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Chapter 13 Federal Agencies and Records

March 27, 2009

These operational records cover Government-wide records management and records center services provided by NARA. Also included are NARS-5, the Centers Information Processing System, the Case Management and Reporting System, and the Records Center Program Billing System. For records of the FRC Program formerly in Chapter 13 but now covered by Schedule No. N1-64-07-5, refer to the following items: 147 (Chapter 1), 268 (Chapter 2), 1474 (Chapter 14), and 1618 (Chapter 16).

Agency Records Management

File #DescriptionDisposition
1301 Records Administration Program Subject Files
Correspondence and related records documenting program's policies, procedures, and standards, including adequacy of documentation, agency program evaluations, audiovisual records, electronic records, files maintenance, records disposition, and vital records.
1301-1 Records maintained by the Office of Records Services - Washington, DC, Modern Records Programs (NWM).
a. Agency correspondence files consisting of correspondence with or about specific agencies. Arranged by name of agency.
Cut off annually.
Destroy when 5 years old. (N1-64-91-1)
b. General subject files consisting of correspondence, reports, and other records relating to all aspects of records administration, including records disposition policies and procedures, NARA-sponsored training, files maintenance, agency program evaluations, and similar matters. Arranged alphabetically by subject.
PERMANENT. Cut off annually.
Transfer to NARA in 5-year blocks when 10 years old. (N1-64-91-1)
c. Targeted Assistance Project Files. Consists of Memorandum of Understanding, project reports, correspondence with the agency and other NARA units concerning the project, and other project documentation.
Cut off closed projects at the end of the fiscal year.
Destroy 10 years after cutoff. (N1-64-00-9, item 1)

NOTE: File record copies of Standard Form (SF) 115, Request for Records Disposition Authority, with related documentation under file no. 1309, "Records Disposition Case Files." File records establishing general policies and procedures for the program under file no. 1301-1b.
1301-2 Records maintained by other offices. Destroy when no longer needed for current operations. (N1-64-87-1)
1302 Agency Evaluation Files
Correspondence, reports, agency action plans, and other records relating to NARA evaluations or inspections of Federal records management programs.
1302-1 Final draft reports, agency comments, final reports, agency action plans, and final correspondence on implementation of NARA recommendations. Maintained by NWM. Arranged alphabetically by name of agency. PERMANENT. Cut off at the end of the fiscal year in which case file is closed.
Transfer to NARA in 5-year blocks when 10 years old. (N1-64-87-1)
1302-2 Other records maintained by NWM. Destroy when related records are transferred to NARA OR when no longer needed, whichever is SOONER. (N1-64-87-1)
1302-3 Records maintained by the Office of Regional Records Services (NR) headquarters. Destroy when 5 years old. (N1-64-87-1)
1303 Agency Records Center Case Files
Correspondence, reports, and other records pertaining to records centers operated by or for a Federal agency. Cut off when records center is no longer in operation. Place case file in inactive file.
Destroy when 3 years old. (N1-64-87-1)
1305 Records Management Workshop, Conference, and Training Course Files
1305-1 Correspondence, notices, applications, attendance records, and administrative forms pertaining to records management workshops, conferences, and training courses. (See file no. 412 for billing documents.) Cut off annually.
Destroy when 3 years old. (N1-64-87-1)
1305-2 Training materials, including course outlines, handouts, view graphs, and reference files. Destroy when superseded OR obsolete. (N1-64-87-1)
1306 Case Files on Archival Records in Agency Custody
Records maintained to monitor the status of archival record series NOT yet accessioned by NW or NR. Arranged alphabetically by name of agency and thereunder by record series.
1306-1 Retained Records Database. Electronic database describing identified series of unscheduled or permanent records over 30 years old which are maintained by the originating or successor agency. Information about the series includes location, schedule authority, media and contents of records, and efforts by NARA units to secure transfer of the records to NARA.
a. Inputs in electronic or paper form.
(1) Inputs received by the Lifecycle Management Division (NWML) from other NARA units.
Destroy upon verification of input. (N1-64-93-3)
(2) Inputs maintained by other units.
Destroy when no longer needed. (N1-64-93-3)
b. Master files.
Cut off when transfer has been secured, records destroyed, or all efforts to secure transfer have been dropped.
Transfer to inactive master file regularly and cut off annually.
Destroy when 5 years old OR when no longer needed, whichever is SOONER. (N1-64-93-3)
c. Outputs.
(1) Statistical, Tabular, and Narrative Reports.
Destroy when no longer needed. (N1-64-93-3)
(2) Individual Report of Transferred Series (transferring unit).
Merge with file no. 1405-1, "Records Accession Files: Accession Dossiers," when records are received in custodial unit. (N1-64-93-3)
1306-2 Records maintained by custodial units. Merge with file no. 1405-1 when first portion of the record series is accessioned. (N1-64-90-1)

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Appraisal and Disposition

File #DescriptionDisposition
1307 Appraisal Job Control Register
Registers maintained by NWML to record and identify requests for internal and external disposition authorities and offers of unscheduled records. Each entry includes name of agency, job number, number of items, date received, date signed by the Archivist, and date closed. Arranged by record group number. PERMANENT. Cut off annually.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
1308 Appraisal Job Control Tracking System Files
Flexible magnetic disks containing information used in tracking the status of records disposition requests (SF 115s) and offers of records to NARA (SF 258s) from date of registration to date of completion of the job. Files include date of registration, job number, number of items, appraiser's name, date of last action, action code, and NARA units sent for action. Files are updated monthly and data on closed jobs are transferred to an annual history file.
1308-1 Forms used to furnish input data. Cut off monthly.
Destroy after verification of input data. (N1-64-87-1)
1308-2 Annual history file. Cut off annually.
Destroy when 2 years old OR SOONER if no longer needed for reference. (N1-64-87-1)
1309 Records Disposition Case Files
Requests for Records Disposition Authority (SF 115s), appraisal reports, endorsement sheets, public comments, and other records relating to internal and external dispositions.
1309-1 External disposition records maintained in NWML. Arranged by record group number.
a. Paper copy.
PERMANENT. Cut off when 2 years old.
Transfer to records center after microfilming.
Transfer to NARA 10 years after cutoff in 2-year blocks. (N1-64-87-1)
b. Microfilm.
Destroy when no longer needed for reference. (N1-64-90-1)
1309-2 Internal disposition records maintained in NWML. Arranged by record group number. PERMANENT. Cut off every 5 years.
Transfer to NARA in 5-year blocks when 5 years old. (N1-64-87-1)
1309-3 Other copies (including those in custodial units). Destroy when no longer needed for reference. (N1-64-87-1)
1310 Rejected or Canceled Offers of Records
1310-1 Agreements to Transfer Records to the National Archives of the United States (SF 258s), appraisal reports, endorsement sheets, and related correspondence accumulated by NWML regarding rejected or canceled offers of Federal records to NW and NR. Arranged by year and thereunder by record group number. PERMANENT. Cut off annually.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
1310-2 Copies maintained by custodial units. DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
1311 Federal Register Disposition Documentation Case Files
1311-1 Federal Register Notice Publication Files. Correspondence, copies of notices, copies of SF 115s, and other records accumulated in publishing notices of records dispositions in the Federal Register. Cut off after commenting period stated in the Federal Register.
Destroy when 1 year old. (N1-64-00-9, item 2a)
1311-2 Federal Register Notice Comments File. Requests from the public for copies of SF 115s, comments received via correspondence and e-mail, and copies of NARA's responses to requests and comments. Cut off after commenting period stated in the Federal Register.
Destroy when 5 years old. (N1-64-00-9, item 2b)

NOTE: File copies of requests, comments, and NARA's responses in the appropriate Records Disposition Case File under item 1309.

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Administration of Records Centers

File #DescriptionDisposition
1313 Records Centers Program Subject Files
Correspondence, reports, and other related records maintained by NR headquarters relating to the policies, procedures, and general administration of the NARA FRC Program. Arranged alphabetically by subject. Cut off annually. Place documents of continuing value in the next year's file.
Destroy when 10 years old. (N1-64-87-1)
1314 Agency/Records Center Agreement Files
Correspondence, copies of agreements, and related records pertaining to reimbursable and non-reimbursable agreements between NARA and Federal agencies. Included are agreements for early retirement of records and/or special reference services, agreements relating to military and civilian personnel and health records, and similar agreements.
1314-1 Records that are maintained by NR headquarters relating to national agreements. Cut off after agreement is terminated.
Destroy when 3 years old. (N1-64-87-1)
1314-2 Records relating to local agreements. Follow disposition instructions for file no. 1343-2, "Program Operation: Records Center Services - Reference/Records Services/Internal Operations."
1315 Records Center Reports and Correspondence
Major activities and accomplishment reports, monthly narrative reports, unscheduled records project reports, performance analysis reports, statistical summaries, space and equipment reports, similar reports, and related correspondence. Records are maintained by NR headquarters. (See items 1317 and 1326 for automated output reports.) Destroy when 7 years old OR when no longer needed, whichever is SOONER. (N1-64-87-1)
1316 TASK System Master File
Database created for administrative purposes to show individual, unit, and center productivity measurements. The TASK system also serves as a feeder system to the TASK-NEAR Report (see item 1317).

NOTE: Inputs and outputs are covered by file no. 1343-2, "Program Operation: Records Center Services - Reference/Records Services/Internal Operations."
Destroy 2 years after close of fiscal year. (N1-64-87-1)
1317 TASK-NEAR Report
Automated management information system which provides statistics on a monthly basis on major functional areas, staff time expended, and workload. Information is used for budgeting and planning purposes.
1317-1 Input keyed by individual records centers. Destroy after information has been keyed onto disk file AND verification is complete. (N1-64-87-1)
1317-2 Statistical Summary Report.
a. Record copy maintained in NR headquarters. Arranged chronologically.
PERMANENT. Transfer to NARA in 5-year blocks when 20 years old. (N1-64-87-1)
b. Copies in records centers.
Destroy when no longer needed for administrative purposes. (N1-64-87-1)
1317-3 Automated files.
a. Program and documentation files consisting of machine instructions designed to add information to or retrieve information from specific data systems, and related written documentation files.
(1) Files maintained at records centers.
Overwrite when modified OR destroy when system is no longer in use. (N1-64-87-1)
(2) Files maintained by data center.
Destroy when modified OR 5 years after program is no longer in use. (N1-64-87-1)
b. Intermediate input-output files containing data that are manipulated, sorted, or moved from one computer run to a subsequent run and are used in the process of updating a master file.
Delete after information has been transferred to the master file AND verified. (GRS 20, item 1b)
c. Master files.
(1) Files maintained at records centers: Employee Master File.
Destroy when system is modified OR no longer in use. (N1-64-87-1)
(2) Files maintained by data center.
Destroy 13 months after close of fiscal year in which they were created. (N1-64-87-1)
1318 Records Center Inspection Files
Correspondence, reports, and other records relating to NR's inspections of records centers. Records are maintained by NR headquarters. Cut off annually.
Destroy when 10 years old. (N1-64-87-1)

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Accessioning

File #DescriptionDisposition
1322 Accession and Disposal Exception Files
Case files maintained by NR headquarters pertaining to authorization and implementation of exceptions to normal accessioning and disposition practices in NARA FRCs.
1322-1 Freeze Files (arranged alphabetically by freeze code). Destroy 10 years after freeze has been lifted. (N1-64-87-1)
1322-2 Contingent Appraisal Pending (CAP) Files and Contingent Reappraisal Pending (CRP) Files. Destroy 2 years after exception is lifted. (N1-64-87-1)
1322-3 Other contingent exceptions. Destroy 10 years after exception has been lifted. (N1-64-87-1)
1322-4 Unscheduled and all other exceptions. Destroy 1 year after exception is terminated. (N1-64-87-1)
1323 Records Center Unscheduled Records Tracking System Files
Files created to track progress on appraising and scheduling unscheduled records in the records centers. Destroy when information is no longer needed. (N1-64-87-1)

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NARS-5 and Centers Information Processing System

File #DescriptionDisposition
1326 NARS-5 System
Automated accession control system used for administrative tracking and control of accessions into and movement of accessions within a records center, and disposal and transfer of records from a records center. The system also provides statistical information and "space available" information through the "Space Information System" (SIS) subsystem (see item 1326-2d).
1326-1 Forms and reports documenting input actions to NARS-5. Included are:
  • NA Form 13116, Records Center Holdings Control Input;
  • NA Form 13117, Mass Data Change Worksheet;
  • Disposal Accomplished Report (Report 88); and
  • Disposal Change Report (Report 89).
  • If used as input source documentation for RCPBS:
    Cut off at end of fiscal year.
    Destroy when 3 years old. (N1-64-05-9, item 1)
  • Otherwise:
    Cut off annually.
    Destroy when 1 year old OR when no longer needed for administrative purposes, whichever is SOONER. (N1-64-87-1)
1326-2 NARS-5 Output Reports.
a. Feeder reports used to prepare summary reports, including One Time/Special Inquiry Reports: Reports 04, 05, 08, 09, 10, 15, 16, 17, 18, 35, 36, 44, and 45.
Destroy when no longer needed to prepare the summary report OR 3 months after close of fiscal year. (N1-64-87-1)
b. Edit reports of input errors, including Transaction Validity Error Report (Report 19), Transaction Logical Error Report (Report 20), and SIS Error Cycles 2 and 3 reports.
Destroy after corrections have been made to the transaction file. (N1-64-87-1)
c. NARS-5 periodic reports.
(1) Monthly reports: Accession Number Master List (Report 01); Record Group Profile (Summary) Listing (Report 02); and Records Center Profile (Summary) Listing (Report 03).
Destroy when superseded. (N1-64-87-1)
(2) Semiannual and annual (FY) reports:
  • Record Group Profile (Summary) Listing (Report 02);
  • Records Center Profile (Summary) Listing (Report 03);
  • Stack Sequence Report (Report 06);
  • Location Report (Report 07);
  • Annual Report of Holdings and Disposals by Record Group (Report 24);
  • Retention Report (Report 37); and
  • Auditors' Report (Report 43).
Cut off annually.
Destroy when 1 year old OR when no longer needed for administrative purposes, whichever is LONGER. (N1-64-87-1)
(3) NARS-5 history reports: Withdrawal Report (Report 11) and Withdrawal Report 2 (Report 21).
Destroy when no longer needed for reference purposes. (N1-64-87-1)
(4) NARS-5 edit files: IVF Update Report (Report 28) and Disposal Authority Master List.
Destroy when superseded. (N1-64-87-1)
(5) Disposal pull list: Copy of Disposal Approved Report (Report 22), annotated with signed certification indicating that disposal records were removed from the shelves and, where required, that the destruction of the records was witnessed; and Disposal Concurrence Report (Report 23).
Cut off at end of fiscal year in which disposal is accomplished.
Destroy when 10 years old. (N1-64-87-1)
d. Space Information System (SIS): Reserve Master Listings, Available Space by Location Report, and Available Space by Volume Report.
Destroy when superseded. (N1-64-87-1)
1326-3 Automated Files.
a. Program and documentation files consisting of machine instructions designed to add information to or retrieve information from specific data systems, and related written documentation files.
(1) Files maintained at records centers.
Overwrite when modified or destroy when no longer in use. (N1-64-87-1)
(2) Files maintained by data center.
Destroy when modified OR 5 years after program is no longer in use. (N1-64-87-1)
b. Intermediate input-output files consisting of data that are manipulated, sorted, or moved from one computer run to a subsequent run and are used in the process of updating a master file.
Delete after information has been transferred to the master file AND verified. (GRS 20, item 1b)
c. Master Files maintained by data center.
(1) Report 21 and Withdrawal Report 2.
Destroy when 25 years old. (N1-64-87-1)
(2) NARS-5 Master File.
Cut off at end of fiscal year.
Delete or overwrite when 3 years old OR when no longer needed for administrative use, whichever is SOONER. (N1-64-95-2, item 2b)
1327 Centers Information Processing System (CIPS)
CIPS is used for documenting, tracking, and reporting loans and permanent withdrawals from NARA FRCs.
1327-1 Reference Request History File. Cut off at end of fiscal year.
Delete when 25 years old. (N1-64-95-2, item 3a)
1327-2 CIPS User Database. Cut off annually.
Delete when 25 years old. (N1-64-95-2, item 3b)

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Case Management and Reporting System and Registry Files

File #DescriptionDisposition
1340 Case Management and Reporting System and Registry Files
The Case Management and Reporting System (CMRS) manages customer requests for military personnel, medical, and organizational records stored at the National Personnel Records Center - Military Personnel Records (NPRC-MPR) in St. Louis, Missouri. CMRS is used to manage and equalize staff workload; cases are assigned to individual staff members based on resource availability and existing caseload. In addition, CMRS:
  • Maintains data regarding each request;
  • Helps to locate the appropriate folder for the veteran in question;
  • Identifies duplicate requests and groups them for assignment to the same staff member;
  • Manages efficient retrieval of folders from the shelves, tracks removed folders, and facilitates folder refiling;
  • Processes copies of selected military documents;
  • Produces any needed correspondence with the customer; and
  • Facilitates document shipment to the customer.
The Registry Files are an automated index to selected Official Military Personnel Folders (OMPFs) and medical records stored at NPRC-MPR.
1340-1 Customer requests ("Scanned paper"). SF 180s, forms, and letters requesting copies of documents or information contained in an OMPF, a medical record, or in organizational records. Also includes web-generated signature sheets. All documents are "hard copies" and are imaged. Digital images are retained in the CMRS database. Destroy paper originals 30 days after assignment of case to a technician OR 30 days after case is closed, whichever comes FIRST. (GRS 20, item 2a)
1340-2 CMRS Data and Output.
a. Data gathered and/or generated as the result of receiving and processing a customer request for copies of documents or information from an OMPF, a medical record, or an organizational record. CMRS Data include:
  • Date, nature, and purpose of request and name and address of requester (commonly called "access information");
  • Name and service number of veteran whose data are being requested;
  • Request processing information;
  • Images of requester's documentation;
  • Response documents; and
  • Customer contacts and work notes generated by staff member(s) who is/are working a case.
Cut off transaction data associated with closed and re-filed requests at end of each fiscal year.
Destroy transaction data 5 years after cutoff. (N1-64-08-1, item 2a)
b. Output: Access Information ("Disclosure Data Extract"). This is an extract of the live transaction data. "Access Information" data elements may include, but are not limited to:
  • Name and service number of veteran whose data are being requested;
  • Date requested, name of requester, and purpose of request; and
  • Associated records block.
Cut off disclosure data associated with closed and re-filed requests at end of each fiscal year.
Export data associated with these requests to a "record of disclosure file" external to CMRS. (N1-64-08-1, item 2b)
1340-3 CMRS Analytics/Data Warehouse.
a. Data. CMRS Analytics is the management sub-system that stores CMRS activity data used by managers and supervisors for program management and evaluation. The Performance Management and Reporting System (PMRS) imports data fields/elements from CMRS relating to volume, turnaround of request, and other statistics.
Delete data 10 years after end of fiscal year in which the data were created. (N1-64-08-1, item 3a)
b. Output: Management Reports. Hard copy and electronic reports generated by the Analytics/Data Warehouse.
File with related records and follow disposition instructions. (N1-64-08-1, item 3b)
1340-4 All other documentation generated as part of the fulfillment process. Includes Finding Aid Reports (FARs) and charge-out cards. Destroy when no longer needed. (N1-64-03-7, item 4)
1340-5 System documentation. Destroy when superseded OR obsolete. (GRS 20, item 11a)
1340-6 Backups of Files. Electronic copies of the CMRS Database that are maintained in case the database is damaged or inadvertently erased.
a. Incremental Backups: Daily backup (usually made after close of business) of system transactions made on that day only.
Destroy at end of each week after full backup is made AND verified. (N1-64-02-2, item 1)
b. Full Backups: Full system backup (usually taken once a week after close of business week) which becomes a copy of the system for that point in time.
Destroy each backup when 2 months old. (N1-64-02-2, item 2)
1340-7 Registry Files. Automated index with locations of selected OMPFs and medical records stored at NPRC-MPR. CMRS accesses the index to determine location of requested records for retrieval. Destroy when no longer needed for administrative use. (N1-64-03-7, item 3)

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Records Center Program Billing System

File #DescriptionDisposition
1341 Records Center Program Billing System (RCPBS)
The automated financial "charge-back" system used by the FRC Program and Revolving Fund for collection, transaction generation, accounting, and invoicing of Federal agencies for the storage and servicing of Federal records stored at NARA FRCs. RCPBS produces customer invoices and exports them to the General Services Administration (GSA) for billing to Federal agencies. The system is a hybrid of five distinct and loosely coupled subsystems: Data Collection, Transaction Generation, Accounting, Reporting, and System Administration.
1341-1 Input/Source Documentation. Records used to determine storage and services charges. Includes customer service requests and internal NARA-generated operational data used to process requests, track work accomplished, and support billing information entry by the Centers into the Web Tally portion of RCPBS.
  • Hard copy records may include: IRS batch sheets, TASK Daily Work Logs, and completed Web Tally data entry sheets.
  • Electronic data may include extracts from: Center-specific databases and barcode reader systems, CIPS request summaries, the NARS-5 34 Report and Daily Transactions, Web Tally, and Case Management and Reporting System (CMRS).
Cut off at end of fiscal year.
Destroy/delete when 3 years old. (N1-64-05-9, item 1)
1341-2 RCPBS Electronic Data Files.
a. RCPBS Electronic Data Files (Data Collection Subsystem). RCPBS data collected, gathered, and/or generated as the result of receiving and processing customer requests for services. This data serve as the input for the Transaction Generation subsystem (see item 1341-2b). Data include:
  • Date, nature, and purpose of storage or service requested;
  • Customer's name and address;
  • Customer agreement number; and
  • Other information.
Break data file at close of each fiscal year.
Delete all data following creation of annual "data package" described in item 1341-2c. (N1-64-05-9, item 2a)
b. Data processing files (Transaction Generation Subsystem). Text files generated by the subsystem and used for: aggregating source records, turning transactions into a record format compatible for entry to NARA's accounting software, and reporting errors.
Delete after information has been transferred to the master file AND verified. (GRS 20, item 1b)
c. Fiscal Year Billing Data (Accounting Subsystem). One year extract of RCPBS data taken annually following the acceptance of annual independent audit. This extract includes source data (data on agency use), the Combined Billing Generator (CBG) file, other NR-provided services, and electronic versions of invoices sent to agencies.
Cut off at end of fiscal year.
Delete/destroy when 6 years and 3 months old. (N1-64-05-9, item 2c)
1341-3 Output.
a. Omnibus copy of invoices (Accounting Subsystem). File and associated transmittal generated by the Accounting subsystem (Combined Billing Generator) and sent to the financial management system service provider.
Delete/destroy 6 years and 3 months after period covered by account. (GRS 6, item 1a)
b. Management Data. Extract of data used by managers to conduct longitudinal and other analyses of NARA's Federal Records Centers Program.
DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.
1341-4 Electronic software program. Break RCPBS software following each major or routine version change.
Delete when no longer needed to support program mission. (N1-64-05-9, item 4)
1341-5 System documentation. Destroy final version 7 years after system is retired. (N1-64-05-9, item 5)
1341-6 Backups of Files.
a. Incremental Backups: Daily backup (usually made after close of business) of system transactions made on that day only.
Destroy at end of each week after full backup is made AND verified. (N1-64-02-2, item 1)
b. Full Backups: Full system backup (usually taken once a week after close of business week) which becomes a copy of the system for that point in time.
Destroy each backup when 2 months old. (N1-64-02-2, item 2)

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Records Management and Records Center Services at Federal Records Centers (FRCs)

File #DescriptionDisposition
1342 Records Management Services
The Records Management Services function is responsible for:
  • Appraising records to determine their long term evidentiary and informational value;
  • Providing guidance on records management regulations and their implementation;
  • Reviewing and developing schedules for the retention and disposition of Federal records;
  • Evaluating the effectiveness of records management programs in place in Federal agencies;
  • Conducting "Targeted Assistance" projects and providing technical assistance;
  • Commenting on policy guidance and professional matters; and
  • Participating in or leading National Project Teams.
NOTE: Training and agency/professional outreach activities are covered in Chapter 16 under file no. 1618, "Regional Outreach."
Cut off at end of fiscal year in which the project/activity/transaction was completed or superseded.
Destroy 5 years after cutoff. (N1-64-07-5, item 14)
1343 Records Center Services
The Records Center Services function is responsible for:
  • Maintaining and operating records centers;
  • Storing, processing, and servicing records in records centers; and
  • Negotiating local memoranda of agreement with Federal agencies for special services/projects.
NOTE: Training and agency/professional outreach activities are covered under file no. 1618.
1343-1 Transfer. Records that document the process of transferring agency records to Federal records centers. Examples of "transfer" records include: tracking data, data input forms, deficiency correspondence, and correspondence about related issues.

NOTE: EXCLUDES SF 135s for specific transfers and associated documentation (e.g., e-mails, memoranda, and box lists) related directly to a specific transfer.
Cut off at end of fiscal year in which the project/activity/transaction was completed or superseded.
Destroy when 3 years old. (N1-64-07-5, item 15)
1343-2 Reference/Records Services/Internal Operations. Optional Form (OF) 11s, tracking databases, and correspondence that document providing access to agencies' records (also referred to as "reference") and other records services provided by the Federal Records Centers Program. Examples of records services include: data entry, document digitization, "FastPack," access authorization, and records pick-up and delivery.

NOTE: EXCLUDES records documenting the handling of security classified records.
Cut off at end of fiscal year in which the project/activity/transaction was completed or superseded.
Destroy when 3 years old. (N1-64-07-5, item 16)

NOTE: Any records required for billing audits should be migrated to file no. 268, "FRCs' Workload and Billing," at close of fiscal year.
1343-3 Disposition. Records that document the disposition of records in the Federal records centers.
a. All records (e.g., disposal notices, related SF 135s) of the Disposition function with the exception of those listed in 1343-3b.
(1) Records related to permanent transfers.
Forward to custodial unit assuming physical and legal custody of records. (N1-64-07-5, item 17)
(2) Records related to all other transfers.
Cut off at end of fiscal year in which the project/activity/transaction was completed or superseded.
Destroy when 75 years old. (N1-64-07-5, item 18)
b. SF 115s. Reference copies of agency schedules used by Records Center staff to verify the disposition authority for records.
Destroy when superseded OR obsolete. (N1-64-07-5, item 19)

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Electronic Copies of Records Contained in this Chapter

File #DescriptionDisposition
1399 Word Processing Files and Electronic Mail (E-mail) Records
1399-1 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 and N1-64-00-9, item 3a)
1399-2 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 and N1-64-00-9, item 3b)

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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