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Chapter 01 Mission and Organization

October 31, 2008

These operational records relate to the overall mission, policies, procedures, organization, and planning activities of the National Archives and Records Administration (NARA). For "Program Direction" records created and maintained at regional records services facilities, see item 147. For other records maintained at regional records services facilities (those records which otherwise would have been covered in Chapter 1), see items 266 (Chapter 2), 1343 (Chapter 13), 1474 (Chapter 14), and 1618 (Chapter 16).

Policies and Procedures

File #DescriptionDisposition
101 Organizational Files
Organizational charts and reorganization studies. Records and graphics that provide a detailed description and illustration of the arrangement, administrative structure, and geographic boundaries of the functional units of NARA. Reorganization studies may include final recommendations, proposals, and staff evaluations. Reorganization case files are maintained by the Policy and Planning Staff (NPOL) in the directives case files, file no. 104-1. Related background studies are filed as management improvement studies, file no. 222.
101-1 Records maintained by NPOL. PERMANENT. Transfer to NARA in 5-year blocks when 20 years old. (N1-64-87-1)
101-2 Working files maintained by NPOL staff members. Destroy when no longer needed for reference. (N1-64-00-8, item 1)
101-3 Records maintained by other offices. Destroy when superseded OR obsolete. (N1-64-90-1)
102 NARA Regulations Case Files
Case files containing a copy of proposed or final regulations and related records; comments from internal NARA stakeholders, other agencies, and members of the public; and a copy of the published regulation.
102-1 Official case file maintained by NPOL. Arranged by regulation. PERMANENT. Cut off when final rule is published OR rulemaking is ended.
Transfer to NARA in 10-year blocks when 20 years old. (N1-64-96-2, item 1)
102-2 Case files (maintained by NPOL) on regulatory reviews that do not result in new or revised regulations. Cut off upon completion of review.
Destroy at end of next review cycle. (N1-64-93-2, item 1)
102-3 Unofficial case files maintained by other offices. Destroy when superseded, obsolete, OR no longer needed for reference. (N1-64-87-1)
103 External Directives Case Files
Documents reflecting the preparation, review, clearance, and publication of external directives, such as NARA Bulletins and General Records Schedules (GRS) transmittals. Included are:
  • Comments on the external directive;
  • Reconciliations of comments, including explanations about why any comments were rejected;
  • The original and a copy of the published directive; and
  • All other records that document important aspects of development of the directive.
103-1 Official case files of NARA Bulletins and GRS transmittals maintained by NPOL. Arranged by number. PERMANENT. Cut off when superseded OR canceled.
Transfer to NARA in 10-year blocks when 20 years old. (N1-64-93-2, item 2a)
103-2 Official case files of other external directives maintained by the originating office, EXCEPT NARA Field Bulletins. (See file no. 103-4.) PERMANENT. Cut off when superseded OR canceled.
Transfer to NARA in 10-year blocks when 20 years old. (N1-64-93-2, item 2b)
103-3 Unofficial case files maintained by other offices. Destroy when superseded, obsolete, OR no longer needed for reference. (N1-64-87-1)
103-4 Official case files of NARA Field Bulletins. Cut off when superseded.
Destroy when 4 years old. (N1-64-96-2, item 2)
104 NARA Directives Case Files
Records reflecting the preparation, review, clearance, and publication of internal NARA program and administrative directives. Included are:
  • Comments on the internal directive;
  • Reconciliations of comments, including explanations about why any comments were rejected;
  • The original and a copy of the published directive;
  • The superseded NARA directive(s), including interim guidances (if applicable);
  • All other records that document important aspects of development of the directive; and
  • Any records related to waivers of the directive (in accordance with NARA 111, NARA Directives), if applicable.
104-1 POLICY DIRECTIVES
a. Official case files maintained by NPOL. Arranged by directive number.
PERMANENT. Cut off when directive is signed.
Transfer to NARA in 10-year blocks when 25 years old. (N1-64-96-2, item 3a)
b. Unofficial case files maintained by other offices.
Destroy when superseded, obsolete, OR no longer needed for reference. (N1-64-87-1)
c. Case files on directives that were developed but NOT issued.
Cut off at close OR suspension of project.
Destroy when 10 years old. (N1-64-00-8, item 2a)
104-2 INTERIM GUIDANCES. Temporary policy or procedures that will be incorporated into a policy directive.
a. NPOL copy.
Place into official directives case file when incorporated into a policy directive. See file no. 104-1a for disposition of case file. (N1-64-96-2, item 5c[1])
b. Originating office record copy and related background materials.
Cut off after issuance. File record copy in appropriate program file. Forward a copy to NPOL for inclusion in file no. 104-2a. (N1-64-96-2, item 5c[2])
c. Other copies.
Destroy when no longer needed for reference. (N1-64-96-2, item 5c[3])
d. Interim Guidances Database and Register.
Destroy when no longer needed. (N1-64-00-8, items 2b and 2c)
104-3 SUPPLEMENTS. NARA directives that provide additional information relating to a particular policy directive.
a. NPOL copy.
Place into official directives case file after issuance. See file no. 104-1a for disposition of case file. (N1-64-96-2, item 5c[1])
b. Originating office record copy and related background materials.
Cut off after issuance. File record copy in appropriate program file. Forward a copy to NPOL for inclusion in file no. 104-3a. (N1-64-96-2, item 5c[2])
c. Other copies.
Destroy when no longer needed for reference. (N1-64-96-2, item 5c[3])
104-4 Internal Operating Procedures (IOPs). Records relating to detailed procedures developed and issued by individual offices, staffs, and units to perform their delegated responsibilities and functions. Destroy when superseded OR obsolete. (N1-64-00-8, item 2d)
105 NARA Notice Files
Notices (formerly NARA-numbered Memos - ACTION and NOTICE) prepared by offices and addressed to more than one office, specific offices or units, all employees, or select groups of employees. In accordance with NARA 113, NARA notices may be signed by the Archivist or Deputy Archivist or, by the NPOL Director, Assistant Archivist for Administration (NA), or the Assistant Archivist for Information Services (NH) when notices affect their programs. Notices are disseminated to:
  • Provide information of interest about events, NARA or Government-related programs, national commemorative observances, and facility-related issues;
  • Give reminders of policies and procedures already prescribed by law or a NARA internal directive or regulation;
  • Communicate appointments of NARA officials, temporary designations of authority, and formal establishments of internal committees, working groups, or teams; or
  • Require action(s) from offices, units, or employees by requesting:
    • Comments on external and internal policy issues, draft proposals, directives, regulations, reports, etc.;
    • Information for updating directories, distribution lists, and other information resources;
    • Nominations for upcoming training courses, or;
    • Submissions of reports.
105-1 Originating office record copy, including related background material. File in appropriate program file. (N1-64-96-2, item 5b[1])
105-2 Other copies. Cut off annually.
Destroy/delete when 1 year old OR no longer needed. (N1-64-96-2, item 5b[2])
105-3 Signed record copies and register of NARA Notices maintained by NPOL. PERMANENT. Transfer to NARA in 5-year blocks when 15 years old. (N1-64-00-8, item 3a)
105-4 NARA Notices Database. Delete when no longer needed. (N1-64-00-8, item 3b)
106 Numbered Memos at the Office, Staff, and Field Unit Level
Numbered memos signed by office heads, staff directors, or heads of field units and addressed to staff within their respective units. These numbered memos convey administrative and program information or request information. See file no. 105 for NARA notices.
106-1 Originating office record copy and background materials. Cut off annually.
Destroy when 1 year old OR no longer needed. (N1-64-96-2, item 4a)
106-2 Other copies (including signed record copies on letterhead). Destroy when no longer needed for reference. (N1-64-96-2, item 4b)

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Program Direction (excludes Regional Records Services Facilities)

File #DescriptionDisposition
107 Senior Staff Meeting Files
Records documenting meetings of the NARA Senior Staff whose members are: Archivist of the United States; Deputy Archivist of the United States; office heads; staff directors in the Office of the Archivist; Director, Information Security Oversight Office (ISOO); Executive Director, National Historical Publications and Records Commission (NHPRC); and NARA Inspector General. Records include agendas, meeting handouts, and notes which are arranged by year and thereunder by month. PERMANENT. Cut off annually.
Transfer to NARA in 5-year blocks when 15 years old. (N1-64-00-8, item 11)
108 Archivist and Deputy Archivist Program and Policy Records
Correspondence, reports, speeches, and other records accumulated by the Archivist and Deputy Archivist that pertain to the administration and operation of NARA programs. They document policy-making decisions, significant program management functions, procedures, initiatives, long-term planning, and other mission, program, and policy-related issues. Arranged by subject. PERMANENT. Cut off annually.
Transfer to NARA in 5-year blocks when 15 years old. (N1-64-87-1)
109 Program Subject Files
Correspondence, reports, forms, and other records accumulated by NARA officials in managing and carrying out assigned functions. These records document policy-making decisions, significant program management functions, procedures, initiatives, long-term planning, and other mission, program, and policy-related issues.

NOTE: EXCLUDED are equivalent records (see item 147) maintained by regional administrators and operational units in Regional Records Services facilities, AND unique program-related files specifically described elsewhere in the NARA Records Schedule.
109-1 Records accumulated by the office head, staff director, or equivalent. Arranged by subject. EXCLUDED are unique program-related files specifically described elsewhere in the Records Schedule. PERMANENT. Cut off annually.
Transfer to NARA in 5-year blocks when 15 years old. (N1-64-87-1)
109-2 Records accumulated by division directors in the Washington, DC, area and Heads of Field Units. Generally arranged by subject.

NOTE: EXCLUDED are equivalent records (see item 147) maintained by regional administrators and operational units in Regional Records Services facilities, AND unique program-related files specifically described elsewhere in the Records Schedule.
a. Records that are NOT duplicated at a higher level and relate to substantive programs.
PERMANENT. Cut off annually.
Retire to records center when 3 years old.
Transfer to NARA in 5-year blocks when 15 years old. (N1-64-87-1)
b. Other records.
Cut off annually.
Retire to records center when 3 years old.
Destroy when 7 years old. (N1-64-87-1)
110 Routine Program Administration Files
Records (including correspondence, reports, and forms) that relate to the general administration of a program, but that are NOT specific program files described elsewhere in the NARA Records Schedule. Arrangement may be alphabetically by subject or letter suffix (a, b, c, etc...), or by some other manner that meets office reference needs.

NOTE: EXCLUDED are equivalent records (see file no. 147-2) maintained by operational units in Regional Records Services facilities, and office administration and housekeeping files (see file no. 205).
Cut off annually and review to remove any record copies which are covered by the "NOTE" below.
Destroy all other records when 2 years old. (N1-64-87-1)

NOTE: When any of the records in this file result in the initiation of or affect a specific process, project, directive, or case, the record copy must be filed in the official file relating to that particular activity or action.
111 NARA Strategic Planning and Government Performance and Results Act (GPRA) Files
Plans, reports, correspondence, comments, notes, specifications for measuring performance objectives, and other records relating to preparing and issuing NARA's Strategic Plans, Annual Performance Plans, and Annual Performance and Accountability Reports (formerly Annual Performance Reports) in compliance with GPRA.
111-1 NARA Strategic Plans, Annual Performance Plans, and Annual Performance and Accountability Reports (formerly Annual Performance Reports).
a. Record copies of final versions maintained by NPOL.
PERMANENT. Cut off after last annual report has been issued pursuant to applicable Strategic Plan.
Transfer to NARA when most recent records are 10 years old. (N1-64-00-8, item 4a)
b. Copies maintained by other offices.
Destroy when superseded, obsolete, OR no longer needed for reference. (N1-64-00-8, item 4b)
111-2 NARA Strategic Plan Developmental Files. Case files relating to preparing the NARA Strategic Plan for dissemination to the Office of Management and Budget (OMB), Congress, the public, and NARA staff. Included are substantive drafts, correspondence, comments, notes, reports, and other related records.
a. Case files created and maintained by NPOL.
(1) Files for a strategic plan that takes NARA into new directions and makes major changes to organizational missions and strategic performance elements.
PERMANENT. Cut off upon issuance of Strategic Plan.
Transfer to NARA with record copy of related plan. See file no. 111-1a. (N1-64-00-8, item 4d).
(2) Files for a strategic plan that sustains NARA's strategic directions and makes minor adjustments as needed to mission statements and strategic performance elements.
Cut off upon issuance of Strategic Plan.
Destroy when no longer needed for reference. (N1-64-00-8, item 4e)
b. Files maintained by other offices.
DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
111-3 NARA Annual Performance Plan Developmental Files.
a. Case files created and maintained by NPOL during the applicable budget-year cycle. Includes:
  • Different versions of plan (substantive drafts, initial version submitted to OMB, final plan disseminated to Congress and public, and revised final or "operating" plan);
  • Correspondence, comments, and notes;
  • Specifications for measuring performance objectives (within framework of Performance Measurement and Reporting System);
  • Copies of NARA notices, strategic budget initiatives, project plans, offices' performance reports to the Archivist, and preceding annual performance plans; and
  • Other related records.
Cut off upon final revision of the Annual Performance Plan.
Destroy after Annual Performance and Accountability Reports have been issued in the 3 successive fiscal years. (N1-64-00-8, item 4f)
b. Files maintained by other offices.
DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
111-4 NARA Annual Performance and Accountability Report Developmental Files.
a. Case files created and maintained by NPOL and the Financial Reports Staff (NAX) for the Annual Performance and Accountability Report (formerly Annual Performance Report) corresponding to the applicable Annual Performance Plan. Includes:
  • Substantive drafts of the report;
  • Financial statements;
  • Correspondence, comments, and notes;
  • Specifications for measuring performance objectives (within framework of Performance Measurement and Reporting System);
  • Reports on plan implementation;
  • Copies of NARA notices, strategic budget initiatives, project plans, offices' performance reports to the Archivist, and preceding annual performance plans and performance reports; and
  • Other related records.
Cut off upon issuance of the Annual Performance and Accountability Report.
Destroy after annual reports have been issued in the 3 successive fiscal years. (N1-64-00-8, item 4g)
b. Files maintained by other offices for submissions of Annual Performance Reports covering FYs 1999 through 2003.

NOTE: Starting with FY 2004, offices prepare cumulative performance reports with the final report covering an entire fiscal year (see file nos. 113-1 and 113-2). These final reports have replaced offices' Annual Performance Reports (no. 111-4b).
DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
112 Program Review Files
Copies of program review documents used to formally brief senior officials on major program activities.
112-1 Record set of program reviews to brief the Archivist or Deputy Archivist. Documents maintained by NPOL. PERMANENT. Cut off annually.
Retire to records center when 5 years old.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
112-2 Program reviews to brief other NARA senior officials. Cut off annually.
Destroy when 3 years old OR when no longer needed for reference, whichever is SOONER. (N1-64-96-2, item 6)
112-3 Other copies. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
113 Offices' Performance Reports
Reports containing cumulative performance information which are sent quarterly to the Archivist by office heads, staff directors, the ISOO Director, the NHPRC Executive Director, and the NARA Inspector General. Also covers feeder reports sent by subordinate units to office heads.
113-1 Signed record copies sent to and maintained by the Archivist. PERMANENT. Cut off annually AND retire to records center.
Transfer to NARA in 10-year blocks when 20 years old. (N1-64-87-1)
113-2 Other copies.

NOTE: See file no. 111-4b for offices' submissions of Annual Performance Reports covering FYs 1999 through 2003.
Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
113-3 Feeder reports, which may be prepared quarterly, for office heads by heads of field units and directors of programs, divisions, staffs, and their subordinate units.
a. Signed record copies sent by subordinate units and maintained by office heads.
PERMANENT. Cut off annually.
Transfer to NARA in 10-year blocks when newest records are 10 years old. (N1-64-96-1, item 1a[1])
b. Other copies, including copies maintained by subordinate units.
Cut off annually.
Destroy when 3 years old. (N1-64-96-1, item 1a[2])
114 Performance Measurement and Reporting System (PMRS)
PMRS is the automated system for collecting and publishing official statistical data about NARA's success in meeting numeric goals ("metrics") in strategic and annual performance plans mandated by GPRA. PMRS also contains other important statistics about NARA that are included in annual Performance and Accountability Reports. Records include:
  • Textual records, printouts of e-mail, and GPRA databases containing statistical data;
  • Operational databases that supply data to PMRS;
  • Supporting records used to verify data and make corrections;
  • Office databases;
  • PMRS metrics data warehouse;
  • Metric specifications; and;
  • System documentation and test files.
114-1 Data Collection Sources and Supporting Records.
a. Textual records, printouts of e-mail, and GPRA databases containing statistical data for PMRS metrics. Supporting textual records include printouts of e-mail and other documents created and maintained to verify data accuracy and make corrections after reporting of data to PMRS. Records may be arranged alphabetically by metric title or numerically by strategic goal and thereunder by metric number.
Cut off annually.
Destroy/delete when 3 years old OR when no longer needed for reference OR audit purposes, whichever is LATER. (N1-64-03-1, item 1a)
b. Operational databases specifically created to support program functions. Databases supply statistical data to PMRS. Supporting textual records include printouts of e-mail and other documents created and maintained to verify data accuracy and make corrections after reporting of data to PMRS. Records may be arranged alphabetically by metric title or numerically by strategic goal and thereunder by metric number.
For operational databases that have already been scheduled, such as the [Appraisal Job] Control and Tracking System (item 1308-2), follow disposition instructions specific to those systems. (N1-64-03-1, item 1b)

NOTE: For unscheduled databases, consult with the NARA Records Officer to prepare an SF 115, Request for Records Disposition Authority.
114-2 Office databases built by NH and installed throughout the agency. Data come from textual records, e-mails, GPRA databases, and operational databases. Data in the office databases are then processed and uploaded into the metrics data warehouse (file no. 114-3). Supporting textual records include printouts of e-mail and other documents created and maintained to verify data accuracy and make corrections after reporting of data to PMRS. Records may be arranged alphabetically by metric title or numerically by strategic goal and thereunder by metric number. Overwrite data for each reporting period.
Destroy related supporting records when the unit determines that data are no longer needed for administrative, legal, audit, OR other operational purposes. (N1-64-03-1, item 2)
114-3 Metrics data warehouse: Delete annual live data, snapshot, AND related corrections documentation 10 years after the end of the fiscal year in which the data were created. (N1-64-03-1, item 3)
a. Live data for current, discontinued, and prototype metrics, and NARA statistics;
b. Annual snapshots of warehouse maintained offline; and (c) documentation of corrections.
c. Documentation of corrections.
114-4 Metric Specifications. Includes specifications and data collection plans for current, discontinued, and prototype metrics, and NARA statistics in PMRS. Also includes records documenting revisions to existing metric specifications and development of metrics and specifications not yet measured and reported in PMRS.
a. Specifications Document. Contains targets, calculations, definitions, sources, measures, drill-down levels, data collection plans, and other elements for current, discontinued, and prototype metrics, and NARA statistics.
Destroy/delete when superseded. (N1-64-03-1, item 4a)
b. Records documenting revisions to existing metric specifications and development of new metrics and their specifications not yet included in PMRS.
Destroy/delete when superseded, obsolete, OR no longer needed for reference. (N1-64-03-1, item 4b)
114-5 System Documentation and Test Files. Includes requirements documents, agreements, system maintenance guides, user guides, other documents, and test/development and other databases. Destroy/delete when superseded OR no longer needed. (GRS 20, items 1a and 11a)

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Committees

File #DescriptionDisposition
115 Committee, Task Force, Board, and Working Group Files
115-1 NARA-sponsored committees on substantive policy/ programmatic issues: Records created by NARA-sponsored committees, task forces, boards, and working groups dealing with substantive policy/programmatic issues such as: developing or revising NARA programs; implementing new legislation, regulations, policies, or programs; reviewing NARA programs and projects; and coordinating research internally and externally with or for other agencies, institutions, and international archival programs. Includes committees where NARA is the designated sponsor or coordinating agency with official governing, policy, or recordkeeping responsibilities.

NOTE: Official files are those of the Secretary, or in instances where the Chair serves the dual function of recording secretary or designated recordkeeper, the Chair. The files of other members are considered duplicates of official records. (See file no. 115-1c.)
a. Official committee records. Charter, agendas, minutes, studies, reports, and related records of the Secretary or designated recordkeeper.
PERMANENT. Cut off annually.
Transfer to NARA after termination of committee. (N1-64-96-2, item 8a)
b. Routine administrative records created in support of committee functions such as mailing or distribution, meeting room reservations, and similar routine administrative records.
Cut off annually.
Destroy when 3 years old. (GRS 16, item 8b[2])
c. Agendas, minutes, final reports, and related records documenting the accomplishments of official committees, EXCLUDING those maintained by the Secretary or recordkeeper.
Destroy when 3 years old. (GRS 16, item 8b[1])
115-2 NARA-sponsored committees on internal administrative/ facilitative matters. Records created by NARA-sponsored committees, task forces, boards, and working groups overseeing internal administrative matters and facilitative services, such as the Cafeteria Advisory Board or the Safety and Health Committees.
a. Official committee records. Charter, agendas, minutes, studies, reports, and related records of the Secretary or designated recordkeeper.
Cut off annually.
Destroy when no longer needed. (N1-64-96-2, item 8b)
b. Routine administrative records created in support of committee functions such as mailing or distribution, meeting room reservations, and similar routine administrative records.
Cut off annually.
Destroy when 3 years old. (GRS 16, item 8b[2])
c. Agendas, minutes, final reports, and related records documenting the accomplishments of official committees, EXCLUDING those maintained by the Secretary or recordkeeper.
Cut off annually.
Destroy when 3 years old. (GRS 16, item 8b[1])
115-3 Non-NARA-sponsored committees whose activities have a substantive impact on NARA: Records of NARA staff members of committees whose mandates and activities cause NARA to revise its policies/programs. An example is an interagency declassification committee whose findings result in revised NARA policies or procedures. EXCLUDES committees where NARA is the designated sponsor or coordinating agency with official governing, policy, or recordkeeping responsibilities. (See file no. 115-1.) PERMANENT. Cut off annually.
Transfer to NARA after termination of committee. (N1-64-96-2, item 8d)
115-4 Non-NARA-sponsored committees whose activities have no substantive impact on NARA: Records of NARA staff members of committees whose mandates and activities do not cause NARA to revise its policies/programs. Examples are: committees of professional associations, such as the Society of American Archivists (SAA); standards organizations, such as the American National Standards Institute (ANSI); and Federal interagency committees, such as the Federal Geographic Data Committee (FGDC). EXCLUDES committees where NARA is the designated sponsor or coordinating agency with official governing, policy, or recordkeeping responsibilities. (See file no. 115-1.) DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
116 International Organization Liaison Files
Records (dealing with non-substantive issues) maintained by NPOL while serving as liaison between the Archivist and Governmental and non-Governmental international organizations. Included are correspondence, forms, reports, brochures, extra copies of meeting minutes, and related documents. See file no. 108 for records on substantive issues with international organizations. Cut off annually.
Destroy when 2 years old. (N1-64-00-8, item 6)
117 Committee Management Officer Files
Records maintained by NARA Committee Management Officer (NPOL) for tracking agency participation in external groups and activities of advisory and internal committees. (Federal advisory committees are established under the Federal Advisory Committee Act.) Included are copies of charters, membership lists, agendas, policy statements, and final reports, and, for Federal advisory committees, material required to be available for public information. (See file no. 115 for documents created and maintained by committees and members of committees.)
117-1 External Groups (e.g., interagency committees, professional associations, and standards-setting and international committees and organizations).
a. External groups of ONGOING DURATION in which NARA participates as a long-standing sponsor and/or member. Included are records documenting NARA employees' status as members in an official capacity and their terms of membership, and copies of meeting minutes, reports, and other documents generated by external groups. Arranged by category of external group (e.g., interagency committees, professional associations, etc.) and thereunder alphabetically by name of committee, professional association, etc.
Destroy when 10 years old. (N1-64-00-8, item 5a)
b. External groups of FIXED DURATION in which NARA participates as a sponsor and/or member. Included are records documenting NARA employees' status as members in an official capacity and their terms of membership, and copies of meeting minutes, reports, and other documents generated by external groups. Arranged by category of external group (e.g., interagency committees, professional associations, etc.) and thereunder alphabetically by name of committee, professional association, etc.
Cut off upon termination of group.
Destroy 5 years after cutoff. (GRS 16, item 8c)
117-2 Federal Advisory Committees. Included are official charters, correspondence, membership lists, and copies of reports and Federal Register notices. Arranged alphabetically by name of advisory committee and thereunder by charter period. Cut off upon expiration of charter period.
Destroy 5 years after termination of committee. (GRS 16, item 8c)
117-3 Internal committees. Includes copies of charters or equivalent authorizing documents, membership lists, final reports, and internal correspondence. Arranged alphabetically by name of committee Cut off after termination of committee.
Destroy when 2 years old OR when no longer needed for administrative purposes, whichever is LATER. (N1-64-00-8, item 5b)
117-4 Committee management oversight records maintained by NPOL.
a. Correspondence, databases, and other records related to general oversight of NARA's participation in external groups (e.g. interagency committees, professional associations, and standards-setting and international committees and organizations), Federal Advisory Committees, and internal committees.
Destroy when superseded, obsolete, OR no longer needed for reference. (N1-64-96-2, item 7)
b. Federal Advisory Committee Fiscal Year (FY) Reports Files. Includes related correspondence with Committee Management Secretariat, General Services Administration; copies of NARA's Designated Federal Officers' annual submissions; and a printout of final FY report submitted electronically to the Committee Management Secretariat.
Cut off after verification of data submitted electronically.
Destroy when 3 years old. (N1-64-00-8, item 5c)

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Agency Histories

File #DescriptionDisposition
125 NARA Histories
NARA histories and selected background materials. Narrative agency histories, including oral history projects prepared by agency personnel or by private historians under contract to NARA.
125-1 Narrative histories, oral histories, transcribed interviews with past and present personnel, copies of tapes and transcripts, and deeds of gift. PERMANENT. Transfer to NARA immediately following the completion of each group of interviews. (NARA will accession these records as part of the National Archives Gift Collection.) (N1-64-90-1)
125-2 Background materials, including electrostatic copies of agency documents made for convenient reference. Cut off at end of project.
Destroy when 10 years old. (N1-64-87-1)

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Personnel Resources Management

File #DescriptionDisposition
127 Agency-Authorized Staffing Plan
Electronic and paper records maintained as a means of managing current information about authorized positions and vacancies.
127-1 Microsoft Excel spreadsheet file maintained by the Financial Services Division (NAB). Overwrite when modified. (N1-64-00-8, item 9a)
127-2 Paper copies maintained by NAB, NPOL, and program offices. IF applicable, file in appropriate program file.
Otherwise, destroy when no longer needed for administrative OR reference purposes. (N1-64-00-8, item 9b)
128 Vacancy Allocation Files
Paper and electronic records maintained as a means of managing NARA's vacancy allocation process.
128-1 Vacancy Allocation Form (VAF) Files. Included are NA Forms 3034, Vacancy Allocation Form; correspondence; copies of Standard Forms 52 and position descriptions; staffing lists generated by program offices; and reports annotated with the Archivist's decisions.
a. Records maintained by NAB, NPOL, and program offices.
Cut off annually.
Destroy when 2 years old OR when no longer needed for administrative purposes, whichever is LATER. (N1-64-00-8, item 10a)
b. Copy of VAF maintained by the Human Resources Operations Branch (NAHO).
File on left side of the Official Personnel Folder (OPF). See file no. 301-2. (N1-64-00-8, item 10b)
128-2 Microsoft Excel spreadsheet file of VAF Tracking Report maintained by NAB. Maintain separate electronic worksheets by fiscal year.
Delete worksheet when 2 years old OR when no longer needed for administrative purposes, whichever is LATER. (N1-64-00-8, item 10c)
128-3 Paper copies of VAF Tracking Report.
a. Record copy maintained by NAB.
Print record copy at end of the fiscal year.
Destroy when 2 years old OR when no longer needed for administrative purposes, whichever is LATER. (N1-64-00-8, item 10d)
b. Copies maintained by other offices.
Destroy when no longer needed for administrative OR reference purposes. (N1-64-00-8, item 10e)

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Customer Service

File #DescriptionDisposition
131 NARA Customer Service Program Files
Records pertaining to developing, implementing, and reporting on the NARA Customer Service Program. Includes plans, reports, case files, and other records documenting NARA's compliance with Executive Order 12862 and Presidential Memorandums dated March 22, 1995 and March 3, 1998.
131-1 NARA Customer Service Plans and Customer Service Reports. Plans include NARA's customer service standards and program elements. Reports sent to the President, National Partnership for Reinventing Government (NPR), and Congress contain anecdotal and statistical information about NARA's interactions with customers and accomplishments related to the customer service standards identified in NARA's Customer Service Plan.
a. Record copies of NARA Customer Service Plans and Customer Service Reports maintained by NPOL.
PERMANENT. Cut off after Customer Service Report(s) for related Customer Service Plan is (are) issued.
Transfer to NARA in 5-year blocks when 5 years old. (N1-64-00-8, item 7a)

NOTE: When NARA includes customer service performance data in Annual Performance and Accountability Reports (formerly Annual Performance Reports) rather than publishing Customer Service Reports, transfer record copies of the Customer Service Plan in 5-year blocks when 5 years old.
b. Copies maintained by other offices.
Destroy when superseded OR obsolete. (N1-64-00-8, item 7b)
131-2 NARA Customer Service Plan Developmental Files. Case files relating to preparing and publishing paper and electronic versions of NARA Customer Service Plans for dissemination to NPR, the general public, NARA staff, and other interested constituencies.
a. Developmental case files maintained by NPOL.
(1) Substantive drafts and final versions of Customer Service Plans, correspondence (e-mails and memoranda), comments, and other records that document justifications for specific customer service standards.
PERMANENT. Cut off upon publication of NARA Customer Service Plan.
Transfer to NARA with record copy of related plan. See file no. 131-1a. (N1-64-00-8, item 7d)
(2) All other background records used to prepare and facilitate publication of NARA Customer Service Plans.
Cut off upon publication of NARA Customer Service Plan.
Destroy when successive Customer Service Plan is published. (N1-64-00-8, item 7e)
b. Developmental files maintained by other offices.
DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
131-3 NARA Customer Service Report Developmental Files. Case files relating to preparing and publishing paper and electronic versions of the NARA Customer Service Report for dissemination to NPR, the general public, NARA staff, and other interested constituencies. These files may include: substantive drafts and final version of Report; correspondence (e-mails, memoranda, and letters) and comments; worksheets; copies of NARA notices, Quarterly Reports to the Archivist, units' feeder reports (containing statistical information and narrative accounts of successful interactions with customers), and completed NA Form 14045s, Customer Comment Forms; letters from customers; preceding customer service reports; and other related records.
a. Developmental case files maintained by NPOL.
Cut off upon publication of NARA Customer Service Report.
Destroy when no longer needed for reference. (N1-64-00-8, item 7f)
b. Developmental files maintained by other offices.
DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
132 Customer Feedback Files
Records related to acquiring customers' feedback through survey instruments, comment forms, correspondence, and non-written communications.
132-1 Customer Survey Questionnaire, Focus Group, and Interview Files. Records related to developing, administering, evaluating, and reporting on customer feedback in the forms of survey questionnaires, focus groups, and telephone/in-person interviews.
a. Case files related to developing, administering, and evaluating the effectiveness of questionnaires, focus groups, and telephone/in-person interviews. Included are:
  • Drafts and final versions of information collection instrument, such as:
    • Survey questionnaire,
    • Prepared script for focus group, and/or
    • Set of questions for telephone/in-person interviews);
  • E-mails, other correspondence, and comments;
  • Records related to the OMB clearance process, such as;
    • OMB Form 83-I, Paperwork Reduction Act Submission, and
    • Supporting statement (for information collection);
  • Agreements and contractual documents, such as:
    • Statements of work,
    • Requisitions
    • Purchase orders, and
    • Receiving reports;
  • Instructions and other documents regarding administration of information collection instrument;
  • Evaluations of instrument's effectiveness; and
  • Other related records.
(1) Files maintained by office(s) responsible for conducting questionnaires, focus groups, and interviews.
Cut off upon completion of administration of questionnaire, focus group, or telephone/in-person interviews.
Destroy when 6 years old. (N1-64-00-8, item 8a)
(2) Files maintained by NPOL for purposes of reviewing and approving instruments for customer feedback and assessing their effectiveness.

NOTE: For information collections files maintained by the Information Technology Policy and Administration Division (NHP), see file no. 229-1.
Cut off upon completion of administration of questionnaire, focus group, or interviews.
Destroy when 6 years old. (N1-64-00-8, item 8b)
(3) Documents related to working with an outside organization or contractor to develop and/or administer questionnaires, focus groups, and interviews.
(a) Memorandums of Agreement (or Understanding) and statements of work.
Dispose of in accordance with file nos. 132-1a(1) OR 132-1a(2). (N1-64-00-8, item 8c)
(b) Purchase orders and other contractual paperwork.
Dispose of in accordance with file nos. 519-1a OR 519-1b. (N1-64-00-8, item 8d)
b. Files related to evaluating feedback from customers completing customer satisfaction information collections. Files (arranged by particular information collection) are maintained by office(s) responsible for conducting questionnaires, focus groups, and interviews. Included are:
  • Completed survey questionnaires;
  • Evaluation forms (e.g., NA Form 2019s);
  • Other feedback documents from focus groups and telephone/in-person interviews; and
  • Paper and electronic compilations of data culled from these information collection instruments.
Cut off upon completion of data compilations.
Destroy when 3 years old OR when no longer needed for reference, whichever is LATER. (N1-64-00-8, item 8e)
c. Files related to reporting on final results of survey questionnaires, focus groups, and telephone/in-person interviews.
(1) Record copy of final report maintained by NPOL.
PERMANENT. Transfer to NARA when 5 years old. (N1-64-00-8, item 8f)
(2) Copy of final report maintained by the office responsible for conducting survey questionnaires, focus groups, and telephone/in-person interviews.
DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
(3) Report developmental files maintained by the office responsible for conducting questionnaires, focus groups, and interviews. Included are: substantive drafts of the report, correspondence (e-mails, memoranda, and letters), comments, and related background documentation.
DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
132-2 Comment and Complaint Files. Documents created or accumulated in NHP and customer service units addressing customers' comments, compliments, suggestions, and complaints about NARA services and products. Includes:
  • Original incoming correspondence;
  • Comment forms, such as NA Form 14045s;
  • Records of non-written communications;
  • Copies of replies;
  • Information Quality Guidelines Annual Report; and
  • Related supporting materials.
NOTE: EXCLUDES records maintained by customer service units at Regional Records Services facilities. See chapter 16, file no. 1618, "Regional Outreach."
Cut off annually.
Destroy when 3 years old. (N1-64-00-8, item 8g)

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Special Studies

File #DescriptionDisposition
140 Special Studies and Project Records
Records accumulated as a result of a special study or project conducted by an individual office. Use file no. 115 for final reports and papers of an established committee or group. DISPOSAL NOT AUTHORIZED. Consult with the NARA Records Officer to prepare an SF 115, Request for Records Disposition Authority.

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Research and Evaluation

File #DescriptionDisposition
145 Research and Evaluation Program Files
Program documents, schedules, correspondence, and related records relating to the general planning and supervision of the programs. Arranged by subject. PERMANENT. Cut off when no longer needed for current operations.
Transfer to NARA in 10-year blocks when 20 years old. (N1-64-87-1)
146 Research and Evaluation Technical Report Files
Technical reports or unpublished manuscripts of reports prepared in connection with a project, final narrative reports, statistical and graphic compilations, summarizations, and analyses.
146-1 Record copy maintained by office conducting the evaluation. Arranged by project. PERMANENT. Cut off at completion of project.
Transfer to NARA in 10-year blocks when 20 years old. (N1-64-87-1)
146-2 Other copies. Destroy when no longer needed for reference. (N1-64-87-1)

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Program Direction - Regional Records Services Facilities

File #DescriptionDisposition
147 Program Direction
Involves planning, managing, and evaluating all activities at NARA Regional Records Services facilities.
147-1 Region-Wide (Regional Administrator). Records related to directing and coordinating the performance of all NARA programs and activities assigned to Regional Records Services facilities. PERMANENT. Cut off at the close of the fiscal year.
Transfer to the National Archives in 5-year blocks when the newest records are 5 years old. (N1-64-07-5, item 1)
147-2 Operational unit. Records created in operational units which are related to planning, managing, and evaluating activities and programs created in operational units. Cut off at the close of the fiscal year in which the project/activity/transaction was completed OR superseded.
Destroy 5 years after cutoff. (N1-64-07-5, item 2)

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Electronic Copies of Records Contained in this Chapter

File #DescriptionDisposition
199 Word Processing Files and Electronic Mail (E-mail) Records
199-1 Word Processing Files. Documents such as letters, memoranda, reports, handbooks, directives, and manuals recorded on electronic media, such as hard disks or floppy diskettes, after they have been copied to an electronic recordkeeping system, paper, or microform for recordkeeping purposes. Delete from the word processing system when no longer needed for updating OR revision. (GRS 20, item 13; N1-64-00-8, item 15a; and N1-64-03-1, item 6a)
199-2 E-mail Records. Senders' and recipients' versions of e-mail messages that meet the definition of Federal records, and any attachments to the record messages after they have been copied to an electronic recordkeeping system, paper, or microform for recordkeeping purposes. Delete from the e-mail system after copying to a recordkeeping system. (GRS 20, item 14; N1-64-00-8, item 15b; and N1-64-03-1, item 6b)

NOTE: Along with the message text, the recordkeeping system must capture the names of sender and recipients and date (transmission data for recordkeeping purposes) and any receipt data when required.
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