Records Managers

NARA Bulletin 99-04 Attachment C

Sample Schedule Using Model 1

The following is an example of a Model 1 schedule covering records of a single component office of an agency headed by a Director. It is offered here only to show how an agency would provide individual dispositions, series by series, for its electronic copies. Were this an actual situation, you would develop your specific proposed dispositions based on your series-based review. You would also either include in the schedule items for the series your other components accumulate or you would submit additional schedules covering your other components.

1. Director's Correspondence Files: Correspondence of the Director and Deputy Director with other Federal agencies, the White House, members of Congress, trade associations, and transporters.

  1. Recordkeeping copy (Paper. [see format note below]): Permanent (N1-888-93-1/1)
  2. Electronic copies created on electronic mail and word processing systems: Delete after recordkeeping copy has been produced.
  3. Electronic index to Director's Correspondence: Permanent (N1-888-93-1/1a) Transfer to NARA in accordance with 36 CFR 1228.188.

2. General Counsel's Subject Files: Correspondence, memorandums, reports and other records relating to general legal matters.

  1. Recordkeeping copy (see format note): Destroy when 10 years old. (N1-888-88-1/8)
  2. Electronic copies created on electronic mail and word processing systems: Delete after recordkeeping copy has been produced.

3. Legal Opinions: Legal Opinions issued by the General Counsel, with related background papers.

  1. Recordkeeping copy (see format note): Permanent. (N1-888-88-1/9)
  2. Electronic copies created on electronic mail and word processing systems: Delete when three years old.

4. Public Comments: Incoming and outgoing letters and messages relating to public comments about agency programs, policies, and operations.
Note: Agency instituted a public e-mail box to support this function in 1993.

  1. Hard copy incoming public comments and outgoing correspondence related to public comments: Destroy when five years old (N1-888-93-1/12).
  2. Electronic incoming comments: Destroy when five years old (N1-888.93-1/12)
  3. Electronic copies created on electronic mail and word processing systems: Delete after recordkeeping copy has been produced.

5. Publications: Copy of each pamphlet, bulletin, report, booklet, brochure, leaflet, fact sheet, newsletter, or other material for public distribution published by the agency, with related background files.

  1. Recordkeeping copy (see format note ): Permanent. (N1-888-88-1/2)
  2. Electronic copies created on word processing systems and used for dissemination, revision, or updating (copies are maintained in addition to the recordkeeping copy): Destroy/delete when dissemination, revision, or updating is completed.

6. Informational Releases: Copy of informational releases such as News Releases, Press Releases and Biographical Sketches of the Director and Deputy Director, with related background papers.

   a. Copy of final document as released.

  1. Recordkeeping copy (see format note): Permanent. (N1-888-88-1/5a)
  2. Electronic Information Release File. Electronic system containing full text of all agency information releases (except biographies): Permanent. Transfer to NARA in accordance with 36 CFR 1228.188 in annual increments at end of calendar year. (N1-888-98-1/1)
  3. Other electronic copies created with word processing systems: Delete after recordkeeping copy and electronic information release copy have been produced.

   b. Drafts, concurrences, and other background papers.

  1. Recordkeeping copy (see format note): Destroy when five years old. (N1-888-88-1/5b)
  2. Electronic copies created with electronic mail and word processing systems: Delete after recordkeeping copy has been produced.

7. Speeches, Addresses, Comments: Speeches, addresses and comments made by the Director or designated staff members at official functions or formal ceremonies.

   a. As delivered:

  1. Recordkeeping copy (see format note): Permanent. (N1-888-88-1/4a)
  2. Electronic copies created on word processing systems: Delete after recordkeeping copy has been produced.

    b. As printed and distributed.

  1. Recordkeeping copy (see format note on p. C-1): Permanent. (N1-888-88-1/4b)
  2. Electronic copies created on word processing systems and used for dissemination, revision, or updating (copies are maintained in addition to the recordkeeping copy): Destroy/delete when dissemination, revision, or updating is completed.

8. Annual Reports:

   a. Record set maintained by Public Affairs Staff.

  1. Recordkeeping copy (see format note): Permanent. (N1-888-91-1/10)
  2. Electronic copies created on word processing systems: Delete when five years old.

   b. Background papers, including drafts.

  1. Recordkeeping copy (see format note): Destroy when 5 years old. (N1-888-91-1/2)
  2. Electronic copies created on electronic mail and word processing systems: Delete after recordkeeping copy has been produced.

9. Organization and Directive Files: Final approved and signed record copy of formal directives, information bulletins, procedural and operating manuals, organizational charts and function statements.

   a. Recordkeeping copy (see format note): Permanent. (N1-888-88-1/7)

     b. Electronic copies created on word processing systems:

  1. Copies maintained electronically to facilitate access by staff and the public: Delete when superseded or canceled.
  2. Other electronic copies: Delete after recordkeeping copy and access copies have been produced.

[NOTE] The agency has already determined the format of the recordkeeping copy in a previously-approved schedule. The format may be either paper, electronic, microfilm or other format. If you need to change the format of the recordkeeping copy in this schedule, you must identify both the current format and the proposed format here, e.g., "(Current format paper, proposed format electronic)." Contact your NARA appraisal archivist for assistance with this.

NARA Bulletin 99-04
Attachment A

Attachment B
Attachment D
Attachment E
Attachment F
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