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Chapter 14 Archives, Presidential Records, and Donated Materials

February 02, 2010

These operational records are created when performing functions and services relating to holdings of archival records and historical materials in the custody of the Offices of Records Services - Washington, DC (NW), Regional Records Services (NR), and Presidential Libraries (NL). "Special Access" records cover functions pertaining to the Kennedy Assassination Records Collection and holdings of special prosecutors and independent counsels. "Presidential Libraries" includes case files maintained about on-site researchers. For "Archives Services" records created and maintained at Regional Records Services facilities, see file no. 1474, and for other records which otherwise would have been covered in Chapter 14, see file no. 147 (Chapter 1). Chapter 14 also includes descriptions of and dispositions for the Archival Research Catalog; Archival Declassification, Review, and REdaction System; and Unclassified Redaction and Tracking System.

Archival Reporting

File #DescriptionDisposition
1401 Statistical Program Report Files
Statistical summaries of archival programs. Included are NA Form 14037, Statistical Summary - Archival Programs; GSA Form 6803, Presidential Libraries - Statistical Summaries; and related documents.
1401-1 Individual and unit summary Time and Production Reports created and maintained in custodial units. Cut off annually.
Destroy when 1 year old.

NOTE: At the discretion of the originating unit, these records may be retained for up to 3 years. (N1-64-90-1)
1401-2 Feeder reports received monthly by the administrative staffs of NW and NR and quarterly by NL. Included are copies of NA Form 14037; NA Form 14038, Archival Project Summary; GSA Form 6803; and special lists. Cut off annually.
Destroy when 10 years old. (N1-64-87-1)
1401-3 Consolidated FY Report maintained by NW, NR, and NL. Arranged by year. PERMANENT. Cut off annually.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
1401-4 Statistical spreadsheets maintained by NW. Cut off annually.
Destroy when 3 years old. (N1-64-87-1)
1402 Narrative Program Report Files
1402-1 Quarterly narrative reports summarizing project work, reference service, training and professional activities, administrative and personnel matters, and other activities.
a. Reports prepared for office heads of NW, NR, and NL respectively by NW program directors and heads of NR and NL field units. May also include reports of NW, NR, and NL subordinate units (staffs, divisions, branches, et. al.) that are forwarded to office heads.
For disposition instructions, see file no. 113-3a, "Signed record copies [of feeder reports] sent by subordinate units and maintained by office heads."
b. Copies maintained by NW program directors and heads of NL field units and their subordinate units.
For disposition instructions, see file no. 113-3b, "Other copies [of feeder reports], including copies maintained by subordinate units."
1402-2 Periodic analytical surveys or studies maintained in NW, NR, or NL on reference services and reference use, including reports on reference inquiries and responses, reproduction orders, and other use of holdings. Arranged chronologically. PERMANENT. Cut off as of September 30, 1980, and transfer to NARA in 1991.
Thereafter, cut off every 10 years.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
1402-3 Project analyses, progress reports, and related records and forms. These files may include the NA Form 14049, Archival Project Control Sheet, and the NA Form 14038. Cut off annually.
Destroy when 3 years old. (N1-64-87-1)
1403 Work Plan Files
Annual work plans and related documents concerning reference service, archival projects, preservation, and declassification.
1403-1 Annual work plan instructions (call) formulated by NW or NR.
a. Copies maintained in NW or NR. Arranged by fiscal year.
PERMANENT. Cut off every 10 years.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
b. Copies in custodial units.
Destroy when no longer needed for current operations. (N1-64-87-1)
1403-2 Work plan submissions maintained by NW or NR. Cut off annually.
Destroy when 10 years old. (N1-64-87-1)
1403-3 Submissions maintained by custodial units. Destroy when no longer needed for current operations. (N1-64-87-1)

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Accessioning

File #DescriptionDisposition
1404 Record Group Registration Files
Case files relating to the establishment and allocation of record groups.
1404-1 Record set maintained by NW or NR. Arranged by record group number. PERMANENT. Transfer to NARA when no longer needed for current operations. (N1-64-87-1)
1404-2 Other records. Destroy when no longer needed for current operations. (N1-64-87-1)
1405 Records Accession Files
Operational records accumulated in accessioning permanent records into NARA, including documents relating to permanent withdrawals, unrecoverable loans, and missing holdings.
1405-1 Accession Dossiers. Accession case files arranged by record group and ordinarily maintained in the unit of physical custody. Case files typically consist of:
  • An SF 258, Agreement to Transfer Records to the National Archives of the United States, or equivalent, with or without additional descriptive lists and documents (e.g., SF 135, Records Transmittal and Receipt);
  • Appraisal reports with descriptive documents for direct offers;
  • Correspondence and other documents relating to the physical transfer of records; and
  • A copy of the change of holdings report (NA Form 14044, formerly GSA Form 6710) on the accession.
NOTE: For records relating to internal disposals, see file no. 1309-3, "Records Disposition Case Files: Other copies, including those in custodial units and records centers."
PERMANENT. Transfer to NARA when 10 years old OR when no longer needed for current operations, whichever is SOONER. (N1-64-90-1)
1405-2 Accession dossiers relating to the destruction, loss, or removal of records. PERMANENT. Transfer to NARA when 10 years old OR when no longer needed for current operations, whichever is SOONER. (N1-64-90-1)
1405-3 Working papers and copies in other offices. Destroy when no longer needed for reference. (N1-64-87-1)
1406 Change of Status Files
Documents created to record changes in the volume and custody of accessioned records holdings, as well as descriptive information on records series.
1406-1 Change of status reports at the record group level which include the NA Form 14044, Change of Status Record (formerly GSA Form 6710), and related records maintained by the Holdings Management Staff (NWCM).
a. Record set held in NWCM. Arranged numerically by record group.
PERMANENT. Transfer to NARA when no longer needed for current operations. (N1-64-87-1)
b. Copies in custodial units and Presidential libraries.
Destroy when no longer needed for current operations. (N1-64-87-1)
1406-2 Change of Status Record below the record group level (NA Form 14044, formerly GSA Form 6710A).
a. Submitted for NARS A-1 input.
Destroy 3 years after complete verification of input into NARS A-1. (N1-64-87-1)
b. Copies in custodial units and Presidential libraries.
Destroy when no longer needed for reference. (N1-64-87-1)
1406-3 Registers of change of status (e.g., the GSA Form 6740, Register of Changes in Holdings). Arranged chronologically and maintained either at the division or branch level depending on organization of work in the division. Destroy when no longer needed for current operations. (N1-64-87-1)
1406-4 Periodic statistical or narrative reports or summaries of change of status or holdings.
a. NWCM copy. Arranged chronologically.
PERMANENT. Cut off as of September 30, 1980, and transfer to NARA in 2001.
Thereafter, cut off every 10 years.
Transfer to NARA in 10-year blocks when 20 years old. (N1-64-87-1)
b. Other offices.
Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1406-5 NARS A-1 System containing the automated Change of Status - below Record Group Level and other machine-readable descriptions of NARA holdings.
a. Master file with related documentation. Arranged by record group and subgroup.
Destroy when no longer needed for current operations. (N1-64-03-3, item 1a)
b. Microfiche of NARS A-1.
Destroy when no longer needed for current operations. (N1-64-03-3, item 1b)
1406-6 Change of Holdings Tracking System (formerly titled "Record Group Statistics and Analysis [NARS A-1 1/2 or A-B-C Lists])." Statistics and other analyses of holdings by record group, custodial unit, and type of record.
a. Master file with related documentation. Arranged by record group and subgroup, custodial unit, or type of record.
PERMANENT. Transfer to NARA when no longer needed for current operations. (N1-64-87-1)
b. FY End Report. Arranged by record group and subgroup, custodial unit, or type of record.
Destroy when no longer needed for current operations. (N1-64-03-3, item 2)
c. Quarterly Report.
Destroy when superseded. (N1-64-87-1)
1407 Agency Background Files
Reference files used for research into functions and recordkeeping practices of Federal agencies or offices whose records are accessioned by NARA. Included are:
  • Records management surveys;
  • Copies of SF 115s, Request for Records Disposition Authority;
  • Manuals, directives, and other issuances relating to the management and filing of agency records;
  • Copies of agency directories; and
  • Related records.
Destroy when superseded OR obsolete. (N1-64-87-1)

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Acquisition and Disposal of Donated Materials

File #DescriptionDisposition
1408 Presidential Acquisition and Facility Files
1408-1 Basic acquisition documents for Presidential papers and facilities maintained in NL Central Office. Included are correspondence, letters of intent, deeds of gift, and other legal documents, including original legal documents concerning Presidential papers and facilities. Arranged by name of President and thereunder chronologically. PERMANENT. Cut off upon completion of acquisition.
Transfer to NARA in 5-year blocks when 25 years old. (N1-64-87-1)
1408-2 Background papers, including correspondence with the White House, Congress, and other interested agencies, persons, and foundations; building drawings; blueprints; and related records. Files are maintained in NL Central Office. Arranged by name of President. PERMANENT. Cut off when no longer needed for current operations.
Transfer to NARA when 30 years old. (N1-64-87-1)
1409 Acquisition Case Files
Documents accumulated in soliciting and acquiring donated historical materials and oral history interviews by Presidential libraries and NW.
1409-1 Acquisition case file maintained in unit of custody. Included are deeds of gift, donor information, correspondence, and related records. Arranged alphabetically by last name of donor or by record group. PERMANENT. Transfer to NARA when no longer needed for current operations. (N1-64-87-1)
1409-2 Working papers and copies in other offices. Destroy when no longer needed. (N1-64-87-1)
1409-3 Acquisition logs or registers. PERMANENT. Transfer to NARA when no longer needed for current operations OR when 30 years old, whichever is SOONER. (N1-64-87-1)
1410 Museum Item Case Files
Documents accumulated in acquiring, describing, maintaining, servicing, documenting, and preserving museum objects. Included are correspondence, exhibit reports, condition reports, photographs, and related records. Arranged by accession number. PERMANENT. Transfer to NARA when no longer needed for current operations OR when 10 years old, whichever is SOONER. (N1-64-87-1)
1411 Donated Historical Materials Disposal Case Files
Documents created in the disposal of donated (or purchased) materials in the holdings of Presidential libraries and museums. Included are requests for disposal authority, endorsement sheets, forms used, and related records.
1411-1 Record copies maintained in the Presidential libraries. Arranged alphabetically by last name. PERMANENT. Cut off annually.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
1411-2 Other copies. Cut off annually.
Destroy when no longer needed for current reference AND operations. (N1-64-87-1)

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Arrangement, Description, and Publication Projects

File #DescriptionDisposition
1412 Project Administration Files
Documents accumulated in the overall administration of project work, including: memoranda, instructions, procedures, policy statements, guidelines, general program plans, reference materials, and related records. Destroy when superseded, obsolete, OR no longer needed for current operations. (N1-64-87-1)
1413 Project Case Files
Files created to document individual archival or museum projects of arrangement, description, access, automation, and publication. Included are:
  • Project descriptions, plans, and authorizations;
  • Background and reference materials;
  • Any completed publication or other final product;
  • SF 135s;
  • Registration and restriction materials used to make the various statements; and
  • Other records related to that record group.
1413-1 Record copy of unpublished project product. (For published products, see file no. 1005, "NARA Publications.") Arranged numerically by record group number. PERMANENT. Cut off when 10 years old. Transfer to NARA in 5-year blocks when 15 years old. (N1-64-90-1)
1413-2 Other records. Cut off following completion of project.
Destroy when 2 years old IF no longer needed for reference OR current operations. (N1-64-87-1)
1414 Project Control and Assignment Files
Documents created within a custodial unit for administrative control of archival and museum project assignments and work. Included are work assignment registers, project control sheets, and related forms and records. Cut off following completion of project.
Destroy when 5 years old. (N1-64-90-1)

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Records Restriction

File #DescriptionDisposition
1415 Records Restriction Files
1415-1 Documents accumulated in establishing limitations on access to records accessioned by NARA. Included are general information, regulations, directives, statements on access restrictions, case files, and related records. Arranged by record group number. PERMANENT. Cut off and transfer to NARA when no longer needed for current operations OR when 30 years old, whichever is SOONER. (N1-64-87-1)
1415-2 Documents accumulated in interpreting deeds of gift, restriction statements, and other limitations on access to materials donated to or acquired by Presidential libraries. Included are general information on restrictions, access precedent files, and related records. Arranged alphabetically. PERMANENT. Cut off following expiration or removal of restrictions.
Transfer to NARA when no longer needed for current operations OR when 30 years old, whichever is SOONER. (N1-64-87-1)
1415-3 Other records. Destroy when no longer needed for reference. (N1-64-87-1)
1415-4 Interagency Agreement on Access. Documents accumulated in establishing and interpreting the "Interagency Agreement on Access for Official Agency Historians." Included are signed acceptances of agreement, correspondence with agencies interested in acceding to the agreement, general information, instructions to NARA staff on implementation, requests for access under the agreement, case files, and related records. Arranged chronologically. PERMANENT. Cut off when superseded.
Transfer to NARA in 5-year blocks when 5 years old. (N1-64-87-1)
1416 Nixon Presidential Materials Special Access Files
Documents created in granting restricted access to the Nixon papers, which are neither "accessioned records" nor "donated historical materials" as described in this chapter. Access is limited to the former President's designated agents and Government agencies, if needed for ongoing Government business. Access is also obtained when NARA becomes a third party in litigation involving these materials. Otherwise, there is no public access to the papers.
1416-1 Special Access Case Files. Included are requests for legal considerations or requirements, correspondence, and subpoenas or court orders. Arranged by assigned number. PERMANENT. Cut off annually.
Transfer to NARA when no longer needed for legal considerations or requirements OR for current operations. (N1-64-87-1)
1416-2 Other copies and working papers. Destroy when 10 years old OR when no longer needed for legal requirements OR current reference. (N1-64-87-1)
1416-3 Completed Presidential Historical Materials Receipts. Place in inactive file after material is returned. Cut off file annually.
Destroy when 10 years old OR when no longer needed for legal requirements OR current reference. (N1-64-87-1).

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Reference and Reproduction Services

File #DescriptionDisposition
1417 Reference and Reproduction Administration Files
Documents accumulated in the general operation of reference and reproduction services, including: procedures; instructions; guidelines; policy statements; form letter responses to inquiries; reference materials; price lists; reproduction and authentication information; information on office copying, duplication, and photo labs; and related records. Destroy when superseded OR obsolete. (N1-64-87-1)
1418 Researcher Application and Authorization Files
Records accumulated in issuing researcher identification cards, acquainting researchers with research room regulations, authorizing access to restricted or security-classified materials, and tracking movement of researchers within the Archives II Hoyer Research Complex. Included are:
  • Researcher applications (e.g., the NA Form 14003, Researcher Application, and the NA Form 14003A, Research Application - Presidential Libraries) and related forms;
  • Researcher Registration System Database;
  • Records related to applications, including researcher-signed research room regulations and correspondence;
  • Access requests and official documents authorizing or denying individual's access to restricted materials;
  • Letters of introduction;
  • An electronic database of applications information; and;
  • Researcher Registration System Identipass subsystem data.
1418-1 Researcher Application Forms.
a. Issuing office.
Cut off annually.
Transfer to records center when 3 years old.
Destroy when 25 years old. (N1-64-90-1)
b. Other offices.
Cut off annually.
Destroy when 1 year old. (N1-64-87-1)
c. Researcher Registration System Database.
(1) Annual snapshot of entire database maintained offline.
Destroy when 25 years old. (N1-64-02-3, item 1)
(2) Live data maintained on servers.
Delete when 3 years old. (N1-64-02-3, item 2)
1418-2 Other records related to researcher applications.
a. Custodial unit research room regulations signed and acknowledged by researchers.
Cut off annually.
Destroy when 1 year old. (N1-64-87-1)
b. Correspondence and other records.
Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1418-3 Applications for access to classified and restricted materials, including documentation of the researcher's clearance for such access, and related records. Destroy 2 years after declassification of requested materials. (N1-64-87-1)
1418-4 Records relating to requests for access to donor-restricted materials. Destroy 2 years after opening of requested materials. (N1-64-87-1)
1418-5 Electronic database of researcher applications used as a finding aid and to prepare statistical reports and mailing lists. Cut off when 2 years old.
Maintain on backup disk and delete 1 year later. (N1-64-90-1)
1418-6 Researcher Registration System Identipass subsystem data, maintained on system servers, recording researcher movement within the Archives II Hoyer Research Complex. Delete when 5 years old. (N1-64-02-3, item 3)
1419 Research Room Use Files
Documents created in recording researcher use of central, custodial unit, and library research rooms. Included are research room registers such as: NA Form 14004, Register of Researchers; NA Form 14004A, Control Reference Staff; NA Form 14004B, Register of Microfilm Researchers; NA Form 14013, Presidential Libraries Research Room Register; and related records.
1419-1 Research room use for which researcher identification cards are needed. Cut off annually.
Transfer to records center when 1 year old.
Destroy when 25 years old. (N1-64-87-1)
1419-2 Research room use for which no research card is needed. Cut off annually.
Destroy when 5 years old. (N1-64-90-1)
1419-3 Public-use personal computer (PC) user logs and system audit data used to record public access on research room PCs and to detect inappropriate use.
a. Log sheets signed by researchers registering to use public-use PCs.
Cut off monthly.
Destroy 60 days after cutoff. (N1-64-02-7, item 1a)
b. Audit data recording Internet use activity on public-use PCs.
Cut off monthly.
Destroy 60 days after cutoff. (N1-64-02-7, item 1b)
1420 Research Room Reference Service Files
Documents created in providing records to researchers in central, custodial, and library research rooms. Included are NA Forms 14001, Reference Service Slips; other forms that identify the records being used by a researcher; and related records.
1420-1 Copies of reference service slips (pink copies) that record dates and times of researcher use and what materials were furnished.

NOTE: Reference service slips for records serviced only in separate custodial unit research rooms also fall under 1420-1.
Cut off annually.
Transfer to records center when 5 years old.
Destroy when 25 years old. (N1-64-87-1)
1420-2 Duplicate copies of reference service slips (white copies) retained in custodial units for materials sent to a central research room. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1420-3 Other records. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1421 Reference Service Communication Files
Documents created or accumulated in providing reference service to mail, telephone, or electronically transmitted inquiries from Federal agencies, researchers, the general public, and NARA offices. Reference service is provided for general and specific requests for information on or copies from NARA holdings. Included are original incoming correspondence or records of non-written inquiries, copies of replies, and related supporting materials. The files may include copies of reproduction service forms. (See file no. 1423, "Reproduction Service Files.")
1421-1 Communications control files which include registers and logs (including automated logs) that list incoming reference requests and replies with related information. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1421-2 Routine inquiries and replies and related records. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1421-3 Correspondence and supporting documents, maintained at the branch or library level, relating to: significant persons, subjects, or events; noted researchers or research projects; or replies involving repetitive, difficult, or complex research. Destroy when no longer needed for current operations. (N1-64-87-1)
1421-4 Reading files of reference correspondence, including extra copies of outgoing letters. Destroy when no longer needed for reference. (N1-64-87-1)
1421-5 Routine requests for information and copies of forms and publications, in both paper and electronic formats, which require no research for reply. Also includes copies of replies that may be created. Destroy when request is fulfilled. (N1-64-02-8, item 1)
1422 Freedom of Information Act (FOIA) and Mandatory Review Requests Files
Files created in response to FOIA and mandatory review requests for information from accessioned records in the custody of NARA. Included are original requests, copies of replies, and related supporting materials. (For files on FOIA requests for operational records, see Chapter 10.)
1422-1 Communications control files which include registers and logs (including automated logs) that list incoming requests, replies, and related information.
a. Log maintained in NW.
Cut off annually.
Destroy when no longer needed for reference. (N1-64-87-1)
b. Other files maintained at the branch level.
Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1422-2 Documents maintained at the branch level relating to those records where originating agency authority is needed or NW has denied access to all or part of the requested records. Included in these authority case files are the original request, a copy of the reply, agency authorization or denial, and supporting materials. Arranged by FOIA number. PERMANENT. Cut off annually.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
1422-3 Routine FOIA inquiries and replies and related records, granting complete access to all of the requested records or responding to requests for nonexistent records. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1422-4 FOIA inquiries and replies and related records, denying access to all or part of the requested records maintained in NW. Cut off annually.
Destroy when 4 years old. (N1-64-87-1)
1422-5 Files created in responding to appeals under the FOIA for release of information denied by NARA. Includes the original letter, a copy of the reply, and related supporting documents.
a. Files created prior to April 1, 1985, and maintained by NW. Arranged chronologically.
PERMANENT. Transfer to NARA in 1995. (N1-64-87-1)
b. Files created after April 1, 1985, and maintained by the Deputy Archivist (ND). Arranged chronologically.
PERMANENT. Cut off annually.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
c. Files maintained in other offices.
Cut off annually.
Destroy when 4 years old. (N1-64-87-1)
1423 Reproduction Service Files
Documents created in filling requests for photographic, photostatic, electrostatic, electronic, printed, recorded, or other reproductions of accessioned records and donated materials; requests for authentication of such reproductions; requests for authorization to reproduce restricted material; and related records. Included are:
  • Correspondence requesting reproduction or authentication services and price quotations;
  • Reproduction or authentication service orders; and
  • Forms used, such as the National Archives Trust Fund (NATF) Form 72, Order for Reproduction Services.
NOTE: Copies of extensive reproduction service orders that relate to significant use of NARA holdings (e.g., for a book, exhibit, or film), or to a significant researcher or research topic, should be retained in the custodial unit finding aids. See file no. 1425.
1423-1 Register or log of reproduction requests and service orders. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1423-2 Reproduction requests, requests for authentication, related correspondence, service orders, invoices from contractors, and related records. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1423-3 Documents authorizing or NOT authorizing the reproduction of agency or donor-restricted, or copyrighted materials. Included are:
  • Requests for authorization and replies;
  • Letters from copyright and proprietary rights' owners granting or denying permission for NARA to furnish reproductions;
  • Letters of indemnification; and
  • Related records.
Cut off annually.
Destroy when 5 years old. (N1-64-87-1)
1424 Agency Loan Files
1424-1 Documents created in making accessioned records available to the originating Federal agency for temporary loan. Included are:
  • Requests for loans;
  • External loan receipts;
  • Loan registers;
  • Forms (e.g., NA Form 14014, NARA Loan Receipt); and
  • Related records.
Cut off annually following return and inspection of loaned items.
Destroy when 1 year old. (N1-64-87-1)
1424-2 Documents relating to unrecoverable loans and permanent withdrawals. File under file no. 1405-2, "Records Accession Files: Accession dossiers relating to the destruction, loss, or removal of records."
1424-3 Registers or logs of agency loans, external loan receipts, and related records. Cut off annually following return and inspection of loaned items.
Destroy when 1 year old. (N1-64-87-1)
1425 Finding Aid Files
Documents accumulated to assist researchers and NARA staff in accessing and finding accessioned records and donated materials. These documents are usually created by NARA or by the originating agency or individual. Included are: copies of published and unpublished finding aids, lists, reference reports, copies of reference replies, indexes, inventories, series descriptions, descriptions of NARA holdings, copies of published articles, books, pamphlets, and other publications. Retain for current reference.
Destroy when superseded OR obsolete. (N1-64-87-1)

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Declassification

File #DescriptionDisposition
1426 Declassification Policy Files
Records created or accumulated in requesting, establishing, interpreting, implementing, authorizing, and providing guidance in the use of declassification instructions and policies. Included are correspondence, memoranda, authorizations, directives, revisions, corrections, interpretations, and related records. Arranged alphabetically.
1426-1 Documents created in obtaining authorization and guidance for declassifying security-classified information or material originated by the U.S. Government or by organizations concerned within their area of security interest. PERMANENT. Cut off when superseded.
Transfer to NARA in 5-year blocks when 5 years old. (N1-64-87-1)
1426-2 Documents created in obtaining authorization and guidance for declassifying security-classified information or material originated by foreign Governments or by international organizations concerned within their area of security interest. PERMANENT. Cut off when superseded.
Transfer to NARA in 5-year blocks when 5 years old. (N1-64-87-1)
1427 Declassification Information Files
Records created in providing general information to the public and members of Congress about NARA declassification programs. Included are requests for information, replies, and related records.
1427-1 Routine inquiries, replies, and related records. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1427-2 Replies involving unusually difficult or complex research, noted researchers or research projects, or significant persons, events, or subjects likely to have further inquiries. Destroy when no longer needed for current operations. (N1-64-87-1)
1428 Declassification Project Files
Declassification review case files created in conducting FOIA, mandatory, special, and systematic reviews of security-classified materials in Federal and non-Federal repositories, Presidential libraries, and NARA custodial units.
1428-1 Record copy of final declassification report for each project. Arranged by type of review and thereunder by project number. PERMANENT. Cut off annually.
Transfer to NARA in 5-year blocks when 15 years old. (N1-64-87-1)
1428-2 Researcher and agency requests for FOIA and mandatory reviews; repository and custodial unit requests for systematic reviews; agency coordination correspondence; GSA Form 7130s, Declassification Review Worksheet, showing items withdrawn and agency review determinations; copies of GSA Form 1237s, Classified Accountability Record, and NA Form 14014s; other loan records; recommendations for bulk declassification; and related records. Cut off annually upon completion of project. Destroy when no longer needed for current operations. (N1-64-90-1)
1428-3 Transmittal memoranda and declassification worksheets which do NOT reflect items withdrawn or agency determinations. Cut off annually upon completion of project.
Destroy when 1 year old. (N1-64-87-1)
1429 Inventory of Withdrawn Documents
Automated inventory containing the project number, date, classification level, agency, re-review date, reason for withdrawal, and location for each document withdrawn during declassification review.
1429-1 Master file. Arranged by record group and project number. Destroy when no longer needed for current operations. (N1-64-87-1)
1429-2 Top Secret inventory. Destroy when superseded OR canceled. (N1-64-87-1)
1429-3 Project report. File with record copy of final declassification report. (See file no. 1428-1 for disposition instructions.) (N1-64-87-1)
1429-4 Statistical Report of Items Withdrawn. Cut off annually.
Destroy when no longer needed for current operations. (N1-64-87-1)
1429-5 Special reports. Destroy when superseded, canceled OR when no longer needed for current operations. (N1-64-87-1)
1430 Declassification Log System
Automated log containing statistics and brief narrative information on the status of declassification projects, including begin and end dates and project statistics. Destroy when superseded OR obsolete. (N1-64-87-1)
1431 Declassification Planning Files
Documents accumulated from reviewing project work and which are used for planning and replying to inquiries from custodial units. Included are copies of reports, inventories, and finding aids, and project summaries. Destroy when no longer needed for current reference AND operations. (N1-64-87-1)
1432 Declassification Report Files
Documents created in preparing the Annual Report to the Information Security Oversight Office (ISOO) on NARA declassification programs and any special reports for ISOO.
1432-1 Record copy of annual and special reports. Cut off annually.
Destroy when no longer needed for reference. (N1-64-87-1)
1432-2 Other records and nonrecord material (e.g., working papers and extra copies of reports). Destroy 1 year after report is submitted AND approved. (N1-64-87-1)
1433 Security Clearance Certification Files
Records accumulated in ascertaining the security clearance of military or other non-NARA personnel involved in the NARA declassification program. Included are requests for security clearances, copies of replies, and related records. Cut off annually.
Destroy 2 years after clearance has been approved. (N1-64-87-1)

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Preservation

File #DescriptionDisposition
1434 Preservation Administration Files
Documents accumulated in the general operation of preservation activities, including: technical data and studies, reference materials, plans, instructions, procedures, guidelines, policy, specifications, and related records. Included are subject files of general information on: preservation methods, materials, conditions, controls, problems, solutions, and treatments; and preservation of types of records. Destroy when superseded OR obsolete. (N1-64-87-1)
1435 Preservation Project Control and Assignment Files
Records accumulated in recording the activities of NARA preservation labs. Included are preservation logs, schedules, laboratory work books, assignment registers, program plans, proposals, and related records.
1435-1 Preservation Master Log. Cut off annually.
Microfilm when 2 years old.
Destroy after microfilm is verified. (N1-64-87-1)
1435-2 Preservation Master Log - Microfilm Copy. Arranged chronologically. PERMANENT. Transfer to NARA after film is verified in accordance with the standards set forth in 36 CFR 1230.14. (N1-64-87-1)
1435-3 Logs and Registers. Cut off following completion or other termination of work.
Destroy when 2 years old. (N1-64-87-1)
1435-4 Other records. Cut off following completion or other termination of work.
Destroy when 3 years old. (N1-64-87-1)
1436 Preservation Project Case Files
Case files that document preservation projects undertaken for individual items, selected groupings, or whole collections of accessioned records or donated materials. Included are: preservation or conservation proposals and plans; conservators' condition reports and treatment reports; photographs; forms used to document work completed; contracts; and related records. Forms used include: NATF Form 72-H, Request for Conservation Treatment; NA Form 14043, Film Inspection Record; and GSA Form 7276, Document Preservation History.
1436-1 Case files relating to preservation projects for individual items, selected groups of records, or whole collections. Arranged by record group number. PERMANENT. Cut off annually.
Transfer to NARA when no longer needed for reference. (N1-64-87-1)
1436-2 Other records in custodial units. Cut off after completion of work
Transfer to records center 5 years after cutoff.
Destroy when 10 years old. (N1-64-87-1)
1436-3 Other offices. Cut off after completion of work.
Destroy when 2 years old. (N1-64-87-1)
1436-4 Documents relating to preservation of museum holdings (if kept separate from file no. 1410, "Museum Item Case Files"). Arranged by project title. PERMANENT. Cut off annually.
Transfer to records center 5 years after cutoff.
Transfer to NARA in 5-year blocks when 10 years old. (N1-64-87-1)
1436-5 Charters Monitoring System Files. Imaging and related records used for analytical digital image processing for the Charters of Freedom and other very important documents.
a. Project case files.
PERMANENT. See file no. 1436-1 for disposition instructions. (N1-64-95-2, item 6a)
b. Digital image tapes.
Delete when no longer needed for technical evaluation OR administrative purposes. (N1-64-95-2, item 6b)
c. Imaging system documentation.
Destroy when superseded OR obsolete. (N1-64-95-2, item 6c)
1437 Preservation Research and Testing Files
Records created by NARA Research and Testing Laboratory in: researching the causes of records deterioration and methods and materials for arresting deterioration; rehabilitating, reproducing, and preserving records and other archival materials; and testing of archival and conservation materials.
1437-1 Research Case Files. Case files on research relating to paper, paper chemistry, non-paper materials, and related subjects; and watermark files. Included are test results, test reports, and logs. Arranged by subject. PERMANENT. Transfer to NARA when no longer needed for reference OR current operations. (N1-64-87-1)
1437-2 Testing files. Records concerning specific ongoing quality assurance testing of archival and conservation supplies. Included are residual thiosulfate tests of processed microfilm, tests of other paper and non-paper materials, and related records. Destroy when superseded OR obsolete. (N1-64-87-1)
1438 Environmental Condition Reports
Documents created to monitor environmental conditions in NARA records holding areas. (See file no. 632 for "Environmental Condition Operating Records.")
a. Weekly summary reports maintained by Chemistry Laboratory.
Cut off annually.
Destroy when 15 years old. (N1-64-87-1)
b. Other copies.
Destroy when 2 years old. (N1-64-87-1)
1438-2 Weekly hygrometric charts and other records. Cut off annually.
Destroy when 2 years old. N1-64-87-1)
1439 Preservation Monthly Report to Archivist
Narrative and statistical report on preservation activities submitted monthly to the Archivist by the Preservation Officer.
1439-1 Official copy maintained by Preservation Officer. Arranged chronologically. PERMANENT. Cut off annually.
Transfer to NARA in 10-year blocks when 10 years old. (N1-64-87-1)
1439-2 Other copies. Destroy when no longer needed for reference. (N1-64-87-1)
1440 Preservation Survey Files
Records concerning periodic preservation surveys completed to monitor the condition of NARA records, including textual records, microfilm holdings, motion pictures, photographs, and magnetic tapes.
1440-1 Correspondence, survey forms, survey reports, and supporting statistical data maintained by Preservation Officer. Arranged by survey. PERMANENT. Cut off after completion of survey.
Transfer to NARA in 5-year blocks when 10 years old. (N1-64-87-1)
1440-2 Working papers and other copies. Destroy after completion of survey. (N1-64-87-1)
1441 Precious Metals Report
Annual report and background materials on NARA activities regarding precious metals recovery. Cut off annually.
Destroy when 3 years old. (N1-64-87-1)

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Records Storage and Security

File #DescriptionDisposition
1442 Records Storage and Security Files
1442-1 Records accumulated in creating and maintaining special storage systems for important accessioned records and historical materials in NARA. Included are records relating to the display systems for the Charters of Freedom in the National Archives Building and the Halon protection system. Arranged by name of case file. PERMANENT. Transfer to NARA when no longer needed for current operations. (N1-64-87-1)
1442-2 Records created in controlling the physical location of accessioned records and donated materials in NARA. Included are shelf lists, location registers, and related forms and records. Destroy when superseded OR obsolete. (N1-64-87-1)
1442-3 Specially Protected Area Security Files. Check sheets or logs used to record entry and exit, and daily security checks of storage areas used for records and/or artifacts requiring maximum security (i.e., because of their intrinsic value). Destroy 5 years after final entry OR 5 years after date of document, as appropriate. (GRS 18, item 17a)

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Library Collections

File #DescriptionDisposition
1443 Library Administrative Files
Library administrative files relating to the development, maintenance, and use of library collections. Files are maintained in the Archives Library Information Center and Presidential libraries. Included are:
  • Records of acquisitions of books, serials, and other library materials by accession, gift, exchange, purchase, or loan;
  • Inter-library loans and circulation records;
  • Shelf lists, catalog cards, and other finding aids;
  • Bibliographies, reference reports; and book reviews, and;
  • Related records.
1443-1 Acquisition records of library materials for the library collections or for other NARA units.
a. Exchange agreements.
Destroy when superseded OR obsolete. (N1-64-87-1)
b. Records of purchased materials.
Cut off annually.
Destroy when 3 years old. (N1-64-87-1)
c. Gift records.
Cut off annually.
Destroy when 5 years old. (N1-64-87-1)
1443-2 Loan Records.
a. Inter-library loan records.
Place in inactive file after return of loaned materials. Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
b. Circulation records.
Destroy when superseded OR obsolete. (N1-64-87-1)
1443-3 Shelf lists, catalog cards, and other finding aids. Destroy when superseded OR obsolete, OR when library item has been deaccessioned. (N1-64-87-1)
1443-4 Records relating to bibliographic or reference reports prepared by staff.
a. Bibliographic or reference reports prepared by staff.
Destroy when no longer needed for reference. (N1-64-87-1)
b. Other records.
Cut off annually.
Destroy when 2 years old. (N1-64-87-1)
1444 Database Files
Machine-readable records stored in local database containing bibliographic and non-bibliographic information. Destroy when superseded, obsolete, OR no longer needed for reference. (N1-64-90-1)
1445 Reference Correspondence
Correspondence received and replies furnished. Cut off annually.
Destroy when 1 year old. (N1-64-90-1)

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Regional Archives Inspection

File #DescriptionDisposition
1450 Regional Archives Inspection Files
Correspondence, memoranda, reports, and other records relating to the inspection of NARA regional archives. These records are maintained by NR Central Office.

NOTE: For records maintained by Regional Records Services facilities, see file no. 147-2 (Chapter 1).
Cut off annually.
Destroy when 10 years old. (N1-64-87-1)

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Special Access

File #DescriptionDisposition
1460 John F. Kennedy (JFK) Assassination Records Collection System Files and Database
Textual records and automated descriptive data collected pursuant to the President John F. Kennedy Assassination Records Collection Act of 1992 (Pub. L. 102-526, approved October 26, 1992).
1460-1 Summary reports and logs used for tracking the status of agency review of assassination records. Destroy when superseded OR obsolete. (N1-64-95-2, item 7a)
1460-2 Finding aids created by NARA. See file no. 1425 for disposition instructions. (N1-64-95-2, item 7c)
1460-3 JFK Master Database. System documentation and NARA-compiled uniform system of records containing all information collected by all agencies, offices, and individuals holding JFK assassination records. PERMANENT. Transfer to NARA when 10 years old OR when no longer needed for current operations, whichever is LATER. (N1-64-00-7, item 1)
1460-4 JFK Reference System. Public-use version of the JFK Master Database, all restricted fields having been deleted. Destroy when no longer needed for administrative use. (N1-64-95-2, item 7e)
1461 Liaison/Custodial Functions for JFK Assassination Records Collection
The "liaison function" means to interact with agencies and donors in possession or control of "assassination records" (defined in 44 U.S.C. §2107 note) or historical materials in order to obtain physical and legal custody of these records and materials for the permanent JFK Assassination Records Collection ("Collection") at NARA (pursuant to Pub. L. 102-526).
  • "Agencies" include: the Assassination Records Review Board (1994 - 1998), other executive branch agencies and offices, congressional committees, Federal courts, and other entities in the legislative and judicial branches.
  • "Donors" are State and local governmental entities, private repositories, and individuals.
The "custodial" function consists of: accessioning and processing assassination records and donated materials, managing the Collection, and implementing access policies.
1461-1 Liaison/custodial records arranged by source (e.g., agency or donor) and title (of records or materials). These operational records may include:
  • E-mail and other types of correspondence,
  • Memoranda to the file,
  • Notes of meetings and telephone conversations,
  • Transfer instruments (deeds of gift and copies of SF 258s),
  • Folder title lists and other finding aids and inventories,
  • Record identification forms (RIFs),
  • Delivery and receipt forms,
  • Press releases,
  • Testimonies and briefing papers,
  • Copies of articles, and
  • Other records created or received by the liaison staff.
PERMANENT. Transfer to NARA when:
  • Liaison/custodial records are no longer needed for reference OR current operations, AND
  • All access issues pertaining to records and materials in the Collection have been resolved. (N1-64-05-8, item 1)
1461-2 General subject files relating to policies, work processes (e.g., loans, internal transfers), and issues involving the Collection and sources of assassination records and donated materials, including information about persons and events connected to the 1963 assassination. Operational records may consist of:
  • E-mail and other types of correspondence,
  • Memoranda to the file,
  • Notes of meetings and telephone conversations,
  • Folder title lists and other finding aids and inventories,
  • Press releases,
  • Testimonies and briefing papers,
  • Copies of articles, and
  • Other records created or received by the JFK liaison staff.
PERMANENT. Transfer to NARA individual subject files when they are no longer needed for reference OR current operations. (N1-64-05-8, item 2)
1462 Liaison/Custodial Functions for Records Relating to Special Prosecutors (SPs) and Independent Counsels (ICs)
The "liaison function" means interacting with offices of ICs (and predecessors, SPs: 1978 - 1982) to obtain physical and legal custody of all records created or received during the course of SP/IC investigations. The "custodial" function consists of accessioning and processing SP/IC records (RG 449) and implementing access policies. Operational records created and received by the liaison staff may contain sensitive information (e.g., regarding grand juries) that is eligible to be withheld under the FOIA.
1462-1 SP and IC Liaison/custodial records arranged by name of SP or IC. Records may consist of:
  • E-mail and other types of correspondence,
  • Memoranda to the file,
  • Notes of meetings and telephone conversations,
  • Transfer instruments (Copies of SF 258s),
  • Folder title lists and other finding aids and inventories,
  • Delivery and receipt forms,
  • Copies of dockets and other legal documents,
  • Copies of articles, and
  • Other operational records created or received by the SP/IC liaison staff.
Destroy liaison/custodial records when they:
  • Are no longer needed for reference OR current operations, OR
  • Become superseded OR obsolete (e.g., finding aids that are superseded by newer versions). (N1-64-05-7, item 1)
1462-2 General subject files relating to policies, work processes, and issues involving records created or received by SPs and ICs. Operational records may include:
  • E-mail and other types of correspondence,
  • Memoranda to the file,
  • Notes of meetings and telephone conversations,
  • Folder title lists and other finding aids and inventories,
  • Copies of articles, and
  • Other records created or received by the liaison staff.
Destroy when records (in subject files) are no longer needed for reference OR current operations. (N1-64-05-7, item 2)

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Presidential Libraries

File #DescriptionDisposition
1470 Researcher Case Files
Documents accumulated while providing services to on-site researchers at a Presidential library. Included are:
  • Researcher applications (NA Form 14003A or equivalent);
  • Letters of introduction;
  • Access requests and agency and/or donor authorizations or denials of access to restricted or copyrighted materials;
  • Letters of indemnification;
  • Reference service slips (pink copies of NA Form 14001) or equivalent forms that record dates and times of researcher use, and what materials were furnished;
  • Original incoming correspondence or records of non-written inquiries, and copies of replies;
  • Price quotations and orders for reproduction services (NATF Form 72s or equivalent);
  • Exit evaluations; and
  • Related records.
NOTE: Researcher case files may be established instead of maintaining separate series for each of the records contained in the case file. The creation of these case files is at the discretion of each Presidential library. If maintained, the files must pertain to on-site researchers only.
1470-1 Case files for researchers who have produced significant and/or controversial research. PERMANENT. Cut off annually.
Transfer to NARA 25 years after last transaction with researcher. (N1-64-00-2, item 1a)
1470-2 All other researcher case files. Cut off annually.
Destroy 25 years after last transaction with researcher. (N1-64-00-2, item 1b)

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Lifecycle Coordination

File #DescriptionDisposition
1471 Lifecycle Data Management Function
The Lifecycle Data Management Function is responsible for administering, planning, implementing, operating, and maintaining lifecycle data. This includes:
  • Records related to developing and maintaining lifecycle data standards,
  • Records generated during the testing and operational phase of any lifecycle data management system, and
  • Records relating to any activities that support the operation of the function.
1471-1 Program Direction.
a. Policy documents and project files.
PERMANENT. Cut off at conclusion of project.
Transfer to NARA 5 years after cutoff. (N1-64-05-5, item 1a)
b. All other records (e.g., reports, statistics, and working team files).
Cut off annually.
Destroy when 5 years old. (N1-64-05-5, item 1b)
1471-2 Program Operation.
a. Data management tools (e.g., authority lists and files, data element tables, and thesauri).
Destroy entry or element when superseded, obsolete, OR no longer needed for current reference AND operations. (N1-64-05-5, item 3a)
b. Data management operation function (includes training, outreach, testing, and informational web pages).
Cut off when superseded, obsolete, OR no longer needed for current reference AND operations.
Destroy 5 years after cutoff. (N1-64-05-5, item 3b)
1472 Lifecycle Process Management Function
The Lifecycle Process Management Function is responsible for:
  • Supporting NARA's Records Management Initiatives (RMI) and Electronic Records Archives (ERA) programs,
  • Promoting compliance with Government Paperwork Elimination Act (GPEA) requirements,
  • Increasing the efficiency and effectiveness of all records lifecycle processes, and
  • Recreating or re-engineering business practices.
1472-1 Program Direction. Includes charter documents and project files. PERMANENT. Cut off when superseded.
Transfer to NARA 5 years after cutoff. (N1-64-05-5, item 4)
1472-2 Program Operation.
a. Products (e.g., formal comments, approved products, and presentations).
PERMANENT. Cut off at conclusion of function.
Transfer to NARA 5 years after cutoff. (N1-64-05-5, item 6a)
b. All other records (e.g., meeting minutes, benchmarking notes, informational web pages, and training materials).
Cut off at completion of project.
Destroy 5 years after cutoff. (N1-64-05-5, item 6b)
1473 Lifecycle Data Standards Administration Function
The Lifecycle Data Standards Administration Function is responsible for reviewing, implementing, and refining NARA's data standards, specifically in relation to archival description standards. This function also includes records of the third-party appeals board that issues rulings when description reviewers and describers disagree.
1473-1 Program Direction. Includes charter documents. PERMANENT. Cut off at conclusion of function.
Transfer to NARA 5 years after cutoff. (N1-64-05-5, item 7)
1473-2 Program Operation.
a. Products (e.g., meeting minutes and formal rulings).
PERMANENT. Cut off annually.
Transfer to NARA 5 years after cutoff. (N1-64-05-5, item 9a)
b. All other records (e.g., meeting agendas and position papers).
Cut off annually.
Destroy 5 years after cutoff. (N1-64-05-5, item 9b)

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Archives Services - Regional Records Services Facilities

File #DescriptionDisposition
1474 Archives Services
The Archives Services function is responsible for the accessioning of those records of Federal agencies and other sources determined by the Archivist to have sufficient historical value to warrant continuing their preservation and making them available for reference. "Archives services" activities at Regional Records Services facilities include:
  • Accessioning records from agencies and other sources;
  • Preparing and publishing finding aids;
  • Providing reference service;
  • Recommending to the Archivist the disposal of records in the custody of NR; and
  • Providing assistance to agencies for preparing exhibits and displays.
NOTE: Training and agency/professional outreach activities are covered in Chapter 16 under file no. 1618, "Regional Outreach."
1474-1 Accessioning. Records that document the accessioning of agency records to the National Archives. Examples of "accessioning" records include: SF 258s, tracking databases, and correspondence.
a. All records of the Accessioning function with the exception of those listed in 1474-1b.
Retain for life of asset (i.e., "accessioned record").
Transfer along with asset when de-accessioned OR destroy 5 years after related asset is destroyed. (N1-64-07-5, item 21)
b. Location Register. Records that document the location of archival records held at the National Archives.
Destroy when superseded. (N1-64-07-5, item 22)
1474-2 Processing/Preservation. Records that document the processing and preservation of permanent records held at the National Archives.
a. All records of the Processing/Preservation function with the exception of those listed in 1474-2b.
Retain for life of asset (i.e., "accessioned record").
Transfer along with asset when de-accessioned OR destroy when related asset is destroyed. (N1-64-07-5, item 23)
b. Surveys of Records Needing Treatment. Records that document the survey of archival records needing treatment.
Destroy when superseded. (N1-64-07-5, item 24)
1474-3 Reference. Records that document the reference process at the National Archives. Examples of "reference" records include tracking databases and correspondence.
a. All records of the Reference function with the exception of those listed in 1474-3b, 3c, and 3d.
Destroy when 5 years old. (N1-64-07-5, item 25)
b. Agency Reference Files. These are files used for research into functions and recordkeeping practices of Federal agencies or offices whose records are/have been accessioned by NARA. Included are: records management surveys; copies of SF 115s, manuals, directives, other issuances relating to the management and filing of agency records, and agency directories; and related records.
Destroy when no longer needed. (N1-64-07-5, item 26)
c. User Registration/Retrieval Documentation. Records accumulated in issuing researcher identification cards, acquainting researchers with research room regulations, authorizing access to restricted or security-classified materials, and tracking movement of researchers in NARA research rooms. Also included are records pull slips and documentation on loans to agencies or other entities.
Destroy when 25 years old. (N1-64-07-5, item 27)
d. Special Access Issues Files. Records created and/or accumulated as part of the FOIA and mandatory review request processes for accessioned records.
Cut off files relating to an individual request when the request is fully resolved.
Destroy 6 years after cutoff. (N1-64-07-5, item 28)
1474-4 Appraisal/Internal Disposal. Records that document appraisals and disposals performed by Archives staff after accessioning of agency records into the National Archives. Destroy when 10 years old. (N1-64-07-5, item 29)

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Archival Research Catalog (ARC)

File #DescriptionDisposition
1475 Archival Research Catalog (ARC) Data Entry System
Archival description and reference system. Contains descriptions of archival holdings located in NARA facilities in the Washington, DC area, Regional Records Services facilities, and Presidential libraries. Operational records related to/in the Data Entry System include:
  • NARA Archival Information Locator (NAIL) descriptions;
  • Data residing in the Archival Descriptions "Authorized" and "Under Edit" Domains;
  • ARC Target Reports and other reports; and;
  • Authority files and lists (i.e., data management tools).
1475-1 NARA Archival Information Locator (NAIL) Descriptions. NAIL was the online prototype for ARC on the Internet from 1997 to 2002. (In 2002 and 2003, almost 600,000 original NAIL descriptions were uploaded to ARC and then saved to electronic media external to the Data Entry System.)

NOTE: See file no. 1425, "Finding Aid Files," for descriptions of and disposition instructions for types of finding aids that describers and reviewers use during ARC data entry and review processes.
Cut off data when obsolete AND then translate data into another system (i.e., ARC).
Delete 5 years after end of the fiscal year in which last data were cut off. (N1-64-08-7, item 1)
1475-2 Data in Archival Descriptions Domains. Data constitute descriptions of archival materials at the record group, collection, series, file unit, and item levels. Also included are digital copies linked to their descriptions.
a. Archival Descriptions in "Authorized" Domain. These descriptions in the "read-only" Authorized Domain are used to populate the ARC Web System.
Overwrite when descriptions become superseded.
Delete if corresponding archival materials are deaccessioned. (N1-64-08-7, item 2a)
b. Archival Descriptions in "Under Edit" Domain. These are new archival descriptions and copies of authorized descriptions that can be edited and for which all data entry is done in the Under Edit Domain.
Update/overwrite when descriptions become superseded.
Delete when descriptions either:
  • Become obsolete (e.g., if corresponding archival materials are deaccessioned); OR
  • Are no longer needed for current reference AND operations. (N1-64-08-7, item 2b)
1475-3 ARC Target Reports and Other Reports. ARC Target Reports, weekly invoices, and other reports that contain statistical and other information generated by the ARC Data Entry System. Cut off data annually (i.e., end of fiscal year).
Destroy when 5 years old. (N1-64-05-5, item 1b)
1475-4 Authority Files and Lists. Data management tools that are in the following ARC domains of information:
  • "Organizations";
  • "People/Anglo-American Cataloging Rules, Second Edition (AACR2) Organizations";
  • "Subjects" (e.g., Topical Subjects, Specific Records Types, Geographic Places, Program Areas, and General Records Types); and
  • "Reference Data" (information used in list boxes and pull-down menus).
Update/overwrite when data entry or element becomes superseded.
Delete/destroy when data entry or element either:
  • Becomes obsolete (e.g., if corresponding archival materials are deaccessioned); OR
  • Is no longer needed for current reference AND operations. (N1-64-05-5, item 3a)
1476 Archival Research Catalog (ARC) Web
Online catalog that permits searching for descriptions and digital copies of archival holdings located in NARA facilities in the Washington, DC area, Regional Records Services facilities, and Presidential libraries. Within ARC Web, levels of description correspond to the archival hierarchy (e.g., record group, collection, series, file unit, and item).
1476-1 ARC Web System (accessible on Archives.gov). Contains descriptions and digital copies of archival materials and authority files and lists that allow Internet users to search by a variety of methods (e.g., keyword, document location, digital image). Overwrite when existing descriptions, digital copies, and/or entries in authority files and lists become superseded.
Delete:
  • When descriptions, digital copies, and/or entries in authority files and lists become obsolete; AND/OR
  • If corresponding archival materials are deaccessioned. (N1-64-08-7, item 5)
1476-2 Printouts of descriptions, digital copies, and/or brief results. (Printouts may be generated as part of a standardized ARC work process or on a random basis for another process.) Destroy when no longer needed for reference. (N1-64-08-7, item 6)

NOTE: If ARC Web printouts are used for another work process (e.g., preparing an office's quarterly report, responding to a researcher's inquiry, or verifying descriptive data for an archival project), file the printouts with other records documenting that process.
1477 Archival Research Catalog (ARC) Terminal Server
This system allows for connection to the ARC Data Entry System by NARA staff members, volunteers, students, and contractors who have been trained in ARC data entry.
1477-1 Records maintained for Information Technology (IT) Systems Support Functions. Login files and other records relating to establishing, modifying, and deactivating individual users' Training and User Accounts. Records are in electronic and textual formats. Deactivate User Accounts for those users who no longer require access to the ARC Terminal Server and ARC Data Entry System.
Delete/destroy when determined that files are no longer needed for administrative, legal, audit, OR other operational purposes. (GRS 20, item 1c)
1477-2 Records maintained for Lifecycle Data Management Functions. Included are electronic and textual records pertaining to establishing, modifying, and deactivating Training and User Accounts. Records are maintained for individual users. Delete/destroy when determined that records are no longer needed for current reference OR operations. (N1-64-08-7, item 8)

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Declassification Review and Unclassified Redaction Systems

File #DescriptionDisposition
1478 Archival Declassification, Review, and REdaction System (ADRRES)
System used to expedite (in keeping with Executive orders) review and release of Federal agency records that contain sensitive information which would otherwise be released automatically per a predetermined schedule. ADRRES includes information about decisions of agencies (equities) to release, exempt, or select a future date for declassification or re-review of particular documents. ADRRES enables NARA to notify agencies that a document will be released or selected for re-review. In addition, the system processes reviews of documents for release in response to FOIA requests.
1478-1 Project/Case files. Files created for every declassification review project, FOIA request (for classified and unclassified records), and Mandatory Review request for classified records. May include scans of unredacted and redacted documents in the collection and copies of any digital documents. These project/case files allow users to: record, index, and track documents withdrawn for agency review; monitor project status; review decisions, actions, and suggestions; and document declassification decisions made on individual records in the project. Delete project/case file when all associated records (holdings) have been released in full OR when the file is no longer needed for administrative responsibilities, whichever occurs LATER. (N1-64-09-4, item 1)
1478-2 Access Copies of Classified Archival Holdings. Copies of born digital (electronic) classified records, the permanent copies of which are preserved in NARA's holdings of electronic records. These copies are searched and reviewed as part of a declassification project, FOIA case, or Mandatory Review request. Delete from ADRRES when the originals have been released in full. (N1-64-09-4, item 2)
1478-3 Report Files. Reports and spreadsheets produced from the database. Destroy when 3 years old OR when no longer needed for administrative OR business use, whichever is LATER. (N1-64-09-4, item 3)
1478-4 Disaster recovery backup files. Destroy each backup when 2 months old. (N1-64-02-2, item 2)
1478-5 System documentation. Cut off at end of year in which system documentation is superseded OR becomes obsolete.
Destroy/delete 2 years after cutoff. (GRS 20, item 11a[1])
1479 Unclassified Redaction and Tracking System (URTS)
System used to process FOIA requests on holdings. The system documents decisions on requests, including: release, withholding in full or in part, and appeals. URTS enables NARA to track FOIA requests as case files.
1479-1 Case Files. Administrative data used to index documents and process FOIA requests for records containing controlled unclassified information (CUI). Files include an index of paper records and scanned images (of paper records) or born digital (electronic) records. The files record access decisions, including final decisions made and related scanned documents with any redactions. Delete case file when all related records (holdings) have been released in full OR when the file is no longer needed for administrative responsibilities, whichever occurs LATER. (N1-64-09-3, item 1)
1479-2 Access Copies of Controlled Unclassified (CUI) Archival Holdings. Copies of born digital (electronic) CUI records, the permanent copies of which are preserved in NARA's holdings of electronic records. These copies are searched and reviewed in response to FOIA requests. Delete from the system when the originals have been released in full. (N1-64-09-3, item 2)
1479-3 Report Files. Reports and spreadsheets produced from the database. Destroy when 3 years old OR when no longer needed for administrative OR business use, whichever is LATER. (N1-64-09-3, item 3)
1479-4 Disaster recovery backup files. Destroy each backup when 2 months old. (N1-64-02-2, item 2)
1479-5 System documentation. Cut off at end of year in which system documentation is superseded OR becomes obsolete.
Destroy/delete 2 years after cutoff. (GRS 20, item 11a[1])

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Electronic Copies of Records Contained in this Chapter

File #DescriptionDisposition
1499 Word Processing Files and Electronic Mail (E-mail) Records
1499-1 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 N1-64-00-2, item 2a)
1499-2 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 N1-64-00-2, item 2b)

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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