HEADQUARTERS HANDBOOK: RECORDS DISPOSITION HANDBOOK, DATED 3 AUGUST 1982

Created: 8/3/1982

OCR scan of the original document, errors are possible

RECORDS DISPOSITION HANDBOOK

FOREWQ

FOREWORD

References:

1 This handbook contains procedures for Agency employees to follow tn carrying oui the Records Disposition Management Program. The objectives of records disposition management are ro identify records as having either temporary or permanent retention value: to develop andontinuing records scheduling program; to retain tn olfice space and storage equipment only the minimum records needed for efficient operation; to transfer to the Agency Archives and Records Center those records that cannot be disposed of immediately but need not be maintained In more expensive officeand storage equipment; to dispose, after the lapse of specified and approved retention periods, of those records not having sufficient value to Justify their further retention, and to preserve those records bavins permanent value.

-of Information Services. Directorate of

Administration, is responsible for developing, coordinating, and monitoring the Records Disposition Management Program for tbe Agency. This handbook may be implemented in such manner as to accommodate the unique records disposition management requirements of individual components. With the concurrence of Chief. Mfe procedures may be modified, consistent with the Agency regulatory system MMM* as necessary in the context cf thi; program

Harry E. Fitzwatcr Deputy Director for

Administration

distribution:

2

INFORMATION AND RECORDS

CONTENTS

CONTENTS

CHAPTER I; GENERAL

PURPOSE AND

Reserved

CHAPTER II: PREPARATION. COORDINATION. AND APPROVAL OF RECORDS CONTROL SCHEDULES

A RECORDS CONTROL

INVENTORY OF

t EVALUATING RECORDS SERIES TO DETERMINE RETENTION PERIODS

d. WRITLNG THE RECORDS CONTROL SCHEDULEeMMMt

AND APPROVAL OF RECORDS CONTROL SCHEDULES

T. AMENDMENTS TO RECORDS CONTROL

8-9 Reserved

CHAPTER III: IMPLEMENTATION OF APPROVED RECORDS CONTROL SCHEDULES

THE RECORDS INFORMATION SYSTEM

RECORDS DESTRUCTION

PROCEDURES FOR DESTRUCTION OF RECORDS IN OFFICE ARE*

PROCEDURES FOR TRANSFERRING RECORDS TO THE ACENCY ARCHIVES AND RECORDS CENTER

c DISTRIBUTION OF FORMS lpJL* AND gLTJftAND SHIPPING

d. INSTRUCTIONS FOR TRANSFERRING

TO RECORDS TRANSFERRED TO THE ACENCY ARCHIVES

FOR COMPLETING FORMiflRECORDS

CENTER SERVICE

OF REFERENCE

c VISITORS TO THE ACENCY ARCHIVES AND RECORDS

15. PROCEDURES FOR DESTRUCTION OF RECORDS HELD IN THE AGENCY

ARCHIVES AND RECORDS

BASIC

b. ALTERNATIVE PROCEDURES FOR QUESTIONABLE

OF RECORDS TO THE NATIONAL ARCHIVES AND

IT. TRANSFER OF RECORDS TO ANOTHER FEDERAL AGENCY

15 DISPOSTTTON OF

HHBfll

CONTENTS Apoc.c'ix

Title

Page

Inventory Work Shoot

Control Schedule

-Record! Control Schedule Continuation Sheet

Standard Formfor Record* Disposition

FormInformation Request

FormRequest for Authortnitoo to Retain or Destroy Questionable Records .

Retirement

Var-FUc Rr-ie* Worksheet

ecords Storage Box

F^rm fJBfc-Recorc of Top Secret Documents Transferredgency Archive! ind

0

::

23

9 IB

Form& Recordi Center Service

Form lMb%-Request for Authorization to Destroy Records in

Standard Formtoand Receipt of

GLOSSARY OF

Reserved

PERMANENT RECORDS APPRAISAL

MAGNETIC TAPE OFFSTTE STORAGE

2

CHAPTER I: GENERAL

I. PURPOSE AND AUTHORITY

disposition of Federal records Is governed bv Ihe provisions ofhese(ha! agencies follow regulations promulgated by the Administrator ot Generalinclude the Federal Property Management Regulations (FPMR) issued in4 torequires that each Federal agency submit requeststo retain or dispose of records to the National Archives and Records Service iN'ARSiby the Archivist of the United States.

requests are submitted In the form of records disposal lists or schedules on Standard FormRequest for Records Disposition Authority <Figuregency records control scheduleson FormRecords Control Schedule, andContinuation Sheet, whichrecords series In detail Vith appropriate disposition instructions.

in addition to submittingo NARS for approval (he Agency routinelyof both the Form ejjranco the Senate Select Committer on Intelligenceays prior to implementation of the *

c. Once Agency records control schedules are approved andday period has expired with no objection from the SSCI. records custodians and records management officers are then required to implement approved disposition instructions. Any change to these disposition instructions requires an amendment to tbe records control schedule.

ESPONSIBILITIES

f Information Services. Directorate of

fOlS/DDA. develops, coordinates, and monitors the

AoUninistratlonJBP>OIS/DDAi. serves as the Agency Records Management Officer and provides staff guidance arid" assistance on records management to each directorate and independent office, develops and publishes detailed regulations and procedures for implementing the records management program, and is responsible for Agency liaison with NARS-

b. The

records management program.

management officers are responsible for administering tbe records managementtheir areas of jurisdiction.

Agency Archives and Records Center (AARCX *Hg?OIS/DDA. is the temporaryarea for storage of the Agency's permanent records until they can be declassifiedto the National Archives or other Federal agencies. It Is not an extension of theAARC provides for the storage, control, security, and servicing of both permanentrecords that are not active enough to justify being retained in more expensiveor space.

eserved.

32

control schedule Offices with published records systems must ensure that the retention and disposal statement tn the Federal Rcstater is conswent with tbt disposition instructions ta the records control schedule. An* substantive difference must be brought to the attention ot the Chief. Information and PrivacyDA. aad th* Office of General Counsel iOGC so Out the retention and disposal statement in tbe Federal Register can be amended accordingly .See also KHB40HMHpfJpJim

lb) Th* following statement must be includedarentheses at the end of each applicable records control scheduleublished in the Federal Reenter. Notification cf Systems of Records. Privacy Arthe Federal Register must be amended if this system is changed or discondnued.)"

(c) The records control schedule description covering record copies ihould begin: "Record copy" An office maintaining duplicates of records for which another office Is the office of record should identify those records in the description; "Duplicate copiesAB is the office of record.)"

;dl Below are some questions that should be answered in developing records series descriptions and disposition instructions.

Is thu the office of record8 If so. the disposition instructions must provide for the maintenance and disposition of tne record copy If not, the instructions must provide for the disposal of duplicate copies, which usuallyhorter retention penod Refer to paragraph ic! above.

What purpose do the recordsreference, policy, housekeeping, management, research, supplemental documentation5

What does the term "protect file' mean when used to describe records in tha office' Are the records:

athering cf data tceport, pubitcanon. briefing, or some other published end product?

A collection of data to develop an invention or material item otherritten product?

A collection of data for use with any requirement that may arisearticular area (usually background and reference information)?

Data used topecific event or action without necessarily developing further action?

(These explanations will assist the appraiser in determining the retention value of the many series that may be desenbed as "project" records.)

;.e; Below ar* some preferred terms or phrases to be used when writing records descriptions and disposition Instructions, til "Destroy" rather thanTransfer" rather than "retire, ship, forward orRecord copy" rather than "or-sinai"

uplicates should be called "duplicates" and nenrecords should be called "nor.records"

rather thanHold" rather thanScrete" rather thanSanitize" rather thanrase" rather than "degauss."

hen describing ogs or control cards, useeneral term "control records. '

uidance for Completing Form WW Records Conlrol Schedule (Figure il

Continuation Sheet 'Figure 2a! {al Schedule No.

.All records control schedules arc numbered in accordance with the assigned Officearv Interest :OPr number followed by the year of preparation 'e.g.U

Directorate Office

Enter We appropriate once designauoa

icl Item Number

Beginning with number one. list and number each records series consecutively, starting with series common to the entire directorate/office and continuing with unique records series (or each component within the directorate, office.

id> File Identification

Describe each records series precisely. If the records are part of an automated data processing (ADP) system, the system alone may beecords series or the user may view the rvstera as betecgingarger seres of records- Tha tenes description must accurately identify the records and help determine the prescribed disposition Each Bie identification consists of six element*

(I) The title or name of the Rk

eaningful description of the file.

rief statement of die specific function or operation for which the file is maintained.

The file arrangement Inot necessary [or automated data processing iystemsl.

Storage medium;icrofilm, punchcards.

inclusive dates of the file6 toVoli.

Enter the total volume in cubic feet of each cermanent file series and the estimated annua! growth:0 Induce ail records in the series, whether locatedhe office or in AARC In determining volume, fractions art rounded to the nearest half foot. If} Disposition Instructions

Entries in this column are made only after careful evaluation af the records teries. based or. guidance provided in paragraph 5c. The disposition instructions consist of th* following elements;

ach Instruction should begin by Indicating whether the recordPERMANENT" orll disposition instructions must specify Ihe total retention period followed by complete instructions for file cutoff, transfer, and destruction. Examples:

Temporaryean after cutoff. Cut off at end of each calendar year, hold In current files areaein and destroy

ean after cutoff. Cut off at end of each calendar year hold is current flies areaear, then transfer to AARCears and destroy

Permanent. Cut off at end of each calendar year,urrent files areaears, then transfer to AARC

Permaneni. Transfer to .AARC when no longer needed in the current files area.

isposition instructions for microfilmed records will provide for ihe disposition of th* microforms as well as the original records.

he General Records Schedules, previous NaRS approvals, cr any other officially established disposition authority must be cited in parentheses ar the end of tht disposition iratructions of the records to which thtvRS IMu

HHB 6

I tbe proposed disposition differs from ihe authorized disposition, justification must be providedeparate sheet, cross-referenced to the schedule item citing the authority.

OORDINATION .USD APPROV.U. OF RECORDS CONTROL SCHEDULES

WHAT

a.draft ot schedulefl^Kr review

schedule and discusses any questions with HMO-

Incorporates any changes nude to the schedule and prepares tnal

draft

orwards draftdraft schedule with Agency Archives and Records Center.

e. NARS Representative

g, NARS Representative h- mm>

ontacts NARS representative to arrange for NARS review. Reviews draft schedule and recommends any changes ' fjggt Coordinates changes recommended by NARS representative with RMO Reviews changes and approves final draft

repares final schedule (seend 2a) and. Request for Records Dispositioo Authority.

Coordinates final schedule andith originating office and obtains signatures of RMO and office/directorate head, approving content and security classification; obtains OCC concurrence where appropriate.

Forwards original and one copy ofo NARS.

Forwards one copy of records control schedule ando Office of External Affairs. Legislanve Liaison Divisioncr transmittalheSSCL

oids original copy of records control schedule aad one copy ofith coordinauoc sheet until approval received from NARS.

NARS

clarification is necessary on an.and-cames records control schedule to NARS for meeting-

hen approveds received from NARS. notes on the original records control schedule any changes made by NARS.

f any changes were made bv NARS,opy of each amended page of records control schedule ando LLD for the SSCI.

istributes copies of records control schedule and5 as follows: Formi-.c Offict of Record! '. ofRMO-

1 ofRMO !if other than cirectoraraf

jtmmmammmm

INFORMATION AND RECORDS MANAGEMENT

receipt of the approved schedule, the office may transfer records to AARC as authorised by the disposition instruction? No destruction of records may occur under the approved schedule untilays after receipt of 'he retires control schedule andc. hv :he SSClwill inform the RMO of the expiration of theays in the transmittal memo covering their copy of the records control schedule and SF LIS. Any amendments made to the records control schedule must be handled in the same manner.

MENDMENTS TO RECORDS CONTROL SCHEDULES

ej reQuires that records control schedules be reviewed annually and amended as necessary to maintain currency. Amendments are necessary to reflect organisational changes, the creation oferies, conversionle seriesiScrent medium, transfer or deletion of existing file series, or substantive changes in item identifications or disposition instructions. It is the responsibility of the RMO's to ensure their records control schedules are current.

changesecords control schedule involve the additionew file jenes. conversion ofscriesifferent medium, substantive changes in item identifications, or changes inthe procedures inhould be followed.

such as organizational changes, discontinuance of file series, or transfer of filesoffice to another do not require resubmission of ano NARS- Requirements forchanges are:

iscontinued File Series or Organizational Changes

RMO's are responsible for informing fjVft in writing of any discontinued file series or intractirectorate organizational changes explaining the nature of the change and effective dates. The original and one cepv oi :ho memo should be sent to^gjhMa the directorate RMO. with one copy toi retain the original with the teccrdf tbei schedule and forward one copy to the SSCI via LLD.

ransfer of Files

Interoffice transfers of files are effected by memorandum signed by both the transferring and the accepting office. It is the responsibility of tho RMO's of each office to amend their records control schedules to reflect the transfer. The RMO of the accepting office should add the new records series to his or her records control schedule, identifying the transferring office, old records controj scheduje Item number, and date received, and forward an original and one copy ol theo ^fcam;opyARQaJBfcwill distribute the original and one copy as in paragraph) above.

eserved.

32

CHAPTER III: IMPLEMENTATION OF APPROVED RECORDS CONTROL SCHEDULES

HE RECORDS INFORMATION SYSTEM

Important part of the Agency'l control over records transferred toRC is acalled the Archives and Records Center Inventory System .ARCINSIThe Records Information Systemomputer-based records management systemby OB.

records transferred to AARC are entered into the ARCINS system by rob number, boxnumber, folder title, and inclusive dates. When completed. ARCINS wul provtde an indexfile folders deposited in AARC

c Another subsystem plannedan ofhe Records Center and Archives Management Systemt ts envisioned that this system will consistetwork of online terminals connecting AARC with RMO's throughout the Agency. The system Is Intended to reduce the paperwork required In depositing, accessioning, maintaining, referencing, servicing, and disposing of retired records by enabling these transactions to be conducted via computer.

II. RECORDS DESTRUCTION POLICY

destroying any records, an employee must consult the component RMO and the custodianrecords to ensure that the records are scheduled for immediate destruction on ancontrol schedule.

reiatrng to pending Freedom ot Information Act (FOIA) or Privacy Act requests toare subject to additional retention periods established bv the Archivist which are includedrecords control schedules. Normally, requested records are duplicated in their entiretvequest, and the duplicate copies are maintained in accordance with the retentiontbe related request. However, if such duplication is not practical, the records are Insteadthe rime of tbe request using Form dJaeV Informalion Request Fiag (Figureand mustfrom the records ser.es at tbe time the records series is being processed forail lecords in process for destruction may be checked against an automated indexrequirements.

being processed for destruction must be cheeked to determine whether tbev are relatedor impendingor to marten under investigation by the Department of JusticeThe initial determination will be made by the component RMO and the custodiantheir review of the records and on information provided by OGC and LLD to thethrough the Agency and directorate RMO's. If the initial review raues anv question asor impending legal or investigative requirements for the records, authority to destroybe obtained by routing FormRequest for Authorization to Retain orRecords, through the custodian and the component and directorate RMO's to tgge%RMO must obtain the concurrence of OGC prior to approving the actual destruction of(If approval is denied, the Agency RMO must submit to theequestto retain the records longer than originally scheduled.)

idcitien to notifying the Director of Central Intelligence. OGC and the Inspector Generalir. ^fgMjkggeaTAshould be notified if anv improper ales on United State* Citizens :rare identified using tbe cnlena of Executiveectionof Intelligence Activities.

HHB 12

PROCEDURES FOR WHO

Custodian

RMO

c- Directorate RMO t. OCC

h. Component RMO. Custodian

OF RECORDS IN OFFICE AREA

DOES WHAT

Consults with RMO retarding records to be destroyed. IdenhbW records pertaining to FOIA and PA requests or containing information related to any Item on the OCC-LLD Records Retention Requirements List.

erifies that records are scheduled for immediate destruction per the approved records control schedule.

f not. either authorizes records to be held until due for destruction or prepares amendment to the records control schedule in accordance with paragraph 7.

f records art due for destruction, checks the records against th* OCC-LLD rlecorcs Retention Requirement} List If records ar* free oc OCC and LLD MattM and do not contain records pertaining to FOIA or PA requests, authorizes destruction of records

If records contain information related to an item or Items on tht OCC-LLD list or information that might be of possible Interest to OCC or LLD. prepaid an original and four copies of

Forwards original and four copies of Form ggfc to directorate RMO.

Reviews request and. if in agreement, signs Form gpgefend forwards all copies to *

Reviews and assigns number to request, holds suspense copy, and forwards remaining copies of Form*JBk%to OCC.

(I) Determines if rtcords should b* retained or destroyed and checks appropnat* boa on Form eg|J^ If further retention required, recommends rxoposed new disposition Lnstructrcrts.

etainsopy of Fcrm^^inc ion-arcs orispnaltmaimng copies to C

r ouapproves request bised or. OGC guidance and forwards Form IJ^*'

records authorized for destruction, distributes

RMORMOOffice

some or all rtcords art to be retained:

(a] In coordination with the component and directorate RMO'i and OCC.etter requesting extension of tht retention ptned and forwards letter to NARS for approval with ont copy to SSCI.

lb) Forwards copy of approved letter with copy of Form fgggtaT to component RMO. directorate RMO. and requeuing offlc*

f records are luthonred tor destruction, destroys records.

If records are to be retained, posts new disposition data on hie and index

WHO

WHAT

i some records are to be destroyed and others retainedthose records to be retained with Formnew disposition care on Sle or lades. Destroys remaining records NOTE: If records authorized for destruction consist ofontaining silver or other_precioui metalsicrofilm, photoayu

^Wae^HHaMLHaet Offico Lofjjtics iOLi, far disposition

instructions.

PROCEDURES FORNC RECORDS CENTER (AARC)

RECORDS TO THE ACENCY ARCHIVES AND

following procedures can be used for any type of record. However, if data processing files are maintainedustodian by the Office of Data Processinghe custodian and the custodian's RMO ihould consider using ODP'j magnetic tape effete storage procedures laitead of the procedures stated below. ODP's procedures are published in the ODP Users Cuide and are reprinted asf this handbook.

NEEDED

enter boxes are available in' RMO if special boxes are needed

Form Jg%ReccrCs Retirement

Form VB File Reviewui

FormRecords Storage Boxin

Figureigureigure a'.

OL. Check with

Form

vailabl

b. PROCEDURES WHO (I) Custodian

Record of Top Secret Documents Transferred to Agency Archives and Records

DOES WHAT

(a)

Checks records against applicable items of records control schedule to ensure compliance with disposition instructions

;bi

Preparesf Form tflpaThe descnption inhould include name of file series, content and arrangement of records, function or piirpose for which files were created, inclusive dates of files, and media of recordsaper, microfiche, magnetic tapei NOTE More than one series of records may be transferred under the same Formdjgt but only if the applicable records control schedule items have the same disposition date.

omponent RMO

(cl Forwards) to component RMO. If Top Secret .TS; or SCIncluded tn records to be transferred note either TS or appropriate SCI system designator on tb* form

(a) Reviewsor completeness and verifies that records are

etigjbte for transfer. Completes Part II of Form Forwards original aod four copies of Form (fr to accessioning unit of AARC with note If there ar* anv ipecial circumstances ccnctmlng -jie

(cl When copy of Formh job number is received from AARC as authorization to transfer records, nonfles records custodian toprepare the records for transfer

WHAT

emoves and destroys duplicate) and ensures proper Bltng

arrangement of records. Checks labels for proper file titles and Inclusive dates.

Packs the records in the boxes without disturbing the existing filing arrangement Viewing the smalL seamiess end as the front of the box. places files in the boxes as follows: letter-size files in front-to-back order and legal size files in left-to-right order Leaves room in the boxes so that folders can he removed esuUv for reference

Numbers folders consecutively within each box CfrorsMo-back or left-to-nsuit as appropriate! beginning withor each box. Numbers each foider on the upper right comer of folder tab or upper right cornet of documents not contained in folders. lOdd-siz* material such as magnetic apes, belts, cassettes, microfilm cartridges, or individual microfiche should be numbered as fileray of microfiche may be numbered as one folder if Its contentingle lubiect; in this case, reference service to Individual microfiche within the tray will not cetbe entire tray must be retrieved.)

;d; Completes Review Worksheet ir. triplicate,

following the instructions printed on tbe beck of that form. NOTE; AARC services reference requests only tot which they are entered oo Form 4ggJjTaVf there is only one entry per box. the whole boa must be recalled.

(e) Completes Fonnggjggfc if collateral TS documents are included in tha job. Flags individual collateral TS documents so they can be seen upon opening the box.ontrol and Cover Sheet for Top Secret Document,ab that serves this purpose. Green cardboard tabs are available from AARC If needed. For microfiche, the tabs should be cutn-ineb length and inserted in the front of the microfiche envelope.]

(fl If SCI material is involved, follows established security aod administrative procedures furnished by RMO-

,sjetesecords Storage Box Label for each box Cites any access restrictions onffixes Label to the upper left comer of tbe smal seamless end of the box

(h) Contacts component RMO for review of boxes and paperwork.

omponent RMO Reviews files and paperwork for completeness and furnishes any tpeclal Instructions necessary.

c. DISTRIBUTION OF FORMS mmM%MggvVlND SHIPPING INSTRUCTIONS

Hi FormRecord of Top Secret Documents Transferred to Aaencv Archives and Records Canter

Original and 2AARC with records. (AARC verifies, signs, and re-urns one copy to area Top Secret Control OfiVcer iTSCOl AARC retains copy and sends signed original to Agency TSCO.i

by custodian

Sent to area TSCOmctnen: oi records as suspense copy

32

IS. for input into ARCINS will send two copies of computer-generated shei:

(Oncenput andomponent RMO.)

with

(3)

RMO as holdback. Boies of Records

the total number of records center boxes isr less, the boxes will be picked upregular courier pickup.

there arer more but less thanoxes, callOt- to arrange for pickup.

there artr more boxes, the RMO will call .AARC to arrange for transport. Thethe following information:

umber and type of boxes

CB Location where the records are to be picked up.

ame and extension of custodian.

ny other applicable information if the shipment is unusual.

d. INSTRUCTIONS FOR TRANSFERRING MICROFILM

Basically the same procedures established Inhould be followed for transferring microfilm to AARC Below are some additional instructions to be followed for microfilm records.

Verification, and Certification

The fact that the records are on microfilm must beart of the description on Form mAwrecords aremrecords are onimilar statement Lhat adequately describes the medium. If microfilm is the recordertification statement mat the microfilm has been verified must be on the Form and should read: 'The microfilm described hereon was produced in the normal course of Agency ooerarwos and has been verifiedomplete snd accurate copy of tbe original record" It is the responsioiliry of the creating office to ensure that microfilm is vented where required.

If the microfilmermanent record, the silver originalilver duplicate) phis one copy (which mav be silver, dlaxo. or vesicular) must be transferred to AARC Two job numbers and therefore twore necessary for permanent microhlm due to tbe separate storage locations of the original and duplicate copies at AARC |seehe original silver and duplicate must be transferred in separate containers. Th* film should be arranged Identically in each container. Each Formshould indicate whether thehe silver original or the sliver, diazo, or vesicular duplicate. Two identical setsequired, one for each job number. NOTE. Thisecessary because the stiver onginal is not used for reference purposes.

The fact that the reeordsconsist of microfilm must be recorded in th* coiumn headed "Medium" on the Form *ff*aV

Containers for Microfilm

(al Roil film Is transferred to AARC5 inch boxes. Microfiche is transferred in

5 inch boxes Both boxes are available from .AARC !b) Foreign materials such as rubber bands, paper clips, or string must not be used to hold film

on reels. Only acid-free paper strips mav be used for this purpose. Microfiche must be

independently filed in acid-free envelopes in the storage containers without using paper

clips, rubber bands, or other items to bine :bern logether.

Facilities for Microfilm

The stiver original of permanent microfilm and of microfilm used to generate reproduction masters is stored in the cool room. Temporary microfilm and duplicates of the permanent silver original microfilm are stored in the normal stack areas.

of -

The silver original of permanent microalm must not be used for reference or verificanon purposes. It may be used only to produce additional duplicates as necessary.

EFERENCE TO RECORDS TRANSFERRED TO THE AGENCY ARCHIVES AND RECORDS CENTER

Reference requests that conflict with restrictions established bv the office that transferred tht records will not be honored. Depositors placing restrictions on transferred records are required to abide by tht handling mstructiora they impose At no time will AARC personnel be aaked toontainer of records on which restrictions have been placed to prohibit servicing for reference needs: depositors must recall, control, and handle the entire container. When records containing Top Secret documents are recalled from AARC Ihe Top Secret documents must be sent to the requestinghe area TSCO. The records withdrawal request must be coordinated with the area TSCO. and the requesting office should indicate how long the records will be retained by that office. If the records are to bt rerainedfor^longer thanays orermanent basis, the requesting office must annotate its copy of Form IggfflK to she* which documents are being retainedend one copy ci the form tci TSCO. The area TSCO mustorm (flat Record of Document Transaction, indscanng theocation of tbe documents, and forward it to the Agency TSCO The requesting otfict also must cgcecunate the return of th* Top Secret documents te AARC through the area TSCO. When records are recalled from AARC it it the responsibility of tht requesting office to ensure thai tht records are returned as soon as possible. When records are recalled from AARCermanent basis, the request must bt signed by the component RMO- Routing requests for reference service to records transferred to AARC *lll be made bvecords Center Servicet Is Important that all information requested on this form be filledeparatemWk should be completed for each fob number.

OUTDANCE FOR COMPLETINGECORDS CENTER

(IJ No. and Dale Serviced

Do not fill in No and Date Serwced boats; these will be filled in byate

Enter the date of theoa Number

Enter the boxtesj being recalled or tht box in which individual folders being requested artob Number

Enter the iob number under which the records were transferred (ONLY ONE JOB NL'MBER PER REQUEST FORM*

ction Requeued

Enter the type of action required;oan, permanent retention, orame of Requester

Enter rhe name of tht person requeuing the service. PI Office and Telephone Erttnsion

Enter office OP! number and tcsepbocef th* requester

15

o

Enter the name and complete aeicL-ess ot die person to whom the records are to beost Data

Indicate whether the materia] is to be used for FOIA. Privacy .Act congressionalor other purpose- Ii an individual folder is requested, enter the folder number and tine and special ins*ructions, as necessary. Mumple folders mav be requestedinfjr FormU ion* as the folder numbers arem consecutive sequenceolders I.ndO. or.eparate Formmust be prepared for each folder.

OF REFERENCERoutine Service

This service requires aboutequests mailed one morning usually are tilled and muMrJ to the headquarters mailroom the next day To obtain routine service,ormtetain the last copy, and send the remaining three copies to AARC. Some offices find it desirable to require that all requests for reference service be made by or channeled through one or two persons in the office The names of such persons should be on record atriority Service

This lervlce requires about eight noun. To obtain priority service, call the component RMO. expiain the need for such service, and furnish component RMO with the same mformacon required on the FormglJP Telephone requests will be honored only when they come from the component RMO or alternates who have written authoriation.mergency Service

This servK* requires only the nine it takes to pull the record ando thebout onealf hours. To obtain emergency service, call the component RMO. explain and (uatify tbe need for emergency service, specify the time the records are needed, and furnish component RMO with the same iniorraaton required on% Emergency service will be provided only at the request of the component RMO or alternates who have written authorization.

tfltrhoun Service

This service requires about two hours To obtain afiethour* service, follow procedures set up by the component RMO

TO THE AGENCY ARCHIVES AND RECORDS CENTER

Visitors to the Agency Archives and Records Center are required to call one day prior to thetr arrival to inform the Chief. AARC of their planned visit giving date. name, and purpose of visit so that arrangements can be made for admittance to the nte. Visitors will adhere to the escort requirements at all times. Visitors will refrain from smoking, eating, drinking, or having containers or vases of liquid in any area where records are stored or are being worked on while visiting the Archives and Records Center

IS. PROCEDURES FOR DESTRUCTION OF RECORDS HELD IN THE AGENCY ARCHIVES AND RECORDS CENTER

Th* following procedures will be followed when th* scheduled destruction date arrives for temporary records transferred to .AARC

a. BASIC PROCEDURES

WHAT

repares original and three copies of Form %Mm Request for

Authonaarion to Desiroy Records in! Figureompletinghrough 7.

t2

omponent RMO

DOES WHAT 'hi Retains last copv as mspense.

:c) Forwards original and two copies to component RMO

a) Consults with custodian of records to see if records art still needed and checks OCC-LLD Records Retention Requirements List.

(cl

;bl If records are not needed and are free of OGC or LLD interest, checks tourth block on Form fl^desrrov ail', sums, has custodian sum. and returns onr.nai and one copy ofo -AARC Proceed ra StepIf records contain iniormanon related to an item on the OCC-LLD list, follows procedures in. If records are free of OCC-LLD interest but some or all are still needed, checks first or second block on Form^u're^am all; retain partial]

Provides proposed new disposition Instructions and Justification for continued retention of records under Section fl (Remarks) of Form

irectorate RMO

Sign* and forwards original and onecopv of Fornnggflt.

directorate RMOopvnd. ifortion of the records are to beopv of the shelf list annotated to snow which records are to be retained. Reviews request and. if in agreement forwards 'oe^^l

ia!etter requesting extension of th* retention rxnod and

forwards letter to NaRS for approval with ono copv to the sscl lb) When approval is received from nars. forwards Form and one copy of approved tetter to component RMO and one copv of approved letter to directorate RMO. egv maintains original tetter with record

copv of approved

copy of records control schedule.)

original and one copv of For

letter and. if appropriate, shelf list toPosts new disposition date on FcrmVsflPfor records to be retained

(b) Destroys records authorized for destruction. Uf records consist of photographic material (such as rnierofilm) containing silver, they will through appropriate chaanelrfor silver) Filesrw fflaew

one copy of Form ' RMO as notification

b. ALTERNATIVE PROCEDURES FOR QUESTIONABLE RECORDS

First follow paragraphs ISaUXa)l2Xb> of Basic Procedures. Then proceed as follows:

WHAT

omponent RMO (ll If records contain infocmanon related to an item or items on OCC-LLD list or jifonnanon that might beef possible interest to OCC or LLD. checks third block on Formnd prepares oraginal and four copies of%

b Signs% forwards original and four copies of Formwith originalne copy ofrough directorate RMO

irectorate RMO Reviews request and if In agreement signs Forms gggg}and forwards formi to

WHO

WHAT

Reviews and assigns number jo rcquear. hclds suspense copy of

and both copies of Form 4BX and Forwards remaining copies of Form Wmkjt 'o OGC.

OCC

and checks is required.

or destroyed

OIS.

appropriate bo- on Form WkJ* further retentit recommends proposed new disposition instructions. (b> Retains one copy of Form ffM and forwards original and remaining

copies to Chief.

or disapproves request baaed on OGC guidance and forwards

M) If record* are authorized for destruction, forwards copy of Form

to directorate RMO and component RMO. ;b; If soma or all records are to be retained:

(I] In coordination with the component and directorate RMO's and OGCetter requesting enension of the retention period and forwards letter to NARS for approval with copies to the SSCl

orwards copy of approved letter with Form aflat to directorate RMO and component RMO.

(c) Forwards one copy of FormaflggJ with original and one copy of Form flBg* to AARC (Also sends copy of approved letter of continued retention if records are to be retained)

f records authorized for destruction, destroys records. (If records

consist of photographic material such as microfilm containing silver, they will be processed through,appropriate channels for silver recover* ends copy ci Formcomponent RMO as notification of destruction (b) If all records are to be retained, posts new disposition date on Form tsaat

and tiles Form and apprtj'.ai letter with Form ^g> (cl If some records are to be desrroved and others retained;

(IJ Posts new dupwition date on Form afefor records to belags those records with Form^Jf records to beollowsaragraph ISa above For records to be destroyed and distribution of forms.

RANSFER OF RECORDS TO THE NATIONAL ARCHIVES AND RECORDS SERVICE

records may be orTerec for accessioning to NARS when no longer needed for theAgency business. When accessioned into NARS, these records are surveyed, screened, and thenavailable to the public, according to any mutually agreed-upon access restrictions.

Adrninistrator of Genera! Service) is authorized by3 to "direct and effectto the National Archive* of the United States of recordsederal agency that haveexistence for more than thirty years and determined by the Archivist of the United States tohistorical or other value to warrant their continued preservation bv the Unitedunless tbe head of the agency which has custody of them certifies in wr.ting tothat they must be retained in his custody For use in the conduct of the regularof the agency."'

hhb AND RECORDS MANAGEMENT

17

c The following procedures should be followed to transfer permanent records toWHAT

il) Component RMO (a) Prepares original and five copies of Standard. Request toand Receipt of. completinghroughs available from efjfc (b) Forwards all copies ofothrough directorate RMO.

Directorate RMO Reviewsnd forwardsflfc

CReviews and signs.

Holds one copy as suspense and forwards original and four copies to NARS.

When approval to transfer records is received from NARS, sends one copy of approvedo component RMO through directorate RMO.

omponent RMO Follows instructions provided by NARS onor shipping the records to the National Archives.

nd returnsopy ofjas notification of receipt of

records.

RANSFER OF RECORDS TO ANOTHER FEDERAL ACENCY

In accordance withARS approval is needed for the transfer of records between agencies. The component RMO for the_office requesting the transfer of Its records to another agency shouldemorandum tc Of*jjj through the directorate RMOc^iwing Information:

responsible for the records and agency to which records will be transferred.

concise description of the records to be transferred, including volume and inclusiverecords control schedule number, and item numbers.

c Any restrictions imposed on access to or use of the records,

of reference requests per month, identification of requesters, and purpose of requests.

of persons involved in administering the records.

and proposed physical locations of the records.

the proposed transfer is in the best interests of tbe Government.

for the transfer of records more than five years old.

hen will requestthe concurrence of Ihe gaining agency and the approval of NARS. When approval is received. cepjfewiil Inform the component RMO where to ship the records. The records control schedule must be amended following the instructions contained in paragraph Tb.

IS. DISPOSITION OF GIFTS

Agency policy and procedures concerning the receipt and disposition ofThe Director of Personnel is responsible for all foreign gifts accepted by Agency employeesarrange for the appropriate disposition of such gifts.

storage space at the AARC may be used to hold foreign gifts when necessary

*

t r

L*

LO.

13.

t survey. Teleeaoce extension of person cocductint eh* survey. Date tine inventory is conduccea*

Directorate, office.incn. asui Sectione filae. Person responsible for che file**

noer anaere the fiiwlocated. Brief title of record series.

A *Uer description, includiae, che function and viU> of the re*sr-s. Is basic to :he sucteaa of the Inventory and the schedule.

of recordipnaDetic ay subject, cnrofioieticai. numerical by case nuaber. etc.

The years of the oldest end aost recant documents in the series.

Note the sedU af tiieaper, audio-visual, natneciccc.

riov often Are file* referred to? Tnis Lzforaatton isscaelUaninB disposition instruct tons*

Th* office responsible foe aalncainlnf. the officio! file for eh* Aeaacy should be noted for eacn record series.

Heasureaent* should be as slople as possible, figures naycunaed toalt-ioot.

LJ, the annual race of irovch for eacrt file series

rszn

[WJ

HHBfJM< Fig.fob hatton and records wanacemem

!

j.

nEhEJu" mh-.'icss "

m*x

.

ii. .

. '

ri i -

vsv if cwwrj #'i>ir?wrats.

:Bt! Uie tuzis tamstreMitl to jt

3isne fPMiian scwta.

equest for immediate disposal

eques: for disccsaipecified period of time or (eouest 'or permanent retention.

i nut

C4

SUBJECT FZUS

Files )

Parunaec. Cue off at end of each calendarhold la current files areaeaes, tttun transfer es tbe Agency Archive*,

FUea (Son-record)

Teaoorarv. ears after cutoff. Cue off at end of eat: calendar year, hole inactive records Ln currentreaear, transfer to m* Agency Reeerda Centerear and destroy.

Chronological File*

Teaeerary.ears after cutoff, off at end of each, calendar year, hold In current file* areaears and destroy.

Cut

Fiwurr j

Tjjjjjjjl

[iL.

JL.

HHBttfJf'Rg. IC

ACTIVE RECORDS ADMINISTRATIVE RECORDS ADMINISTRATIVE VALUE

AGENCY ARCHIVAL STORAGE AREA

APPRAISAL

ARCHIVAL VALUE

ARCHIVES

ARCHIVIST OF THE UNITED STATES

CASE FILE

CONVENIENCE FILE

COOL ROOM (COLD STORACE)

The act and procedure* involvedransfer of legal title and the taking of records or papers into the physicalof an archival agencyecords center. In records centertransfer of legal title may not be Involved.

materials involved inransfer of custody

See CURRENT RECORDS.

See HOUSEKEEPING RECORDS

The usefulness of records to the originating or successor agency in the conduct of current business. See also RECORDS VALUE.

A temporary storage area for the Agency's permanent records until they can be declassfied and transferred to the National Archives.

Tbe process of determining th* value and thus the disposition of records based upon their administrative and other uses, their evidential and informational or research value, their arrangement, and their relationship to other records.

The determination by appraisal that records are worthy of permanent preservation by an archival agency See aho HISTORICAL VALUE.

(I) The noncurrent records of an organization or institution

preserved because of their permanentlso referred to as

archival matenals or archivalhe agency responsible for selecting preserving, and making

available archival materials; also referred to as an archival

agency.

buildingartuilding where such materialsalso referred to as an archival repository or depository

Acting for tb* Administrator of General Services, tbe official who is responsible for tbe appraisal and disposition approval of Federal records based on their legal historic, fiscal, administrattve. or other value.

A folder or other file unit containing material relatingpecific action, event, person, piace. protect, or other sublect. Sometimes referred torotect fileransaction fileollection cf such folders or other ale units.

Eatra copies of records personal papers, or publicationsfor ease ot access and reference. Sometimes improperly known as personal file.

A specific area within the Archives and Records Center Building constructed under specifications required bv law for the storage and preservation of filmed records or records on other perishable media requiring this environmental control-

CURRENT RECORDS

CUTOFF DEPOSITORY

DISPOSAL

DISPOSAL AUTHORITY

DISPOSAL LIST

DISPOSITION DOCUMENT

EVALUATION EVrDENTIAL VALUE

FILE

FILE BREAK FILES

FISCAL VALUE

GENERAL RECORDS SCHEDULE

HISTORICAL VALUE

HOLDING AREA

HOUSEKEEPING RECORDS

that are riecnaarv for conducting the current busmen of an office and therefore must be maintained ui office space and equipment

See FILE BREAK.

A olace where archives and noncurrcnt records are kept.referred toepository.

Physical destruction of records.

Tbe legal authorization (or tbe disposal of records obtained from the Archivist of the United States and, for certain series, from the Comptroller CeneraL

A document providing one-time authorization for the legal destructionpecified nonrecurring record series.

The transfer or disposal of records-Recorded Information regardless of medium or characteristics. Frequently used interchangeably with record. See also RECORDS.

See APPRAISAL.

The value attached to records because of the evidence they contain ot an Agency's organization and functions. See also RECORDS VALUE.

n accumulation of records maintained in aarrangement. Used primarily tn reference tothe termrchivalIBgftl

ile unit, sucholder or dossier.

o place documentsredetermined location according to an overall plan of arrangement

torage equipment, suchiling cabinet. See also SERIES.

Tcrminacooile at regular periodic intervals to facilitate continuous disposal or transfer of the file series.

A collective term usually applied to all records of an office or agency.

The usefulness of records for information about the financial transactions and obligations of agencies and organ nations See also RECORDS VALUE.

A schedule, issued by NARS. governing the disposition of specified recurring record series common to several or all agencies

The usefulness of records for historical research concerning the agency of origin or for information about persons, places, events, or things. See aho RECORDS VALUE.

Agency space assigned for the temporary storage of current or semicurrent records and for records with relatively short retention penods. Also known as staging area-Records of an organization that relate to budget, fiscal,lupoiv. aad similar administrative or faclitanv* operations

INACTIVE RECORDS

INFORMATION MANAGEMENT

INFORMATIONAL VALUE

INVENTORY

LECAL VALUE NONCUBRENT RECORDS

NONRECORD MATERIAL

OFFICE OF RECORD

PAPERWORK MANAGEMENT PERMANENT RECORDS

PRESERVATION

PROGRAM RECORDS

PROJECT FILE RECORD COPY

common lo moil agencies, as distinguished fromor substantive records that relate to an agency's primary (unctions. See also PROGRAM RECORDS

See NONCURRENT RECORDS-

See RECORDS MANAGEMENT

The value ot records that derives Irom th* Information they contain on matters with which public agencies deal, rather than from the Information that is In such records about th* agencies themselves. See aiso RECORDS VALUE.

A survey of records series prior to the development of schedules. Generally includes data such as series titles, inclusive dates, use. quantity, arrangement, duplication and other pertinent

The usefulness of records containing evidence of legally enforce* able rights or obligations of governments and'or private persons See aiso RECORDS VALUE

Records that are no longer required in the conduct of current business and therefore can be accessioned by an archivalor destroyed. See also CURRENT RECORDS. SEMI-CURRENT RECORDS.

Materia! excluded from the definition of rrordl such ascopies of documents that are kept only for convenience or reference, stocks cf publications and processed documents, and library or museum material intended solely for reference or esJiibtnon. See also RECORDS.

Office responsible for maintaining the official record copy for the Agency.

See RECORDS MaNAGEMENT

Records considered to be so valuable or unique in documenting th* history of an agency (or for other reasons? that they are to be preserved for anod of time.

il) Th* basic responsibilitv to provide adequate facilities for the

protection, care, and maintenance ofpecific measures, individual and collective, undertaken for

the repair, maintenance, restoration, or rxotection of

documents

Records created or received and maintained bv an agency In the conduct of the substantive functions for which it is responsible The term is used in contrast with housekeeping or facultative records. See aiso HOUSEKEEPING RECORDS See CASE FILE.

The official or record copy so marked or recognized complete with enclosures or related papers. Normally th* record with the longest retention time.

2

RECORD GROUP

RECORD SERIES RECORDS

RECORDS CENTER

RECORDS CONTROL SCHEDULE

RECORDS CUSTODIANS

RECORDS DISPOSITION RECORDS MANAGEMENT

RECORDS MANAGEMENT OFFICERS

RECORDS VALUE

REPOSITORY RESEARCH VALUE

body of organizationally related records established with regard to the administrative htstorv. the compie-itv. and the volume oi the records of the organization involved.

See SERIES.

All boco. pacers, maps, photographs. rnachine-readabJeor 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 bv 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. See alto NONRECORD MATERIAL

A facility, sometimes especially designed and constructed for the low-cost and efficient storage and furnishing of reference service on semtcurrent records pending their ultimate disposition.

A document listing the Bias of an office showing which records are to be destroyed and those to be retained An approved records conrroi schedule is the legal Agency authority for disposition of records, including those to be retained permanently It indicates period of cutoff, how iong th* records are to be kept in offices, when and if they are to be destroyed, and when they should be transferred to the Agency Archives and Records Center, Records coocroi schedules must be approved by th* Archivist of the United Slates by submitting the schedules to NARS on Standard. Request fcr Records Disposition Authority

Individuals responsible for the creation, transmission, unlization maintenance, and disposition management of records located within their areas of iurtsdiction.

See DISPOSITION.

General management directed to achieving economy andin the creation, maintenance and use. and disposition of records. Includes fulfilling archival requirements and ensuring effective documentation.

Individuals within directorates and independent officesfor administering the records management program within their areas of rurisdictton.

The determination of usefulness of records See alsoEVIDENTIAL FISCAL HISTORICALLEGAL AND RESEARCH VALUE

See DEPOSITORY

The usefulness of records for research by th* Government, business and other private organizations, and by scholars in the humanities, social and physical sciences, administration, and other disciplines. See also RECORDS VALUE

HHB

APPENDIX B

period samplinc

semicvrrent records series

temporary records transfer

UNschedt'led records

time period for particular recordjeries) to bebe office, transferredecordi center, destroyed, or transferred to NARS

Seiectron for retention of partody of similar records toepresentation of the whole body

Records required so infrequently in the conduct of current business that they should be moved toholdtnsj area or directlyecords center. See also CURRENT RECORDS. NONCUR-RENT RECORDS.

File units or documents arranged in accordanceiling system or maintainednit because they relatearticular subject or function, result from the same activity, have aform, or because of some other relationship arising out of their creation, receipt, or use. Sometimes knownecord series.

A generic term for those types of records that lose theirrescribed period of time.

The movement of records from one place to another, usually out of office space and equipmentepository or to another office or agency

Series of records for which no decision on disposition has:ncMldMl IpBIOeed mCfdl

schedule.

2

HH6"

APPENDIX D

4 -AntE?tT TttCQHOS APPH.AJSAX

Tha gentnc um eescnpnonj ami baktw iQustraot tha

r permanent nrjenewfl

by NARS Because ot ch* ^di utnety of recoil entered tn tha Federei Government and tha compie* narura of tha sppratsais List cannot ceced every type oi senes lhat may bao nnenoorv In eediasn. me lac ippttas omy to currant recced* whose Ufa cySt haa baan cartniiv controlled. Somewhat dir-ereni standardj arjnh/ to records ereettfi in ear&er penods of our history vanan rha nwuenenca and crtpot-aon Frdsrad npccrtj want ne* a* cxviety rvrnnaiacv Because manyh<encurv rtcords went nacvertencryy Anr, toed, and genera, necfecr. rouane aimnaam and houscWeeotng rtcords art often prtstrvtd farpenod ed show tht functions of tha Federal Covtnvnant>

L Gtaaral Sabjact FUat

iIiduAtjtWT Prnyt.

Corrasrarmoance with other Federal scencea. Memo era of Ccmgreet and csngrtraaonai committaes, the rjecuove Offlea of tht President the PresadcrK private orc^nnooru and ineJvjdiBk tottmai agency mernomduens. narrative and JTrmnril nrpcnx bucCai erametes end >jsrd*iuena.ntry of other xeccna concerning ai svcmanevt and ditenmrue programs of :he agency These senes represent the banc system ot recceea dmi/nencrva Ae evotuoonoeedura* and are rntqueney designated fee permanent rerencon when created at uM fctoawg Vrveb: saottary; lander secretary; deputyaassram secretary: admrnaoaronK thaeprraoruk rxmmumonartv and dSmciomof admintar/aflons. bureaus, and serves*epanmarm and heads of mdepenotnt Federal agjenaes end their chief assunna. When thencnnant programa are not documented at program ccercscsenderc* rruiniarned at meat higher levers, srnuiar records create* at lower leutla musteo sor ^vattvacon. The nunv Woisanessejemeeirven agency depend cn the degree of ducneanon evrienced by ccenpanaon* among Has entered at tht venous sdmrnatraeve leveiL Where rutsanciM dupEcaflcn does ex*t. fre H* created at tftar hegheai teveJ wtC be choitrv IVhert JMe or no dur^oon earn serfee at ail *evett wti be rakan and in some cases at levels tower than those incntattd afiove*

ZCaM

Many FecteraJ recceda are crevd ai the teem of case fuesv These records may Lncrude ccn^apcrsc^nce. memo ran-duma. penodlc narranve reocrnL ani nmdarhicn rtlaearsactsV aacA cvtnt. person,rcrect. or ooher sucnect and pn^inde comctce Crccumencaoon of an agency* acrjviaes htm miruaon co ccmcfcssaorv AJctmugn men case life senes am dlsocsacte at *ome fuastompiett set occasionaDy may ot desjgnatec tor permanent retenoorv pancvtarty when me nie* have beenacnme>mactabui farm More iVersuentlu.onsonase Uetttcrad for trinsser so the Naaenai Amnnta. Those cnosen normady mil under one cr meet of Dhtcaiaoranea; Tha cau:

auetcedent and mertJont resultedajor policy or procedural change?

Is Was ervcrtved in eaanssvt GGgaoon:

e-sonrao actermon irom the news media: ttfcJeJy mcogrued lor ts un^ueness by cstao* [lined authonees outmie tht Government;

aw Waa rtvewte at lencjch tn me agency1 annual mpcm ro (fit Ccmgrcsa: or

f- Was. selectedco cement agency proctdures rather man as capture uMcernaoon resaonght subftct of Ae LndrvttuaJ Se,

aubiUh me excepeonal naruranrtcuiar casewhjlausne dies choun beousa they essrnipitry tM ?sdcn and crccadunra of the cmattng agtncy The lypes ef case fata seleced for pesTnanem nnendon under me enfant esre^Janad soovt aiclucK but art nor Lmrnsd rrx reeaasren grants award ao for scjcuex Ttwanrn and cr.^ocntni prcreco; nvascgaava. sntercement and Bs^aOon cut files;stnnce and warfare case Set; ^tbor reiaoonacaae nla* caae Set muKed to the dtvetorjment of natarsri tasourcc: and the preserve-don of hirasnc nuo*ar puaUc ions caje ttea: and Federal court case files.

nMiyncii Htuorj.

Anaiyecal nraeuch trucM end penoebe Ttports praotrac by the agency eernate onjanuaaon or norv>dud under conoaa co the agencyeceiptmnr fiom trie aoency Stuctiea and nrports seftcttd for permanent mctrs* Son may be staorccaL rsarreuve, mar^nn>-maclable or au* dloOTisiln nature. Rtgtonal reoora preoaredaadcruanm are tfecueniy ssatetad because they concern infcmiacon reiaong so ethnac loeut aconorrac. crea of specie cevgraniucai oceooft*from stiecznn are srudle* and reports

*nxft art pubisnad and Ihenrmr* ^Mielyuoic

itmnei. a*enodfc ninorrs which are lummanted on an annual casssv ^et nam L3 for pubOca-Sona permanentlyn seme irutencet, only wlectad ituctej and reoorta art maintained 5ar rurert nr*

orrssaJ Mtnura*oartla and

Ntmutea of meeting* of Metros and commiaaons of Fed* rrai agerrcssa documencng rutscanove pclicy and pro* sadursi eernsMna. Fnntuei-cMeJnrcoonederai* provedoarc or tommason namer

]2

0

HHB

appends; -

lnoje appomred individual. Typicafy these agen-ere tugu^ccry bodies tuch as the Federal Tradebul she <ncCude oroanUeoon* web as the Pension Benefit Guaranty Corporation ard the CommHsttn of Fknt Am, Mir may be titera: tmxTipiioni ct edited. Sound nrcar ding* of these meetings should ehopreserved.

5 Racorde of .tlttnii Agency, Interagency, and Non-FtdtrtJ

Minuses* agenda, proposals sufcmriied farand PnjJof meeftngs ol ad hoc eomrattce* at wall aa moresiabianadonferencesHownd tea* loece* attended by senior agency officers. Thai* meeting*ltniatd ta Internal agency personnel or may tnc*vdt representatives bom other Federal egencse* or even rkOivFcckralecords selectedrnanertt rtcentonoe umen: lo* taracstney meetings wfl be lunced lo the agency designated as tha group's secretariat The mtaures selected may be summary In nature, verbatim tranter* ft* or audio or video pecordlngs-

egal Opinion* and Comment* oo Lejlatatlon.

Memorandum* preperad by andt program officer* corxcrrung intcrprtUudftt of existing taws and nrguiicons or the efieca of proposed tews and recsj'ch govern rhe ageivy or wh)chimcte**ce on its operations. Record* tweeted under thit item concern thanmery missions and normally oxewde general opinion* and comments nriecingothernce* Iraluded art fermei command on pending legisiettontlha request of the Congnrss or the Office ofand Budget Most of these ir*OTch am permanent whenhai office* of general counsel* of cWpart-menu and rnrtependent agencies. Excluded are copies eJnd statute* held tor cenvemcn*iiat records mamtaned below the departmental level may not baepending on thex content and reta* tornhtp win records of the departmental counsel

7 Evaluation* of Internal Operation*.

StatSe* conducteddetarrnine ihe effectiveness of tbe procedure* adopted lo achieve established policy geact Tfiiw crux/ include evaluation* of both pcocrafti and ednrln* aeraSve operaticn* and may bt made ty *he agencynspectors generaJ] or by outside oversight agenctatAccounting OtAceX Only thoseh*ch rtcom* mend *sgnillcant changes in pobcy criabons areompete nxord aas of studies prepared by ovce**cjta agencies ai* desrerwed foe prteeevfcvv* lion In the craatng ac*ncy All ccnerate zlvpotetC*

8 Formalrocedutal faauincai4 and

Operating Manual a.

Formal clireccxva dsOAb^ted as order*.Or In iccsa^Waf manuaE farm awuncflvg mate* enancjea In theoUctei and pmeductt NcernaCy these we issued arith tha auhotity of the head of tht agency EjflansWt proofdunsa art iWc^eridy detaded inv operating manue&

ecord* on Functional OrianlSAtton.

rgaeilaatlonai chasU and reorganlaatlonechktaded de* icnctfon of the arrangefren: and edm^tntftve stjucturt o( che funcfcmal unit* of an agency Rmcjenoaiton ttvcSea are conducted to design an aWcientscwork most suited lo carrying out rherogramslude materials such a*nd sotfhese ffiet aiso contatfv administ/acrve maps that show mgfonaf boiindanes and headcruarler* o^ daeentniUed agende* crshow tha jecgrapn^ extent or frnlts of ancogrann and prcfjecOk

b. Functional etatementa. ForrnafV prepared da-ict* peons of thes9^dtoenlorejceoj-tive orBcer* of an agency at the ct^sJon level and above Ii the funcsonal statements are printed in the Code of FtderaJ Regulations, they are not ooaonaMdrv^&oneparate serxs.

SeacsacaJ and rsenaovt repona and ocher summaryprepared far brtetogs of recendy appoaMed heads of aotncea and rherr senior advisor* to trtsorrn ihem of the current atatua of rhe agency* to acMlraon, brteftng books ar*na lv prepared mfarm an agency head of the cam rent stemsajor issue conftonCng the agency or in prtpareOon for hearings, pro* conferences* or meted-

uWlo Relations Record*.

iddreaeat. and commosa.ade at formal cere monies and during interview* by heads of agcooei or their sentor aaatsunts ccexeentog the pro-grasns of theff agencies; The speeches and eddntsae* may ba pnaaeniedexecutives Irom other Fedtrai isgencies. repns-isneaervet of Stale and local govemmentiv or pnvate groups, such as college and university srucknta. business assoct-annns, and cultural organiaahons. tniervfewe may be granted to radio, television, or pnnted neMsmecta eommen< talon. The farmat selected may be paper, audio or videoachine-leadabie tapeordtscs, wnsonon ptcrura nim

s New* rtteeaee. One copy of each prepared statement cr anrouncement issued far dismbisscm to the news med* News ntleese*announce evants such aa the actapnonof new asency pnMia^s. utrminacon of od prcsrami.shafts

Appendix Dfcontinuedi

HA

APPENDIX D

poflcyln tenicr agency personnel and may beecord suchi rata as* or rtortcex* tuat record, such es ttlm and wdeo of sound recordings

vcv Hlttoelee end SelectedMrerieJe,

Incluctag oral hsory protects

prepared by agency hitwnem or pubrc affair* otfeers or by prTvet*under contrect to the agencu Someabound -isieruts touch aa Lnuraewt with past and presentoenerexed during the research statge may abo be selected tor penrtanem retenccctareof aoency dc*turnenrj mad* by the raieareher for conveniens

ubllcatforH.

Formally pectared publications prtnied byovern-went Prfnang Oflce. the Naftonat Technical bfecnuoonr the acency itself Example of such pubtkadom include annual reportsche Congress; studies conducted by ihe acency or under contract for the aoency. procedural brochures, peirtphtaa. and iSandbc^ksdotrabured Jorflu.d^ ance lo other Fedora* aoencks. State and local jovem-merits, and pnvete Ctf9anua0ons and cKuna: tem*caonai and educational rnacertall on audiCMMiaJ Sonnets {audio or videooeon ptcrure. fi-mstrip* and jcoVvao* productonih maps: and Mm productions acdnd radio program* cftpared to fwniah inrormatfen on aoency oroency caograrni andThe

e* refrn-nc* cornea olJr*mi in non-

Gcwernrriera cVpoficorks does not exclude retaning me Offtfrtt. producnon ciements required to ensure the prtser-woon of cl tormat and be found In laboratory ntfeboota. ccmpk^ed tbrms. tabulanons and corrrpuraoons. arapntor mwme-readabui (set Sctenoftc and lecr^cai daja are telected for ptwanent pnierwocoey aree. usabk. andhese data are accurate, com* prehentive. andhey canare lifceiy to be apctlede uartery ofproblemt. then they can alroro have pa^wd fr* te* of uuWJty Dauj >vhkh can be recreated because they docuram repeacabU ac&vfbcs may afso be coruldeted both unique and usableheyellnisve. crtrkaC or standard retoencr data set The costbut noi the only, measure of Itssseisincj the (mportanca c^ any set o/ data. ccAiidenanon shouW be gsen iorfcat ai weD as lismcance.

oeloeconomieMliTro^eeelDarta.

Mlcro-tevet data eoGccred far rtput reo perl ode and onr^Crne studies and statlsocal reportsorrnanon (Bed to comply wth Gcverruneni rec^eeoni. The Intorrna* Lion may cover such svbtecrs as economic and tax informs* don rteautirnotjranrut trertcK tducaoon. casotrrrt* nation, and other comparable tcclad science artas. Although aoency reports and itu6es. bnefing mareriais. and oftlciai tekeses frcquentV summarize these data, trie mkro-Vrvei nJorrnacoft. trsuaty In machine nradabls form, iivalue.the data mutt be usable tn their raw Itete if they Km not been ccroerted to a

Visual. Audio, and Graphic Material1..

Agency-cots-maced motion pictureWD photography, pound and video recordings, cartographic materials, or ar* chicecrural cVeunns* created to record subsseniHe averts or trucrmenon thea cannot ba or frocntelV not recorded In wnrten form. Examples of these msuriab are inssentantoui tecctfdmos or photographic coverage of ugnificant saencfjc or tfcanotogfcef phenomena and tiertiAeant rtcntecumnj events, such at combat opemdens, lunar esptoteocnt and extemporaneous occurrences, discussions, and tnsetvtewt: map* recording tcpocjraohk sifWmadon tor rpe* -oro-graphic areas; and aichttectur^'encweerinfj drawingsi FederaJ

IS Scientific "ide.

Data rcsurbno, torn obeervadona ol natural events or pfienocneruj or from convoked laboratory orr oprra:-

avj ievad* rather than aieveb. The data may be recofc'ed in cr.herac/<

D (continuedS

s2

HHB

APPENDIX E

^CLASSIFIES

;rHflDS DIS'OSITKW HANDBOOK

APPENDIXTAPE CFrSITS STORAGE ^MESU^ES

"tol* a' Content!

I.J Storjc* "ypes

l.a Tit* aa lament Softwe

1.5 e iontrjt jnC

Data

3.:

Cits

reoaratlon and

2.5 Data

2.S UT-ear

T-aoo lO.Vesr

j. aotational Data

Data Cna.-actert

Data ?resarat?on ana

3.e Oata

*. Sc-at-Mna

5.

q'

3. Seauest

5 August

Appendix E

hhb

AND RECORDS MANAGEMENT

E

UNCLASSIFIED

APPENDIX

ETIC TAPE CfFSITE STORAGE MOCSDURES

ION

GESEPAL

OOP's tape library uses the Agency Archives and Records Center (MRCJ, an offsite storage facility 'or nagneclc tapes. Datarotoyeesor aoplieations that rwuire .mag-etic media, oust be familiarnese off site starage procedure.

custodians are rosponsible for insuring thot data stored onia (such as ndgnatic computer tapes or amot lost tnrougn physical destruction (such* head crash or tap*ccidental erasure, or loss caused by -riling, over data. Therefore, data custodians mjs:ovan-tage o' the offsite storage facility 'or protection against data loss.

NOTE: It is njcormenaed that redundancyicrafiln. nl-roMche. lard copy, orlocations) s* csnsioaroo astional aeasure to protect data.

s'wge types

Tanas stored atare catagormd as:

Lanq.rerncpntain data (vital eo th- data custodian) that mist be stored for up0 years with anear review ano do not reouireupdating [reference section Z. "lang-Ten- Data Storage").

ontain data that mst ae periodically accessed for use or updating; user -ust allow at least'or taoe retrieval and environ-nanesl conditioning (reference sectionRotational Datand sectionRecalling. Taoes*).

ontain data that have not Been usedonth parted.

LASS IFIE3

1 of 11

oonunueo"!

INFORMATION AND RECORDS MANAGEMENT

APPENDIX E

Offstt* storage tacts in mnagedP's Tepc-Manegenent Soft-areysteu usso to mentor aid control nagnotic tines (reference Taoe Hanaoecmnrs1 User's guide.s). thseen eewtfTeTw loentify

canenerated to list any or all tyoes. *or eect tape oroeessed unoernanegeaent catalog (TMCJ isconcerning eae*

tape used. Tht OOP tape liQrarunchedule for rotatione! tares.cmiitii!nwar, Pt;$Mnvwr ana -iane. me tht -tt* ortaoes ire rotated.

1.5 TAPECCSSI

The following orocedurss facilitate hotn 'hf control oftape data stored offsite and user access to tnose

on tapes authored for offsite steraoe ar* duplicated on neww-taoes and are laoeled eitner stan-arc leoei (SL) or non-label (SL) par dataaest. The exe-'rano" dateH5 for long-term storageor rotational swage.

on Inactive OOP cioes authorited for offsite stance jre not

on newOP tapes are tapes resfdTna

in OOP libraries :nat have not been usedn*nactive ODP tapes bear an external vt or uThe internal label (for tape* created -fth standardontains tne OOP VQlSZS nunoe-and oataset name present -nen taoes -ere created. The expiration date In THC. Taoes returning from AARCcessed via theP) feature.

Oataset names fust ccnoly with OOP dataset-naninqr1 be purgeo^rot the systen.

f

HHfcV

APPENDIX E

Auaust [SS2

information and records

APPEN

JIClJISSIF.Cfl

Prioriooiflc th* nT- orfor afffitt Storage, the dot* cuitofltan run tnturens accuracy3 te be stored. Followingfor Tong-ttnz data its*joi:

a. OK* eiistociait comoletes Fom -fife 'Mannedc Taoe Storage' frj^ertflce Attainmentaro tubnitt it tolOt librarian tn ejpi nied-swarte^t.

ft. rinan alliens the StT.eer 'crat*woata tidtodiifl. Ill tte:

ue? Interna-ly on tM sl cr ilioe Hbra-ie* also ercatH TX wit* anation of tneor tl-taoe nwiwert-say expi-ation jare. enof Font ej^ to cata

c Oata custodian hatay* CO dueMcate tne datae- *fNote that we custcdian rust, oate. which automat'cany uodetetarm rettus tne JA-oay expiration nt*.

Oata custodian verifies tne duplicated data by conoarlnc ootn ;ioos (or dm aaci ana tape} via the JMCCHsm utility anc. if sads'eetory( treseshe orttjinal OS* taoewnich tae tfco'ieete -a* oreoared.

XFe* VT-aoe to tne cffiUe-itoraeceyi after TX nes been uooatec.t data have nothe new VT-. (it fcrau*ee).tr 0ff>lU storaoehi entire jrocedure 1sby Cha data tuitoofan fr-tfertnce tten a. above).

fp OCP taoe librariancntnly Hit of inactiveot used durlno theonths)uorHti : to lata 'uscodlen,

|. Taoe librarianT-aoe vTJLSta nunoer to each taoe the inactive list andhe nf-ao*nethe X? taoe

e. Taoe Harartae ve"fiH that th: li uouated conrtctly. m'x the -C- -t satisfactor*t taoe Tf^rirtae

DFta>erscratch^tate Hit* for "Vt.re wie (referencatt'},

f NT.aoe ti to be eraserrior to the ic-yearoertod or reviewed orjK toear review, tteso iwc-fy enSheet^Ire'eraitce *Ctac-*neftt

Data ion cait occur on *ecoroec taenetictorii

^tgaee for lone,Thtf lots. casfeCtnctrtfl if taot, eiitorxi oata in the ehyiical Itrittjii of -ovnc rapei.

4 of

32

HHB

t*ot*Kt itortM oataanwt'M it# ttot(iocatnWCI* sowing tfc* :ao* iz end-cf-tiot (EOT)flt to theT).

Z.-J CRI-tHApT

ear reviewt astaolHfttd to mutlnin of tn* taoe'sfftltt locition ena toir storagefjqulrtnvtrit.

'ht OOP taot librarian pr*oarti anaitll taots tnat nave bt+floffsttat*r* to the oatahrong* tnee AC? Control Of leer, for coordination *ltn tht Records Nafiegement Off'cor.gstotfan has IC workeay*tpontf to the rerHnotr; If data custodian fills to rrtportfl, trieControl Officer will bt notified.

a. If offsite storage Itreoulrti, taoe -nust bt using (reference section 4.

*ScritcMn$*it oftacts, inejicetiitg taws**r*tCVMIirian hfttfefflorcuyi.

f offs*tttttrl-eatnt. tat *tst of stortet itiP retire of'sittrW to* taoe Horace* witr*f*or%oayt.

*-inualf :fT.aoe (reftrtneaears, tho nedrvn toragt otrlod.

tlM librarian tAtn recalls tut wt- or If-tIM to "tado-iar-tr* ir- oreoares antit of tftt HT- orapt mincers to tne, data custodian, tr-oufl* th* resoonsible *CP Control Office* for coordination *Hn tht ftecorcs ^sna^ec-tnt Offlcor.tfata cuitodian*eays toh ono offollowino actlins:

a- MT- orullnqODP procedures (reftrenee sectionScratching Taoti").

It. or aicroflcm thajn iff* or{contact

of lo?Htics)enr.

iM5te that oata =mst first bt rtcos^tc in ce*to tilt tnt *icitofiT'rifl3 fadHtfes.

^tptatu ^writtenand eriseut ht-ape teiAfau mst ot storKor^t-

SWTI: If ^ata csstscu* Fjlls Mfty :rvtf trit IC-car otriod. tnt ACP Control Cicer is nctTfted.

cominued)

KHB

APPENDIX E

USC LASS ISO

records disposition Mnceoox

iPPSNDI*

ha6iietic tape cpps1te storage procedures

OATS STORAGE

j.;fiAL

SC3 storage is offsite storage ot data on nagnetie turnnort, user.itteou led period ofOTE: Renuasts for rotational data stjraoe thst. be acconojn'ecchedule indicat'io. -net tapes shouldWL-snnually. quarterly, nontnly, bi"ee*ly, or oa'lytnttachment The data myreautreo to restore an aopl'catlon or onlineseful statenininum maintenance ana, tnerefore. lust be as current as possible to achieve restoration.

In nost cases,taoe versions are rwuired for frequently updatedcurrent version is ita-ea o'*!ite, ana the oloer version is at Headauarters for the data cuscscten to update. However,npiications reouirethan two tape versions.

3.2 DATA CHAflaCTE9ISr!CS

Characteristics of oata totoreaotational basis are specifies By data custodian on Fom Wm, "Magnetic Tapet follows:

Data oust oe critical tc the coeratlon of an application or to an online system.

Oata reeuire scheduled updatingeesaneble tine (preeeterained by the Jatao ens-re that data are currentinioum Bonification to update the eataset to the wis" current, usable state.

3.3 JJST If 1CATr:an

Justification for rotational dataeterminedheequired autnarlution is the conpletM Porrrace Storage.-

6 of 11

August

AND RECORDS MANAGEMENT

APPENDIX E

UNCLASSIFIED

3.4 OATA PREPARATION AND RESPONSIBILITIES

Prior to snipping the WT-ape to off sue stsraoe. data custodian is re-sponsible for insuring redundancy and accuracy of data to De stored. OOP's procedures for rotational-data storage are:

custodian conoletes forn MmW "Magnetic Tapenoit to an OOP tape librarian.

librarian assigns the "T-aoe WISER number for eicniy data custodian. (The VOLSER number is initializedon the SL or NLape librarian also upoatis We Ttt*combination of HT- or tf-tape nunoer. specifies adace, and returnsfto oata custooian.

custodian hasays to Duplicate data to the neworNote that data custodian nusts thewhich automatically updates rHE and resetsday

custodian verifies the duplicated data by compartnq both tapespacx and tape) via the IE9CIMM utility and, if duplicateerases (scratches) the original OOP tape fran whichwas prepared.

sends the new WT-aoe to the offstte storagetC has Seen uocateo. If the data have not beenaoe. the tape expires (isever,storageequirement, the entire procedure isay tne oata custodian (reference 'tan a. ibove).

the 'iT-aoe Is to be erased (scratched) at anv specifiedwould incorrupt the scheaule specifiedse thein section a, 'Scratchingaat rust nium inConputar Center (RCC) or the Soedal Computer Centerthanaysor system problem or chanqes in thedata custodian coordinates with the OOP tape librarian,if no arrangement nas been made with tne taoe librarian anifails to cooy the tape withinays, the'AO0 Controlwill Be notified.

3.5 OATA INTEGRITY

Taoes stored rer long periods (in excessear) *enaecome ehystcal'y distartea, -nich also could affect the aata. Tapes rotated one or ogresear should not oe affected by tne possib'l'ty of tn's aistortion. However, for rotational taoes not scheduled for annual rscation. reference2.S, "Data Integrity."

T af U

HHB

APPENDIX E

I' taoe number and OS" on4Wr not scratched--and data custodian ll alertei not agree -'tnTHC, Ileal ire

32

cor.tin.uecr

APPENDIX E

* hahhskc

fAGNETIC TAH JrsiTE STCRASE PHCCEOUKES

5. RECALL:KG TAPES

Procedures to recall tapes from offsite storage ere tne sent for both long-tern and rotational storage. These procedures should not be confused with procedures for the specified periodic tape rotation described In sectionRotational Data Storage."

Approximatelyours are neededape to physically arrive at Headauar-ters and to De reconditioned to RCC or SCC's environment. Taoe recallare as fol lows:

a. Submito ano* librarian. Soeeify tne af-ape nuitbers, associated PRISM project number, anddata custodian's name (as specified on Pom jfBh.

hen tapes arrivee ODP tape library, the tape librarian notifies data custodian by phone.

c. Oata custodian nust eccest the tapes withinays. If the tapes are not designated for scratch, they ar* returned automatically to the off site-storage facility afterays.

9 of li

Original document.

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