U.S ATOMIC ENERGY COMMISSION AEC MANUAL TRANSMITTAL NOTICE

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP72-00450R000100150022-2
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 10
• Document Creation Date: December 23, 2016
• Document Release Date: February 6, 2014
• Sequence Number: 22
• Publication Date: December 18, 1961
• Content Type: FORM

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Form AEC -489
(8-61)
U. S. ATOMIC ENERGY COMMISSION
AEC MANUAL
TRANSMITTAL NOTICE
Appendix 0230 RECORDS DISPOSITION
SUPERSEDED: TRANSMITTED:
TN
Number Date Number
TN 0200-16
Date
Chapter Chapter
Page iii, 9, 10, 13, 17, 18 10/3/60 Page iii, 9, 10, 13, 17, 18 12/18/61
Exhibit 5 10/3/60 Exhibits 5, 6, 7 12/18/61
Appendix 0230 (handbook) Appendix 0230 (handbook)
REMARKS:
The attached pages of appendix 0230 have been revised or prepared to reflect the
reporting requirements of the records management program and to clarify re-
quirements regarding microfilming. The reporting requirements were formerly
contained in chapter 0220 which was cancelled by TN 0200-15 dated December 18,
1961.
The attached pages are being given limited distribution since they are intended for
holders of the original handbook, appendix 0230. All holders of part 0200 receive
this Transmittal Notice but not necessarily the revised pages.
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RECORDS DISPOSITION
TABLE OF CONTENTS
Appendix 0230
Foreword
Page
Part I Records Scheduling and Disposal Procedures and Standards
1
A. Summary of Procedure
1
B. Inventory
1
C. Established Retention and Disposal Standards
3
D. Guides for Use of Established Standards
3
E. Identifying and Evaluating Nonrecord Material
5
F. Record Items Not Covered by Established Standards
5
G. Retirement Periods and Cut Off Instructions
5
H. Final Preparation, Coordination and Distribution of RIDS
5
J. Restrictions Affecting the Disposal of Records
6
K. Applying Records Disposition Schedules
8
L. Appraisal
10
M. Standard Retention Periods
11
N. Statement of Retention Periods
11
0. Obtaining New Disposal Authority
12
P. Dis:Iosal of Discontinued Files
13
Q. Indefinite or Permanent Records
13
R. Microfilm Projects
13
Part II Standards for Retirement and Storage of Noncurrent Records
15
A. Retirement Standards
15
B. Establishment of Records Storage Facilities
16
C. Records Centers
17
D. Records Storage Areas
20
E. Transfers of Records
21
Annex A Definitions
23
Annex B AEC Records Retention and Disposal Schedules
Annex C Cost-type Contractor Records Retention and Disposal Schedules
Exhibit 1 Form AEC-384, "Records Inventory and Disposition Schedule"
Exhibit 2 Form AEC-384a, "Records Inventory and Disposition Schedule
(continuation sheet)"
Exhibit 3 Form AEC-331, "Records Retention and Disposal Authorization"
Exhibit 4 Cost Comparison-Microfilm vs. Storage
Exhibit 5 Retirement of Records (suggested form)
Exhibit 6 Form AEC-317, "Annual Report of Records Holdings"
Exhibit 7 Standard Form 137, "Agency Records Center Annual Report"
iii Approved: December 18, 1961
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RECORDS DISPOSITION
files have been established for several
years. After the initial disposals have
been made, the remaining records which
are eligible for retirement should be
removed from the files and retired
immediately.
6. Periodic Applications. Subsequent peri-
odic disposals should be made at inter-
vals corresponding to the type of
retention period. For example, a reten-
tion period of "three fiscal years"
should be applied about July 1 of each
year. Thus on July 1, 1961, all records
of the filing unit from July 1, 1957 to
June 30, 1958, would be disposed of,
thereby retaining records for three
fiscal years (July 1, 1958 through
June 30, 1961). On July 1, 1962, records
will be on hand for four fiscal years
(July 1958 through June 1962). At that
time, one year's records would be dis-
posed of (July 1958 through June 1959)
and three years records would be re-
tained.
Retention periods stated or implied in
calendar years should be applied about
January 1 each year, disposing of and
retaining records for complete calendar
years (January through December).
Retention periods in terms of months,
as six months or three months, should
be applied each month. Thus for a record
with a retention period of six months,
the maximum retention would be seven
months and the minimum six months.
Retention periods ending or beginning
upon the occurrence of an event are
applied literally without regard to com-
plete years. Thus a period of "five years
after final settlement of contract" means
that if the contract was settled or paid off
on March 1, 1957, the records are dis-
posable on March 1, 1962, and should be
disposed of at that time.
A retention period stated in terms of
years but which is contingent upon the
occurrence of an event is applied at the
end of the time interval if the event has
occurred; otherwise it is applied when
the event occurs. For example, an
accounting record has a retention period
"three years, provided notic e of comple-
tion of GAO audit has been received." On
July 1, 1961, the records for the period
July 1957 through June 1958 would be
disposable under a three-year period.
However, if the last GAO notice of audit
completion covered the period through
June 1957, the three-year period cannot
9
APPENDIX 0230
be applied. If the GAO notice is received
in November 1961 covering the period
through June 1958, the records for the
fiscal year July 1957 through June 1958
should be destroyed immediately.
7. Follow-up Actions. Unless responsibility
for applying schedules is centralized for
an operations office or contractor or-
ganization, local procedures should be
established providing for annual or
semiannual follow-ups to assure that
files custodians dispose of records peri-
odically in accordance with approved
schedules. One of several methods as
described below may be effective de-
pending upon local circumstances and
preferences.
a. The Records Officer reviews the files
of each organizational unit and checks
the retained records againstRIDS. He
reconciles any discrepancies by as-
sisting the files custodian in dis-
posing of any over age records or by
reporting such discrepancies as ap-
propriate.
This method of follow-up is generally
the best since the Records Officer
can, at the same time, review files
for other purposes. For example, he
may find that the most appropriate
kind of filing equipment is not being
used or that the filing system should
be changed. Also he can gather data
on records holdings and disposals as
required by subsection 0230-046
(see exhibit 6).
b. Each organizational unit is required
to submit an annual report on records
disposals making references to the
items on its RIDS and giving volume
and inclusive dates for each item dis-
posed of.
This method requires considerable
paperwork but it may be desirable for
installations committed by policy and
experience to decentralized opera-
tions.
c. Internal audit groups check the appli-
cation of RIDS in connection with
their periodic financial and functional
audits.
This method is effective only if audits
are made of the. entire installation
once a year.
As a corollary or supplement to any
follow-up method, a central review
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APPENDIX 0230
should be made of all requisitions or
requests for filing equipment to assure
that disposable or retirable records are
not being retained in office space and
equipment.
8. Reviews of Schedules. The schedules
shall be reviewed at least once annually
to effect any changes necessary to
maintain their current status. Such
changes may include:
a. shortening of retention periods as a
result of re-evaluation of long term
or indefinite records or to conform
with changes in AEC retention and
disposal standards.
b. occasional lengthening of retention
periods when necessary to meet local
requirements, or to conform with
changes in AEC retention and dis-
posal standards.
c. addition of new items to the schedule
consisting of filing units created
since original schedule was pre-
pared, or of items overlooked in
original inventory.
d. removal or deletion of items from
the schedule consisting of discon-
tinued files which have been disposed
of in their entirety.
e. changes in retirement periods to
meet reference needs of the organi-
zation.
L. Appraisal
As indicated in section F above, record
items on the inventory not covered by
existing retention and disposal standards
are appraised or evaluated to determine
appropriate retention periods. These items
should have been identified on the inventory
with "to be developed" posted in column 7
of the RIDS form. The recommended reten-
tion periods, when finally approved, will
become AEC-wide standards unless the
records involved are unique to the installa-
tion. In appraising records for retention
and disposal, consideration is given to
existing standards and to administrative,
legal, scientific, research and historic
values.
1. Existing Standards. AEC and contractor
records schedules, containing approved
retention and disposal standards, pro-
vide practical guidance in developing
retention periods for related or similar
records. They should be used for this
Approved: December 18, 1961
10
RECORDS DISPOSITION
purpose during the appraisal process in
order to maintain consistency in the
establishment of retention periods.
2. Administrative Values. A records ad-
ministrative value is its usefulness in
carrying on the activities of the organi-
zational unit, the over-all organization,
or the AEC as a whole. Pastand present
reference requirements normally indi-
cate administrative value and, for most
records, provide sufficient appraisal
data for establishing retention periods.
However, some records possess con-
tinuing administrative values and should
be preserved for long or indefinite
periods even though normal references
are limited to a short period of time. In
this group are those which document the
development and establishment of pro-
grams, policies and procedures and
those reflecting the organization of AEC
and its components. For example, record
copies of organization charts with func-
tional statements, record copies of local
supplements to AEC manual chapters and
local issuances not based on AEC Manual
chapters, together with supporting case
files of comments and concurrences,
are retained indefinitely even though
there may be no reference to the com-
pleted files.
3. Legal Values. Records have legal value
if they contain evidence of legally en-
forceable rights or obligations of the
Government. Among the obligations are
the legal rights of persons, both em-
ployees and nonemployees, to make
claims against the Government. Records
having legal value include those showing
the basis for action, such as legal de-
cisions and opinions; and documents
representing legal authority or agree-
ments, such as title, leases, and con-
tracts.
In imputing legal value to records, the
probability of the records in question
being needed as evidence should be con-
sidered. Statutes of limitations are not
necessarily controlling factors in the
establishment of retention periods. For
example, contractors paid payroll
checks are disposable after three years
even though in most jurisdictions the
applicable statute of limitations is six
years. In this instance experience shows
that controversies and claims over the
payment of wages and salaries arise in a
matter of hours or days--not of years.
4. Audit Values. The value of the records
for audit purposes should be taken into
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RECORDS DISPOSITION
2. Headquarters Actions. Forms AEC-331
are examined at Headquarters for con-
formance with established policies, reg-
ulations and statutes; coordinated with
interested divisions and offices; and
reviewed by the Office of the General
Counsel. Unless the record is unique to
the submitting office or installation, the
request for congressional or other dis-
posal authority is written to cover simi-
lar records wherever located. When the
authorities are obtained, they are posted
to the forms AEC-331, and the originals
and samples are returned to the sub-
mitting operations office. If the authori-
ties are applicable to all AEC offices
and/or all cost-type contractors, other
operations offices, as well as the sub-
mitting office, are so advised. Action is
taken to publish the newly obtained dis-
posal authorizations in annexes B and C
of this handbook. However, pending pub-
lication, the authorities may be used
wherever applicable.
P. Disposal of Discontinued Files
While part I is concerned primarily with
the periodic disposal of records throughthe
establishment and application of retention
periods, it is recognized that many records
of AEC and its contractors do not lend
themselves to the scheduling process. These
records consist of discontinued files which
have no further retention values. Records
which have ceased to accumulate and which
possess insufficient values to warrant
further retention are disposed of in their
entirety as soon as authority is obtained.
Form AEC-331 is utilized for requesting
authority for the immediate disposal of
discontinued files in the same manner as it
is used for the establishment of retention
standards.
Q. Indefinite or Permanent Records
Form AEC-331 is also prepared for filing
units on RIDS scheduled for indefinite or
permanent retention unless the records are
designated for such retention in the appli-
cable retention and disposal standards.
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APPENDIX 0230
While Headquarters and congressional ap-
provals are not required for indefinite
retention periods, a copy of the form AEC-
331 is sent to Headquarters for use in
establishing retention standards as appro-
priate.
R. Microfilm Projects
Microphotography, to be followed by the
destruction of the original papers, may be
considered as a means of reducing the bulk
of records material. However, microfilming
is not always an economic solution to rec-
ords retention and storage problems. Rec-
ords which are disposable in 15 years or less
c an usually be stored during the entire period
for less than the cost of the microfilming op-
erations. A chart illustrating a comparison
of average costs is provided in exhibit 4.
Form AEC-331 is utilized to request au-
thority to microfilm records when the object
is to destroy the paper materials. Pro-
posals for the arrangement, identification,
indexing, and a cost comparison should be
included with the form AEC-331. Micro-
filming operations shall not be initiated
until Congressional approval is obtained.
Several AEC-wide authorities have been
obtained for microfilming specific records
of AEC and contractor activities as in-
dicated in the retention and disposal sched-
udes published in Annexes B and C. These
and other AEC or contractor records for
which authorities are obtained may be
microfilmed upon the approval of the ap-
propriate field office.
All microfilm projects shall be accom-
plished in accordance with the standards
prescribed in GSA Regulations, Title 3,
Federal Records, Section 105.00, Repro-
duction of Permanently Valuable Records,
and with applicable security regulations.
Offices desiring guidance in the technical
aspects of microfilming should refer to
Technical Manual TM 12-257, "Microfilm-
ing of Records," issued by the Department
of the Army.
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RECORDS DISPOSITION
A few AEC field offices operate records
centers and submit annual reports on
their activities as required by sub-
section 0230-046 (see exhibit 7). Other
field offices and several area offices
maintain records storage areas to house
noncurrent records.
Several of the larger contractors oper-
ate records centers. Many others
maintain records storage areas for non-
current records.
C. Records Centers
1. Purpose. A records center is a facility
especially equipped for the storage
of large collections of noncurrent
records and staffed to perform neces-
sary and appropriate records services.
Such facilities are designed
to:
a.
Preserve records in economical
space and equipment.
Storage space costs less than office
space. Steel shelving and cardboard
boxes cost much less per cubic foot
of capacity than filing cabinets and
card files.
b. Release filing equipment for reuse
in housing current records.
This prevents the purchase of addi-
tional filing equipment.
c. Reduce the requirements for ex-
pensive office space by transfer-
ring records from existing office
space.
d. Provide reference service by fur-
nishing the records or the informa-
tion therefrom.
Many records centers furnish
faster reference service than is
provided by the current files
organization.
e. Protect records of permanent, in-
definite or long-term values.
17
APPENDIX 0230
Good records centers usually afford
better facilities for the protection
and preservation of concentrated col-
lections of records than is practical
for the individual offices served by
the center.
f. Identify and dispose of useless rec-
ords in accordance ? with approved
disposition schedules.
Records center personnel are skilled
in the use of disposition schedules.
They know how to apply retention
periods and have access to facilities
for burning or otherwise disposing
of records.
2. Cost standards. Since the main purpose
of a records center is to preserve and
service records economically, careful
consideration should be given to costs
before deciding to establish a records
center instead of a records storage area.
Initial costs and annual operating costs
are both pertinent cost factors. Initial
costs include construction of a building
or renovation of an existing structure,
and procurement of equipment such as
steel shelving and cardboard boxes.
For the purpose of making cost esti-
mates on an annual basis, all building
costs are prorated (amortized) over ZO
years and equipment costs over 10 year s.
These annual amounts are added to
regular annual operating expenses (sal-
aries, space maintenance, etc.) to arrive
at the total annual cost. If the total
annual cost is more than $3.00 per
cubic foot of records to be housed in
the facility, the records center is not
economically sound. A cost of less
.3than $2.00 per cubic foot is more to
be desired.
An example is given below to illustrate
the application of the cost principles
stated in the above paragraph. Most of
the figures are taken from an actual
records center in the AEC program;
the remainder are based on averages.
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APPENDIX 0230
Cost of building - new construction
Initial
Costs
RECORDS DISPOSITION
Annual
Costs
$26.000.00
Cost per year (prorated over 20 years)
$1,300.00
Cost of equipment
Steel shelving
4,000.00
Cardboard boxes
1,000.00
Other equipment
100.00
5,100.00
Cost per year (prorated over 10 years)
510.00
Total building and equipment cost
31,100.00
1,810.00
Personnel cost per year (one person)
6,000.00
Other annual expenses
200.00
8,010.00
Cubic feet of records to be housed
(5,000)
Annual cost per cubic foot
$1.60
Since the annual cost is much less than
center is economically sound.
3. Staffing standards. The number of em-
ployees needed to operate a records
center is dependent upon several factors
which affect the workload. These are:
a. the volume of records in the custody
of the center.
b. the degree of activity in the records,
or the frequency of reference.
C. the quantity and variety of repords
received by the center periodically.
d. the proportion of records subject to
periodic disposal.
e. the amount of security classified rec-
ords received, stored, serviced and
disposed of.
A study of several AEC and contractor
records centers indicates that the vol-
ume of records on hand (3a. above),is the
most logical single factor on which to
base staffing estimates. Thus it is ap-
parent that one employee is needed for
each 3500 to 4500 cubic feet of records
in the custody of the center. This figure
may, therefore, be used as a guide in
planning new facilities and in evaluating
established ones.
An average AEC-contractor records
center (according to the study referred
to above) would have 12,000 cubic feet
of records on hand." Five to ten percent'
of these would be security classified
thereby requiring special handling in
receipt, charge-out, and disposal. Three
employees would man the facility.
Approved: December 18, 1961 18
$2.00 per cubic foot, the records
About 8000 reference services would
be furnished annually. Approximately
1200 cubic feet of records would be
received by the center each year and a
comparable amount disposed of.
4. Space standards.Records centers should
be established in accordance with the
space and layout standards set forth
below:
a. Centers should be established in
existing low cost structures instead
of in newly constructed buildings.
Warehouse-type buildings of masonry
or brick construction are preferred
with large undivided floor areas and
a ceiling height of at least 12 feet.
Such buildings normally are not
suitable for office space but are well
adapted to records center use.
b. Adequate fire protection should be
available. An automatic sprinkler
system with hourly guard inspection
at night is usually sufficient for this
purpose.
c. If classified records are to be stored,
adequate security safeguards should
be established in accordance with
local requirements. Minimum safe-
guards consist of vault-type doors
with combination locks and protected
windows.
d. Whenever practical and economical,
consideration should be given to the
joint use of one building by AEC and
on-site contractors.
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RETIREMENT OF RECORDS
Page of
Shipment
Number
Retiring Office
Location
Custodian
Volume of
Records
Access (authorized to use)
Lj Not Restricted
0 Restricted (Furnish
Names or Titles)
Box No.
Description of Records
Inclusive Dates
Highest
Security
Class.
Retention Period
and
Schedule Reference
From
To
The above described records have been received in the Records Center
Signature
Date
S flIHX
mama:Ism SCIII0Dall
0E10 XICINaciciV
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APPENDIX 0230
Form ABC-317
(12-60
ATOMIC ENERGY COMMISSION
ANNUAL REPORT OF
RECORDS HOLDINGS
EXHIBIT 6
4. Volume of records (cu. ft.) :
(a) At beginning of reporting period
(b) Destroyed
(c) Transferred outside custody of reporting office. (Indi-
cate below organizations receiving records.)
(d) Received by transfer from outside reporting office. (In-
dicate below organizations transferring records.)
(e) At end of reporting period
5. Cubic feet of records included in 4(e) above, located in rec-
ords center or other facility established and equipped for
economical storage and servicing of noncurrent records
6. Percentage of records by volume inventoried and scheduled
for retention or disposal
7. This space for additional information, if necessary
8. Name and title of person signing report
1. To:
2. From (Installation reporting):
3. Fiscal year ending:
AEC
9. Signature
10. Date
INSTRUCTIONS FOR PREPARING REPORT
Letter of transmittal is unnecessary in submitting this
report.
Include nonrecord material except library books and bulk
files of publications and processed documents.
Custody rather than ownership is the determining factor in
reporting records in the AEC or Contractor column.
Volume of records at the beginning of the reporting period
(Item 4(a)), should be the same as reported at the end of the
reporting period (Item 4 (e) ), on the previous year's report.
Necessary adjustments should be reflected in Items 4(4), (c),
or (e) of the current report and explained in Item 7 of the
report form.
Records inventoried and scheduled for retention or disposal
(Item 6), refers to those records covered by approved Records
Approved: December 18, 1961
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RECORDS DISPOSITION
Contractor
Total
Inventory and Disposition Schedule, Form AEC--384, or
equivalent
Cubic feet may be calculated as follows:
Filing cabinets (letter or legal size) 1% Cu. ft. per drawer
Bookcases 2 cu. ft. per section
Transfer case 1% Cu. ft.
Card files:
3 x 5 Mo cu. ft. in 12 linear inches
4 x 6 . % cu. ft. in 12 linear inches
5 x 8 % cu. ft. in 12 linear inches
Tabulating cards 10,000 per Cu. ft.
Map cases and other outsized equipment?inside cubic meas-
urement of containers.
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RECORDS DISPOSITION
EXHIBIT 7
APPENDIX 0230
STANDARD FORM 137
APRIL 1953 AGENCY RECORDS CENTER
GENERAL SERVICES ADMINISTRATION
REGULATION NO. 3-IV-401.00 ANNUAL REPORT
I. REPORT FOR FISCAL YEAR ENDING
2. DEPARTMENT OR AGENCY
INSTRUCTIONS: This form (original only) is to be submitted
within 60 days after the close of each fiscal year to the National
Archives and Records Service, General Services Administration,
Washington 25, D. C., for each Agency Records Center.
3. LOCATION OF RECORDS CENTER (Street, city, and Stets)
4. Volume of records on hand at the begin-
fling of the fiscal year (cubic feet)
9. Average number of personnel employed
by the center during the fiscal year
5. Volume of records accessioned during the
fiscal year (cubic feet)
10. Average amount of space occupied by the
center during the fiscal year (sq. ft.)
6. Volume of records disposed of during the
fiscal year (cubic feet)
11. Number of 4- and 5-drawer units of steel
filing equipment utilized at the end of the
fiscal year
7. Volume of records transferred from the
center during the fiscal year (cubic feet)
12. Number of steel transfer cases (drawers)
utilized at the end of the fiscal year
8. Volume of records on hand at the end of
the fiscal year (cubic feet)
13. Total number of reference services during
the fiscal year*
14 DATE
16. SIGNATURE
15 TITLE OF PERSON SIGNING REPORT
NOTE: Nonrecord material is to be included in the volume totals.
*Reference services comprise (1) each file item furnished on loan or for reproduction or for reference use in the center and (2) each
occasion on which information is furnished from the records (orally or written). A file item may be a single document, a folder, a
bound volume, etc., depending upon the physical manner in which the records are stored, removed and furnished to the inquirer.
If the request is for one document or several documents filed separately, each document constitutes a file item. If the request is for
certain folders, each folder constitutes an item, etc.
Approved: December 18, 1961
GPO 922650
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