Subpart 101-11.4-Disposition of Federal Records § 101-11.401 Records control schedules. § 101-11.401-1 Records scheduling pro grams. A records scheduling program is essential to promote a prompt and orderly reduction in the quantity of records in each Federal agency in accordance with the provisions of section 505(a) and 506 (b) of the Federal Records Act of 1950 (44 U.S.C. 395 (a), 396(b)) and the Records Disposal Act (44 U.S.C. 366). § 101-11.401-2 Basic elements in records scheduling programs. Three basic elements are present in a records scheduling program: (a) The taking of a complete inventory of the records in the custody of the agency. (b) The formulation of policy as to the disposition of each type or series of records and its statement in the form of a records control schedule. (c) The application of the records control schedule to effect the elimination or removal of records. § 101-11.401-3 Formulation of records control schedules. The following steps shall be taken in the development of records control schedules: (a) Each Federal agency shall compile a records control schedule for all major groups of records in its custody having importance in terms of content, bulk, or space and equipment occupied. For all Federal agencies in existence on June 30, 1964 (other than the judiciary, for which special arrangements will be made), such records control schedules shall be completed by June 30, 1965. For all Federal agencies created after June 30, 1964, such schedules shall be completed within one year after the creation of the agency. (b) Schedules shall clearly identify and describe the series of records covered, and shall contain instructions that, when approved, can be readily applied. Schedules must be readily adaptable to use along organizational lines, so that each office will have standing instructions for the disposition of records in its custody. (c) All schedules shall take into account the actual filing arrangements in existence, so that disposition of records can be physically accomplished in the largest blocks possible. (d) Nonrecord materials, such as extra copies of documents preserved for convenience of reference, stocks of processed documents, preliminary worksheets, and similar papers that need not be made a matter of record, shall not be incorporated in the official files of the agency. To the maximum extent possible, material not required for record purposes shall be disposed of; it should not be sent to file. In cases where transitory files of such materials are established and maintained in filing equipment, such files shall be controlled by means of instructions in the records control schedule. (e) Schedules shall be reviewed at least once annually to effect changes necessary to maintain their current status. § 101-11.401-4 Provisions of records control schedules. Records control schedules shall provide for: (a) The disposal after minimum retention periods of those records not having sufficient value to justify their further retention. Procedures for obtaining disposal authorization are prescribed in §§ 101-11.404 and 101-11.406. (b) The removal to a Federal Records Center (or to an agency records center approved under the provisions of § 10111.412) of those records which cannot be disposed of immediately but which need not be maintained in office space and equipment. Such records will be maintained by the records center pending their transfer or disposal. (c) The retention as current records in office space and equipment of the minimum volume of records consistent with efficient operation. Permanently valuable records retention program. issued) affecting the agency's records § 101-11.403-3 § 101-11.403 Standards for the selec- § 101-11.403-1 Authority. Section 506(a) of the Federal Records Act of 1950 (44 U.S.C. 396(a)) requires the head of each Federal agency to have "made and preserved records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency." Section 505(b) of this Act (44 U.S.C. 395(b)) directs the Administrator to establish standards for the selective retention of those records having continuing value, and to "assist Federal agencies in applying such standards to records in their custody." § 101-11.403-2 Records retention and disposal standards. The following standards govern the retention and disposal of agency records: (a) Records control schedules. These disposition schedules, developed by each Federal agency for all records in its custody as provided by § 101-11.401, designate classes of records of continuing value identified in the records retention plans. The schedules also specify retention periods for records not of continuing value. Formulation and application of these schedules, to provide for the orderly retirement and reduction of records in each agency, is mandatory as provided by § 101-11.401-3. (b) General records schedules. The schedules, issued by the Administrator, govern the retention and disposal of certain types of records common to all agencies. The schedules are permissive as provided by § 101-11.404. (c) Records retention plans. A separate plan for each agency or subdivision thereof governs the selective retention of records of continuing value. The [ plans, which are developed by the National Archives and Records Service in cooperation with the agency, are integral parts of agency programs for records retention and disposal as provided for by § 101-11.403-3. In an agency program to select permanently valuable records, the following four basic elements are present: (a) The taking of a complete inventory of records in the custody of the agency as provided by § 101-11.401. (b) The development by the National Archives and Records Service in cooperation with the agency, of a records retention plan designating the permanently valuable classes of records arising from agency functions. (c) The identification by the agency of the specific records or segments of files allocated to the classes specified for retention by the plan developed by the National Archives and Records Service. (d) The orderly maintenance and segregation by the agency of the records identified under paragraph (c) of this section. § 101-11.403-4 Application of records retention plans. Pursuant to the authority cited in § 101-11.403-1: (a) The National Archives and Records Service will furnish agencies with records retention plans as rapidly as they are developed. (b) Within 6 months after receipt of a plan, an agency will revise its records control schedules in accordance with the provisions of the plan to assure that all records designated in the plan are retained and periodically transferred to the National Archives or to a Federal Records Center, as appropriate. (c) Until such time as an agency's records retention plan is prepared, existing records control schedules remain in effect. reviewed annually by the agency, in or(d) Records retention plans are to be der to recommend necessary changes to the National Archives and Records Service. (e) The National Archives and Records Service will conduct periodic inspections to assure that the provisions of § 101-11.403-3(d) are being carried out (§ 101-11.103). § 101-11.404 General retention and disposal schedules. (a) Section 505(b) of the Federal Records Act of 1950 (44 U.S.C. 395(b)) directs the Administrator of General Services to establish standards for the selective retention of records of continuing value. (b) Section 15 of the Records Disposal Act (44 U.S.C. 380) prescribes that no records of the United States Government shall be alienated or destroyed except in accordance with the provisions of the Act. (c) Section 4 of the Records Disposal Act (44 U.S.C. 369) authorizes the Administrator of General Services to submit to the Congress schedules proposing the disposal, after the lapse of specified periods of time, of records of a specified form or character common to several or all agencies that either have accumulated or may accumulate in such agencies and that apparently will not, after the lapse of the periods specified, have sufficient administrative, legal, research, or other value to warrant their further preservation by the United States Government. (For other schedules for submission to the Congress, see § 101-11.406.) (d) These General Records Schedules, when reported upon favorably by the Joint Committee on Disposition of Executive Papers, constitute authority to dispose of the records included therein. Agencies may apply this authority subject to approval of the Comptroller General of the United States when required by section 9 of the Records Disposal Act (44 U.S.C. 374). Such common records disposal authority is permissive and not mandatory. Provisions of the General Records Schedules may be applied to records in the custody of the Archivist of the United States at his discretion. Agencies desiring authority to dispose of records covered by such schedules after different periods of time than the periods set forth in the General Records Schedules shall make request therefor in the manner prescribed by § 101-11.406. In addition, since the staff agencies involved have approved the standards embodied in these schedules, such requests shall be supported by an explanation of the basis for the shorter retention period proposed. § 101-11.404-2 Approved general reeords schedules. The General Records Schedules governing the retention and disposal of the following types of records common to several or all agencies, and instructions for using the schedules, are available at the Office of Federal Records Centers, National Archives and Records Service, GSA. All new schedules, as they are prepared, will be distributed by GSA Bulletins issued and signed by the Archivist of the United States. (a) Schedule 1. Civilian Personnel Records. (b) Schedule 2, Payrolling and Pay Administration Records. (c) Schedule 3, Procurement and Supply Records. (d) Schedule 4, Property Disposal Records. (e) Schedule 5, Budget Preparation. Presentation, and Apportionment Records. (f) Schedule 6, Accountable Officers' Accounts. (g) Schedule 7, Expenditure Accounting Records. (h) Schedule 8, Stores, Plant and Cost Accounting Records. (i) Schedule 9, Travel and Transportation Records. (j) Schedule 10, Motor Vehicle Maintenance and Operation Records. (k) Schedule 11, Space and Maintenance Records. (1) Schedule 12, Communications Records. Duplication and Distribution Records. (m) Schedule 13, Printing, Binding. (n) Schedule 14, Informational Services Records. (0) Schedule 15, Housing Records. (p) Schedule 16, Administrative Management Records. (q) Schedule 17, Cartographic, Photogrammetric, and Related Records. (r) Schedule 18, Security and Protective Service Records. (s) Schedule 19, Research and Development Records. § 101-11.405 [Reserved] $101-11.406 Agency disposal authority. § 101-11.406-1 Authority. Section 15 of the Records Disposal Act (44 U.S.C. 380) prescribes that no records of the United States Government shall be alienated or destroyed except in accordance with the provisions of the Act. It further requires the Administrator of General Services to establish procedures to be followed by Federal agencies in compiling and submitting lists and schedules of records proposed for disposal. § 101-11.406–2 requests. submission of the disposal request to the National Archives and Records Service. § 101-11.406-5 Approval of requests for disposal authority. After review by the National Archives and Records Service, the request, with the Archivist's recommendation, is transmitted to the Congress as required by the Records Disposal Act. If the Joint ComSubmission of disposal mittee on Disposition of Executive Pa Requests for authorization to dispose of records shall be initiated by Federal agencies by submitting records disposal lists or schedules to the National Archives and Records Service on Standard Forms 115 and 115a, Continuation Sheet, as revised (§§ 101-11.4902 through 10111.4904). Standard Form 115 may be used for submitting either a list or schedule, by checking either A or B, respectively, under entry 6. Authority contained in an approved list is limited to records already in existence and should be used only when records of the types described are no longer accumulating. A schedule gives continuing authorization, and will be used in all cases where the types of records described in the request will continue to accumulate. The signing of Standard Form 115 by a properly authorized agency representative shall constitute certification that the records described do not have, or will not have after the expiration of the retention period indicated, sufficient administrative, legal, or fiscal value to the agency itself to warrant further retention. Appraisal by the National Archives and Records Service will be limited to review for possible value to other agencies of the Government, and for research or historical value. § 101-11.406-4 General Accounting Office clearance. Each Federal agency shall obtain the approval of the Comptroller General of the United States, as required by section 9 of the Records Disposal Act (44 U.S.C. 374), for the disposal of certain classes of records relating to claims and demands by or against the Government or to accounts in which the Government is concerned. Such approval shall be obtained either prior to or concurrently with the pers makes a favorable report on the request, the Archivist shall notify the agency thereof by returning one copy of completed Standard Form 115. This constitutes the disposal authorization, which is mandatory. (For extension of retention periods or withdrawal of disposal authority, see §§ 101-11.406-7, 10111.406-8.) Such authorized disposal shall be accomplished as prescribed in § 101-11.408. (a) Sections 505(b) and 506(f) of the Federal Records Act of 1950 (44 U.S.C. 395(b), 396 (f)) impose upon the Administrator of General Services and the heads of Federal agencies responsibilities for preventing the unlawful removal, defacing, alteration, or destruction of records. (b) The penalties for the willful and unlawful destruction, damage, or alienation of Federal records are contained in the U.S. Criminal Code (18 U.S.C. 2071). (c) Private files are not governed by these provisions. Pursuant to section 505 (f) of the Federal Records Act of 1950 (44 U.S.C. 395 (f)), in cases of emergency or when it is in the interest of economy, the head of a Federal agency may retain records authorized by Congress for disposal after the specified retention period. When records are so retained, a copy of the directive directing such retention shall be furnished to the Administrator and such records shall be disposed of as soon as is administratively practicable. § 101-11.406-8 Withdrawal of disposal authority. In cases of emergency or when it is in the interest of efficiency of Govern ment operations, GSA pursuant to section 505 (f) of the Federal Records Act of 1950 (44 U.S.C. 395 (f)), will withdraw disposal authorizations contained in disposal schedules approved by the Congress. Such withdrawal may apply to particular items on schedules submitted by agencies, or may apply to all existing authorizations for the disposal of a specified type of record obtained by any or all agencies of the Government. If the withdrawal is applicable to only one agency, that agency will be notified of such action by letter signed by the Archivist of the United States; if applicable to more than one agency, notification may be by GSA Bulletin issued and signed by the Archivist of the United States. § 101-11.406-9 Supersession of posal authority. dis Disposal authorizations contained in disposal schedules approved by the Congress are automatically superseded by Congressional approval of a later schedule applicable to the same records, unless the later schedule specifically provides that both the earlier and later schedules shall be applicable, at the agency's discretion. § 101-11.407 Emergency authorization for the disposal of records. § 101-11.407-1 General provisions. Under certain conditions, records may be disposed of without regard to the provisions of § 101-11.406. § 101-11.407-2 Menaces to human health or life or to property. (a) Section 10 of the Records Disposal Act (44 U.S.C. 375) authorizes disposal whenever it is determined that records constitute a continuing menace to human health or life or to property. Whenever the head of an agency has determined that records constitute such a menace, he shall notify the National Archives and Records Service, specifying the nature of the records, their location and quantity, and the nature of the menace. If the National Archives and Records Service concurs in the determination, the immediate removal of the menace by the destruction of the records or by other appropriate means will be directed. However, if the determination is with respect to still or motion picture film on nitrocellulose base that has deteriorated to the extent described in paragraph (b) of this section, the head of the agency may follow the procedures therein provided. (b) Whenever any radar scope, aerial, or other still or motion picture film on nitrocellulose base has deteriorated to the extent that it is soft, is emitting a noxious odor, contains gas bubbles, or has retrograded into an acrid powder, and the head of the agency having custody of it determines that it constitutes a menace to human health or life or to property, he may cause such menace to be eliminated immediately by (1) Arranging for its destruction in a manner that will salvage its silver content; (2) Burning, in the event the quantity is not sufficiently large to justify the salvaging of its silver content; or (3) Other appropriate methods in the event that the methods provided in subparagraph (1) or (2) of this paragraph are not feasible. (c) Such films should be removed from inhabited buildings as soon as possible. (d) Those to be burned should be submerged in water-filled drums and conveyed to a remote spot, approved by fire authorities, for burning. Preferably, only one reel should be burned at a time, but in no event should more than 25 pounds be burned at the same time. The rapid production of gases by burning film makes it extremely dangerous, particularly if burned in a furnace or other confined space. Within thirty days after the destruction of the film as provided in this section, the head of the agency who directed its destruction shall submit a written statement to the National Archives and Records Service describing the film and showing when, where, and in what manner the destruction was accomplished. |