.

31. Screening is the removal of individual papers or folders from a 

group of records, usually to permit disposal of parts of the file and 

retention or transfer of the rest. This is also referred to as 

“purging” or “weeding.”

32. Temporary Records are records approved by NARA for disposal 

(i.e., destruction), either immediately or after a specified retention 

period.

33. Vital Records are those records that are essential to the functioning 

of an organization during and right after an emergency, and also 

those records essential to the preservation of legal rights and 

responsibilities of citizens and the Government, such as legal 

records and land titles. All OSM offices must address vital records 

in their Continuity of Operations Plans and Emergency Operations 

Plans.
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D. Acronyms

COOP Continuity of Operations Plans 

DOI Department of the Interior 

DRS Division of Regulatory Support 

FARC Federal Archives and Records Center 

FOIA Freedom of Information Act

FRC Federal Records Center 

GAO General Accounting Office 

GRS General Records Schedules 

NARA National Archives and Records Administration 

OPF Official Personnel Folder 

OSM Office of Surface Mining Reclamation and Enforcement

RLO Records Liaison Officer 

RMO Records Management Officer 
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CHAPTER 2 – PLANNING AND ARRANGING FILES

A. Location of Official Files

Official subject files are maintained in Headquarters by individual offices; in the 

Appalachian, Mid-Continent, and Western Regions by the Regional Directors; in the 

Field Offices by the Field Office Directors; and in the Area Offices by the Chief. The 

official case files are maintained by persons responsible for that function and, therefore, 

have no centralized location (e.g., grant case files, maintained in each Field Office).

B. Basic Types (Groups) of Files

The files collection will normally consist of more than one basic type of file. The first 

step in planning and arranging a files collection is identifying and separating these 

various types. A file group consists of file materials that have similar characteristics and 

should be kept apart from other groups of records in the office. The following are 

common types of file groups:

1. General Correspondence (Subject) Files

Often referred to as the “general correspondence file” or the “subject correspondence 

file,” this file consists of originals or copies of letters, memoranda, telegrams, reports, 

and miscellaneous materials. Because this file invariably involves a wide variety of 

subjects, it is identified and arranged by subject.

2. Case or Project Files

Case files contain material relating to a specific action, event, person, organization, 

location, product, or thing. The papers may cover one or many subjects concerning a

case or project but will always be filed by a name or a number. A case file documents a 

transaction or relationship from beginning to end. Where possible, contents of case or 

project files and their arrangement should be standardized.

3. Technical Reference Files

Often referred to as “reference material,” this file group consists of printed or 

photocopied material which is by itself of non-record value but which has a direct 

relationship to the work of the office and is needed for future reference. It includes such 

material as technical reports, periodicals, catalogues, handbooks, equipment manuals, 

pamphlets, internal instructional and informational manuals, and other similar type 

material.

4. Convenience Files

These files consist of extra copies of correspondence, forms, and other papers kept to 

satisfy a particular need. Examples of convenience files include reading or chronological 
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files, suspense files, duplicate files, policy reference files, and alphabetical name index 

files.

5. Nonstandard Size Files

Records are kept in nonstandard sized files because of their size or physical 

characteristics. These files are usually cartographic materials and drawings, computer 

printouts, films, magnetic tape, photographs, etc.

C. Use of Media/Formats of File

Files may be on many different media and in many different formats, as follows.

1. Email and Electronic Files

Files that are stored in a form that only a computer can process. Electronic files may be 

the products of office automation or larger transactional automated applications. Email

files that meet the definition of a Federal record are printed and stored in the appropriate 

file category. Electronic systems that capture and maintain Federal records must have a 

NARA-approved records schedule.

2. Audiovisual Files 

Files in pictorial or aural form. They include still and motion pictures, graphic materials 

(such as posters), audio and video recordings, multimedia presentations (such as slidetape productions), digital photography (still and motion), and negatives, all of which have 

special handling requirements.

3. Microform Files

Files in any form containing greatly reduced images, normally on microfilm. The use of 

microforms to manage file systems involves the application of microfilming and 

microfiche. File systems involving the use of microforms are subject to the provisions 

outlined in Titles 36 and 41 of the Code of Federal Regulations. Included in these 

requirements is a cost analysis determination.

4. Scanned Files

Files optically scanned and placed on media that can be read/viewed by a computer.

Scanned files are images of existing source documentary material. Textual scanned files 

that have been processed with optical character recognition (OCR) technology may also 

be searched (as opposed to simply viewed) by a computer.
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5. Cartographic, Remote-Sensing Imagery, and Related Files

Graphic representations drawn to scale of selected features of the Earth’s surface. They 

include maps, charts, photomaps, atlases, and related files such as field survey notes, 

map-history case files, and finding aids. Also included are digital cartographic files, such 

as Geographic Information System files. Cartographic, remote-sensing imagery, and 

related files may be in hardcopy or electronic form, and need to be maintained 

appropriately.
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CHAPTER 3 – FILES MAINTENANCE AND DISPOSITION PLAN

A. Purpose

The files Maintenance and Disposition Plan (hereinafter called the Plan) is a management 

tool used to ensure OSM’s policy that files are organized so that complete records are 

maintained and that needed records can be found rapidly. Files should be organized so 

that the identification and retention of records of permanent value are facilitated and the 

disposition of temporary and/or non-record material is accomplished promptly and 

efficiently. This Manual aids in determining the need for additional guidance concerning 

file policy and procedures, highlights the volume of agency records being managed, and 

provides disposition instructions for the records maintained.

B. Requirements

The RLO for each official file station will prepare the plan at the beginning of each fiscal 

year. Plans should contain only those items which apply to file series actually maintained 

at that location. Each file series maintained at the location will be listed on the plan in 

disposition schedule item number order following the File Plan. Arrange the files in the 

same order.

C. Preparation Instructions

Prepare two (2) copies of the Plan on the OSM Form 120 (Exhibit 1) and submit to the 

RLO for coordination within the Region or field/area office location. The RLO will 

forward all plans to the Records Manager Officer (RMO) following the instructions 

contained on the reverse side of the form.

D. Review and Approval

The RMO will review the new Plan for evidence of completeness and the presence of 

unscheduled series. After final approval and signature, the first copy is retained by the 

RMO for control and monitoring. The second copy is returned to the RLO for records 

inventory and records disposal purposes.

E. Updating and Revising the Plan

A new Plan will be prepared when the old Plan is substantially changed or when further 

minor corrections or additions cannot easily be made. The plans will be reviewed at the 

close out of the fiscal year and amended, if needed, to ensure that all files are accounted 

for and that cited disposition authorities are appropriate. This review will also enable 

responsible individuals to determine whether disposition instructions are being 

effectively carried out.
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UNITED STATES DEPARTMENT OF THE INTERIOR

OFFICE OF SURFACE MINING RECLAMATION AND ENFORCEMENT

FILES MAINTENANCE AND DISPOSITION PLAN

1. Organizational Unit 2. Date Prepared 3. Prepared By

4. Records Officer Signature

5. Files Plan

A. Schedule Item 

Number

B. Title or Description of Record 

Series

C. Disposal Instructions D. Office Location of Files

Exhibit 1, OSM Form 120
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CHAPTER 4 – FILE MAINTENANCE PROCEDURES

A. Filing Efficiently

Filing unnecessary papers is a waste of manpower and equipment. Unnecessary filing 

can be avoided by limiting the creation of formal communications for routine matters; 

limiting the number of copies prepared to those which are specifically required; 

eliminating the copies of routine communications which require no record, such as 

outgoing form letters, routine requests for publications, etc.; limiting extra copy files; and 

limiting the quantity of technical reference documents received, filing only those which 

will be of significant reference value.

B. Classifying 

Classifying involves the analysis of correspondence or other documents to determine the 

subject by which they should be filed and the placing of file designations on material to 

show where it should be filed.

1. Importance of the Process

Papers received for classifying and filing may cover a wide variety of subjects. A 

number of papers involving one particular subject may be intermingled with those of 

other subjects. The File Classification System for Subject (Correspondence) Files and 

Case or Project Files is designed so that all papers on related categories will be 

consistently and logically brought together in the files. The ability to locate papers 

promptly after they have been filed depends largely upon the care used in classifying 

material and in placing it in the proper folder when it is filed. Therefore, sound judgment 

and careful attention must be given to the procedures established by this Manual if the 

classification process is to be accomplished satisfactorily.

2. Related Papers

Bring together papers relating to the same transaction in the same file or under the same 

subject. If there has been any previous correspondence, the earlier papers should be 

taken from the file and consolidated with the current transactions.

C. Assembling the File Material

Assemble each unit of file material by stapling the file copy on top of the incoming 

correspondence. Staple small papers, such as important routing slips, to letter-sized 

sheets so that they will not be misplaced. DO NOT USE rubber bands on bulky 

materials. Check correspondence to ensure that the latest date is on top.
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D. Retiring and Disposing of Files

Periodically remove materials from the files that are rarely used and not currently needed. 

Arrange with the RMO or his/her designee(s) to have material not frequently used either 

stored or transferred to the FRC. Such material will still remain available for reference 

service, as needed. Files cannot be destroyed without prior agency approval. 

Additionally, prior to authorizing records disposal, agencies should make sure that the 

retention date has not been postponed as a result of a Freedom of Information (FOIA) 

request, freeze, litigation, etc. Arrange with the RMO or his/her designee to obtain 

authorization to have unscheduled, obsolete, or useless record material destroyed. 

Worthless papers shall not be sent to FRCs. Destroy non-record material, such as 

chronological or reading file copies and extra copies of reports kept for convenience or 

reference, as soon as possible. When the official record copy is kept in another office or 

in the central files and is readily available, retention of reference copies is not cost 

effective.

E. Cutting Off Files

To cutoff files means to stop filing in a series of records on a certain day (e.g., end of 

fiscal year) and to start a new series of records of the same type. Records may be cutoff 

annually or at other regular times to permit their transfer, retirement, or destruction in 

complete file blocks. At every cutoff period, only the old material needed to conduct 

current work should be brought forward to the new folder. The advantages of cutting off 

records are:

• File size is controlled by maintaining only current records;

• Reference service is facilitated;

• Filing equipment and space are conserved; and

• Records disposal is made easier.

F. Charging-out Material from the Files

When records or files are loaned to an individual or an office, the charge-out Form, OF23, or other charge-out forms must be completed and placed in the folder in place of the 

withdrawn material. The charge-out forms will be periodically reviewed for files charged 

out 2 weeks or more.

G. Maintaining the Files 

Neat and orderly files are essential to filing and retrieving information efficiently. The 

following instructions will assist recordkeepers in maintaining efficient files:

1. All records should be stored in areas that have the lowest possible 

risk of damage to the records. Records are most vulnerable to 

damage from water, high temperatures, humidity and pest 
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infestations. They should not be stored in areas where these are 

known to be problems.

2. Identify file drawers or shelf file door. Label file drawers/doors to 

indicate which files, subject, or names are filed in them. Indicate 

the year, if appropriate. The disposition schedule item number

(i.e., 100-01, 100-02, 200-01, etc.) should also be placed on the 

drawer label.

3. Avoid overcrowding of the files. Allow at least 4 inches of space 

in each active file drawer to permit sufficient working space.

4. Keep papers straight. When placing material in file folders, do not 

let the papers extend beyond the edge of the folders. Crease or 

fold papers, when necessary.

5. Avoid overloading the file folders. When the contents of the folder 

increase to the point that papers begin to obscure folder labels, 

crease the bottom of the folder leaves at the second expansion line 

to increase the capacity of the folder. When the folder count 

reaches 3⁄4 inch, either add a new folder bearing the same file 

designation in front of the full folder and show inclusive dates on 

the folders or subdivide the contents of the folder by using new file 

designations.

6. Avoid cluttering the files. Bulky material should be filed in 

equipment suitable to its size and not mixed with standard-sized 

documents. This material will be cross-referenced so that it can be 

readily identified with the related papers in the regular files.

7. Standard equipment and supplies promote efficient and simplified 

file operations and have the advantages of interchangeability, 

lower cost through quantity purchasing, simplified stocking, and 

uniform appearance. Use folder labels to place captions on the 

folder tab in a neat, uniform, and legible manner. File guides can 

be used for indexing files such as correspondence, files and serve 

to support the folders. 
A-21

PART II – SUBJECT FILE CLASSIFICATION SYSTEM

CHAPTER 1 – INTRODUCTION

A. Purpose and Benefits

The purpose of the subject file classification system is to:

• Standardize methods of filing in all offices for general 

correspondence;

• Provide guidance to recordkeepers on how to file and locate papers 

according to their informational content;

• Provide managers with efficiency in office practices;

• Ensure that documents of lasting value will not become lost in 

masses of short-lived papers; and

• Provide personnel with a better manual system of information 

retrieval.

The benefits of standardization when all file stations follow a carefully planned filing 

system are:

• Integrity and continuity of records. High standards are maintained 

despite reorganizations and personnel changes.

• Efficiency of personnel. Recordkeepers and users master 

recordkeeping in their own offices, thus acquiring a working 

knowledge of files throughout OSM.

• Better communication. Commonly used file language makes it 

easier for users and RLOs to work together in retrieving 

information.

• Aid to audit and research. Uniformity in arranging records makes 

them easier to use in management audits and archival reference 

research.

B. Subject Filing Defined 

Subject filing is the process of arranging and filing records according to their general 

informational content. The purpose is to bring together all papers on the same topic to 

make it easier to find information when needed. Subject files consist mainly of general 

correspondence but may include forms, reports, and other material that relate to programs 

and functions but not to specific cases.

C. Distinction Between Subject Correspondence and Other File Groups

The ability to distinguish between subject correspondence and case files or other records 

is vital to the efficient, orderly operation and maintenance of files.
A-22

It is especially important to distinguish between a subject file (which documents general 

planning and operations), and a case file (which documents a specific action, event, 

person, organization, place, project, or issue). A letter or memorandum on procurement 

policy belongs in the subject file, while a letter concerning a specific contract or a 

specific purchase transaction belongs in a case file. RLOs should be fully aware of the 

type of materials placed in subject correspondence files.

D. Subject File Codes and Arrangement of Subject Outlines

The subject file outlines consist of selected main (also referred to as Primary or first 

level) subject titles with related subjects grouped in outline form as subdivisions of the 

primary subject titles. These subdivisions are referred to as second-level and third-level 

subjects. The coding scheme used in the Subject Files Classification System is called a 

subject numeric code. The PRIMARY subjects are short abbreviations of letters 

suggesting the titles (e.g., BUD); SECOND level titles (subdivisions of a primary 

subject) are assigned simple numbers (e.g., BUD 1); hyphens are used to separate the 

numbers on the THIRD level, which is a subdivision of the SECOND level subject (e.g., 

BUD 1-2).

E. Further Subdivisions and Addition of Topics

A bulky folder is a signal that the file needs to be broken down further or a new topic 

added. In many instances, RLOs may also create new subtopics at the second and third 

levels, if necessary. These changes must always be coordinated with, approved, and 

published by the RMO.

Add new subjects (topics) only when experience indicates reference rate and volume of 

documents warrant a separate subdivision. The need to add topics usually occurs 

whenever a subject area coincides with a major function or program responsibility of the 

office (e.g., the Budget Division may have a need for more codes than are assigned; 

therefore, it may have to add more subject codes, whereas the assigned BUD codes may 

be sufficient for other offices). Make the new subject title as short and clear as possible. 

Be certain to insert the new topic at the proper level so that it represents subject coverage 

parallel to other topics at that level.

When numbering second level, third level, or further subdivision, assign your own 

numbers in sequence under each primary outline.

F. Functional System

The Subject File Classification System is a functional system. The primary subject 

represents functions of offices that are performed separately or are recognized as 

subdivisions of a function. Generally, a primary subject and its related subdivisions will 

be used almost entirely by the office(s) of primary interest; that is, the office(s) 

responsible for the function the subject identifies. However, no primary subject has been 

prepared for the exclusive use of any one office. Any of the subject outlines may be used 
A-23

as required by an activity or office; for example, if an office responsible for the State and 

Federal Programs function maintains general correspondence related to personnel 

matters, that portion of its correspondence would be coded using the primary and 

secondary topics (as needed) termed “PER.”

G. Separation of Program and Administrative Correspondence

The Records Disposition Schedule provides two different dispositions for program and 

administrative correspondence found within the Office Central (Subject) Correspondence 

File. The program correspondence described in Item 100-01, OSM Records Disposition

Schedule, will eventually go to NARA for permanent retention as historically valuable 

documentation of OSM policy development, activities, and accomplishments. The 

administrative correspondence found within the same files will eventually be destroyed. 

Most subject correspondence files held in the individual divisions or branches of OSM 

Headquarters, Regions, or Field Offices duplicate the correspondence held in the OSM 

Official Subject Correspondence Files. Therefore, those subject correspondence files will 

be destroyed by the FRC after 15 years. Subject correspondence files held at the division 

or branch level need not be separated since the disposition for program and 

administrative subject is the same.
A-24

CHAPTER 2 – ESTABLISHING THE SUBJECT FILES

A. Application of the System

Each official file station selects the primary subjects from the files outlined in Appendix C that 

will best meet the need of the office(s) it serves.

1. Program Subjects. Normally, one primary subject is selected that reflects 

the principal function or activity of each office served by the official file 

station. Thus, records documenting official action taken in performing the 

mission of the organization will be grouped under one primary subject. 

For some organizations it may be necessary to select two or more primary 

subjects to adequately provide for records reflecting the mission.

2. Administrative Subjects. Other primary subjects are selected as necessary 

to provide for papers which, while they do not reflect the mission or 

function of the office(s) served by the file station, are needed for reference 

purposes.

B. Selection of Subtopics

DO NOT prepare a folder for every topic in the subject outline unless it is necessary. The 

system is designed to cover a subject in depth only when detailed subdivisions are necessary. 

Many file stations will not need much depth, except in the subject area(s) that cover the 

functional responsibilities of the office(s) served by that station. Often the primary subject topics 

alone will be sufficient to file all non-mission papers on a particular subject. Avoid setting up 

folders that will contain only one or two papers. A topic is not usually selected unless there will 

be five to ten papers filed under it during the year. The ideal average is about 25 papers per 

folder.

C. Preparation of File Outline

After selecting appropriate primary subjects and subordinate topics, each file station will prepare 

a subject file outline as part of the Files Maintenance and Disposition Plan. Procedures for 

preparing the plan are contained in Part 1, Chapter 3. See Exhibit 1 for an example (pages 15 -

16).
A-25

CHAPTER 3 – ARRANGING THE SUBJECT FILES

A. Applicability

The instructions that follow apply specifically to files maintained in drawer-type filing 

equipment. These basic principles of arrangement, however, may also be adapted for shelf files 

and mechanized filing equipment.

B. Folders and Guides

Place folders and guides in the file drawer in the exact sequence as subjects appear in the office 

file outline, starting from the front of the drawer, with the guides preceding the related folders. 

The sequence of the drawers should be from top to bottom of the cabinets.

Use the first position of one-third cut grade guide cards for primary subjects, second position for 

secondary subjects, and third position for third level subjects. Active files should have one guide 

for each 8 to 12 folders. Guide labels should show the full file code number and title of the topic 

for the first folder behind the guide.

C. Folder Labels

Labels through the third level should be typed and placed in one position only, one-half inch 

from the left side of the square-cut folder tab. This arrangement improves the appearance and 

speeds filing operations. The eye can locate desired folders much faster if the labels are in a 

straight row rather than zigzagged across the file drawer. Folder labels for the subject files will 

include the applicable disposition schedule item number, the file code symbol, the title of the 

particular subject material in the folder, and the fiscal year. The example shown below 

illustrates the preferred arrangement.

EXAMPLE OF SUBJECT FILE FOLDER LABELS

__________________________________________

 100-01b FY XX PRIMARY LEVEL

 ADP Automated Data Processing__________ 

_________________________________________

 100-01b FY XX SECOND LEVEL

_ ADP 3 Automated Systems______________

_________________________________________

 100-01b FY XX THIRD LEVEL

__ADP 3-1 Applicant/Violator System_________
A-26

CHAPTER 4 – CLASSIFYING SUBJECT FILE PAPERS

A. Basic Steps in Classifying

Classifying subject correspondence material is more complex and distinctly different

from classifying other types of papers. Papers must be read and analyzed, then classified 

on the basis of the informational content. How quickly a particular document can be 

located after it has been filed depends largely on how carefully it has been classified 

before filing. The basic steps in classifying subject correspondence material are:

1. Read and analyze the document to determine its major subject (the 

subject by which the document will most likely be requested). The 

subject line appearing above the body of the correspondence is 

often helpful in classifying but should not be relied upon entirely. 

It may be vague, misleading, or even remote from the real subject 

of the correspondence.

2. Select the proper file designation from the subject file outline 

portion of the Plan. First, select the appropriate primary subject 

category, and then the correct subdivision of the primary subject, if 

any. If no subdivision has been provided, use the primary subject 

itself as the file designator. When a sufficient volume of paper 

accumulates in a subdivision that was not originally selected as a 

subject topic, add the new topic to the file outline and create a 

folder to accommodate these papers. Then segregate other 

documents of that same subject and file in a new folder.

3. Write the subject-numeric file code (three letters plus number, if 

necessary) in the upper right hand corner of the file copy in pencil.

4. Underscore the reference when papers refer to previous papers 

already on file. This will emphasize that there are previous papers 

involved. Earlier material should be consolidated with later 

correspondence on the same subject.

B. Techniques in Classifying

1. Read the document. The knack of noticing key phrases and ideas 

in correspondence helps one to select the correct file designation. 

The subject matter is sometimes difficult to determine. In such 

instances, it is helpful to consider the correspondence in this light: 

“Why was it written?” and/or “What is the basic subject?” Usually 

the purpose for writing suggests the subject under which it should 

be filed.

2. It is helpful at times to refer to previous correspondence already on 

file to verify a tentatively selected file designation.
A-27

3. Being consistent is the first rule of classifying. Consistency 

ensures that papers currently being classified will be filed with the 

previous papers with which they belong.

4. In unusual cases, the subject of correspondence is extremely vague 

and it is impossible to determine the proper file designation from 

the letter itself. In such cases, the classifier should contact 

someone more familiar with the material for more information.
A-28

PART III - CASE FILE CLASSIFICATION SYSTEM

CHAPTER 1 – INTRODUCTION

A. Purpose and Objectives

The purpose and objectives of the case file classification system are to:

• Standardize contents. Ensure complete documentation of a case 

by specifying the records and data that the case folder should 

contain.

• Standardize document identification. Identify the file by a 

distinguishing symbol. Either a number or name should appear in 

the same location as much as possible.

• Standardize disposition plans. These plans will explain how to 

segregate papers for disposition instructions for closed case files.

B. Case Filing Defined

A case file is defined as a folder or other file unit containing material relating to a 

specific action, transaction, event, person, place, project, or other subject. Case filing 

includes the creation, maintenance, use, and disposition of records that relate to a 

particular issue.

C. Common Types of Case Files

• Official Personnel Folder (OPF)

• Contract File

• Health Record

• Project file

D. Case File Standardization 

Except in unusual circumstances, a standard system should be adopted for a particular 

case file throughout the OSM. At least one case file, the OPF, is standardized among all 

agencies subject to Office of Personnel Management directives on personnel matters.

E. Establishing Case File Folders

A case filing system normally involves the creation of at least one folder for each case. 

Under unique circumstances, the system may allow one folder for several cases as long as 

there is a common denominator for the unit. For example, a project filed by name, may 

have several different parts identified by number.
A-29

CHAPTER 2 – ARRANGING AND MAINTAINING CASE FILES

Case files can be arranged alphabetically or numerically. For example, contract files may 

be arranged numerically in ascending order, whereas Abandoned Mine Land files may be 

arranged alphabetically by project name.

The allocation of file space in cabinets or on shelves should be planned to avoid 

unnecessary shifting of records

Fastened filing is usually associated with case filing.

A. Labels, Arranging Folders, and Guides

1. Label Preparation. The disposition schedule item number from 

Appendix C of this manual is shown first, because this number is 

the basis for the arrangement of all files. The case file label will 

also normally show the identifying file designation, such as a name 

or number reflecting the arrangement pattern of the series. The 

year or inclusive dates, as appropriate, may be included. The label 

is placed on the folder in one position only – usually the first 

position. Labels should be easy to read, precise, and complete.

2. Arranging Folders and Guides. The orderly appearance and 

efficiency of any file operation depends upon the careful 

preparation, use, and arrangement of folders and guides in the file 

drawer or shelf. Folders are necessary to keep the paper together 

and in order. Guides serve as “sign posts” to help speed up filing 

and locating operations. Guide cards reduce the area of the search 

and help the folders stand erect. As a general rule, place a first 

position guide card in front of each record series (if volume 

warrants) to identify and isolate it from other series in the same 

drawer. Two rules to follow are 4 to 6 guide cards in each drawer 

or 1 guide to every 8 to 12 folders.

3. Preparing Papers for Case Filing. Case filing is the easiest and 

fastest type of filing, if the case identification is prominently 

placed on the front of all papers to be filed. Time required for 

erasing and marking file material can be greatly reduced if files are 

correctly identified.

The following guidelines should be followed in preparing case papers for filing:

• Review papers to verify that they are ready for filing;

• Indicate the proper file designation – written, stamped, underlined, 

or encircled on the documents;

• Remove items such as rubber bands, pins, and paper clips;
A-30

• Assemble the material to be filed chronologically with the latest 

date on top unless another sequence is specified;

• Fasten pages with staples in the upper left corner;

• Fold off-sized material to fit the folder. If such material is too 

large to fold and fit, file it nearby with a cross-reference in the case 

folder to indicate its existence and location; and

• Discard duplicate copies of the same papers and valueless 

attachments (envelopes and routing slips) that do not contain

record information.
A-31

CHAPTER 3 – ORGANIZATION OF THE CASE FILES

A. Organization of Program Case Files

In some program case files, the most efficient method of arranging the case files is clearcut. As a result, the method of arranging the files is specifically stipulated. In other 

cases, the organization of the office and the program areas covered differ substantially. 

In those cases, the file arrangement has not been specified. This allows the individual 

office the flexibility to organize the file arrangement that allows it to locate and retrieve 

information quickly. This flexibility is reflected in the case file definition with the 

remark: “File as appropriate to office.” This flexibility is granted with the understanding 

that its use must be consistent within the file group. Contents of the file group must be 

arranged in the same order within each individual case file.

B. Organization of Administrative Case Files

The disposition shown for administrative case files (case files in the 300 Series) are 

specified by NARA in the General Records Schedules. These dispositions are legally 

mandatory. They can be modified only with NARA’s approval. Arrange with the RMO 

for only required changes in retention. However, within OSM, it may be advantageous 

for some organizational components to combine some or all of the related administrative 

case files in one control folder. This is generally done because it assists in the 

management of the individual function and because it facilitates the location and retrieval 

of the related information concerning the function. Where all or some of the related 

administrative case files are combined, the disposition of the material is determined by 

the Controlling Disposition. The Controlling Disposition is defined as the longest 

retention period of any of the individual case files that are combined. The longest 

retention period governs the disposition of all the records contained in the combined file. 

For example, if some of the case files relating to Motor Vehicles are combined in one 

case file it could contain the following records:

304-32 Motor Vehicle Operating and Maintenance Files

307-33 Motor Vehicle Cost Files

307-34 Motor Vehicle Report Files

307-35 Gasoline Sales Tickets

Since the longest retention period for any of the above files is 3 years, it becomes the 

Controlling Disposition for the combined file.

It must be remembered that the flexibility to combine case files is granted only for 

administrative case files and only for case files that are related.
A-32

PART IV - RECORDS DISPOSITION CONTROL SYSTEM

CHAPTER 1 – INTRODUCTION

A. Purpose and Objectives

The purpose of the Records Disposition Control System is to provide a standard system 

for the designation, retention, retirement, and disposal of records maintained by OSM. 

Federal law requires proper authorization by the Archivist of the United States to destroy 

Government records. This authorization is reflected in the guidelines shown in the 

Records Disposition Control Schedule (Appendix II). The schedule provides for the 

selective retention of records of continuing historical value and the destruction of records 

of temporary value after the expiration of a specified period of time or upon the 

occurrence of a given event. The schedule also provides for the removal of noncurrent 

records from office space and filing equipment to less expensive storage facilities, which 

improves the use of files and reduces maintenance costs.

Official Records will NOT be destroyed by any provisions other than those shown in the 

Records Disposition Control Schedule in this Manual. Revisions to the dispositions may 

be made only by approval of the RMO through the submission of a Standard Form 115 to 

the NARA.

Non-record Material may be destroyed when its purpose has been served or when it is no 

longer needed for reference. The accumulation of non-record material must be controlled 

to ensure that filing space is not dedicated to material of little or no value. The retention 

and disposition of non-record material should comply with the guidelines specified in this 

Manual.

B. Records Disposition

Records disposition includes the retirement, transfer, or destruction of records.

1. Retirement. Records are considered “retired” when they are sent 

to a designated FRC for storage, servicing, and ultimate 

destruction or retention.

2. Transfer. Disposition includes the transfer or a change of custody 

of records from one organization or agency to another. Records 

may be transferred to another office within OSM as a result of 

realignment of functions or reorganization. During realignment or 

reorganization, records due to be retired may be sent to the FRC in 

accordance with approved records disposition schedules. Transfer 

of records to another office or agency must be approved by the 

RMO. Transfers to another agency are governed by 367 CFR 

1200.

3. Destruction. The destruction of records includes the physical 

destruction of the record material itself or the removal of the 
A-33

information content. Records authorized for destruction by this 

Manual are:

• Non-sensitive or non-confidential paper records can be 

recycled or disposed of in a waste receptacle. Consult your 

Acquisition Section on the disposal of wastepaper.

• Information that might be confidential should be destroyed 

by shredding or burning to avoid. Prior to destroying 

confidential information, the Security Officer and Privacy 

Officer should be consulted.

• When the record consists of magnetic tape or comparable 

media, erase and reuse, if appropriate.
A-34

CHAPTER 2 – DISPOSITION SCHEDULE

A. Arrangement of Disposition Schedule

The records disposition schedule contained in this Manual consists of individual 

scheduled items arranged as follows:

1. The 100 Series contains the guidelines for the retention and 

disposition of official correspondence and duplicate copies of 

official correspondence.

2. The 200 Series contains scheduled items arranged according to the 

program functions of OSM.

3. The 300 Series contains scheduled items that are used for 

administrative support.

4. The 400 Series contains scheduled items for the Administrative 

Record. 

5. The 500 Series contains scheduled items that are kept by most 

offices for reference purposes.

B. Numbering

The numbers assigned to individual items in the records disposition schedule serve both 

as an identification of the file series and as an abbreviation of the disposition authority. 

All file series relating to the same functional area are grouped together in a section. The 

specific scheduled item number (for example 200-01) is generally derived from the 

internal arrangement of the functional area and the sequence in which the item appears in 

the area. The first digit of an item number indicates the series in which it appears (Item 

200-01, for example, is in series 200; Item 400-01 is in series 400).

C. File Reviews

Each office is responsible for ensuring compliance with the provisions of the records 

disposition schedule and ascertaining that all records of the organization are covered by 

appropriate disposal instructions. Each office will review its files at least annually to 

determine whether the applicable schedule is adequate and is being followed.

1. Recommendations to add, delete, or change records disposition 

schedules will be made when annual reviews disclose:

• Record series not covered by the schedule;

• Items that should be deleted;

• Retention periods that clearly need to be changed based on 

valid justification.
A-35

2. Proposed records disposition schedule revisions will be submitted 

through the RLO to the RMO. Recommendations should include 

the following information:

a. Name of the organization office(s) accumulating the 

records.

b. A clear and meaningful description of the records, 

including the purpose for which the records were created; 

their relationship to the program activities of the office(s) 

creating them; and their relationship with other records, 

including duplication elsewhere in content or substance.

c. A proposed period of retention that is no longer than 

necessary to satisfy normal administrative, historical, legal, 

and fiscal requirements, with full justification for the 

retention period. (The final authority on the approval of 

dispositions is the NARA. The NARA will consider 

agency input in deciding whether to approve or reject 

recommendations.

If the retention period proposed is no longer than that for which the records are in active 

use, the recommendation should provide for their transfer to an FRC.

3. Representative samples of paper records recommended for 

destruction or permanent retention will be submitted with the 

related recommendations. Samples will not be returned unless 

requested.

4. The RMO will review, coordinate, and evaluate the information

furnished for conformity with established polices and regulations. 

If the decision is made to add or change a disposition scheduled 

item, the RMO will take the necessary action to obtain approval for 

the disposal authority.

5. Additions or changes to schedules will be published as numbered 

changes to this Manual. Records recommended for disposal shall 

not be destroyed until such specific amendments are issued.
A-36

CHAPTER 3 – FILES CUTOFF PROCEDURES

A. Definition and Objective

Files “cutoff” is the segregation of active and inactive files. Periodic cutoff of files is 

essential to effectively control the accumulation and growth of records and to facilitate 

economical disposition in convenient blocks. At least annually, recordkeepers will cut

off files and segregate inactive files from active files and dispose of files eligible for 

retirement or destruction.

Cutting off files is important because it controls the size of the file. If not cut off 

periodically, folder contents will grow until individual papers become hard to find. If the 

files are cut off periodically, older files can be progressively moved from active file space 

to storage space as their reference activity declines.

B. Cut-off Standards

Prescribed cutoff instructions are included in the records disposition schedule where 

applicable. Cutoff standards are based on the following criteria for the various types of 

records:

1. Chronological Sequence Files, such as accounting records, are 

filed by period of account (fiscal year) and lend themselves to 

cutoff procedures. Chronologically arranged records can be 

readily cut off and retired in convenient blocks.

2. Subject Files must be cut off at planned intervals; there is no 

natural cutoff point such as occurs with chronologically-arranged 

records or case files. Subject files are usually maintained on a 

fiscal year basis.

3. Case or Project Files are often cut off upon the termination of a 

transaction or expiration of an event, such as separation of 

personnel, final purchase order, payment, or completion of a grant 

project. When closed, the case file should be marked with the date 

of closing and placed in an inactive file apart from the active files. 

The inactive files can then be retired or destroyed in convenient 

fiscal year blocks.

4. Reference Materials have no established cut off and are destroyed 

when they are superseded, obsolete, or no longer needed. These 

files should be reviewed at least annually to determine if they are 

current and still useful.
A-37

CHAPTER 4 – RETIREMENT PROCEDURES

A. Records Retirement Criteria

Offices should retain as current records a minimum volume of records consistent with 

efficient operations. Records on hand that are inactive and not scheduled for early 

destruction should be retired to appropriate FRCs. The schedules in this Manual include 

retirement instructions for many file series. Prior to authorizing records disposal, 

agencies should make sure that the retention date has not been postponed as a result of a 

Freedom of Information (FOIA) request, freeze, litigation, etc. The general criteria for 

the retirement of records is shown below.

1. Reference Rate. Files which are referred to not more than once a 

month are to be transferred to a records center, provided volume is 

sufficient.

2. Retention of Less than a Year. Records should not be retired if 

they will be destroyed less than 1 year after transfer. Some records 

with a retention of less than 1 year may be retired if the file is 

bulky, continued retention in office space is more costly than the 

transfer, and the local FRC agrees in writing to the transfer.

3. Volume. Records should be retired at annual intervals except 

when the volume involved warrants more frequent transfers.

4. Current procedures for transfer of records to an FRC require that 

each series (block of records described by a single disposal 

scheduled item number) have the same disposal date and that no 

more than one series be packed in a single box. This means that a 

series of records would have to accumulate 1 cubic foot each year 

to provide sufficient volume to warrant transfer. Because many 

series do not accumulate at this rate, records from some series may 

be held until sufficient volume for transfer is available. The 

disposal date for these records is based on the latest records in the 

carton. In accumulating sufficient volume for transfer, the 

guidelines cited above should be considered.

B. Retirement Deviations

The RMO is authorized to approve specific deviations from retirement instructions on an 

individual basis only. Deviations apply only to records retirement. No records will be 

destroyed sooner or later than authorized by approved disposal schedule unless the 

applicable schedule is officially changed. Exceptions to retirement instructions will be 

approved in writing by the RMO. Records required in litigation or investigations should 

be brought to the attention of the RMO to secure a deviation in their retirement.
A-38

C. FRC

FRCs are operated by NARA for storage, processing, and servicing of records of Federal 

agencies. Regional FRCs are located throughout the United States in addition to two 

National Records Centers.

D. FRC Boxes

Cardboard containers available through normal supply channels from the GSA Supply 

Service are used to transfer files to the FRCs.

1. Standard Cartons. Specially designed boxes will hold either letter 

or legal-sized files. Each holds 1 cubic foot of files.

2. Map-Size Containers. Plans, blueprints, maps, and similar records 

are packed in these map boxes (5 x 5 x 43 in.).

3. Half-size Containers. This container holds 1.2 cubic feet of cardsized documents.

4. Over-sized and Under-sized Records. Contact the local FRC for 

instructions on shipping records of an odd size.

E. General Retirement Procedures

1. Estimating Volume. When records become eligible for transfer, 

the recordkeeper should estimate the volume involved and obtain 

the necessary boxes.

2. Review Prior to Boxing Records. Before files are boxed for 

shipment, they should be screened to eliminate non-record 

material, especially personal comments, and material authorized 

for immediate destruction. However, such screening should be 

limited to complete folders or subject classification file categories.

3. Packing Standard Sized Records. Pack legal and letter-sized 

records in the standard FRC boxes prescribed in paragraph D.1 

above. In packing records, follow these rules:

a. All records packed in the same carton must have the same 

disposal authority manual and the same disposal date as 

listed in this Manual.

b. Pack the records in the same arrangement used in the 

original file. 

c. Do not pack the files so tightly in the box that referencing 

the records is made difficult.

d. Pack letter-sized folders the 12-inch way facing the front of 

the carton. Pack legal-sized folders the 15-inch way facing 
A-39

the left of the carton. The unstitched 12-inch side of the 

carton is considered the front.

e. If the cartons are to be shipped to a center by freight, 

express, or parcel post, reinforce them either by placing a 

cardboard liner inside the carton or by taping the corners or 

edges of the closed carton.

4. Preparing Finding Aids. Detailed lists of the contents of boxes, 

indexes to the records, and other specialized finding aids normally 

are retained by OSM so that documents, needed for future 

reference, can be identified clearly by requesting officials.

5. Entering Agency Box Numbers. After the boxes are filled, number 

the cartons in each shipment consecutively beginning with number 

1. Prominently enter in the upper right corner of the front of each 

box with a black felt-tip marker the number of the box and the 

number of boxes in the transfer (i.e., 1 of 12, 2 of 12). These are 

OSM box numbers. They are used to show the total number of 

boxes in the accession.

F. Preparing Transmittal Forms – SF-135

The retirement of records to an FRC requires the preparation of SF-135 (Rev. 7-85), 

Records Transmittal and Receipt, and SF-135A, Continuation Sheet. More than one 

series of records may be transferred on the same form. General Accounting Office 

(GAO) records held by OSM may be transferred on the same form but must be listed as a 

separate accession and clearly indicated as GAO records in the series description, column 

f. Recordkeepers making shipments to FRCs will prepare an original SF-135 and three 

copies. Complete the SF-135 following the instructions shown on the reverse of the 

form.

G. Submission Instructions for SF-135

RLOs will submit the original and two copies to the RMO for review, approval, and 

signature. The recordkeeper for the originating office will keep one copy in suspense 

until the FRC returns the annotated copy.

NOTE: The SF-135 should be mailed to the FRC at least two weeks before the records 

are to be shipped to the FRC.

H. Processing the SF-135

1. The FRC will review the SF-135 and annotate the accession 

number for each series in column 6(j) and in some cases the 

location number for the first carton in each series in column 6(j). 

For records being transferred to the Washington National Records 

Center ONLY, the RMO will assign the accession number. One 
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copy of the completed SF-135 is returned to OSM indicating the 

Center’s approval to ship the material.

2. The RMO will forward the completed SF-135 to the recordkeeper 

for use in preparing the boxes for shipment.

I. Entering FRC Box Numbers and Accession Number 

Prior to shipment, the recordkeeper will use a black felt-tip marker to place the assigned 

accession number on the SF-135 in the upper left corner of the front of each box.

J. Shipping the Records 

The most economical means available should be used to ship files to an FRC. Records 

may be transferred by United Parcel Service or by regular U.S. mail for small shipments 

(less than 24 boxes) or by commercial motor or rail freight for larger shipments with 

costs to be paid by OSM. To obtain the lowest freight rate for records shipments, enter 

the following description on bills of lading or other shipping documents:

“Records, Office, Old”

(The agreed or declared value of this property is hereby stated by the shipper not to 

exceed 3.5 cents per pound.)

K. Signed SF-135

Upon receipt of the records shipment, the FRC will complete Item 4 of the SF-135 and 

return one copy to the originating office.

L. Referrals to Stored Records

Even though records are physically stored in FRCs, they are readily accessible to the 

offices that retired them. The requester may ask for the loan or return of the records 

themselves, or in the case of a real emergency, for information from the records. 

Optional Form 11, Reference Request – Federal Records Center, is available for use in 

requesting reference service. Use a separate OF-11 for each folder or box requested. 

Persons requesting reference service should specify:

1. The name and location of the person for whom the request is being 

made.

2. The accession number of the transfer in which the records were 

included, as shown on the originating office copies of the SF-135, 

Records Transmittal and Receipt.

3. The OSM container number and FRC location number should be 

furnished and will be found on the originating office copies of the 

SF-135
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M. Disposal of Records by FRCs

1. Records stored at FRCs will be destroyed in accordance with the 

disposition control schedule contained in this Manual. OSM will 

be notified 90 days prior to scheduled destruction by the FRC. If 

there is no objection from OSM during that period, the records will 

be destroyed as scheduled.

2. If unusual circumstances require that certain records be retained 

longer than their scheduled retention, justification for continued 

retention must be submitted in writing by the RMO and must 

indicate the specific need (audit, legal, or other pertinent issues) 

and the estimated duration of continued retention of the records.