Implementing Schedules

Issuing New Records Schedules

NARA-approved records disposition authorities are mandatory. This includes both approved agency records schedules and the General Records Schedules. Agencies must issue records schedules within six months of NARA approval. (See 36 CFR 1226.12(a).).

The purpose of a records disposition issuance is to provide instructions for managing agency records and non-record materials. The issuance includes all instructions that agency staff will need to manage their records.

Your agency may also use a records management directive to issue new records schedules. 

Do not rely on copies of approved records schedules alone for your issuances. Agency records schedules only include agency records. They do not include records covered by the General Records Schedules or non-record materials. They also do not include filing instructions which tell agency staff what to do with certain types of records.

Your records disposition issuance should include:

• Approved agency disposition authorities
• Any General Records Schedule disposition authorities that your agency uses
• Instructions for handling of non-record materials
• Filing instructions, when needed
• Any agency and Privacy Act restrictions for records

Steps for Issuing New Schedules

• Identify superseded or obsolete authorities. Superseded authorities appear on the approved records schedule. Your agency should identify any obsolete authorities during the inventorying process. Check for filing instructions and instructions for non-record materials that are obsolete.
• Update your records disposition manual or records management applications. Update items with the new disposition authority citation. Add newly scheduled items. Remove obsolete items. 
• Disseminate updates. Notify staff that there have been changes in records disposition requirements. Some agencies use internal directives for this purpose.
• Update office or program file plans. If your agency uses a records management system, it may not need file plans. However, if agency staff need guidance on how to dispose of their records, file plans are a good option.
• Train staff on how to use the new schedules. Agency records management programs are responsible for training staff how to manage their records.

See Implementing New GRS Transmittals for further information on steps to take when NARA issues new or revised GRS.

Dissemination

Share your records disposition issuance with agency staff. This includes at least the following: 

• All staff officials
• All office, bureau, division, and branch heads
• All custodians of major record holdings, including system managers and Information Technology staff
• All records management liaison officers

File Plans

File plans are another tool your agency may use to aid staff in managing agency records. While your agency records disposition manual or recordkeeping system covers all of your agency's records, file plans typically apply to only one office or program. They only include instructions for the records created and maintained by the office or program.

The purpose of a file plan is to provide a succinct reference tool for staff. They provide staff with a limited set of disposition instructions for only the records that staff need to manage.

File plans are a best practice for most agencies. The only time your agency may not need a file plan is when your agency only has electronic records and an automated electronic recordkeeping system that manages records for agency users.

Creating or Updating File Plans

File plans tell agency staff how to dispose of their records. The file plan should contain up-to-date and accurate disposition authorities for all records. It should also include instructions for handling non-record materials held in an office or program.

Take these steps when creating or updating file plans:

1. Review the office's or program’s functions.
2. Consult a current inventory of the office's or program’s records.
3. Match the records identified in the inventory to those described in the schedule. Alert the records manager to any unscheduled records.
4. Develop a file plan. 

A file plan usually includes the following information:

• Office or program name
• Name and contact information of the preparer (usually the records liaison)
• Date
• Any reviewers or approvers
• Identifier (this might be a file code)
• Series or system title
• Series or system description (if needed)
• Records location (optional)
• Disposition instructions
• Disposition authority

See also: Creating and Using File Plans (video). 

File plans are especially important if your agency uses aggregate item schedules. Agency staff may struggle to apply aggregate item schedules without file plans or other tools that identify which series each aggregate item contains.

For more information on implementing aggregate item schedules, see the Guide to Aggregate Item Schedules

Training Employees

Agency records management programs should train all agency employees about how to use records schedules. Some positions may need more training, including:

• Records liaisons
• System owners
• Anyone responsible for the final disposition of records

Even if your agency manages records using an automated records management application, you may need to train staff on how to file or tag their records.

Employee training is especially important for aggregate item schedules. These schedules often need extra training so that staff understand which records go into each item. File plans are also a necessary tool for applying aggregate item schedules.

Consider developing a communication and training plan to inform agency staff about new schedules.

See the Records Management Training Program website for more training resources.

Applying Schedules

General Guidelines

Disposition authorities apply to all existing records described in the schedule unless the schedule specifies otherwise. If you want a new records schedule to only apply to day forward records, the schedule must specify the date when coverage begins.

If two disposition authorities cover the same records or system the more recent authority applies.

New or revised General Records Schedules (GRS) items supersede agency records schedule items unless the agency obtains NARA's approval. 

• To continue using an existing agency schedule superseded by a new GRS, see Submitting GRS Notifications. 
• To request a new disposition item instead of using the GRS, see Requesting GRS Deviations.

Take these actions when applying the schedule:

• Avoid filing unnecessary materials, such as extra copies in the same series
• Cut off, or break, files regularly
• Promptly destroy temporary records when their retention periods expire
• Care for permanent records until their timely transfer to the National Archives.

If at any time your agency finds that a disposition authority isn’t meeting its needs, submit a new schedule.

For additional information on implementing aggregate item schedules, see the Guide to Aggregate Item Schedules.

Applying the Schedule to Permanent Records

Permanent records have enough historical or other value to warrant permanent preservation. Your agency may not destroy these records. You must transfer the records to NARA, unless another arrangement is in place. See Other Records Disposition Scenarios for other potential arrangements.

Your agency must give special attention to permanent records and transfer them to NARA in accordance with the schedule’s instructions and with NARA regulations and guidance.

Other resources:
Agency Permanent Records Guidance and Information

Transferring Permanent Records to the National Archives

Agencies typically transfer permanent records to NARA after a retention of between 15 and 30 years. Retention periods start either when the records were created or received (age-based) or when a specific event occurs (event-based). For more information see Cutoff Instructions.

Some disposition instructions say to transfer permanent records in blocks. An example of a disposition instruction that uses blocking is: Transfer 15 years after cutoff in 5 year blocks.

A block is a chronological grouping of records in the same series. The blocking instruction indicates the frequency of transfer and the date range expected in a transfer. Using the example above, an agency would transfer records every 5 years. Each transfer would contain 5 years of records. An agency would transfer the records 15 years after cutting off the last records in the block.

Your agency must get written approval from NARA to keep permanent records that are eligible for transfer.

Your agency may transfer permanent records to NARA earlier if your agency no longer needs them and if there are no proposed restrictions on their use.

NARA accepts legal custody of the records when NARA changes the status of Transfer Request (TR) in ERA 2.0 to “Custody Accepted.” 

For more details about transferring records to NARA, see: 

• Guidance and Policy for Accessioning Records to the National Archives in the Washington, DC Area
• Folder Title List: Transferring Your Permanent Paper Records (Video)
• Access Restrictions: Their Importance and Impact on the Transfer of Permanent Records to NARA (Video)

Applying the Schedule to Temporary Records

Temporary records are disposable, or nonpermanent. Temporary records are either destroyed or donated. Your agency may only destroy records based on an approved agency schedule or the GRS. Your agency should dispose of temporary records promptly when the schedule says to do so.

NARA-approved retention periods for temporary records are normally mandatory, but there are exceptions. These exceptions include:

• Transferring records to another agency 
• Donating temporary records
• Temporarily extending temporary retention periods
• Requesting emergency destruction

See the section Other Records Disposition Scenarios for more information.

Destruction of Temporary Records

See 36 CFR 1226.24 for more information on how to destroy temporary records.

Culling Records

In records disposition, culling means removing documents of short-term value or that are non-record or personal materials. Culling is typically used when these types of records or materials are mixed in a series with long-term temporary or permanent records. 

Your agency may not destroy culled federal records without a disposition authority. 

The decision to cull requires rigorous analysis because of the cost involved. The amount of time and money spent depends on whether:

• It is easy to identify the materials to be removed
• The records are easily accessible

Culling is no substitute for following proper filing procedures. Culling of electronic records may be appropriate if records are not organized into series by disposition authority. To avoid culling, make sure that permanent or long-term records are not intermixed with short-term records or with nonrecord materials.

For more information about culling email managed using a Capstone approach, see these Frequently Asked Questions about Culling. See also Frequently Asked Questions about Transitory Records in Electronic Messages.

Other Records Disposition Scenarios

Transferring Records to Other Agencies

Agencies may transfer records to another executive agency with NARA’s approval. (See 36 CFR 1231.) 

NARA's approval is unnecessary when:

• Statute, Executive order, Presidential reorganization plan, or treaty requires the transfer
• When an agency transfers records to records centers for storage or the National Archives
• When the records are lent for official use  
• When the transfer is between two parts of the same Executive department

Send the following information to NARA to request approval to transfer records to another agency:

• A concise description of the records, including inclusive dates and the volume 
• Any access restrictions, including those placed on classified information
• The agencies and persons who will use the records and the purpose of this use
• The current and proposed storage locations of the records
• Justification of the proposed transfer, including an explanation about why it is in the best interests of the federal government.
• Copies of concurrences from the receiving agency 

The request must come from the head of your agency. Email this information to rm.communications@nara.gov

Donating Temporary Records

Agencies may donate temporary records to an eligible person or organization with NARA's approval. See also 36 CFR 1226.26.

To get approval to donate temporary records, send a request with the following information:

• The name of the department or agency 
• The office or program that has custody of the records
• The name and address of the proposed recipient of the records
• A list identifying by series or system the records
• The inclusive dates of each record series or system
• The disposition authority authorizing disposal of the records for each series or system
• Evidence that:
  • The proposed transfer is in the best interests of the government
  • The proposed recipient agrees not to sell the records
  • The transfer will cost the government nothing
• Certification that
  • The records do not contain information that cannot be disclosed by law or that is contrary to the public interest
  • Any records donated to a person or business relate directly to the custody or operation of property acquired from the government, and/or
  • Any foreign government desiring the records has an official interest in them

Email this information to rm.communications@nara.gov

NARA will review the request and determine whether the donation is in the public interest. NARA will notify your agency in writing of its approval or disapproval. If NARA disapproves, the agency must destroy the records according to the existing disposition authority.

Temporarily Extending Retention of Temporary Records

Agencies may extend the retention of temporary records beyond the NARA-approved retention in special circumstances. Common situations requiring extension of retention include program audits, litigation and investigations. See also 36 CFR 1226.18 and 1226.20.

NARA does not need to approve temporary extension of retention periods when ordered by a court. Agencies must notify NARA of the extension within 30 days after issuance of the court order. Include the same information required in an extension request along with a copy of the court order.

Agencies may request a temporary extension by sending NARA a request that includes:

• A concise description of the records
• The disposition authority for the records (job number and item number)
• The current and proposed location of the records
• The estimated length of the extension

Email this information to rm.communications@nara.gov.

NARA will issue a bulletin when it approves an extension for records common to several or all agencies. NARA will notify the affected agencies when the extension expires.

If your agency wants to extend retention for longer than one year or make a lasting change to a retention period, submit a schedule to NARA.

Requesting Emergency Destruction of Records

Under certain conditions, agencies may destroy records regardless of schedule provisions. Such conditions involve:

• Records outside the territorial limits of the continental United States when war or other hostile action exists or threatens. The agency head may allow the destruction of such records when:
  • They pose harm to U.S. interests, or
  • There is an urgent space need for military operations and the records lack administrative, legal, research, or other value to warrant continued preservation (44 U.S.C. 3311) 
  • When this occurs. Within 6 months of destruction, the responsible agency official must send NARA a statement describing the records and explaining when and where they were destroyed.
• Records whose physical condition makes them a menace to human health or life and to property. They may be vermin-infested or may be stored under such adverse conditions that they cannot be used or repaired.
  • When this occurs: Your agency records officer must get written approval from NARA to destroy the records. See 36 CFR 1229.10. The request must describe the records, their location and quantity, and the nature of the menace.

Email this information to rm.communications@nara.gov .
 

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