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Effective Date: 12/31/86

Series: Information Resources Management

Part 384: Records Disposition

Chapter 2: Records Disposition Schedules

Originating Office: Office of Information Resources Management

2.1 Purpose. Records disposition schedules are essential for the efficient, orderly, prompt, and authorized reduction in the quantity of records maintained in office space and equipment, and to provide for the proper maintenance of records deemed appropriate for permanent preservation.

2.2 Policy. All records in the custody of the Department, regardless of physical form or character, will be included in an approved records disposition schedule within one year of their creation or acquisition.

2.3 Types of Disposition Schedules.

A. General Records Schedules (GRS). The GRS, issued by the National Archives and Records Administration (NARA), govern the disposition of certain types of records common to many or all agencies. Application of the disposition instructions in these schedules is mandatory and does not require further clearance from NARA.

B. Comprehensive Records Disposition Schedules. The disposition of records not included in the GRS, but acquired or created by a bureau or the Office of the Secretary must be approved by NARA through the submission of an SF 115, Request for Records Disposition Authority. Comprehensive records disposition schedules are developed as a result of approved records disposition authority.

2.4 Request for Records Disposition Authority (SF 115). Records are to be included in an SF 115 within one year of their creation or acquisition regardless of their physical form or characteristics. Records that have approval disposition authority from NARA (through inclusion in either the GRS or a prior SF 115) will not be included in a new SF 115 unless a change in previously approved disposition or an exemption to the GRS is being sought.

2.5 Schedule Development. The basic steps in developing records disposition schedules are as follows:

A. Inventory. Prepare an inventory of each type of record or series of records and include a clear description of the record for appraisal purposes. Although the majority of records created by any bureau are textual; records are not restricted to documents prepared on paper. Official Federal records also include microform, audio-visual records, maps, architectural drawings, and machine-readable tapes and diskettes; therefore, the physical form of the record should be an essential part of the description.

B. GRS Items. Identify any record items or series that have previously been scheduled by NARA and are included in the GRS. The GRS disposition authority is mandatory and will be adopted.

C. Microfilm Items. Proposals to microfilm unscheduled permanent records will include the proposed disposition of the original records and the microfilm. NARA will appraise the disposition of both. The proposed retention period for temporary records will be applied to the microfilm copies of the records; the original records can be destroyed upon verification of the microfilm, unless legal requirements preclude early destruction of the originals.

D. Appraisal. The unscheduled records in the inventory are then appraised by the bureau Records Management Officer in cooperation with individuals responsible for originating, using, and maintaining them. Provisions should be made for: file cutoff dates, time periods for the records to be retained in the office or in the Federal records centers; proposed dates for the destruction of temporary records in the office or in the Federal records centers; and the date permanent records will be offered to the National Archives. The following criteria should be applied when appraising records:

(1) Primary Values. Primary values are of interest only to the agency and many records or record series may have more than one primary value.

(a) Administrative Value - records have administrative value if they help a bureau perform its current work. Depending on the purpose they serve, the records can be of long or short-term value.

(b) Legal Value - records have legal value if they contain evidence of legally enforceable rights or obligations of the Government and the rights of persons to make claims against the Government.

(c) Fiscal Value - records have fiscal value when they relate to all financial transactions. Most records with primary fiscal value are already included in the GRS, but if they cannot be identified in the GRS the bureau shall obtain the approval of the General Accounting Office (GAO), prior to submitting a request to NARA. The following types of requests must be submitted to GAO for approval.

(i) to dispose of fiscal program records less than three years old;

(ii) to dispose of certain classes of records relating to claims and demands by or against the Government or an account in which the Government is concerned in accordance with the GAO Manual for guidance of Federal Agencies.

(d) Scientific and Technologic Value - records having scientific and technological value consisting of data gathered as a result of basic and applied research.

(2) Secondary Values. Secondary values which go beyond Department needs and interests must be reviewed from an archival point of view. These records can be classified by one or more of the following:

(a) Evidential Value - evidential value consists of records of bureau organizational structure, functions, policies, decisions, procedures, operations, or other activities. A great deal of these records are permanent.

(b) Informational Value - informational value consists of records that relate to the documentation that is created as a result of bureau programs as they relate to the following:

(i) persons - information about important people, lists of attendees at important meetings, records of corporation bodies, etc.

(ii) things - information about buildings, roads, land ownership and use, etc.

(iii) places - information about the topological, geological, and geographical features of an area as well as its history.

(iv) phenomena - records that contain data about what happens to persons, places, or things and describe conditions, activities, episodes, and circumstances which are usually related to a specific event.

2.6 Approval Procedures.

A. Internal. The unscheduled inventory items will be consecutively numbered and assembled on the SF 115 for approval by bureau officials and program personnel. Agency personnel should be asked to review the SF 115 using the following criteria.

(1) Are all unscheduled records included?

(2) Are retention periods adequate?

(3) Are descriptions clear?

(4) Are the standards and guidelines required for microform records defined and in compliance with NARA Regulations, 36 CFR 1230?

B. External.

(1) GAO. If GAO approval must be obtained for certain items in the disposal schedule (384 see 2.5D(1)(c)), that approval must be obtained prior to submitting the SF 115 to NARA.

(2) NARA. Delays in schedule approval can be avoided by first discussing problems and decisions with a NARA appraiser before the official submission of the SF 115. Upon receipt of the SF 115, the archivist will assign one job number which will apply to all items on the SF 115 and remain with the proposal throughout the approval process.

(a) Approval - If the archivist agrees with all the disposition determinations made by a bureau, the SF 115 is signed by the Archivist of the United States and copies of the SF 115 and the appraisal report are returned to the bureau.

(b) Disapproval - If the archivist determines that a proposed disposition is not consistent with the value of the records, a written notification will be made to the originating bureau. A bureau may request NARA to remove the disputed item from the SF 115 to expedite the appraisal process of the remaining items.

2.7 Approval of the Comprehensive Records Disposition Schedule. Draft schedules, arranged as they will be issued, will be submitted to NARA for approval. Each item on the schedule must reference the applicable job and item number (see 384 DM 2.6B(2)) or GRS and item number in compliance with FPMR Bulletin B-135. Four copies of an SF 115 must accompany the submission.

2.8 Publication of the Schedule. The formalized approved schedule shall be published in an authorized bureau directive and distributed for action to each office where records are created and maintained. The schedule may be developed to include all or part of the GRS to reflect items frequent to the bureau, or the GRS may be distributed as an appendix to the bureau schedule. Twenty copies of the published schedule will be sent to NARA for distribution to all Federal records centers. A schedule is a continuing authorization and will be used in all instances where the types of records described therein continue to accumulate.

2.9 Annual Review. Comprehensive records disposition schedules will be reviewed annually to ensure that all items are current. If changes and/or additions are necessary the procedures in 384 DM 2.6 will be followed.

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12/31/86 #3432

Replaces 12/31/86 #2721