CODE OF FEDERAL REGULATIONS TITLE 41---CHAPTER 101 SUB-CHAPTER B ARCHIVES AND RECORDS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP78-00453A000100050011-6
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 40
• Document Creation Date: December 23, 2016
• Document Release Date: November 20, 2013
• Sequence Number: 11
• Publication Date: December 1, 1971
• Content Type: MISC

Declassified and Approved For Release 2013/11/20: CIA-RDP78-00453A000100050011-6
RECORDS MANAGEMENT STAFF PAPER NUMBER 11
? CODE OF FEDERAL
REGULATIONS
Title 41---Chapter 101
? Sub-Chapter B
ARCHIVES AND RECORDS
DECEMBER 1971
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- I
Part 10177 Title ,41-Chapter.1 01
SUBCHAPTER B-ARCHIVES AND RECORDS "
PART 101-7 [RESERVED]
PART 101-8-NATIONAL HISTORI-
CAL PUBLICATIONS COMMISSION
[RESERVED]
PART 101-9-101-10 [RESERVED]
PART 101-11-RECORDS .
MANAGEMENT
Sec.
101-11.000 Scope of part.
Subpart 1 01-1 1.1-Federal Records; General
101-11.101 General provisions.
101-11.101-1 Authority.
101-11.101-2 Applicability.
101-11.101-3 Records defined. ? ? ,
101-11.101-4 Reports to the President and
the Congress.
101-11.102 Agency records management
?; programs.
101-11.102-1 'Authority.
101-11.102-2 ? Program content.
101-11.102-3 Creation of records.
101-11.102-4 Organization, maintenance,
and use of records.
101-11.102-5 Disposition of records.
101-11.102-6 Liaison offices.
? 101-11.102-7 Annual summary of records
holdings
101-11.103 Agency program evaluation.
101-11.103-1 Authority.
101-11.103-2 Evaluation by National Ar-
chives and Records Service.
101-11.103.3 Agency internal evaluation.
Subpart 101-11.2-Creation of Records
101-11.200
101-11.201
101-11.201-1
101-11.202
101-11.202-1
101-11.202-2
101-11.203
101-11.203-1
101-11.203-2
101-11.204
101-11.205
101-11.206
101-11.206-1
Scope of subpart.
General provisions.
Agency action.
Adequate and proper
mentation.
Statutory responsibilities. ?
Documentation standards.
Creating records essential for
current business.
Statutory responsibilities.
General requirements.
[Reserved]
[Reserved]
Correspondence-agency
gram responsibilities.
Correspondence management
f
docu-
pro-,
unction.
101-11.206-2 Correspondence defined.
101-11.206-3 Program requirements.
101-11.206-4 Program implementation.
101-11.207 Reports-agency program re-
sponsibilities. ? , -
101-11.2074 The reports manaiemelitlune-
tion. -? ? ? ? =
101-11.207-2 Reports defined.
? .
Sec.
101-11.207-3 Program requirements.
101-11.207-4 Program implementation.
101-11.208 Forms-agency program re-
sponsibilities.
101-11.208-1 The forms management func-,
tion.
101-11.208-2 Forms defined.
101-11.208-3 Program requirements.
101-11.208-4 Program implementation.
101-11209 Directives-agency program re-
sponsibilities.
101-11.209-1 The directives management
function.
101-11209-2 Directives defined.
101-11209-3 Program requirements.
101-11.209-4 Program implementation.
101-11.210 Automatic data processing rec-
ords; agency program re-
sponsibilities.
101-11.210-1 ADP records management
function.
101-11.210-2 ADirnedrecords management de-
,
101-11.210-3 Program requirements.
101-11.210-4 Program implementation..
Subpart 1 01-1 1.3-Organization, Maintenance,
and Use of Current Records'.
101-11.301 General provisions.
101-11.301-1 Authority.
101-11.301-2 Agency action.
101-11.302 [Reserved]
101-11.303 [Reserved)
101-11.304 Mail-agency program respon-
sibilities.
101-11.304-1 The mail management func-
tion.
101-11.304-2 Mail defined.
101-11.304-3 Program requirements.
101-11.304-4 Program implementation.
101-11.305 Files-agency program respon-
sibilities.
101-11.305-1 The files management func-
tion.
101-11.305-2 Files defined.
101-11.305-3 Program requirements.
101-11.305-4 Program implementation.
101-11.306 Records equipment and sup-
plies-agency program re-
sponsibilities.
101-11.306-1 Managing records equipment
and supplies.
101-11.306-2 Records equipment and sup-
plies defined.
101-11.306-3 Program requirements.
101-11.306-4 Program implementation.
Subpart 101-11.4-Dispositton of Federql
Records
101-11.401 Records control schedules:
101-11.401-1 Records scheduling programs.
101-11.401-2, Basic elements in records
" ? ' scheduling programs.'
101-11.401-3 Formulation of records Control
schedules.
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Title 41.-Chapter 101 Part 101-11
See.
Sec.
101-11.401-4
Provisions of records control
schedules.
101-11.401-5 Application of records control
schedules.
101-11.402 [Reserved]
101-11.403 Standards for the selective re-
tention of records.
101-11.403-1 Authority.
101-11.403-2 Records retention and disposal
standards.
101-11.403-3 Permanently valuable records
'retention program.
101-11.4034 Application of records reten-
tion plans.
101-11.404 General retention and dis-
posal schedules.
101-11.404-1 Authority.
101-11.404-2 Approved General Records
Schedules.
101-11.405 [Reserved]
101-11.406 Agency disposal
101-11.406-1 Authority.
101-11.406-2 Submission of re
quests.
101-11.406-3 Certification.
101-11.406-4 General Accounting Office
clearance.
101-11.406-5'. Approval of requests for dis-
posal authority.
101-11.406-6 Mutilation and destruction of
records.
101-11.406-7 ? Extension of retention periods.
101111.406-8 Withdrawal of 'disposal au-
thority.
101-11.406-9 Supersession of disposal au-
thority.
101-11.407 - Emergency authorization for
the disposal of records.
101-11.407-1 General provisions.
101-11.407-2 Menaces to human health or
life or to property. ?
101-11.407-3 State of war or threatened war.
101-11.408 Methods of disposal.
101-11.408-1 Authority.
authority.
dispoial
101-11.408-2 Sale or salvage.
101-11.408-3 Donation for preservation anti
use.
101-11.408-4 Destruction.
101-11.409 Transfer of records' from the
custody of one executive
r.gency to another.
101-11.409-1 Authority.
101-11.409-2 Approval.
101-11.409-3 Agency request.
101-11.409-4 Agency concurrences.
101-11.409-5 Records of terminated agen-
cies.
101-11,409-6 Equipment.
101-11.409-7 Costs of transfers.
101-11.409-8 Restrictions on use of records.
101-11.409-9 Exceptions.
101-11.410 Transfer of records to Federal
Records Centers.
101-11.410-1 Authority.
101-11.41672 Procedures' for transfers to
? regional F.ederal Records
Centers.
101-11.410-3 Procedures for transfer to the
Federal Records Center, St.
Louis.
101-11.410-4 Vital operating records.
101-11.410-5 Surveys of records available
for transfer.
101-11.410-6 Release of equipment.
101-11.410-7 Servicing transferred records.
101-11.410-8 Disposal clearances.
101-11.411 Transfer of records to the
National Archives.
101-11.411-1 ". Authority.
101-11.411-2 Transfers via Records Centers.
101-11.411-3 Direct transfers.
101-11.411-4 Release of equipment.
101-11.411-5 --Use of records transferred 'te
the National Archives.'
101-11.411-6r Disposal clearances.
101-11.411-7 Transfer of ' audiovisual rec-
ords.
101-11.411-8 Transfer of cartographic
records.
101-11.412 Agency records centers; estab-
lishment.
101-11.412-1 Authority.
101-11.412-2 Existing records centers; .
101-11.412-3 Requests for authority to es-
. ? tablish or relocate records
centers.
101-11.412-4 Annual agency records center
report.
Subpart 101-11.5-Microfliming ,
101-11.600 . Scope of subpart.
101-11.501 Services available.
101-11.501-1 Central source of information
on microfilming.
101-11.501-2 Technical advice and assist-
ance on microfilm programs,
101-11.501-3 Central reimbursable Micro-
filming service.
?uo
101-11.502 Requests for service.
Subpart 101-11.6-Records Equipment and
Supplies
[Reserved]
[Reserved]
Stationery standards.
General provisions.
Standard specifications.
Letterhead stationery.
Memorandum stationery.
Continuation sheets.
Manifold (tissue) sheets.
Reserved ]
Envelopes (printing).
Envelopes; borders, markings,
etc.
101-11.603-10 Procurement forms.
101-11.603-11 Optional Form 10, United
States Government Memo-
randum, May 1962.
101-1L603-12 .Standard Form 63, Memomn.-
? dum of Call, Nov. 1961.
101-11.603-13 Standard Form 65, U.S. Gov-
ernment Messenger Envel-
ope, Nov. 1961.
101-11.603-14 Optional P 0 r m 27, United
' '?' ? States Cloyernment 2-way
Memo. ?
101-11.601
101-11.602
101-11.603
101-11.603-1
101-11.603-2
101-11.603-3
101-11.603-4
101-11.603-5
101-11.603-6
101-11.603-7
101-11.603-8
101-11.603-9
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Part 101-1
Title 41-.Chapter 101
Subpart 101-11.7-Vital Records: Records.
During an Emergency
Sec.
10141.701
Emergency preparedness ? pro-
gram; vital records protec-
tion status report. .
101-11.701-1 Purpose.
101-11.701-2 Authority.
101-11.701-3 Background.
101-11.701-4 Forms.
101-11.701-5 Definitions.
101-11.701-6 Preparing offices and coverage..
101-11.701-7 Security.
101-11.7014 Reporting periods and due
dates.
101-11.701-9 Copies and distribution;
101-11.701-10 Availability of forms.
Subpart 101-11.8-Standard and Optional
Forms
101-11.800 Scope.
101-11.801 Exclusions.
101-11.802 Background.
101-11.803 Definitions.
101-11.803-1 Forms.
101-11.803-2 Standard forms.
101-11.803-3 Optional forms.
101-11.803-4 Promulgating agency.
101-11.803-5 Sponsoring agency.
101-11.804 Procedures to promulgate,
modify, or discontinue
Standard forms.
101-11.804-1 Clearance and promulgation.
101-11.804-2 Modifications and exceptions.
101-11.804-3 Proposed discontinuance.
101-11.805 Procedures to establish, revise,
or discontinue Optional
forms.
101-11.806 Standard 'and Optional forms
used as public retorts.
101-11.807 Procurement.
101-11.808 Initiating Standard and Op-
tional forms projects.
101-11.808-1 Initiating new Standard forms.
101-11.808-2 Initiating new Optional forms.
101-11.809 Selected Standard forms for
which GSA is designated as
promulgating agency.
101-11.809-1 Standard forms for requisi-
tioning printing and bind-
?ing.
101-11.809-2 Standard forms for reporting
accidents and for processing
claims under the Federal
Tort Claims Act.
101-11.809-3 Standard forms for medical
examination and clinical and
health records.
101-11.810 Designation of agency liaison
representative.
?
Subpart 101-11.9-Source Data Automation
In Paperwork Systems
101-11.900 Scope.
101-11.901 Definition of source data auto-
, . . motion. -, ? ? ,
161-11.902 ;:,Need for source data automa-
tion. .
?
Sec.
101-11.903 Criteria for the use of source
data automation.
101-11.904 Application of source data
automation.
. Subparts 101-11.1 0-1 0 1-11.4 8 [Reserved]
Subpart 101-1 1.4 9-Forms and Reports
101-11.4900 Scope of subpart.
101-11.4901 Standard Form 136: Annual
Summary of Records Hold-
ings.
101-11.4902 Standard Form 115: Request
for Authority to Dispose of
Records.
101-11.4903 Standard Form 115a: Request
for Authority to Dispose of
Record s-Continuation
Sheet.
Instructions for preparing
Standard Forms 115 and
115a.
Standard Form 137: Agency
Records Center Annual Re-
port.
Standard Form 127: Request
for Official Personnel Fold-
er (Separated Employee).
Standard Form 135: Records
Transmittal and Receipt.
Standard Form 135a: Records
Transmittal and Receipt-
(Continuation ) .
GSA Form 439: Report of
Disposition of Records.
Optional Form 11: Reference
Request-Federal Records
Centers.
GSA Form 10: United States
Government Memorandum.
Optional Form 10: United
States Government Memo-
randum.
Standard Form 63: Memo-
randum of Call.
Standard Form 65: U.S. Gov-
ernment Messenger En-
velope.
Optional Form 27: United
States Government 2-Way
Memo.
"Guides to Simplified In-
formal Correspondence".
GSA Form 2034: Vital Rec-
ords Protection Status Re-
port (Part I-Emergency
Operating Records).
GSA Form 2036: Vital Rec-
ords Protection Status Re-
port (Part II-Rights and
Interests Records).
Standard Form 152: Request
? for Clearance and Procure-
ment-Standard and Op-
tional Forms.
Standard Form 180: Request
? , Pertaining to Military Ree-
101-11.4904
101-11.4905
101-11.4906
101-11.4907
101-11.4908
101-11.4909
101-11.4910
101-11.4911
101-11.4912
101-11.4913
101-11.4914
101-11.4915 ?
101-11.4916
101-11.4917
101-11.4918.
101-11.4920
101-11.4921
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Title 41?Chapter 101 ? 101-11.102-2
Atrrnosrry: The provisions of this Part
101-11 issued under sec. 205(c), 63 Stat. 390;
40 U.S.C. 486(c).
SOURCE: The provisions of this Part 101-11
appear at 29 P.R. 16807, Dec. 12, 1964, unless
otherwise noted.
? 101-11.000 Scope of part.
This part prescribes policies and pro-
mulgates standards, procedures, and
techniques for the economical and effi-
cient management of records of Federal
agencies.
Subpart 101-11.1?Federal Records;
General
?101-11.-.101 General provisions.
? 101-11.101-1 Authority.
The regulations in this subpart are is-
sued pursuant to the authority contained
In the Act of July 7,1943, as amended (44
U.S.C. 366-376,378-380), hereinafter re-
ferred to as the Records Disposal Act,
and the records provisions of the Federal
Property and Administrative Services Act
of 1949, as amended (44 U.S.C. 391-396,
397-401).
? 101-11.101-2 Applicability.
The regulations in this subpart apply
to all Federal agencies to the extent pro-
vided in the Acts cited in ? 101-11.101-1,
except that the disposal of court records
shall be in accordance with the provi-
sions of 28 U.S.C. 457. Section 3 of the
Federal Property and Administrative
Services Act (40 U.S.C. 472) defines "Fed-
eral agency" as "any executive agency or
any establishment in the legislative or
Judicial branch of the Government (ex-
cept the Senate, House of Representa-
tives, and the Architect of the Capitol and
any activities under his direction)." The
same section defines "executive agency"
as "any executive department or inde-
pendent establishment in the executive
branch of the Government, including
any wholly owned Government corpora-
tion."
? 101-11.101-3 Records defined.
(a) Section 1 of the Records Disposal
Act (44 U.S.C. 366) defines the term
"records," as applied to the disposition
of records, to include "all books, papers,
maps, photographs, or other documen-
tary materials, regardless of physical
form or characteristics, made or received
by any agency of the United States Gov-
ernment in pursuance of Federal law Or
,in connection with the transaction of
public business and preserved or appro-
priate for preservation by that agency
or its legitimate successor as evidence
of the organization, functions, policies,
decisions, procedures, operations, or
other activities of the Government or
because of the informational value of
data contained therein. Library and
museum material made or acquired and
preserved solely for reference or exhibi-
tion purposes, extra copies of documents
preserved only for convenience of refer-
ence, and stocks of publications and of
processed documents are not included
within the definition of the word 'rec-
ords' ? *
(b) This definition also applies to the
term "records" when used in the Federal
Records Act of 1950, by virtue of section
511(a) thereof (44 U.S.C. 41(a) ). The
Federal Records Act of 1950 was enacted
as Title V (sections 501-511) of the Fed-
eral Property and Administrative Serv-
ices Act of 1949, as amended (44 U.S.C.
391-396,397-401).
? 101-11.101-4 Reports to the Presi-
dent and the Congress.
Section 508(b) of the Federal Records
Act of 1950 (44 U.S.C. 398 (b) ) provides:
"The Administrator shall, whenever he
finds that any provisions of this title
have been or are being violated, inform
In writing the head of the agency con-
cerned of such violations and make rec-
ommendations regarding means of cor-
recting them. Unless corrective meas-
ures satisfactory to the Administrator are
inaugurated within a reasonable time,
the Administrator shall submit a written
report thereon to the President and the
Congress."
? 101-11.102 Agency records manage-
ment programs.
? 101-11.102-1 Authority.
Section 506(b) of the Federal Records
Act of 1950 (44 U.S.C. 396 (b) ) requires
the head of each Federal agency to es-
tablish and maintain an active, continu-
ing program for the economical and
efficient management of the records of
the agency.
? 101-11.102-2 Program content.
Agency programs shall, among other
things, provide for:
(a) Effective controls over the cre-
ation, the organization, maintenance and
use, and the disposition of all agency
records.
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? 101-11.102-3
Title 41?Chapter 101
(b) Cooperation with GSA in develop-
ing and applying standards, procedures,
and techniques designed to improve the
management of records, assure the main-
tenance and security of records of
continuing value, and facilitate the
segregation and disposal of all records of
temporary value.
(c) Compliance with the provisions of
the Federal Records Act?of 1950 and with
the regulations issued thereunder.
(d) Compliance with ? 101-25.104-2 in
connection with the moratorium on the
purchase of new filing cabinets.
129 F.R. 16807, Dec. 12, 1964, as amended at
30 P.R. 4757, Apr. 14, 19651
? 101-11.102-3 Creation of records.
Adequate records management con-
trols over the creation of agency records
shall be instituted to insure that im-
portant policies and decisions are ade-
quately recorded; that routine opera-
tional paper work is kept to a minimum;
and that the accumulation of unneces-
sary files is prevented. Effective tech-
niques to be applied in this area include
the application of systems for the control
of correspondence, forms, directives and
Issuances, and reports; the minimizing
of duplicate files; and the disposal with-
out filing of transitory material that has
no value for record purposes.
? 101-11.102-4 Organization, mainte-
nance, and use of records.
Provision shall be made for the con-
tinued analysis and improvement of such
matters as mail handling and routing,
record classification and indexing sys-
tems, the use of filing equipment and
supplies, the reproduction and transpor-
tation of records, and work production
standards relating thereto, to insure that
records are maintained economically
and efficiently and in such a manner that
their maximum usefulness is attained.
? 101-11.102-5 Disposition of records.
Provision shall be made to insure that
records of continuing value are preserved
but that records no longer of current use
to an agency are promptly disposed of or
retired. Effective techniques for accom-
plishing these ends are the development
of records control schedules; the trans-
fer of records to records centers and to
the National Archives; the microfilming
of appropriate records; and the disposal
of valueless records.
001069891
? 101-11.102-6 Liaison offices.
Responsibility for the development of
the records management program shall
be specifically assigned to an office or
offices within each Federal agency. The
office to which the major responsibility
is assigned shall be reported for liaison
purposes to the National Archives and
Records Service.
? 101-11.102-7 Annual summary of
records holdings.
Each Federal agency shall submit to
the National Archives and Records Serv-
ice within 30 days after the close of each
fiscal year a summary of its records
holdings on Standard Form 136, Annual
Summary of Records Holdings (see
? 101-11.4901) . Instructions for prepar-
in the report are on the form. The
summary may be a consolidation for an
entire agency, or, if more practical,
separate reports may be submitted for
bureaus or comparable organizational
units.
133 P.R. 8775, June 15, 1968)
? 101-11.103 Agency program evalua-
tion.
? 101-11.103-1 Authority.
Section 505(c) of the Federal Records
Act of 1950 (44 U.S.C. 395(c) ) author-
izes the Administrator of General Serv-
ices to inspect or survey, personally or
by deputy, the records of any Federal
agency, as well as to make surveys of
records management and records dis-
posal practices in such agencies.
? 101-11.103-2 Evaluation by National
Archives and Records Service.
Agency programs for controlling the
creation, maintenance, and use of cur-
rent records; for the selective retention
of records of continuing value; and for
the disposal of noncurrent records will
be inspected periodically by the National
Archives and Records Service. The ob-
jectives of these inspections are to:
(a) Determine agency compliance with
the provisions of the Records Disposal
Act and the Federal Records Act of 1950.
(b) Determine agency observance of
the regulations set forth in this Subpart
101-11.1.
(c) Evaluate the effectiveness of
agency records management programs.
? 101-11.103-3 Agency internal evalu-
ation.
Each agency should periodically in-
spect their records management pro-
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tit
'
1.
grants within the agency, with the fre-
quency and depth permitted by the
agency's resources. These inspections
should have objectives similar to those
listed in ? 101-11.103-.2, and should be
designed to complement the inspections
performed by the National Archives and
Records Service. Criteria for agency
self-inspection are available from the
National Archives and Records Service.
Subpart .101-11.2?Creation of
Records
? 101-11.200 Scope of subpart.
(a) Sections 505 and 506 of the Fed-
eral Records Act of 1950 (44 U.S.C. 395,
306) place upon the Administrator of
General Services and the heads of Fed-
eral agencies responsibility for the de-
velopment and implementation of stand-
ards and programs for the economical
and efficient management of Federal rec-
ords. Specifically, the Act requires that
, each Federal agency provide for effective
controls over the creation of records, in-
cluding the making of records contain-
ing adequate and proper documentation
of agency administration and operations.
(b) Effective controls over records cre-
ation must encompass all types of records
at all levels of organization, central office
and field. Specifically, there are four
types of records which require continu-
ing attention. These types?correspond-
ence, reports, forms, and directives?are
common to all agencies. Generally these
records are created on sheets of paper,
but they may also appear on punch cards,
film, tape, and other media.
? 101-11.201 General provisions.
? 101-11.201-1 Agency action.
(a) The head of each Federal agency,
In meeting the requirements of section
506 of the Federal Records Act of 1950
for controlling the creation of records, is
expected to observe the program respon-
sibilities and standards set forth in this
Subpart 101-11.2. These responsibilities
and standards are basic to the Govern-
ment-wide control of records creation;
however, the application of the program
responsibilities by individual agencies
may be influenced by factors such as
agency size, organization, mission, and
paperwork activity.
(b) Each Federal agency is expected
to:
(1) Assign to an office(s) of the
agency the responsibility for the de-
velopment and implementation of
agencywide management programs for
correspondence, reports, forms, ADP
records, and directives and for adequate
and proper documentation. When or-
ganization arrangement, size, or com-
plexity requires, actual control may be
established at bureau, service, or office
level. Programs at these control points
will operate within the framework of the
overall agency plan.
(2) Issue a directive(s) establishing
program objectives, responsibilities, and
authorities. A copy of each directive
issued (and subsequent amendments or
supplements) should be readily avail-
able for inspection by the National Ar-
chives and Records Service, GSA.
129 F.R. 16807, Dec. 12, 1964, as amended at
32 F.R. 3147, Feb. 22, 19671
? 101-11.202 Adequate and proper doe-
. umentat ion.
? 101-11.202-1 Statutory responsibili-
ties.
(a) Section 505(a) of the Federal Rec-
ords Act of 1950 (44 U.S.C. 395(a) ) vests
in the Administrator of General Services
responsibility for developing and issuing
standards to improve the management
? of records.
(b) Section 506(a) of the Federal Rec-
ords Act of 1950 (44 U.S.C. 396(a) ) re-.
quires that the head of each Federal
agency "shall cause to be made and pre-
served records containing adequate and
proper documentation of the organiza-
tion, functions, policies, decisions, pro-
cedures, and essential transactions of the
agency and designed to furnish the in-
formation necessary to protect the legal
and financial rights of the Government
and of persons directly affected by the
agency's activities."
? 101-11.202-2 Documentation stand-
ards.
To insure that adequate and proper
records are made and preserved in the
Federal Government, the following docu-
mentation standards will apply in each
Federal agency:
(a) The record of the transaction of
public business by any Federal official
or employee is to be complete to the ex-
tent required (1) to facilitate informed
action by the incumbents and their suc-
cessors in office; (2) to make possible a
proper scrutiny by the Congress, other
duly authorized agencies of the Govern-
ment, and other persons properly and
directly concerned, of the manner in
which, public business has been clis-t
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I ?i01-11.203 Title 41?Chapter 101
1 . ?
charged; and (3) to protect the financial,
legal, and other rights of the Govern-
ment and of persons affected by the
Government's actions.
(b) With particular regard to the for-
mulation and execution of basic Govern-
ment policy, Federal officials are respon-
sible for incorporating in the records of
their agencies all essential information
on their major actions. Significant de-
cisions and commitments reached orally
(person to .person, by telephone, or in
conference) should be reduced to writing
and included in the record. Minutes
should be taken at important board, com-
mittee, and staff meetings, and these,
together with a copy of the agenda and
all documents considered at or resulting
from such meetings, should be made a
part of the record.
(c) The programs, policies, and pro-
cedures of Federal agencies are to be
adequately documented in appropriate
directives. A record- copy of each such
directive (including those superseded)
will be maintained as a part of the of-
ficial files.
(d) Papers of a private or nonofficial
character which pertain only to an indi-
vidual's personal affairs that are kept in
the office of a Federal official will be
clearly designated- by him as nonofficial
and will at all times be filed separately
from the official records of his office. In
cases where matters requiring the trans-
action of official business are received in
private personal correspondence, the
portion of such correspondence that per-
tains to official business will be extracted
and made a part?of the official files (see
? 101-11.406-6).
? 101-11.203 Creating records essen-
tial for current business.
? 101-11.203-1 Statutory responsibili-
ties.
(a) Section 505(a) of the Federal Rec-
ords Act of 1950 (44 U.S.C. 395(a) ),
vests in the Administrator of General
Services responsibility for developing
and issuing standards to improve the
management of records and for promot-
ing the efficient utilization of space,
equipment, and supplies needed for
records.
(b) Section 506(b) of the Federal
Records Act of 1950 (44 U.S.C. 398(b))
requires that the head of each Federal
agency "shall establish and maintain an
active, continuing program for they
economical and efficient management of
the records of the agency. Such prod'
gram shall, among other things, provide
for (1) effective controls over the crea-
tion * ? ? of records in the conduct of
current business ? ? ?." Correspond-
ence, reports, forms, machine readable
records together with supporting docu-
mentation, and directives are the min-,
cipal types of records created on a cur-
rent basis by Federal agencies.
129 P.R. 16807, Dec. 12, 1964, as amended at
32 F.R. 3147, Feb. 22, 1967]
? 101-11.203-2 General requirements.
Positive action is to be taken to
prevent the making of unnecessary
records. Existing and proposed office
procedures are to be subject to continu-
ing examination by agency management
with a view to determining their effect
on recordmaking. Where justified, such
procedures will be revised, consolidated,
or eliminated to keep recordmaking tea
minimum. In addition, the detailed pro-
gram requirements for correspondence,
reports, forms, directives management,
and ADP records management set forth
In the following sections of this subpart
are to be observed.
132 P.R. 3147, Feb. 22, 1967]
? 101-11.204 [Reserved]
? 101-11.205 [Reserved]
? 101-11.206 Correspondence?agency
program responsibilities.
? 101-11.206-1 Correspondence man-
agement function.
The objectives of correspondence man-
agement are to limit correspondence to
essential requirements, to improve the
quality of necessary correspondence, and
to provide for its creation in an eco-
nomical and efficient manner.
? 101-11.206-2 Correspondence de-
fined.
Correspondence is a generic term in-
cluding letters, form letters, telegrams,
memorandums, endorsements, stunmary
sheets, postal cards, memo routing slips,
and other written communications.
? 101-11.206-3 Program requirements.
(a) Each Federal agency, in providing
for effective controls over the creation
of records,. is expected to establish an
appropriate program for the manage-
ment of agency correspondence (? 101-
11.201-1) . The program will:
(1) Prescribe the types of correspond-
ence to be used in official agency com-
munications.
38
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1itle 41?Chapter 101 *101-11.207-2
(2) Establish and implement agency
standards concerning the number and
kind of copies required, their distribu-
tion and purpose.
(3) Implement .the correspondence
standards set forth in the U.S. Govern-
ment Correspondence Manual and in
pertinent GSA Records Management
Handbooks, with such modifications as
may be necessary for specialized agency
practices.
(4) Implement the Government-wide
standards issued by GSA for the pro-
curement and use of letterheads, mani-
fold paper, memorandum forms, and
envelopes.
(5) Review, on a continuing basis,
agency correspondence practices and
procedures to find opportunities for im-
provement and simplification.
(b) Standards, guides, and instruc-
tions developed for the agency corre-
spondence management program are to
be in published form, designed for easy
reference and revision. They should be
readily available to those who write, re-
view, sign, type, and file correspondence.
? 101-11.206-4 Program implementa.
tion.
The following actions are generally
basic to a correspondence management
program:
(a) Prepare only necessary corre-
spondence and essential copies.
(b) Use form letters to the maximum
extent possible following the standards,
guides, and principles set forth in the
GSA Records Management Handbook,
Form Letters.
(c) Employ guide letters and para-
graphs where practical, following the
standards, guides, and principles set
forth in the GSA Records Management
Handbook, Guide Letters.
(d) Originate letters that are care-
fully planned, easily read and under-
stood, and responsive to the needs of
the recipient by applying the standards,
guides, and principles set forth in the
GSA ? Records Management Handbook,
Plain Letters.
(e) Prepare correspondence that is
consistent in style and format, neat and
attractive in appearance, and editorially
correct by applying the standards,
guides, and principles set forth in the
U.S. Government Correspondence
Manual.
(f) Develop and implement procedures
hat expedite the clearance and hau-
ling of correspondence.
39
(g) Provide for periodic spotchecks of
agency correspondence to determine
compliance with standards.
? 101-11.207 Reports?agency program
responsibilities.
? 101-11.207-1 The reports manage-
ment function.
The primary objectives of reports
management are to provide agency man-
agement officials with needed informa-
tion at times and places, and in the for-
mat most useful to them, and to furnish
this information as economically and
efficiently as possible. The reports man-
agement function is also concerned with
the review, approval, and clearance with
the Bureau of the Budget of reporting
plans and forms, as required by the Fed-
eral Reports Act (Bureau of the Budget
Circular No. A-40, Revised, May 25,
1962).
? 101-11.207-2 Reports defined.
(a) A report is data or information,
generally summarized, transmitted for
use in determining policy; planning, con-
trolling, and evaluating operations and
performance; and preparing other re-
ports. The data or information may be
in narrative, statistical, graphic, or other
form.
(b) Most reports of an agency can be
classified as belonging to one of several
well defined families or groups of re-
ports. Each group of related reports is
generally the product of an informa-
tion system serving a specific adminis-
trative or operational area, such as
personnel, budget, or procurement.
Consequently, the analysis of reports on
a systems basis provides the best means
of establishing reports relationships and
evaluating information need and
adequacy.
(c) Certain categories of reports nor-
mally are exempted from review and
clearance in an agency reports manage-
ment program. These usually include:
inspection and audit reports; security
classified documents; copies of operat-
ing documents such as individual supply
and procurement transactions; and in-
formation presentations such as research
findings, technical summaries, special
studies, and surveys. Reports to be ex-
empted should be determined by an anal-
ysis of agency information requirements.
(d) Reports to and from other agen-
cies, as well as those for internal man-
agement, are included in agency review
and clearance procedures.
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101-11.207-3 Title 41?Chapter 101
? 101-11.207-3 Program requirements.
(a) Each Federal agency, in providing
for effective controls over the creation of
records, is expected to establish an ap-
propriate program for the management
of agency reports (? 101-11.201-1) . The
program will:
(1) Establish and implement stand-
ards and procedures for the identifica-
tion of management information needed
for planning and control.
(2) Establish and implement stand-
ards and procedures for the design of
management information systems.
(3) Establish and implement stand-
ards and procedures for the initiation,
identification, review, approval, prepa-
ration, and distribution of agency
reports.
(4) Provide essential management in-
formation concerning the number and
types of reports in use and, for re-
ports which require a significant amount
of manpower, the estimated cost of ob-
taining, using, and maintaining them.
(5) Provide for the periodic review of
approved reports for need, adequacy,
design, and economy of preparation and
use.
(b) Standards, guides, and instruc-
tions developed for the reports manage-
ment program are to be published, de-
signed for easy reference and revision.
They should be reaidly available to re-
ports originators and users.
? 101-11.207-4 Program implementa-
tion.
The following actions are generally
basic to a reports management program:
(a) Establish and maintain an inven-
tory of reports for each agency manage-
ment information system.
(b) Determine, from the inventory of
agency reports, whether information
available is adequate for management
purposes.
(c) Determine the kinds of manage-
ment information systems that best
serve management.
(d) Analyze all reports inventoried
and all reports submitted for approval
in the future to determine that:
(1) The information is adequate, nec-
essary, meaningful, and useful.
(2) The information is obtained from
the best available source and in the sim-
plest manner.
(3) The estimated cost of gathering
the information does not exceed its man-
agement value.
(e) Require that each request for a
new or revised report explain how the
report will be used.
(f) Require that each report be sup-
ported by a directive setting forth in-
structions for preparation and submis-
sion.
? 101-11.208 Forms?agency program
responsibilities.
? 101-11.208-1 The forms manage-
ment function.
The objectives of forms management
are to increase the usefulness of forms
through proper design and accurate us-
ing procedures; to reduce costs incident
to filling in, using, and filing forms; and
to achieve savings in designing, printing,
storing, and distributing forms.
? 101-11.208-2 Forms defined.
A form is any document, including let-
ters, post cards, and memorandums,
printed or otherwise reproduced with
space for filling in information, descrip-
tive material, or addresses. Certain
printed items without fill-in space, such
as contract provisions, instruction sheets,
notices, tags, labels, and posters, may be
considered as forms when it is advan-
tageous to identify and control them as
forms for purposes of reference, printing,
stocking, distribution, and use with other
forms.
? 101-11.208-3 Program requirements.
(a) Each Federal agency, in providing
for effective controls over the creation
of records, is expected to establish an
appropriate program for the manage-
ment of agency forms (? 101-11.201-1)
The program will:
(1) Establish and implement stand-
ards and procedures for the submission,
review, approval, and identification of
agency forms.
(2) Implement the forms analysis and
design standards set forth in pertinent
GSA Records Management Handbooks.
(3) Establish and implement stand-
ards for the reproduction, stocking, and
distribution of approved blank forms.
(4) Provide essential management in-
formation concerning the number, types,
and the reproduction and stocking costs
of forms in use.
(5) Provide for the periodic review of
all approved forms for need and design,
and for possible economies in reproduc-
tion, stocking, and distribution.
(b) Standards, guides, procedures,
and instructions developed for the forms
40.
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'me ?? I m.7.14.11Uplet iv. ivi-e
management program are to be in pub-
lished form, designed for easy reference
and review. They should be readily
available to those who initiate, design,
and approve forms.
? 101-11.208-4 Program implement a.:
tion.
The following actions are generally
basic to a forms management program:
(a) Establish and maintain an in-
ventory of all agency forms.
(b) Analyze all forms inventoried and
all forms submitted for approval in the
future in accordance with standards,
guides, and principles set forth in the
GSA Records Management Handbook,
Forms Analysis.
(c) Review all forms inventoried and
all forms prepared in the future for
adequacy of design, maintaining the
standards, guides, and principles set
forth in the GSA Records Management
Handbook, Forms Design.
(d) Assign a form number and edition
date to each approved form.
(e) Review all requests for new forms
and reprints of approved forms to de-
termine that the forms are produced and
made available quickly and cheaply.
Specifically determine that:
(1) The most effective and econom-
ical methods of printing and distribut-
ing the form are employed, commensu-
rate with required quality and intended
use of the form.
(2) Proper and adequate inventory
level standards have been established.
(3) The quantity of the form re-
quested is compatible with procedural
and inventory requirements.
(4) An acceptable distribution plan
exists for making the form available
when and where needed.
(f) Require that each form be sup-
ported by a directive setting forth in-
structions for preparing, submitting, and
using. (Not applicable to self-explana-
tory forms used by a single organization-
al element such as an office, division, or
region.)
(g) Require that each request for a
new form justify the form's essentiality.
? 101-11.209 Directives?agency pro-
gram responsibilities.
? 101-11.209-1 The directives manage-
ment function.
The objectives of directives man-
agement are to facilitate agency admin-
istration and operations by providing the
right employee with the right instruc-
99-193-69----4
41.
tions; by producing instructions that are
complete, easily understood, readily ac-
cessible, and revisable; and by develop-
ing and distributing instructions
promptly and economically.
? 101-11.209-2 Directives defined.
(a) A directive is a written communi-
cation which initiates or governs action,
conduct, or procedure. Directives are
usually printed as circulars, notices, reg-
ulations, orders, and handbooks, and
include material for insertion in policy,
administrative, and operations manuals.
(b) Certain materials normally are
exempted from agency directives man-
agement programs. These include pub-
lic information materials such as pro-
fessional publications, news releases and
announcements of programs, catalogs,
and pricelists.
(c) Both internal and external direc-
tives are included in a directives man-
agement program.
? 101-11.209-3 Program requirements.
(a) Each Federal agency, in provid-
ing for effective controls over the crea-
tion of records, is expected to establish
an appropriate program for the manage-
ment of agency directives (? 101-11.201-
1) . The program will:
(1) Establish and maintain a system
for the classification, codification, and
supplementation of agency directives.
(2) Establish and implement stand-
ards and procedures for the initiation,
preparation, review, approval, reproduc-
tion, and distribution of proposed agency
directives.
(3) Establish and implement stand-
ards for the format and editorial style of
agency directives.
(4) Review periodically the directives
in the system for need and currency and
to identify subject voids that should
be filled by that origination of new
directives.
(5) Review, on a continuing basis, the
directives system to find opportunities
for design and operational improve-
ments.
(6) Maintain a collection of signifi-
cant directives which document the or-
ganization, functions, policies, decisions,
and procedures of the agency. This col-
lection will be an integral part of agency
documentation deserving permanent
preservation. (See Hi 101-11.202(c) and
101-11.403.)
(b) Standards, guides, and instruc-
tions developed for the directives man-
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? 101-11.209-4 Title 41?Chapter 101
agement program are to be in published
form, designed for easy reference and
revision. They should be readily avail-
able to those responsible for originating
and approving directives.
? 101-11.209-4 Program implementa-
tion.
The following actions are generally
basic to a directives management pro-
gram:
(a) Standardize the format, typog-
raphy, organization, assembly, and dis-
tribution of agency directives. Specifi-
cally:
(1) Use 8" x 101/2" page size as a
norm.
(2) Use looseleaf pages for easy re-
vision.
(3) Print on both sides of paper.
(4) Number and letter directives for
easy page revision and supplementation.
(5) Identify temporary and perma-
ment material by a feature that will
readily distinguish one from another.
(6) Prepunch all pages-3-hole punch,
%" recommended.
(7) Restrict use of pen and ink
changes.
(8) Distribute on a need-to-know and
need-to-act basis.
(b) Analyze all directives proposed for
inclusion in the system to determine
that:
(1) The directive is necessary.
(2) No duplication, overlap, or conflict
with other directives exists.
(3) The directive conforms with per-
tinent laws, Executive orders, regula-
tions, and agency policy.
(4) Appropriate coordination and
clearances have been completed.
(5) The proposed distribution includes
appropriate using sources, but is limited
to those who "need to know."
(c) Review all directives proposed for
inclusion in the system for conformance
with agency style, format, and editorial
Fiteria.
? 101-11.210 Automatic data processing
records; agency program responsi-
bilities.
[32 F.R. 3147, Feb. 22, 19671
? 101-11.210-1 ADP records manage-
ment function.
The objectives of ADP records man-
agement are to assure efficient and eco-
nomic automatic data processing by:
Using proper recording and preservation
techniques of valuable machine instruc-
42
tions and operating procedures; estab-
lishing standards for maintenance and
disposition of machine readable records;
developing optimum machine room pro-
cedures; and reviewing these record-
keeping practices on a continuing basis
to find opportunities for improvement.
[32 F.R. 3147, Feb. 22, 19671
? 101-11.210-2 ADP records manage-
ment defined.
ADP records management includes the
documentation of computer programs,
machine readable records, functional and
operational flow charts, job specifica-
tions, records showing the basic coding
structure, record layouts, printout plans
(formats) , and basic run instructions
(run books).
[32 F.R. 3147, Feb. 22, 19671
? 101-11.210-3 Program requirements.
(a) Each Federal agency, in providing
for effective controls over the creation
of records, is expected to establish an
appropriate program for the manage-
ment of ADP records (? 101-11.201-1).
The program will:
(1) Prescribe the types of records to
be used and maintained for the proper
documentation and preservation for
ADP operation;
(2) Prescribe the types of machine
readable records, together with the nec-
essary classification, labeling, recording,
and filing standards;
(3) Issue retention and disposal
standards for the records used in ADP
records management; and
(4) Review, on a continuing basis,
agency ADP recordkeeping practices and
procedures to find opportunities for im-
provement and simplification.
(b) Standards, guides, and instruc-
tions developed for the agency ADP rec-
ords management program are to be in
published form, designed for easy refer-
ence and revision.
[32 RR. 3147, Feb. 22, 19671
? 101-11.210-4 Program implementa-
tion.
Each agency should establish agency
standards for machine room operations
and issue instructions and guidelines in
the form of handbooks or manuals. Spe-
cifically, these standards should include:
(a) Identifying machine room records
through classification and labeling;
(b) Filing and controlling methods for
finding machine readable records;
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lutie 41?Lnapter 101 ? 101-11.304-3
(c) Preserving machine readable rec-
ords through proper maintenance tech-
niques;
(d) Scheduling the disposition and
retention of the records used in ADP
records management;
(e) Developing processing controls for
scheduling machine room jobs to assure
the optimum use of data processing
equipment; and
(f) Issuing forms and formats for
recording machine programs (instruc-
tions), functional and operational flow
charts, record layout, record coding
structure, printout plans, and basic
machine run instructions (run books).
132 F.R. 3147, Feb. 22, 1967]
Subpart 101-11.3?Organization,
Maintenance, and Use of Current
Records
? 101-11.301 General provisions.
? 101-11.301-1 Authority.
Section 506(b) of the Federal Rec-
ords Act of 1950 (44 396(b) )
requires that the head of each Federal
agency "shall establish and maintain an
active continuing program for the eco-
nomical and efficient management of the
records of the agency. Such program
shall, among other things, provide for
(1) effective controls over the ? * ?
maintenance and use of records in the
conduct of current business; * * *".
? 101-11.301-2 Agency action.
Each Federal agency is expected to:
(a) Assign to an office(s) of the
agency the responsibility for the de-
velopment and implementation of
agencywide management programs for
mail, files, and records equipment and
supplies. When organization arrange-
ment, size, or complexity requires, actual
control may be established at bureau,
service, or office level. Programs at
these control pciints will operate within
the framework of the overall agency
plan.
(b) Issue a directive(s) establishing
program objectives, responsibilities, and
authorities. A copy of each directive
(and subsequent amendments or supple-
ments) should be readily available for
inspection by the National Archives and
Records Service, GSA.
? 101-11.302 [Reserved]
? 101-11.303 [Reserved]
? 101-11.304 M a i I?agency program
responsibilities.
? 101-11.304-1 The mail management
function.
The objective of mail management is
to provide rapid handling and accurate
delivery of mail throughout the agency
at minimum cost. To do this processing
steps are kept to a necessary minimum;
sound principles of work flow are 813-
plied; modern equipment, supplies, and
devices are used; and, in general, opera-
tions are kept as simple as possible, so
as to increase efficiency.
? 101-11.304-2 Mail defined.
Mail consists of letters, telecommuni-
cations, memorandums, post cards, doc-
uments, packages, publications, and
other communications received for dis-
tribution or dispatch.
? 101-11.304-3 Program reqiurements.
(a) Each Federal agency, in provid-
ing for effective controls over the crea-
tion of records, is expected to establish
an appropriate program for the manage-
ment of agency mail (1101-41.301-2).
The program will:
(1) Establish and implement stand-
ards and procedures for the receipt, de-
livery, collection, and dispatch of mail.
(2) Implement the mail management
standards set forth in the OSA Records
Management Handbook, Agency Mail
Operations.
(3) Provide essential management in-
formation concerning the volume and
types of mail processed and time re-
quirements for internal delivery and
mailing.
(4) Review, on a continuing basis,
agency mail practices and procedures to
find opportunities for improvement and
simplification.
(b) Standards, guides, and instruc-
tions developed for the agency mail man-
agement program are to be in published
form, designed for easy reference and
revision. They should be readily avail-
able to those concerned with mail and
messenger operations. In addition, per-
tinent information for users of mail and
messenger services should be given the
widest possible dissemination.
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? 101-11.304-4 Title 41?Chapter iai
? 101-11.304-4 Program implementa-
tion.
The followng actions are generally
basic to a mail management program:
(a) Deliver mall to the action office
within shortest possible time after re-
ceipt. (Objective should be 4- to 6-hour
delivery.)
(15) Establish realistic time limits for
replying to White House and Congres-
sional mail, and to public correspond-
ence. Limit preparing letters of a purely
acknowledgment nature to cases in
which a considerable time may be needed.
for a substantive reply.
(c) Limit mail followup control to se-
curity mail or mail important because of
Its source or content.
(d) Make maximum and proper use
of Post Office Department services and
facilities.
(e) Develop and install procedures
that expedite and limit mail clearance,
reviews, and signing.
(f) Provide central control with es-
tablished schedules for messenger serv-
ices.
? 101-11.305 Files?agency program
responsibilities.
? 101-11.305-1 The files management
function.
The objectives of files management
are to organize agency files so that
needed records can be found rapidly,
complete records are ensured, the selec-
tion and retention of records of archival
value are facilitated, and the disposition
of noncurrent records is accomplished
promptly. All services are to be per-
formed with maximum economy in per-
sonnel, equipment, and supplies.
? 101-11.305-2 Files defined.
A file is basically a paper or folder of
papers, but the term is used to denote
paper s, photographs, photographic
copies, maps, or other recorded informa-
tion regardless of physical form or
characteristics, accumulated or main-
tained in filing equipment, boxes, or on
shelves, and occupying office or storage
space. Stocks of publications and blank
forms are excluded.
? 101-11.305-3 Program requirements.
(a) Each Federal agency, in Providing
for effective controls over the creation of
records, is expected to establish an ap-
propriate program for the management
of agency files (? 101-11.301-2). The
program will:
(1) Establish and implement stand-
ards and procedures for:
(i) Classifying, indexing, and filing
records.
(ii) Providing reference services to
filed records.
(iii) Locating active files to facilitate
agency use of records.
(2) Implement the files classification,
operations, and placement standards set
forth in pertinent GSA Records Manage-
ment Handbooks.
(3) Review the program periodically
to determine the adequacy of the system
and its effectiveness in meeting requests.
(b) Standards, guides, and instruc-
tions developed for the files management
program are to be in published form,
designed for easy reference and revision.
They should be readily available to all
employees concerned with files opera-
tions. In addition, pertinent informa-
tion for users of files and reference serv-
ices should be given the widest possible
dissemination.
? 101-11.305-4 Program implementa-
tion.
The following actions are generally
basic to a files management program:
(a) Standardize classification and fil-
ing schemes to:
(1) Achieve maximum uniformity and
ease in maintaining and using agency
records.
(2) Facilitate disposal of records in
accordance with applicable records dis-
posal schedules.
(3) Facilitate possible later consolida-
tion of identical type files presently
maintained at different locations.
(b) Formally authorize official file
locations. Prohibit the maintenance of
files at other than authorized locations.
(c) Standardize reference service
procedures to facilitate the finding,
chargeout, and refiling of agency records.
(d) File accumulations of papers re-
ceived at file locations on a daily basis.
(e) Standardize, to the maximum ex-
tent possible, the equipment and supplies
used in filing and reference service
operations. Use standard items stocked
by the Federal Supply Service.
) Audit periodically a representative
sample of the files for duplication, mis-
classification, or misfiles.
44
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Title
41?Chapter 101 ? 101-11.401-2
?401-11.306 Records equipment and
supplies?agency program responsi-
bilities.
? 101-11.306-1 Managing records
equipment and supplies.
The objectives of a records equipment
and supplies management program are
to ensure that equipment and supplies
necessary and suitable to agency records
operations, procedurally and economi-
cally, are available and are put to proper
use. Modern equipment and supplies
are now manufactured in a wide variety
of types which, in most instances, are
designed for special uses. Competent ad-
vice should be continuously available
to assure that the correct item is ob-
tained for a given purpose.
? 101-11.306-2 Records equipment and
supplies defined.
Equipment and supplies include file
cabinets, shelf files, rvisible files, mech-
anized files, file guides, folders, Jackets,
wallets, and similar items used in the
creation and maintenance of records
and in mail handling. A program for
managing equipment and supplies may
also cover desk-top office machines, dic-
tating and recording equipment, and
data, recording equipment.
? 101-11.306-3 Program requirements.
(a) Each Federal agency, in providing
for effective controls over the creation
of records, is expected to establish an
appropriate program for the manage-
ment of agency records equipment and
supplies (? 101-11.301-2). The program
will:
(1) Establish and implement stand-
ards and procedures for:
(I) Standardization of records equip-
ment and supplies used by the agency.
(ii) Submission, review, and approval
of requests for the purchase of records
equipment and supplies.
(iii) Proper utilization of presently
owned records equipment.
(2) Review, on a continuing basis, the
utilization of records equipment to en-
sure adequate and proper application.
(3) Provide for a continuing review of
new developments in the field of records
equipment and supplies and their pos-
sible application to agency records sys-
tems.
(b) Standards, guides, and instruc-
tions for managing records equipment
and supplies are to be in published form,
designed for easy reference and revision.
They should be readily available to pro-
gram officials responsible for operations
using records equipment and supplies.
? 101-11.306-4 Program implementa-
tion.
The following actions are generally
basic to a records equipment and sup-
plies management program:
(a) Minimize equipment and supplies
needs by providing for prompt disposi-
tion of records. Reduce or eliminate the
need for additional equipment by freeing
equipment on hand for reuse.
(b) Use, to the maximum extent pos-
sible, standard items listed in GSA Stores
Stock Catalog and Federal Supply
Schedules. Prohibit the purchase of
nonstandard items unless justification
for exception is submitted and approved.
(c) Review requests for purchase of
equipment and supplies to determine
essentiality and usability.
(d) Review use of currently owned
and rented equipment to determine that
it is essential, suitable, properly utilized
and maintained, and updated as re-
quired.
(e) Analyze record keeping proce-
dures and techniques to determine if
requirements for equipment and sup-
plies are realistic and if requirements
can be reduced or eliminated through
improved or changed procedures or
techniques.
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 es-
sential 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 Re-
cords Disposal Act (44 U.S.C. 366).
? 101-11.401-2 Basic elements in rec-
ords scheduling programs.
Three basic elements are present in
a records scheduling program:
(a) The taking of a complete inven-
tory of the records in the Custody of the
agency.
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'5101-11.401-3 Title 41?Chapter 101
(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 com-
pile 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 com-
pleted within one year after the creation
of the agency.
(b) Schedules shall clearly identify
and describe the series of records cov-
ered, 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 instruc-
tions for the disposition of records in its
custody.
(c) All schedules shall take Into ac-
count 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 ex-
tra copies of documents preserved for
convenience of reference, stocks of proc-
essed documents, preliminary work-
sheets, 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 pos-
sible, material not required for record
purposes shall be disposed of; it should
not be sent to file. In cases where tran-
sitory files of such materials are estab-
lished and maintained in filing equip-
ment, 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.
46
? 101-11.401-4 Provisions of records
control schedules.
Records control schedules shall pro-
vide for:
(a) The disposal atter minim= re-
tention periods of those records not hav-
ing sufficient value to justify their fur,-
ther 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 ? 101-
11.412) of those records which cannot be
disposed of immediately but which need
not be maintained in office space and
equipment. Such records will be main-
tained by the records center pending
their transfer or disposal.
(c) The retention as current records
in office space and equipment of the min-
imum volume of records consistent with
efficient operation.
? 101-11.401-5 Application of records
control schedules.
The head of each Federal agency shall
take necessary action to obtain the ap-
plication of records control schedules to
provide for the maximum economy of
space, equipment, and personnel. Two
copies of each directive or other issu-
ance (including the text of schedules as
issued) affecting the agency's records
disposition program at the division or
higher organizational level shall be
transmitted to the National Archives and
Records Service upon its promulgation.
? 101-11.402 [Reserved]
? 101-11.403 Standards for the selec-
tive retention of records.
? 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, de-
cisions, procedures, and essential trans-
actions 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 stand-
ards 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:
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Title 41?Chapter 101 ? 101-11.404-1
(a) Records control schedules. These
disposition schedules, developed by each
Federal agency for all records in its cus-
tody as provided by ? 101-11.401, desig-
nate classes of records of continuing
value identified in the records retention
plans. The schedules also specify re-
tention periods for records not of con-
tinuing value. Formulation and appli-
cation 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 cer-
tain types of records common to all
agencies. The schedules are permissive
as provided by ? 101-11.404.
(a) Records retention plans. A sep-
arate plan for each agency or subdivision
thereof governs the selective retention
of records of continuing value. The
plans, which are developed by the Na-
tional Archives and Records Service in
cooperation with the agency, are integral
parts of agency programs for records re-
tention and disposal as provided for by
? 101-11.403-3.
? 101-11.403-3 Permanently valuable
records retention program.
In an agency program to select per-
manently valuable records, the following
four basic elements are present:
(a) The taking of a complete inven-
tory 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 cooper-
ation with the agency, of a records
retention plan designating the perma-
nently valuable classes of records aris-
ing 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 Rec-
ords Service will furnish agencies with
records retention plans as rapidly as they
are developed.
47
(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 re-
tained 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, ex-
isting records control schedules remain
in effect.
(d) Records retention plans are to be
reviewed annually by the agency, in or-
der to recommend necessary changes to
the National Archives and Records
Service.
(e) The National Archives and Rec-
ords Service will conduct periodic in-
spections to assure that the provisions
of ? 101-11.403-3(d) are being carried
out (? 101-11.103).
? 101-11.404 General retention and dis-
posal schedules.
? 101-11.404-1 Authority.
(a) Section 505(b) of the Federal Rec-
ords Act of 1950 (44 U.S.C. 395(b) ) di-
rects the Administrator of General Serv-
ices to establish standards for the selec-
tive retention of records of continuing
value.
(b) Section 15 of the Records Dis-
posal Act (44 U.S.C. 380) prescribes that
no records of the United States Govern-
ment shall be alienated or destroyed ex-
cept in accordance with the provisions of
the Act.
(c) Section 4 of the Records Disposal
Act (44 U.S.C. 369) authorizes the Ad-
ministrator of General Services to sub-
mit 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 preserva-
tion 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 Ex-
ecutive Papers, constitute authority to
dispose of the records included therein.
Agencies may apply this authority sub-
ject to approval of the Comptroller Gen-
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? 104-11.404-2 Title
41?Chapter 101
eral 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 rec-
ords 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 Rec-
ords 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
Records Schedules.
The General Records Schedules gov-
erning 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 pre-
pared, will be announced by GSA bulle-
tins issued and signed by the Archivist
of the United States.
(a) Schedule 1, Civilian Personnel
Records.
(b) Schedule 2, Payrolling and Pay
Administration Recqrds.
(c) Schedule ? 3, Procurement and
Supply Records.
(d) Schedule 4, Property Disposal
Records.
(e) Schedule 5, Budget Preparation,
Presentation, and Apportionment Rec-
ords.
(1) Schedule q, Accountable Officers'
Accounts.
(g) Schedule 7, Expenditure Account-
ing Records. ?
(h) Schedule 8, Stores, Plant and Cost
Accounting Records.
? (1) Schedule. 9, Travel and Trans-
portation Records.
(j) Schedule 10, Motor Vehicle Main-
tenance and Operation Records. ?
(k) Schedule 11, Space and Mainte-
nance Records. , ? ? ?
(1) Schedule 12; Communications Rec.;
ords;,i:, . .
'; ? ?!?;?,; ?;,.cr I,
? .1' ? ?-"te:'-r! !,t71 ? )i
? 48
001069891
0 0 0
(m) Schedule 13, Printing, Binding,
Duplication and Distribution Records.
(n) Schedule 14, Informational Serv-
ices Records.
(o) Schedule 15, Housing Records.
(p) Schedule 16, Administrative Man-
agement Records.
(q) Schedule 17, Cartographic, Photo-
grammetric, and Related Records.
'(r) Schedule 18, Security and Protec-
tive Service Records.
(s) Schedule 19, Research and De-
velopment Records.
129 F.R. 16807, Dec. 12, 1964, as amended at
33 F.R. 9777, July 6, 19681
? 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 Administra-
tor of General Services to establish pro-
cedures to be followed by Federal agen-
cies in compiling and submitting lists and
schedules of records proposed for dis-
posal.
? 101-11.406-2 Submission of disposal
requests.
Requests for authorization to dispose
of records shall be initiated by Federal
agencies by submitting records disposal
lists or schedules to the National Ar-
chives and Records Service on Standard
Forms 115 and 115a, Continuation Sheet,
as revised (?? 101-11.4902 through 101-
11.4904) . Standard Form 115 may be
used for submitting either a list or sched-
ule, by checking either A or B, respec-
tively, under entry 6. Authority con-
tained 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.
? 101-11.406-3 Certification.
The signing of Standard Form 115 by
a properly authorized agency representa-
tive shall constitute certification that
the. records described 'do not ,have, or
(1..' r ;
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Title 41?Chapter 101 ? 101-11.407-1
will not have after the expiration of the
retention period indicated, sufficient ad-
ministrative, legal, or fiscal value to the
agency itself to warrant further reten-
tion. Appraisal by the National Archives
and Records Service will be limited to
review for possible value to other agen-
cies of the Government, and for re-
search or historical value.
? 101-11.406-4 General Accounting Of-
fice 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 ac-
counts in which the Government is con-
cerned. Such approval shall be obtained
either prior to or concurrently with the
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 trans-
mitted to the Congress as required by the
Records Disposal Act. If the Joint Com-
mittee on Disposition of Executive Pa-
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 dis-
posal authority, see ?? 101-11.406-7, 101-
11.406-8.) Such authorized disposal shall
be accomplished as prescribed in ? 101-
11.408.
? 101-11.406-6 Mutilation and destruc-
tion of records.
(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 Ad-
ministrator of General Services and the
heads of Federal agencies responsibilities
for preventing the unlawful removal, de-
facing, alteration, or destruction of rec-
ords.
(b) The penalties for the willful and
unlawful destruction, damage, or aliena-
tion 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.
? 101-11.406-7 Extension of retention
periods.
Pursuant to section 505(f) of the Fed-
eral 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 au-
thorized by Congress for disposal after
the specified retention period. When
records are so retained, a copy of the di-
rective 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 sec-
tion 505(f) of the Federal Records Act of
1950 (44 U.S.C. 395(f) ) , will withdraw
disposal authorizations contained in dis-
posal schedules approved by the Con-
gress. Such withdrawal may apply to
particular items on schedules submitted
by agencies, or may apply to all existing
authorizations for the disposal of a spec-
ified 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 Ar-
chivist 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 dis-
posal authority.
Disposal authorizations contained in
disposal schedules approved by the Con-
gress are automatically superseded by
Congressional approval of a later sched-
ule 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 dis-
cretion.
? 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.
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? 101-11.407-2 Title 41?Chapter 101
? 101-11.407-2 Menaces to human
health or life or to property.
(a) Section 10 of the Records Dis-
posal Act (44 U.S.C. 375) author-
izes 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 Serv-
ice, specifying the nature of the records,
their location and quantity, and the na-
ture of the menace. If the National
Archives and Records Service concurs in
the determination, the immediate re-
moval 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 sec-
tion, 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 cus-
tody 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 con-
tent;
(2) Burning, in the event the quan-
tity 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 para-
graph are not feasible.
(c) Such films should be removed from
inhabited buildings as soon as possible.
(d) Those to be burned should be sub-
merged in water-filled drums and con-
veyed 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, par-
ticularly 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 ac-
complished.
? 101-11.407-3 State of war or threat.
ened war.
(a) Section 11 og the Records Dis-
posal Act (44 U.S.C. 376) authorizes the
destruction of records outside the ter-
ritorial limits of the continental United
States whenever, during the existence of
a state of war between the United States
and any other nation or when hostile ac-
tion by a foreign power appears immi-
nent, the head of the agency that has
custody of the records determines that
their retention would be prejudicial to
the interests of the United States, or -that
they occupy space urgently needed for
military Purposes and are without suffici-
ent value to warrant continued preserva-
tion.
(b) Within 6 months after the dis-
posal of any records under this authori-
zation, a written statement describing
the character of the records and show-
ing when and where the disposal was
accomplished shall be submitted to the
National Archives and Records Service
by the agency official who directed the
disposal.
? 101-11.408 Methods of disposal.
? 101-11.408-1 Authority.
Under the provisions of section 15 of
the Records Disposal Act (44 U.S.C.
380) , Federal agencies are required to
follow regulations issued by the Adminis-
trator of General Services governing the
methods for use in disposing of records.
Only the methods set forth in this ? 101-
11.408 shall be used.
? 101-11.408-2 Sale or salvage.
Paper records to be disposed of shall
normally be sold as wastepaper. If the
records are security classified, their dis-
posal is governed by the provisions of
Executive Order 10501 of November 5,
1953 (3 CFR) as amended. If the
records are privileged, that is, if laws or
regulations forbid their use by the pub-
lic, the wastepaper contractor shall be
required to pulp, macerate, or shred
them. The contracting offier shall name
a Federal employee to witness the dis-
50
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Title 41?Chapter 101 ? 101-11.409-5
posal. For all other records the contract
for sale shall prohibit their resale or use
as records or documents. Records other
than paper records (film, plastic record-
ings, etc.) may be salvaged or sold in
the same manner and under the same
conditions as paper records. All sales
shall be in accordance with the estab-
lished procedures for the sale of surplus
personal property.
? 101-11.408-3 Donation for preserva-
tion and use.
(a) Whenever the public interest will
be served thereby, a Federal agency may,
at its discretion, transfer records author-
ized for disposal to an eligible govern-
ment (including a foreign government) ,
organization, institution, corporation, or
person that has made application for
them, provided, (1) the applicant agrees
not to sell the records as records or docu-
ments, (2) the transfer is made without
cost to the U.S. Government, (3) no
transfer shall be approved if the records
contain information the revelation of
which is prohibited by law or would be
contrary to the public interest, (4) no
transfer to a foreign government shall
be approved unless such government has
an official interest in the records, and
(5) no transfer to a person or commer-
cial business shall be approved unless
the records are directly pertinent to the
custody or operation of properties ac-
quired from the Government.
(b) Each donation of records under
this authority shall be reported to GSA,
National Archives and Records Service,
Washington, D.C. 20408. This report
shall contain:
(1) The name of the department or
agency and the name of the major and
minor subdivision thereof concerned.
(2) The name and address of the re-
cipient of the records.
(3) A list of the records containing
(i) an identificaton by series of the rec-
ords transferred; (ii) the inclusive dates
of each series; and (hi) the National
Archives and Records Service job and
item numbers of the disposal authoriza-
tions as indicated on Standard Form 115,
Request for Authority to Dispose of Rec-
ords (1101-11.4902), or other disposal
authority.
? 101-11.408-4 Destruction.
If the records cannot advantageously
be sold or otherwise salvaged, the records
may be destroyed by burning or pulping.
? 101-11.409 Transfer of records from
the custody of one executive agency
to another.
? 101-11.409-1 Authority.
S.ection 505(e) of the Federal Records
Act of 1950 (44 U.S.C. 395(e) ) provides
that, subject to applicable provisions of
-law, the Administrator of General Serv-
ices shall issue regulations governing the
transfer of records from the custody of
one executive agency to that of another.
? 101-11.409-2 Approval.
No records shall be transferred from
one executive agency to the custody of
another without the prior written ap-
proval of the National Archives and
Records Service except as provided in
? 101-11.409-9.
? 101-11.409-3 Agency request.
The head of any executive agency may
request the transfer of records to or from
his agency. Approval shall be requested
by letter addressed to the National Ar-
chives and Records Service, in which
are included:
(a) A concise description of the rec-
ords to be transferred, including the
volume in cubic feet.
(b) A statement of the restrictions
imposed on the use of records.
(c) A statement of the number of ref-
erence requests per month made on the
records, with information as to the
agencies and persons using the records
and the purpose of such use.
(d) A statement of the number of
persons, if any, assigned to the admin-
istration of the records.
(e) A statement. of the current and
proposed physical and organizational
locations of the records.
(f) Information as to why the pro-
posed transfer is in the best interests of
the Government.
(g) A justification for the transfer of
records more than 5 years old.
? 101-11.409-4 Agency concurrences.
Copies of the concurrence or noncon-
currence in the transfer by the heads of
any agencies concerned shall be attached
?to the agency request.
? 101-11.409-5 Records of terminated
agencies.
Transfers of records of executive
agencies whose functions are terminated
or are in process of liquidation are ex-
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? 101-11.409-6 Title 41?Chapter 101
pressly subject to this Subpart 101-11.4
and no such transfers shall be made
except in accordance with its provisions.
? 101-11.409-6 Equipment.
Records storage equipment shall be
transferred with the records contained
therein in accordance with arrangements
previously agreed to by the agencies
concerned.
? 101-11.409-7 Costs of transfers.
Approved transfers shall be made
without reimbursement to the agency of
original custody for any cost involved,
except when such reimbursement is
previously agreed to by the agencies
concerned.
? 101-11.409-8 Restrictions on use of
records.
Whenever any records that are trans-
ferred are subject to restrictions upon
their use, imposed pursuant to statute,
Executive order, or agency determina-
tion, such restrictions shall continue in
effect after the transfer. Restrictions
imposed by agency determination may
be removed by agreement between the
agencies concerned.
? 101-11.409-9 Exceptions.
Prior written approval of the National
Archives and Records Service is not
required:
(a) When records are transferred to
the Federal Records Centers or the
National Archives in ?accordance with
?? 101-11.410 and 101-11.411.
(b) When records are loaned for offi-
cial use.
(c) When the transfer of records or
functions or both is required by statute.
Executive order, or Presidential reorga-
nization plan, or by specific determina-
tions made thereunder.
? 101-11.410. Transfer of records to
Federal Records Centers.
? 101-11.410-1 Authority.
Section 505(d) of the Federal Records
Act of 1950 (44 U.S.C. 395(d) authorizes
the Administrator of General Services to
establish, maintain, and operate records
centers for the storage, processing, and
servicing of records for Federal agencies.
Such centers are known as Federal Rec-
ords Centers. A list of their locations
and the areas served is set forth in this
? 101-11.410-1. In addition, a Military
Personnel Records Center is maintained
for designated records of the Department
of Defense.
0 0 0 6 9 8 9 1
GSA FEDERAL RECORDS CENTERS
A. NATIONAL
- OSA
region
Area served
Mailing address
52
Entire Federal Gov-
ernment (for per-
sonnel records of
separated Federal
employees; pay
records of all Fed-
eral employees;
and medical rec-
ords of civilian
employees of the
Army, Navy, and
Air Force); records
of agencies in
greater St. Louis
area (Missouri
only).
Designated records
of the Department
of Defense and the
U.S. Coast Guard.
National Personnel
Records Center.
GSA (Civilian Per.
sonnet Records),
111 Winnebago
Street, St. Louis,
Mo. 63118.
National Personnel
Records Center,
GSA (Military
Personnel Records),
9700 Page Boule-
vard, St. Louis,
Mo. 63132.
B. REGIONAL
1
2
3
4
5
7
Maine, Vermont,
New Hampshire,
Massachusetts,
Connecticut, and ?
Rhode Island.
New York, New
Jersey except areas
south of Trenton,
Puerto Rico, and
the Virgin Islanda.
New Jersey south of
Trenton, Dela-
ware, and Penn-
sylvania east of
Lancaster.
Pennsylvania except
areas east of
Lancaster.
District of Colum-
bia, Maryland,
West Virginia, and
Virginia.
North Carolina,
South Carolina,
Tennessee, Mis-
sissippi, Alabama,
Georgia, and
Florida.
Kentucky, Illinois,
Wisconsin,Michi-
gan, Indiana, and
Ohio.
Kansas, Iowa, Ne-
braska, North
Dakota, South Da-
kota,Minnesota, ?
and Missouri ex-
cept greater St.
Louis area.
Texas, Oklahoma,
Arkansas, and
Louisiana.
Federal Records Cen-
ter, GSA, 380 Tra-
pelo Road , Waltham,
Mass. 02154.
Federal Records
Center, GSA, 641
Washington Street,
New York, N.Y.
10314.
Federal Records
Center, GSA,
5000 Wissahickon
Avenue, Philadel-
phia, Pa. 19144.
Federal Records Cen-
ter, GSA, Navel
Supply Depot,
Building 308, Me-
chanicsburg, Pa.
17055.
Federal Records Cen-
ter, GSA, Cameron
and Union Streets,
Alexandria, Va.
22314.
Federal Records Cen-
ter, GSA, 1557 St.
Joseph Avenue,
East Point, Ga.
30044.
Federal Records Cen-
ter, GSA, 7201
South Leamington
Avenue, Chicago,
III. 60638.
Federal Records Cen-
ter, GSA, 2306 East
Bannister Road,
Kansas City,Mo.
64131.
Federal Records Cen-
ter, GSA, 4900
Hemphill Street,
Post Office Box
6216, Fort Worth,
Tex. 76115.
"POGS7
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Title 41?Chapter 101 ?101-11.410-3
OSA FEDERAL RECORDS CENTEAS--C011thalled
s. usommu,?Continued
OSA
region
8
9
Area served Mailing address
10
Colorado, Wyoming,
Utah, Arizona,
and New Mexico.
Nevada except
? Clark County,
California except
Southern Cali-
fornia, and Pacific
Ocean areas.
Clark County, Ne-
vada, and South-
ern California
(counties of San
Luis Obispo,
Kern, San Ber-
nardino, Santa
Barbara, Ventura,
Los Angeles,
? Riverside, Orange,
Imperial, [nyo,
and San Diego).
Washington, Oregon,
Idaho,Montana,
and Alaska.
Federal Records Cen-
ter, GSA., Building
48, Denver Federal
Center, Denver,
Colo. 80225.
Federal Records Cen-
ter, GSA, Building
1, 100 Harrison
. Street, San Fran-
cisco, Calif. 94105.
Federal Records Cen-
ter, GSA, 5555
Eastern Avenue,
Bell, Calif. 90201.
Federal Records Cen-
ter, GSA, 6125 Sand
Point Way, Seattle,
Wash. 98115.
NOTE Certain records are transferred to designated
centers or the convenience of administration and refer-
ence. The records to be centralized are listed in the
agencies directives for transfer to the designated center.
129 P.R. 16807, Dec. 12, 1964, as amended at
32 P.R. 3147, Feb. 22, 1967]
? 101-11.410-2 Procedures for trans-
fers to regional Federal Records
Centers.
Procedures governing the transfer of
records to Federal Records Centers are
set forth in this ? 101-11.410. They also
appear in detail in the Administration's
Records Management Handbook, "Fed-
eral Records Centers."
(a) Regional Federal Records Centers
will accept for transfer any records of-
fered by Federal agencies, subject to the
following conditions:
(1) That the records are not author-
ized for immediate disposal and that
transportation costs are not in excess of
the resulting savings, and
(2) That facilities for storing and pro-
viding reference service on the records
are available.
(b) Priority will be given to the re-
moval of records from office space, from
space convertible to office use, from
leased space, and from filing equipment
which can be reused.
(c) Transfers may be initiated by
either oral or written request to the man-
ager of the Federal Records Center in
GSA region. in which the records are
located. Requests shall specify the na-
ture and quantity of the records pro-
posed for transfer.
(d) Transfers of records on an
agency-wide basis may be initiated by
central or headquarters offices of agen-
cies by either oral or written request to
the National Archives and Records Serv-
ice, Office of Federal Records Centers,
National Archives Building, Washington,
'D.C. 20408. Requests shall specify the
nature and quantity of the records pro-
posed for transfer.
(e) Transfers to the Federal Rec-
ords Center in Alexandria, Va., shall
be accompanied by Standard Form
135, Records Transmittal and Receipt
(i 101-11.4907) , and Standard Form 135A
continuation sheet (? 101-11.4908), in
quadruplicate. Transfers to all other re-
gional Federal Records Centers shall be
accompanied by these forms in tripli-
cate. When feasible, records should be
transferred in standard corrugated boxes
used by the Centers.
(f) Regional Federal Records Centers
will furnish agencies with a receipt ac-
knowledging the transfer of records by
returning to the transferring agency a
signed copy of the standard form re-
quired by paragraph (e) of this section.
The returned copy will serve as a future
aid in requesting reference service, as it
will be annotated with the numbers of
the Federal Records Center containers
in which the records are sbored.
? 101-11.410-3 Procedures for trans-
fer to the Federal Records Center,
St. Louis.
General Records Schedules 1 and 2
specify that certain civilian personnel
and pay records shall be centralized at
the Federal Records Center at St. Louis,
Mo.
(a) The following three types of rec-
ords are so specified:
(1) Official personnel folders of sepa-
rated employees;
(2) Service record cards of separated
or transferred employees; and
(3) Audited individual earnings and
service cards and comprehensive pay-
rolls.
(b) Official personnel folders should
be transferred to the Center by trans-
mittal letter specifying the number of
folders and the month and year of sepa-
ration of employees. Receipts will not
be furnished for official personnel folders
or loose papers intended for inclusion in
such folders.
53.
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101-11.410-4 Title 41?Chapter 101
(c) Loose papers being prepared for
transfer for inclusion in official person-
nel folders previously sent to the Center
shall be screened of temporary material,
as defined in the Federal Personnel Man-
ual, and only the papers prescribed as
permanent and essential for inclusion in
each individual's folder shall be for-
warded. A separate copy of Standard
Form 127, Request for Official Person-
nel Folder (Separated Employee) (? 101-
11.4906) , shall be used to transmit the
papers for each individual. In preparing
the copy of Standard Form 127, the en-
tries shall be completed in blocks, 2, 4,
5, and 6c, and the date of separation
shall be entered in block 5 thereof.
(d) Transfer of fiscal records shall be
accompanied by Standard Form 135,
Records Transmittal and Receipt (? 101-
11.4907) , in triplicate. When feasible,
records shall be transferred in standard
corrugated boxes used by the Federal
Records Centers.
(e) Standard Form 127, Request for
Official Personnel Folder (Separated
Employee) (? 101-11.4906) shall be used
by agencies in requesting transmission
of personnel records of separated em-
ployees from the Center. Use of this
form insures prompt transmission of
the desired folders. It should be sub-
mitted to the Center in duplicate. A
memorandum in lieu of Standard Form
127 should be used to request informa-
tion from the folders.
? 101-11.410-4 Vital operating records.
The Administration has established a
single, centrally located depository suit-
able for the storage and protection of
records described in Subpart 101-11.7.
The depository is accessible to rail, mo-
tor, and air transportation. It has tem-
perature and humidity controls allowing
the safe storage of both paper records
and film. Agencies may make arrange-
ments through GSA, National Archives
and Records Service, Office of Federal
Records Centers, The National Archives
Building, Washington, D.C. 20408, for
the transfer of indispensable records to
this depository and for their use.
? 101-11.410-5 Surveys of records
available for transfer.
The GSA regional National Archives
and Records Service will conduct sur-
veys of the records accumulations of
field offices of those agencies not operat-
ing approved records centers for the pur-
pose of recommending records for trans-
0 w 1
?
fer to Federal Records Centers. Such
recommendations will be submitted to
the field office concerned and to the Na-
tional Archives and Records Service,
Central Office, for coordination with the
appropriate agency headquarters. Sur-
veys of records of agency headquarters
normally will be made by the National
Archives and Records Service. Central
Office.
? 101-11.410-6 Release of equipment.
File equipment received with the
transfer of records to a Federal Records
Center will normally be disposed of in
accordance with applicable excess per-
sonal property regulations. An agency
desiring return of the equipment should
make such request prior to transfer of
the records to Federal Records Centers.
? 101-11.410-7 Servicing transferred
records.
Restrictions lawfully imposed on the
use of transferred records will be ob-
served and enforced by all Federal rec-
ords centers, subject to the provisions of
44 U.S.C. 2104. Official use of transferred
records by Federal employees will be in
general accordance with provisions re-
lating to public use of such records (see
41 CFR 105-61.1). Subject to any re-
strictions on their use, such records may
be borrowed by Federal agencies and the
Congress for official use outside the Fed-
eral records centers.
(a) Standard Form 180, Request Per-
taining to Military Records (? 101-11.-
4921), shall be used by Federal agencies
to obtain information from military serv-
ice records in the National Personnel
Records Center (Military Personnel
Records). Agencies may furnish copies of
that form to the public to facilitate un-
official inquiries and may direct non-
Government organizations to the Super-
intendent of Documents to purchase
quantities of the form.
(b) Requests for official personnel files
shall be made in accordance with ? 101-
11.410-3(e).
(c) For any other requests, agencies
may use Optional Form 11, Reference
Request?Federal Records Centers
(? 101-11.4910).
[33 P.R. 18281, Dec. 10, 19681
? 101-11.410-8 Disposal clearances.
Records at the St. Louis Federal Rec-
ords Center, authorized for disposal by
General Records Schedules Numbers 1
and 2, will be destroyed in accordance
51,
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Title 41?Chapter 101 101-11.411-6
with these schedules without further
agency clearance. No other records of
a Federal agency still in existence will
be disposed of by any Federal Records
Center except with the concurrence of
the agency concerned. Agency approval
will be requested for each disposal action
by use of GSA Form 439, Report of Dis-
position of Records (I 101-11.4909) , or
its authorized equivalent, unless prior
written concurrence has been given by
the agency concerned.
?.101-11.411 Transfer of records to the
National Archives.
? 101-11.411-1 Authority.
The Administrator of General Services
is authorized by section 507(a) of the
Federal Records Act of 1950 (44 U.S.C.
397(a) ) to accept for deposit with the
National Archives of the United States
the records of any Federal agency or of
the Congress of the United States that
are determined by the Archivist to have
sufficient historical or other value ?to
warrant their continued preservation by
the United States Government.
? 101-11.411-2 Transfers via Records
Centers.
Records will normally be transferred
to the National Archives from a Federal
Records Center or an approved agency
records center. When such transfers
are made, the agencies concerned will
be furnished an inventory of the records
transferred.
? 101-11.411-3 Direct transfers.
The classes of Federal records listed in
this ? 101-11.411-3 may be offered for
direct transfer to the National Archives.
Such transfers shall be initiated by Fed-
eral agencies by written request to the
National Archives and Records Service,
specifying the nature and quantity of
the records proposed for transfer. Ex-
isting arrangements for the transfer of
records of the Congress of the United
States will be continued.
(a) Records of the Executive Office of
the President and of Presidential boards.
commissions and committees.
(b) Records of the Congress of the
United States.
(c) Records of the Supreme Court of
the United States.
(d) Audiovisual records (motion pic-
tures, still photographs, sound record-
ings. etc.).
(e) Cartographic records (in a p
charts, etc.).
55
(f)? Series of records of unquestion-
able value that are not susceptible to
screening or other processing (such as
microfilming) to reduce their bulk.
(g) Records that have been in exist-
ence 25 or more years and that are con-
sidered to have enduring value.
? 101-11.411-4 Release of equipment.
Equipment received with the transfer
of records to the National Archives will,
when emptied and if needed, be returned
on request to the agency from which the
records were received. If the return
of such equipment is not required, it
will be disposed of in accordance with
applicable excess property regulations.
? 101-11.411-5 Use of records trans-
ferred to the National Archives.
(a) Restrictions lawfully imposed on
the use of transferred records will be ob-
served and enforced by the National Ar-
chives and Records Service, subject to
the provisions of section 507(b) of the
Federal Records Act of 1950 (44 U.S.C.
397 (b) ) . The regulations in this Part
101-11, insofar as they concern the use of
records in the search rooms of the Na-
tional Archives Building, apply to official
use of the records by Federal agencies as
well as to the public.
(b) In cases of demonstrated need and
subject to any restrictions on their use
records deposited with the National
Archives may be borrowed for official use
outside the National Archives Building
by Federal agencies and the Congress,
provided:
(1) Documents of exceptionally in-
trinsic value shall not be removed from
the National Archives Building except
with the written approval of the
Archivist.
(2) Records in fragile condition, or
otherwise deteriorated to an extent that
further handling will endanger them,
will not be loaned.
(3) Each official who borrows rec-
ords shall provide a receipt for them
at the time they are delivered, and that
he shall assume responsibility for their
prompt return upon the expiration of
the time for which they are borrowed.
? 101-11.411-6 Disposal clearances.
No records of a Federal agency still
In existence shall be disposed of by the
National Archives and Records Service
except with the concurrence of the
agency concerned. ?
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?101-11.411-7 Title 41?Chapter 101
? 101-11.411-7 Transfer of audiovis-
ual records.
The following policies shall govern the
transfer of audiovisual records to the
National Archives:
(a) Motion pictures. Government-
owned motion picture records on nitro-
cellulose film normally will not be ac-
cepted for deposit with the National Ar-
chives. Federal agencies having nitrate
motion pictures, deemed to have suffi-
cient value to warrant transfer to the
National Archives for permanent preser-
vation, will obtain from the National
Archives and Records Service agreement
to accession the motion pictures prior to
converting the nitrate film to safety ace-
tate film. Normally, the following shall
be considered the minimum number of
copies of motion picture film necessary
for security, duplication, and use by the
National Archives: The negative (origi-
nal or duplicate) that most nearly rep-
resents the action originally photo-
graphed in pictures of actual events, or
that best represents the edited produc-
tion of a picture for which action is
staged, with a master positive print and
./ one "use" or projection print. In most
cases these will be the negative after lab-
oratory cutting is done, or the composite
negative of sound film, the master fine-
grain positive print, and one other print.
(b) Still photographs. A negative
and a captioned print (whether on film,
glass, paper, or other medium) of each
still photographic image are necessary
for security, duplication, and use by the
National Archives, and such copies,
when available, shall be included in col-
lections of still photographs offered for
transfer.
(c) Sound recordings. The following
copies, when available, shall be included
in collections of sound recordings offered
for transfer to the National Archives:
(1) For conventional disc recordings,
the matrix or stamper of each sound re-
cording unit or the original instantane-
ous recording if no matrix or stamper is
made, and a pressing or dubbing of the
recording, if one has been made.
(2) For magnetic sound recordings on
wire or tape, for scribed or embossed re-
cordings on tape, or for recordings photo-
graphically reproduced on sensitized
film, a "dubbing" If one has been made:
otherwise the original magnetic em-
bossed or photographed recording.'
(d) Finding aids. Copies of existing
finding aids (such as data sheets, con-
tinuities, review sheets, scripts, or in-
dexes) that are necessary or helpful in
the proper identification and the use of
audiovisual records shall be transferred
with these materials.
?101-11.411-8 Transfer of carto.
graphic records.
The following classes of cartographic
records when no longer needed for pur-
poses of current administration will be
offered for appraisal and, if accepted, for
direct transfer to the National Archives.
(a) Manuscript maps; printed and
processed maps on which manuscript
changes, additions, or annotations have
been made for record purposes, or which
bear manuscript signatures to indicate
official approval; single printed or proc-
essed maps that have been attached to
or interfiled with other documents of a
record character or in any way made an
Integral part of a record.
(b) Master sets of printed or proc-
essed maps in the custody of the agency
by which they were issued. Such master
sets should be kept segregated from the
stock of maps held for distribution and
from maps received from other agencies.
A master set should include one copy of
each edition of a printed or processed
map issued.
(c) Index maps, card indexes, lists,
catalogs, or other finding aids that may
be helpful in using the cartographic rec-
ords transferred.
(d) Preliminary or intermediate ma-
terials such as manuscript field note-
books of surveys, triangulation and other
computations, "fair drawings" for indi-
vidual color plates, and aerial photo-
graphs for mapping purposes.
(e) Related records that bear on the
preparation, compilation, editing, or
printing of maps, such as projects fold-
ers containing specifications to be fol-
lowed and appraisals of source materials
to be used.
? 101-11.412 Agency records centers;
establishment.
? 101-11.412-.1 Authority.
Section 506(c) of the Federal Records
Act of 1950 (44 U.S.C. 396(c) ) authorizes
Federal agencies to maintain and operate
records centers for the storage, process-
ing, and servicing of records that are
appropriate therefor, when such centers
are approved by the Administrator of
56.
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Title 41?Chapter 101 ?101-11.603-1
General Services. Such centers operated
by Federal agencies are referrd to in
this ? 101-11.412 as "agency records
centers."
? 101-11.412-2 Existing records centers.
Agency records centers in operation
as of the date of this Part 101-11 are
provisionally approved, pending their in-
spection by GSA.
? 101-11.412-3 Requests for authority
to establish or relocate records cen-
ters.
No agency records center shall be
established or relocated from one city to
another without the prior written ap-
proval of GSA .
(a) Exclusions. For purposes of this
? 101-11.412 the term "agency records
center" excludes:
(1) Staging areas containing less than
5,000 square feet of space used by agen-
cies for the temporary storage of mate-
rials preparatory to their transfer to a
records center or other disposition; pro-
vided that no records are held in the
staging area in excess of 5 years.
(2) Areas of less than 5,000 square feet
used solely for the storage of records to
which occasional reference is made but
on which no processing activity (screen-
ing microfilming, etc.) is performed.
(b) Content of requests. Requests for
authority to establish or relocate an
agency records center shall be submitted
in writing to the Administrator of
General Services. Such requests shall
specify:
(1) Proposed location of the agency
records center.
(2) Space to be occupied in gross
square feet.
(3) Nature and quantity of records to
be stored.
(4) Total personnel to be employed.
(5) Justification of the proposed
center.
(c) Approval of requests. Requests
for the establishment or relocation of an
agency records center will be approved
by the Administrator of General Services
when greater economy or efficiency can
be achieved through its operation than
by use of a Federal Records Center op-
erated by GSA.
? 101-11.412-4 Annual agency records
center report.
Each Federal agency operating one or
more agency records centers shall sub-
mit to the National Archives and Records
99-193--69-5
? Service, within 60 days after the close
of each fiscal year, a report on Standard
Form 137 ( ? 101-11.4905) , for each
center.
Subpart 101-11.5?Microfilming
SOURCE: The provisions of this Subpart
101-11.5 appear at 30 P.R. 10843, Aug. 20,
1965, unless otherwise noted.
? 101-11.500 Scope of subpart.
This subpart contains information and
procedures pertaining to the furnishing
? of microfilming services to Federal agen-
cies by the National Archives and Rec-
? ords Service, GSA.
? 101-11.501 Services available.
Microfilming services of the National
Archives and Records Service, GSA, as
described in ? 101-11.501-1 through 101-
11.501-3, are available to Federal
agencies.
" ? 101-11.501-1 Central source of infor-
mation on microfilming.
'
57
This service includes the furnishing of
information on current uses of microfilm
and on new techniques and develop-
ments in this field.
? 101-11.501-2 Technical advice and
assistance on microfilm programs.
This service is designed to promote
programs to preserve records, reduce vol-
ume, provide security copies, make dupli-
cate copies, or improve information re-
trieval systems.
? 101-11.501-3 Central reimbursable
microfilming service.
This service includes the preparation,
Indexing, and filming of records; inspec-
tion of film; and the labeling of film con-
tainers on a reimbursable basis.
? 101-11.502 Requests for service.
Agencies desiring these services shbuld
contact the appropriate regional office,
General Services Administration, Na-
tional Archives and Records Service.; ,
Subpart 101-11.6?Records
Equipment and Supplies
? 101-11.601 [Reserved]
? 101-11.602 [Reserved]
? 101-11.603 Stationery standards.
? 101-11.603-1 General provisions.
This ? 101-11.603 prescribes the stand-
ards for the specifications and use of
blank and printed papers and mailing
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.? 101-11.603-2
Title 41--Chapter 101
envelopes used by executive agencies for
official Government correspondence.
Standards are also prescribed for the
United States Government Memoran-
dum, Messenger Envelope, and Memo-
randum of Call. The standards are
mandatory unless approval for excep-
tion is obtained from GSA. Nothing in
these standards shall be construed as su-
perseding in any manner the provisions
of "Government Paper Specification
Standards" issued by the Joint Commit-
tee on Printing.
? 101-11.603-2 Standard specifications.
A Table of Standard Specifications
prescribes the color, size, and quality of
paper and color of ink for stationery
used for Government Correspondence, as
follows:
TABLE Or STANDARD'SYELTSICATIONS
Item
Color
Paper
Printing
Size
Qualities of paper shall not
exceed
.Grade
Substance
STATIONERY
Letterhead stationery
Continuation sheets
Manifold (tissue) sheets containing
letterhead.
Memorandum stationery
Continuation sheets
Manifold (tissue) sheets not containing
letterhead.
FORMS
United States Government Memo-
randum (Optional Form 10).
Memorandum of call (S.F. 63 (pads))
Messenger envelope (S.F. 65)
White
White
White
White or blue_
White or blue_
White 2
Black or blue _
None ?
Black or blue_
Black
None
None
White Black
At discretion of GPO
Brown Dark brown.__
8' x 10W
8' x 7'
(S's sg?
x low ? ?
8's 10)i'
18'x 1014" -
8' x 7'
8' x 5)i'
S's 10)i'
8'x 10)i'
18' x 1014'
1.8's 53'
4' x
104' x 12'
112' x' 16'
50 percent rag_
or
25 percent rag_
50 percent rag_
or
25 percent rag.
25 percent rag_
CW (writing).
Or
25 percent rag_
CW (writing).
or
25 percent rag.
25 percent rag.
32
90
32
90
18
90
32
90
32
18
}CW (writing) _ 40
At discretion of GPO
}Kraft_ _____ 100
Substance weight is pounds per 1000 sheets, 17' x 22'.
2 Other colors may be used pursuant to par. 3(d) but quality shall not exceed 25 percent rag?Sub. 18.
? 101-11.603-3 Letterhead stationery.
Letterhead stationery is used in for-
mal correspondence where a quality
paper identifying the agency is needed.
The style and format for letterhead sta-
tionery may be selected by the ordering
agency provided they meet the standard
specifications in ? 101-11.603-2 and the
printing requirements of the Govern-
ment Printing and Binding Regulations.
? 101-11.603-4 Memorandum station-
ery.
Memorandum stationery is on paper
of less expensive quality and easily dis-
tinguishable from letterhead stationery.
It is to be used, when suitable, for in-
formal intra-agency and interagency
communications, including agency-num-
bered forms and form letters. It is also
used for correspondence with State and
local government agencies in the admin-
istration of cooperative programs, arid
00 1Q931 I
for other informal correspondence. It
will be used where Optional Form 10,
United States Government Memoran-
'clum (1101-11.4912), will not adequately
serve agency needs. (See ? 101-11.603-
,11.) Memorandum stationery shall con-
tain the masthead "United States Gov-
ernment Memorandum" at the top left
half of the sheet (1101-11.4911). Print-
ing of the agency name is optional; when
included, the name shall be in the space
indicated at the top right. If needed,
multiple-address communications and
designated fill-in spaces may be arranged
and printed on memorandum stationery
for transmittal and reference. The
form may be designed for multiple-
address communications and use in win-
.dow envelopes.
? 101-11.603-5 Continuation sheets.
Continuation sheets, for use with
either letterhead or memorandum sta-
tionery, shall bear no printing. '
?-?;
Pa,000640
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title 41?Chapter 101
? 101-11.603-6 Ma nif old (tissue)
sheets.
Manifold sheets, commonly called tis-
sues, are for use in making carbon cop-
ies. Tissues containing printed letter-
heads are for use in making carbon
copies that are sent outside the agency
when identification of the agency is nec-
essary. The printing shall be in the same
format and ink color as used on letter-
heads. Tissues used for internal copies
- of correspondence, including continua-
tion sheets, shall contain no printing.
Distinctive colors may be used for in-
ternal reference file purposes.
? 101-11.603-7 [Reserved]
? 101-11.603-8 Envelopes (printing).
Agency Identification or address', the
penalty or postage and fees paid clause,
and the designation "official business"
shall be printed in either black or blue
ink.
? 101-11.603-9 Envelopes; borders,
markings, etc.
Borders, markings, slogans, or designs
shall not be printed on mailing envelopes
except when specifically approved by
GSA and in conformity with postal laws
and regulations. As a general policy,
both to reduce costs and to prevent undue
publicizing of some activities of the Gov-
ernment in contrast to others, the use of
borders, markings, slogans, or designs to
support an agency or its program shall
not be authorized in any form, whether
printed, stamped, or otherwise affixed.
? 101-11.603-10 Procurement forms.
The optional and standard forms pre-
scribed in ?? 101-11.603-11-101-11.603-
14 shall be procured from the Federal
Supply Service, GSA. Existing stocks of
old Standard Forms 63, 64, and 65 and
? Optional Form 10 shall be used until
supplies are exhausted.
? 101-11.603-11 Optional Form 10,
United States Government Memoran-
dum, May 1962.
This form is designed to facilitate in-
formal intra- or interagency correspond-
ence, including correspondence with
State and local government agencies in
the administration of cooperative pro-
grams. It provides designated spaces
for the insertion of names or identifica-
? tion of addressee and sender along with
description of subject matter and date,
following the fOrmat Of discontinued
Standard Forrn', 64. Optional Form 10
59
? 101-11.701-2
Is printed without agency name. It is
Intended for use by those agencies whose
needs are met by a simple format and
whose requirements, if any, for the
agency name or special fill-in data on
memorandum stationery do not justify
a special printing. (See ? 101-11.4912.)
? 101-11.603-12 Standard Form 63,
Memorandum of Call, Nov. 1961.
This form serves as notification of an
Incoming telephone call or of a visitor
when the person called or visited is not
available. It also is used in referring a
visitor to an appropriate person. (See
? 101-11.4913.)
? 101-11.603-13 Standard Form 65,
U.S. Government Messenger Enve-
lope, Nov. 1961.
This form is for repetitive use in
transmitting communications and print-
ed matter between offices within the
same city. Consecutive spaces are pro-
vided for inserting the name and address
for the current transmittal. The "Stop"
number space is used primarily in the
Washington, D.C., area but may be used
elsewhere, if appropriate. (See ? 101-
11.4914.)
? 101-11.603-14 Optional Form 27,
United States Government 2-Way
Memo.
This form is a 3-part snap-out set
with interleaved carbon for informal
communications. The message and re-
ply are placed on the same page in brief
informal language. It can be sent and
returned in a window envelope, if an
envelope is necessary. Each packet of
100 forms is accompanied by "Guides
to Simplified Informal Correspondence."
(See ?? 101-11.4915 and 101-11.4916.)
Subpart 101-11.7?Vital Records:
Records During an Emergency
? 101-11.701 Emergency preparedness
program; vital records protection
status report.
? 101-11.701-1 Purpose.
This ? 101-11.701 provides for report-
ing the status of Federal agency emer-
gency preparedness programs for the se-
lection and protection of vital operating
records.
? 101-11.701-2 Authority.
Executive Order No. 11093 of February
26, 1963 (28 F.R. 1851: 3 CFR 1959-1963
Comp.), assigns certain emergency pre-
paredness functions to the Aciministra.
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101-11.701-3
Tile 41?Chapter 101
tor of General Services, including the
providing of instructions on the ap-
praisal, selection, and preservation of
essential records. The Office of Emer-
gency Planning, in accordance with that
agency's responsibilities prescribed in
Executive Order No. 11051 of September
27, 1962 (27 F.R. 9683; 3 CFR 1959-1963
Comp.) , has reviewed and approved the
requirements set forth in this Subpart
101-11.7.
? 101-11.701-3 Background.
(a) Reporting requirements. The orig-
inal reporting requirements for vital
operating records protection programs
were set forth in Bureau of the Budget
Bulletins No. 51-14, May 22, 1951, and
No. 52-5, September 6, 1951. These bul-
letins were rescinded on March 23, 1954,
when they were replaced by the Office of
Defense Mobilization's non-Military De-
fense Program Memorandum VI-2. Pro-
gram Memorandum X-1, issued by ODM
on December 23, 1954, further defined
the reporting requirements originally set
forth in non-Military Defense Program
Memorandum VI-2. Memorandum X-1
rescinded by the Office of Emergency
Planning on June 25, 1964, was the basis
for the semiannual agency reports on
vital records programs since 1954.
(b) Protection. criteria and guides.
The GSA Records Management Hand-
book, Federal Vital Records Program,
presents the basic assumptions and
mechanics for protecting vital records.
129 F.R. 16807, Dec. 12, 1964, as amended at
33 F.R. 9777, July 6, 19681
? 101-11.701-4 Forms.
The report is in two parts. Part I will
be prepared on GSA Form 2034, Vital
Records Protection Status Report (Part
I?Emergency Operating Records) and
Part II will be prepared on GSA Form
2035, Vital Records Protection Status Re-
port (Part II?Rights and Interests Rec-
ords) . (See ?1101-11.4917 and 101-
11.4918.)
? 101-11.701-5 Definitions.
(a) The following definitions are per-
tinent to preparation of the report:
(1) Emergency operating records are
records vital to the essential functions of
the Federal Government for the dura-
tion of an emergency if the country is
attacked. Such records include those
necessary to the military effort; the mo-.
bilization and protection of material and
manpower resources, of services, and of
60
oo o 6 9 a n.
systems; the maintenance of public
health, safety, and order; and the con-
duct of essential civil defense activities.
These records must be available as
needed at or in the vicinity of emergency
operating centers.
(2) Rights and interests records are
records essential to the preservation of
the legal rights and interests of indi-
vidual citizens and their Government.
These records include such groups as
?
Social Security records, retirement rec-
ords, payroll records, insurance records,
and valuable research records. These
records require protection, but storage
points do not have to be at or in the
vicinity of emergency operating centers.
The determination as to whether a given
type of record is vital and which cate-
gory it fits is often a difficult decision to
make.
(b) The GSA Records Management
Handbook entitled, "Federal Vital Rec-
ords Program," provides further clarifi-
cation of the two categories of records.
[29 F.R. 16807, Dec. 12, 1964, as amended at
33 FR. 9777, July 6, 19681
? 101-11.701-6 Preparing offices and
coverage.
(a) All departments and agencies Will
submit both Parts I and II of the report.
(b) A report is required for each in-
dividual vital records program. General-
ly, this means that each bureau, service,
or office of a department or large agency
will prepare a report. Regional or field
program reports shall be incorporated
within the reports for bureau or service
level or above before being transmitted to
the General Services Administration. If
the department or agency operates a cen-
tralized program covering all organiza-
tional elements, only one report is
required.
(c) Each report will be complete in
itself and will supersede the previous
report.
(d) The description of records called
for on both parts of the report should
adequately portray the type of records
involved. The description should be
more definitive than a merely broad cate-
gory such as "Administrative." It should
not, on the other hand, list every indi-
vidual record or form. Generally, the
entry will be a file or series having a
similarity in arrangement, physical type,
or substantive relationship to subject or
activity.
, (e) A department or agency may con-
sider that a particular type of record
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Title 41--thapter 101 ? 101-11.803-1
falls into both the emergency operating
and the rights and interests categories.
These records should be listed on both
Parts I and II of the report and be
cross-referenced.
(f) All reports for a department or
agency will be transmitted together as a
package.
129 F.R. 16807, Dec. 12, 1964, as amended at
33 FR. 9777, July 6, 1968]
? 101-11.701-7 Security.
Where a detailed description of the
records and their locations is considered
a security matter, the report should be
security classified appropriate to. the
degree of classified informatioa it con-
tains.
133 F.R. 9777, July 6, 1968]
? 101-11.701-8 Reporting periods and
due dates.
(a) Reports will be submitted an-
nually, as of June 30, and will be due
10 workdays thereafter.
(b) A special advisory report also will
be prepared and submitted whenever
there is a change in the location of the
records or whenever a significant change
occurs in the status of the program or
in the type of records protected. These
reports will be submitted as soon as
possible after such changes occur. Only
that portion of the report form appli-
cable to the change need be filled out.
? 101-11.701-9 Copies and distribution.
All reports will be submitted in dupli-
cate to the:
General Services Administration,
National Archives and Records Service,
Office of Federal Records Centers,
Washington, D.C. 20408.
? 101-11.701-10 Availability of forms.
The reporting forms illustrated in
?? 101-11.4917 and 101-11.4918 are avail-
able from General Services Administra-
tion Region 3, Office of Administration,
Printing and Publications Division?,
3BRD, Washington, D.C. 20407.
133 F.R. 9777, July 6, 1968]
Subpart 101-11.8?Standard and
Optional Forms
SOURCE: The provisions of this Subpart
101-11.8 appear at 32 F.R. 8034, June 3, 1967,
Unless otherwise noted.
5101-11.800 Scope. ;.
? This subpart sets forth the 'standards,
guidelines, procedures, and forms to be
61
used in the Standard and Optional
Forms Program.
? 101-11.801 Exclusions.
Excluded from this program are those
Standard and Optional forms promul-
gated by the Comptroller General or
those subject to his approval pursuant to
the provisions of section 309 of the Bud-
get and Accounting Act of 1921 ( 31
U.S.C. 49) and section 114 of the Ac-
get and Accounting Act of 1921 (31
U.S.C. 66(b) ) . Although the Bureau of
the Budget retains responsibility for the
clearance of public reports under the
Federal Reports Act of 1942 (56 Stat.
1078, Dec. 24, 1942) ? 101-11.806 includes
the procedures for clearance of Standard
and Optional forms which are used as
public reports.
? 101-11.802 Background.
For over 25 years the Federal Govern-
ment has had a program for the clear-
ance and promulgation of Standard and
Optional forms. The most recent basic
directive was promulgated as Bureau of
the Budget Circular A-17, Revised, of
November 14, 1959. In addition, the Bu-
reau issued three related circulars: (a)
Circular A-5, Revised, of June 3, 1953,
and Transmittal Memorandums Nog. 1
and 2 thereto, which prescribed the
Standard forms to be used by all Federal
agencies for reporting accidents and for
processing claims under the Federal Tort
Claims Act (28 U.S.C. 2672-2680) ; (b)
Circular A-6, Revised, of February 10,
1960, which prescribed the Standard
forms to be used for requisitioning print-
ing and binding; and (c) Circular A-32,
Revised, and Transmittal Memorandum
No. 1 thereto, which prescribed the
Standard forms to be used for medical
examinations and clinical health records.
These circulars are being rescinded by a
Bureau of the Budget Circular dated May
20, 1967, effective June 1, 1967, since the
responsibility for the Standard and Op-
tional Forms Program is being shifted
from the Bureau of the Budget to the
National Archives and Records Service
(NARS), GSA.
? 101-11.803 Definitions.
The terms listed in ?? 101-11.803-1
through 101-11.803-5 shall have the
meanings therein stated.
? 101-11.803-1 Forms.
A form is any document, including
letters, Post cards, and memorandums,
printed or otherwise reproduced with
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? 101-11.803-2
Title 41?Chapter 101
space for filling in information, descrip-
tive material, or addresses. Certain
printed items without fill-in space, such
as contract provisions, instruction sheets,
notices, tags, labels, and posters, may be
considered as forms when it is advan-
tageous to identify and control them as
forms for purposes of reference, printing,
stocking, distribution, and use with other
forms.
? 101-11.803-2 Standard forms.
A Standard form is a form prescribed
by a Federal agency, pursuant to its au-
thority, and approved by GSA for man-
datory use. Such mandatory use is
generally set forth in regulations of the
promulgating agency.
? 101-11.803-3 Optional forms.
An Optional form is a form developed
for use in two or more agencies and ap-
proved by GSA for nonmandatory use.
The availability of such forms for use is
normally announced by the agency which
developed and sponsored the form for
use (? 101-11.805).
? 101-11.803-4 Promulgating agency.
A promulgating agency is any agency
of the Federal Government which has
the authority to prescribe regulations and
forms for use by other agencies. Stand-
ard forms are 'generally set forth in
regulations issued by the promulgating
agency (? 101-11.804-1).
? 101-11.803-5 Sponsoring agency.
A sponsoring agency is usually any
Federal agency which develops an Op-
tional form and, after approval by GSA,
announces its availability for use by
other Federal agencies (? 101-11.805).
? 101-11.804 Procedures to promulgate,
modify, or discontinue Standard
forms.
? 101-11.804-1 Clearance and promul-
gation.
Proposed Standard forms, or revisions
to existing Standard forms, will be sub-
mitted to NARS by the promulgating
agency, using Standard Form 152, Re-
quest for Clearance and Procurement-
Standard and Optional Forms, for such
purpose (see form illustrated in ? 101-
11.4920). NARS will notify the promul-
gating agency of its approval or dis-
approval by an appropriate entry in item
17 of Standard Form 152 and by return-
ing two signed copies. If approved,, one
0 0 1 0 6 9 8 9
copy will be retained by the promulgating
agency for its records; the second copy
will be used for furnishing GSA, Federal
Supply Service, printing and stocking
specifications for procuring stock of the
approved Standard form (? 101-26.302-6
of this chapter). When such a Standard
form is printed, the Standard form num-
ber assigned by NARS, the month and
year of promulgation (or the month and
year of the revision), the name of the
promulgating agency, and a reference
citation of the agency regulation which
requires its mandatory use as a Standard
form will appear on the form.
? 101-11.804-2 Modifications and ex-
ceptions.
In the interest of establishing and
maintaining uniformity to the greatest
extent feasible, modifications of and ex-
ceptions to Standard forms shall be kept
to a minimum.
(a) In instances when an agency be-
lieves it is not feasible to use a Standard
form for its purpose and in the prescribed
manner or desires to make substantive
changes in the content of an approved
Standard form which does not affect for-
mat or printing specifications, the af-
fected agency will submit its request for
exception or deviation with an appro-
priate explanation and justification to
the promulgating agency identified on
the Standard form. The promulgating
agency will, after review, forward its
reply to the requesting agency, with a
copy of the reply being furnished to
NARS.
(b) In instances when an agency de-
sires to alter the format or change print-
ing specifications of an approved Stand-
ard form, the affected agency will submit
its request for exception or deviation on
Standard Form 152 with an appropriate
explanation and justification to the
agency identified on the Standard form
in question as the promulgating agency.
The promulgating agency will, after re-
view, forward the request with its own
recommendations to NARS for final
clearance.
(c) In instances where overprinting of
Standard forms is desired, it is permis-
sible without clearance from the promul-
gating agency, provided such overprint-
ing is fully consistent with the purposes
and intent of the Standard form and
procurement is in accordance with ?.101-
26.302 of this chapter. Overprinting may
consist of names, addresses, uniform en-
62
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Title 41?Chapter 101-
tries, etc. Supplementation of Standard.
forms may be made in accordance with
? 101-1.110 of this chapter.
? 101-11.804-3 Proposed discontinu-
ance.
Before a promulgating agency notifies
using agencies that the mandatory use of
a Standard form is no longer required,
it will notify NARS of its intention. In
such instances, NARS may (a) author-
ize continued use of the form on an op-
tional basis, (b) make arrangements for
the form to be promulgated as a Stand-
ard form by another agency, or (c) con-
cur with the promulgating agency that
there is no need for the continued use of
the form. NARS will inform the promul-
gating agency of its decision.
? 101-11.805 Procedures to establish,.
revise, or discontinue Optional.
forms.
Proposed Optional forms or revisions:
to existing Optional forms will be sub-.
mitted to NARS by the sponsoring agency)
using Standard Form 152 for that pur-
pose. NARS will evaluate such proposals
in consultation with interested agenciest
and will indicate its decision by an ap-
propriate entry in item 17 of Standard:
Form 152 and by returning two signed:
copies. If approved, one copy will be re-
tained by the sponsoring agency for its1
records; the second copy will be used for.
furnishings GSA, Federal Supply Serv-
ice, printing and stocking specifications
for procuring stock of the approved Op-
tional form (? 101-26.302-6 of this chap-
ter). When such an approved Optional
form is printed, the Optional form num-
ber assigned by NARS, the month and
year of approval (or the month and year
of the revision) , and the name of the
sponsoring agency will appear on the
form. When a form is approved for op-
tional use, announcement thereof will
usually be made to potential users by
the sponsoring agency (? 101-11.803-3) ..
? 101-11.806 Standard and Optional
forms used as public reports.
Proposed Standard and Optional forms
which come -under the provisions of the
Federal Reports Act of 1942 (56 Stat.
1078, Dec. 24, 1942) and proposed revi-
sions to, exceptions to, or discontinuances
of such forms must be cleared by the Bu-
reau of the Budget (BOB Circular A-40,
Revised), as well as by GSA (? 101-11.-
801). By agreement between GSA ,and
? 101-11.808-2
the Bureau of the Budget, such Stand-,
ard form public report documents shall
be submitted to NARS, using Standard
Form 152. NARS will forward the docu-
ments to the Bureau of the Budget for
review and approval.
? 101-11.807 Procurement.
GeneralS procedures for procuring
stocks of Standard and Optional forms,
or modifications thereof are contained in
?? 101-26.302-3 through 101-26.302-6
of this chapter.
? 101-11.808 Initiating Standard and
Optional forms projects.
Similar forms are often used for essen-
tially the same purpose in different parts
of the Government. By obtaining agree-
ment from the people responsible for
these forms, the development of a Stand-
ard or Optional form may result in sub-
stantial benefits to the Government.
These benefits include reduced printing:
and stocking costs, uniform and im-`
proved procedures for processing the
form, reduced training time of employees,'
and simplified direction.
? 101-11.808-1 Initiating new Standard:
forms.
The full potential for developing
Standard forms has not yet been ex-
ploited. New programs, new legislation,
and the establishment of new agencies
provide opportunities for beneficial
standardization. The expanded use of
computers and of communications 'sys-
tems makes standardization of data ele-
ments as well as formats for the Inter-
change of information more essential
than ever before. Federal agencies shall,
initiate projects to develop Standard
forms in areas where they have authority,
to prescribe uniformity, and where uni-
formity would produce benefits. NARS
will assist in such studies as needed.
Other agencies may be requested to par-
ticipate in such studies.
? 101-11.808-2 Initiating new Optional
forms. ,
The development and use of Optional
forms provide agencies with an oppor-
tunity to help reduce the number of over-
lapping and duplicate forms. Federal
agencies should be alert to the possibili-
ties involved. In developing Optional
forms, NAPS win provide management
leadership. ?
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? 101-11.809 Title 41-eliapter 101
? 101-11.809 Selected Standard forms
for which GSA is designated as pro-
mulgating agency.
This section provides for promulgation
by GSA of certain Standard forms for-
merly promulgated by the Bureau of the
Budget. The form identification to ap-
pear on replenishment stocks of existing
Standard forms prescribed in this section
and new Standard forms added to this
section will show GSA as the promulgat-
ing agency. This section will be cited as
the prescribing directive.
? 101-11.809-1 Standard forms for
requisitioning printing and binding.
(a) Forms for ordering printing or
printing and binding. When ordering
printing alone (other than Standard and
Optional forms) , or printing and binding
together, Federal agencies shall submit
to the Government Printing Office, Divi-
sion of Planning Service, Washington,
D.C. 20401, a completed copy of Standard
Form 1, Requisition for Printing and
Binding, Revised, June 1945, or Standard
Form 1-C, Requisition for Printing and
Binding for Specialty Items, January
1960, whichever is appropriate for the
printing desired.
(b) Forms for ordering binding. When
ordering binding alone (as the binding'
of existing documents for library use)
Standard Form 1 together with Standard,
Forms 1-A, Binding Instructions, and 1-
B, List of Books To Be Bound, shall be
used.
(1) Instructions for completing Stand-
ard Form 1-A are printed on the back of
the form. A completed copy shall be at-
tached to each book or group of identical
books to be bound. The books accom-
panied by the forms shall be sent to the
Government Printing Office, Central
Receiving Station, at the mailing address
shown in this ? 101-11.809-1.
(2) A completed copy of Standard
Form 1-B, together with the Requisition,
Standard Form 1, shall be sent to the
Government Printing Office, Division of
Planning Service, at the mailing address
shown in this ? 101-11.809-1.
? 101-11.809-2 Standard forms for re-
porting accidents and for processing
claims under the Federal Tort Claims
Act.
The Standard forms for reporting ac-
cidents and for processing claims under
the Federal Tort Claims Act (28 U.S.C.
2672-2680) were developed by the Inter-
departmental Tort Claims Committee
00106989
chaired by the Department of Justice
and the Federal Safety Council chaired
by the Department of Labor (Executive
Order 10194 of Dec. 19, 1950, 3 CFR).
They are designated and prescribed for
use as follows:
(a) Standard Form 91 (Revised April
1963) , Operator's Report of Motor Ve-
hicle Accident, is to be completed at the
time and on the scene of an accident
insofar as possible, regardless of the ex-
tent of injury or damage. Blank forms
are to be carried in motor vehicles used
in official Government business.
(b) Standard Form 91A (Revised June
1953) , Investigation Report of Motor Ve-
hicle Accident, is to be completed by the
person investigating the accident as soon
as possible.
(c) Standard Form 92, Supervisor's
Report of Accident, applies to accidents
other than those involving motor ve-
hicles or aircraft and is to be completed,
as soon as possible after an accident, by
the supervisor of Government work in
which there is injury to Federal person-
nel or damage to Federal property, or
optionally in contract operations involv-
ing non-Federal personnel or property.
One form is to be used for each injured
person.
(d) Standard Form 92A, Report of Ac-
cident Other than Motor Vehicle, applies
to accidents other than those involving
motor vehicles or aircraft and is to be
completed, as soon as possible after the
accident, by the person in charge of the
premises or activity in which the acci-
dent occurred. Aircraft accidents are to
be reported on forms prescribed by the
Civil Aeomautics Board or other appro-
priate activity.
(e) Standard Form 94 (Revised June
1953) , Statement of Witness, is to be
completed by persons having witnessed
an accident.
(f) Standard Form 95 (Revised Feb-
ruary 1963) , Claim for Damage or Injury,
is to be completed by or on behalf of the
person having sustained the injury or
damage.
? 101-11.809-3 Standard forms for
medical examination and clinical and
health records.
Standard forms for medical examina-
tions and clinical and health records
have been developed by the Interagency
Committee on Medical Records in order
to standardize such .records and to as-
Sist'in the exchange of niedical Informa-
tion.
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Title 41?Chapter 101
(a) Unless Om exception is granted by
NARS (? 101-11.804-2) , the standard
medical examination forms listed below
are mandatory for use in general types
of medical examinations, medical his-
tories, and in employment health records
for military and civilian personnel, for
beneficiaries of Government programs
which involve medical records, and for
civil airmen subject to regulations of the
Federal Aviation Administration. At the
discretion of a Federal agency, the forms
may also be used (1) for medical exami-
nation of persons other than employees
of the Government, And (2) in place of
special medical examination forms such
as those required in retirement cases, in
claims for injuries, or for treatment fol-
lowing injuries. These standard medical
examination forms are as follows:
Standard form No. Title
SF 78, Revised June 1961 ,Certificate of Medi-
( for use when required cal Examination.
by the Civil ? Service ;;,1 ; I
Commission) .
SF 88, Revised June 1956_Report; of Medical
Examination.
BF 89, Revised March 'Report of Medical
1965 (prohibited for History
civil service appli-
cants or civilian em-
ployees of the Federal
Government unless
prior approval Is given
by the Civil Service
Commission).
SF 90, Revised July 1961__Health Qualifica-
tion Placement
Record.
(b) The standard clinical and health
record forms which are to be used in
hospitals, clinics, dispensaries, and in
similar facilities operated by the Gov-
ernment are listed in the GSA Stock
Catalog, Part II, Standard Forms. The
forms are listed in the 500 and 600 series
of Standard form numbers and appear
under the caption, "Clinical and Health
Record Series."
? 101-11.810 Designation of agency li-
aison representative.
Each Federal agency shall designate
an official and an alternate who will
serve in a liaison capacity with NARS,
on the Standard and Optional Forms
Program. The General Services Admin-
istration, National Archives and Records
Service, Office of Records Management-
NR, Washington, D.C. 20408, shall be
notified, in writing, of the name, title,
location, and telephone number of each
,95
? 101-11.903
such designee as soon as practicable after
the effective date of this subpart. The
name, title, location, and telephone num-
ber of each replacement liaison repre-
sentative or alternate will be forwarded
to the Office of Records Management at
the address shown above within 30 days
after the new designation is made.
These designated liaison representatives
may or may not be the same as those
designated under ? 101-11.102,6, relating
to records management liaison offices.
Subpart 101-11.9?Source Data Auto-
mation in Paperwork Systems
Sonncs: The provisions of this Subpart
101-11.9 appear at 33 P.R. 894, Jan. 25, 1968,
'unless otherwise noted.
'? 101-11.900 Scope.
This subpart concerns the application
of source data automation (SDA) to the
mechanization of office paperwork-proc-
essing systems and provides guidelines
for agencies to follow in using SDA.
? 101-11.901 Definition of source data
automation.
"Source data automation" means a
System of mechanized document-creating
devices in an office environment for cap-
turing data in a machine-readable form
for future use in producing forms and
other records required throughout the
system, without subsequent manual re-
entry of the data. As a byproduct, SDA
may provide a machinable output for use
as input to an automatic data processing
(ADP) system.
? 101-11.902 Need for source data
autoxnation.
Applied continuously as an organized
program for mechanizing the creation
of records through machine-to-machine
processing, SDA can reduce costs, im-
prove accuracy, and provide faster proc-
essing, SDA can further provide maxi-
mum flexibility in the transmission,
protection, and perpetuation of data or
documents.
? 101-11.903 Criteria for the use of
source data automation.
SDA is applicable to paperwork sys-
tems where the same data are used repet-
itively. Use of SDA techniques and
devices should be considered whenever
the volume of data is adequate to amor-
tize the equipment cost within a reason-
able period. Use of SDA should also be
considered whenever data usage requires
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? 101-11.904
e
Title
urgent handling to meet deadlines or
whenever a greater degree of accuracy is
necessary;
? 101-11.904 Application of source data
automation.
Federal agencies will apply actively
and continuously SDA techniques to
paperwork procedures, as a part of their
records management, systems develop-
ment and maintenance, and related
activities. The agency will assure that:
(a) Responsibility for the promotion
and coordination of SDA applications is
assigned to an official or office.
(b) Present and proposed paperwork
activities involving manual operations
or the keyboard entry of the same data
by two or more office machines are ex-
amined for potential application of SDA.
(c) Existing automatic data process-
ing applications are reviewed for feasi-
bility in providing input data captured.
at the source by SDA or as a SDA by-
product of necessary clerical operations.
(d) Procedures are established for the
submission, review, and approval of all
requests for obtaining SDA equipment..
Each request should be reviewed for fea-
sibility, economy, and compatibility with
the existing equipment and systems and "
with the agency's other plans for im-
proved systems.
(e) Timely information concerning the
capabilities, limitations, advantages, And
uses of SDA equipment and techniques
Is disseminated to managers and operat-
ing officials. ?
(f) All GSA publications on the sub-
ject of SDA techniques and equipment
are made available for use.
Subparts 101-11.10-101-11.48
? (Reserved]
Subpart 101-11.497?Fo.rms and
? Reports
SOURCE: The provisions of this Subpart
101-11.49 appear at 32 F.R. 8936, June 3, 1967,
unless otherwise noted.
? 101-11.4900 Scope of subpart.
This Subpart 101-11.49 contains forms
and reports used in connection with the
regulations on records management pre-
scribed in this Part 101-11.
NOTE: Forms in ?1 101-11.4901-1.01-11.4919
filed as part Of the original doctiment. copies
may ' be obtained from 'Oentrat Offic?GSA.
u
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?101-11.4901 Standard Form 136:
Annual Summary of Records Hold-
ings.
[33 F.R. 8775, June 15, 1968]
? 101-11.4902 Standard Form 115: Re-
quest for Authority to Dispose of
Records.
? 101-11.4903 Standard Form 115a:
Request for Authority to Dispose of
Records?Continuation Sheet.
1101-11.4904 Instructions for Prepar-
?' ing Standard Forms 115 and 115a.
? 101-11.4905 Standard Form 137;
?? Agency Records Center Annual Re-
port.
? 101-11.4906 Standard For nt 127:
Request for Official Personnel Folder
(Separated Employee). ?
? 101-11.4907 Standard Form 135:
, Records Transmittal and Receipt.
? 101-11.4908 Standard Form 135a:
, Records Transmittal and Receipt?
(Continuation).
? 101-11.4909 GSA Form 439: Report
of Disposition of Records.
? 101-11.4910 Optional Form 11: Ref-
erence Request?Federal Records
Centers.
? 101-11.4911 GSA Form 10: United
States Government Memorandum.
-?101-11.4912 Optional Form 10':
United States Government Memoran-
dum. ,
;? 101-11.4913 ? Standard Form 63:
Memorandum of Call.
? 101-11.4914 Standard Form 65; U.S.
? Government Messenger Envelope.
? 101-11.4915 Optional F o r in 27:
United States Government 2-Way
Memo.,
? 101-11.4916 "Guides to Simplified
Informal Correspondence".
66
? 101-11.4917 GSA Form 2034: Vital
Records Protection Status Report
(Part I?Emergency Operating Rec-
ords).
? 101-11.4918 GSA Form 2035: Vital
Records Protection Status Report
(Part II?Rights and Interests Rec-
? ords).
s
?,101A1.4920 ? Standard Form 152: Re-
. , quest for Clearance and Procure-
ment-Standard and Optional -Forms.
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? 101-11.4921 Standard Form 180: Re-
quest Pertaining to Military Records.
NOTE: The form in ? 101-11.4921 Is filed as
a part of the original document. Federal
agencies may obtain copies from the nearest
General Services Administration supply
depot.
133 F.R. 18281, Dec. 10, 19681
PART 101-12 (RESERVED]
PART 101-13?PRESERVATION OF
RECORDS BY WAR CONTRACTORS
Sec.
101-13.1
101-13.2
, Scope of regulation. ,
Responsibility of the war con-
tractor.
Records not to be destroyed for
stated period.
Partial settlements, exclusions or
exceptions.
Exemptions. '
Duplicate copies.
Authorization to destroy if photo-
graphs are retained.
Features which photography
would not clearly reflect.
Arrangement, classification and
self -identification of records.
*Minimum standards for film and
processing.
Certificate of authenticity. '
Additional special requirements
for microfilm.
Indexing and retention of photo-
graphs.
AUTHORITY: The provisions of this Part
101-13 issued under sec, 1, 62 Stat. 706, as
amended; 18 D.S.C. 443.
SOURCE: The provisions of this Part 101-13
contained in Regulation 11, Revised, 18 P.R.
1318, Mar. 7, 1953, unless otherwise noted.
Redesignated at 26 P.R. 11425, Dec. 2, 1961,
and further redesignated at 29 P.R. 19091,
Dec. 30, 1964.
? 101-13.1 Scope of regulation.
(a) This regulation applies to:
(1) Any records of a war contractor
relating to the negotiation, award, per-
formance, payment, interim financing,
cancellation or other termination, or
settlement of a war contract of $25,000
or more,
(2) Any records of a war contractor
and any purchaser relating to any dis-
position of termination inventory in
which the consideration received by any
war contractor or any GOvernment
agency is $5,000 or more, and
(3) Any records of a titer' Caritractor
Which by- the war eehtract'are' reqUired
? v.1 '41'
101-13.3
101-13.4
101-13.4a
101-13.5
101-13.6 '
101-13.7 '
101:13.8
101-13.9
101-13.10
101-13.11
101-13.12
on termination to be preserved or made
available.
(b) The term "war contract" which
Is defined in the Contract Settlement
Act of 1944 as meaning either a prime
contract or subcontract, has the same
meaning herein. It is not limited to ter-
minated contracts but, except where
otherwise limited by the context, also
Includes continuing or completed con-
tracts.
(c) As used in this part, the term "rec-
ords" includes, but is not limited to,
books, ledgers, checks and check stubs,
payroll data, vouchers, memoranda, cor-
respondence, inspection reports, and cer-
tificates, and cost data where involved
in final payment or settlement of the
contract.
? 101-13.2 Responsibility of the war
contractor.
(a) Pursuant to section 443 of the
act of June 25, 1948, the war contractor
shall preserve for the period of time
stated below records essential to deter-
mining the performance under the war
contract and to justifying the settlement
thereof; any determination that certain
records are not essential and need not
be retained is made at the contractor's
risk in accordance with the requirements
of such act.
(b) Since the Contract Settlement Act
defines "war contractor" as a holder of
either a prime contract or a subcon-
tract, the subcontractor has the same
responsibility to preserve his individual
contract records as does the prime con-
tractor, and may dispose of such rec-
ords in accordance with the provisions
of this regulation without approval of
the prime contractor unless required by
the subcontract.
? 101-13.3 Records not to be destroyed
for stated period.
(a) Except as provided in ? 101-13.4 at
the conclusion of the time period stated
below, final disposition of the contract
records which he is required to preserve
is in the discretion of the war contractor
and requires no authorization from the
Office of Contract Settlement or (unless
required by the war contract) by the
contracting agency:
(1) Five years after such disposition
of termination inventory by such war
contractor or Government agency, or
(2) Five years after the final pay-
ment or settlement' of such 'war contract.
-?!? ,r ,?,:- -.*:. ? ? '
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? 101-13.4
Title 41?chapter 101
(b) Nothing in this section shall be
construed:
(1) As affecting the requirements re-
lating to records under any law other
than the Contract Settlement Act of
1944, or
(2) As prohibiting the destruction of
records, the destruction of which is not
otherwise prohibited, or
(3) As authorizing the destruction of
records where the contract is in litiga-
tion or under investigation, or
(4) As requiring the photographing
of records of war contractors, or
(5) As affecting the requirements of
the Comptroller General of the United
States for preservation and submission
of records, or
(6) As reducing the period of time for
retention of records as provided for in
any war contract as that term is defined
in this regulation.
118 P.R. 1318, Mar. 7, 1953, as amended at
27 F.R. 4739, May 18, 1962]
? 101-13.4 Partial settlements, exclu-
sions or exceptions.
(a) The period prescribed by ? 101-
13.3 for retaining records commences:
(1) On the date the war contractor
accepts the final payment or settlement
offered by the agency which contracted
with him, or
(2) Where the war contractor does
not accept such payment or settlement,
on the date when the period prescribed
by law for appeal or other action con-
testing such payment or settlement ex-
pires, or
(3) Where an appeal or other action
contesting such payment or settlement
Is filed on the date of final determina-
tion of such appeal or other action.
(b) Where the settlement is not com-
plete, or there are exclusions or excep-
tions to the settlement, the records of
the parts or items which are settled are
eligible for destruction at the end of the
period prescribed in ? 101-13.3 dating
from such settlement, except that all
records pertaining to such exclusion or
exception must be retained for the pre-
scribed period from its date of settlement.
? 101-13.4a Exemptions.
The provisions of this part and section
443 of the act of June 25, 1948 (62 Stat.
705; 18 U.S.C. 443) do not apply to (a)
war contractor records title to which is
transferred to a Government agency,
(b) war contractor records that are in-
0
cluded by Federal agencies on records
disposition schedules approved by the
Congress in the -manner provided in the
Records Disposal Act (57 Stat. 380; 44
U.S.C. 366 et seq.) , or (c) war contractor
records disposal of which is approved in
writing by the Administrator of General
Services and the Comptroller General of
the United States.
[Reg. 11, Rev., Amdt. 2, 22 P.R. 5955, July
27, 1957]
? 101-13.5 Duplicate copies.
Duplicate or extra copies of the con-
tract records need not be retained.
? 101-13.6 Authorization to destroy if
photographs are retained.
Subject to the provisions of ? 101-13.1,
any records to which this regulation ap-
plies and which can be reproduced
through photography without loss of
their primary usefulness may be de-
stroyed, Provided, however, That clearly
legible photographs thereof are made
and preserved in accordance with the
conditions and standards set forth in
this section. Any number of copies of
the record may be destroyed, provided
one such photograph of the record is
preserved. The terms "photograph,"
"photographing" and "photography" in-
clude, but are not limited to, "micro-
photograph," "microfilm," "microphoto-
-graphing" and "microphotography."
? 101-13.7 Features which photography
would not clearly reflect.
If there is any significant characteris-
tic, feature, or other attribute of a rec-
ord which photograph would not clearly
reflect, as for example that the record
Is a copy, or is an original, or that cer-
tain figures thereon are red, the record
shall not be destroyed unless prior to
being photographed it is marked so that
the existence of such characteristic, fea-
ture, or other attribute is clearly re-
flected. When a number of the records
to be microfilmed have in common any
such characteristic, feature, or attribute,
an appropriate notation identifying the
characteristic, feature, or attribute with
the records to which it applies may be
placed at the beginning of the roll of
film instead of on the individual records.
? 101-13.8 Arrangements, classification
and self-identification of records.
At the time of photographing, the rec-
ords shall be so arranged, classified and
self-identified as readily ,to permit the
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Title 41?dapfer 101'
subsequent examination, location, iden-
tification and reproduction of the Pho-
tographs thereof.
? 101-13.9 Minimum standards for film
and processing.
The minimum standards for film and
processing used in the production of
photographs shall be those set forth in
the "Standards for Temporary Record
Photographic Microcopying Film" issued
by the National Bureau of Standards
under date of October 25, 1943, and set
forth below as Exhibit A.
? 101-13.10 Certificate of authenticity.
The photographs shall have attached
thereto a certificate or certificates that
the photographs are accurate and com-
plete reproductions of the records sub-
mitted by the war contractor or pur-
chaser and that they have been made in
accordance with the standards and re-
quirements set forth in this regulation.
Such certificate or certificates shall be
executed by a person or persons having
personal knowledge of the facts covered
thereby.
? 101-13.11 Additional special require-
ments for microfilm.
In the case of microphotographs, a mi-
crofilm of such certificate or certificates
shall be photographed on each roll of
film. The photographic matter on each
roll shall commence and end with a
frame stating the nature and 'arrange-
ment of the records reproduced, the
' name of the photographer and the date.
Rolls of film shall not be cut. Supple-
mental or retaken film whether of
misplaced or omitted documents or of
portions of a film found to be spoiled or
Illegible or of other matter, shall be at-
tached to the beginning of the roll, and
In such event the certificate or certifi-
cates referred to in ? 101-13.10 shall
cover also such supplemental or retaken
film and shall state the reasons for taking
such film.
? 101-13.12 Indexing and retention of
photographs.
The photographs shall be indexed and
retained in such manner as will render
them readily accessible and identifiable
and will reasonably insure their preser-
vation against loss by fire or other means
of foreseeable destruction. They shall be
retained for the period of time during
which, except' for this regUlation, the
destruction of the original , records
would have been prohibited. " - ?
Exnn3rr A
STANDARD FOR TEMPORARY RECORD PHOTO-
GRAPHIC MICROCOPYING FILM
(Gelatin-Silver Halide Emulsion Type)
The exposed and processed film shall be of
such a type that no serious loss in the qual-
ity of the image shall result within five years
after processing when the film is kept under
ordinary storage conditions. All film shall be
of 16 mm or 35 mm size either perforated
or unperforated as specified.
DETAILED REQUIREMENTS
Film base. The film base shall be the slow
burning cellulose-acetate type known as
"safety" film. The thickness of the film base
and emulsion shall be 0.0055+0.0010 inch.
Emulsion. The emulsion or light sensitive
coating shall be composed of silver-halide
crystals of a size distribution entirely suit-
able for microcopying use, uniformly dis-
persed in a thin layer of high grade gelatin
on one side of the film base. The white-
light and spectral sensitivities shall be such
that accurate and complete copies of ..the
documents are obtained with the usual ex-
posure and development technique.
Processing. The film shall be developed
with the usual organic developing agents
such as "Metol," hydroquinone, gycin, etc.,
compounded to produce a silver image essen-
tially black. Developers producing stained
or colored images are not to be used. The
films shall be fixed in the usual sodium thio-
sulphate fixing bath. Fixing baths contain-
ing ammonium thiosulphate shall not be
used. No intensification or reduction of the
developed image is permitted.
Hypo content of emulsion. The hypo (so-
dium thiosulphate) content of the processed
film shall not exceed 0.02 mg per square inch
of film. The hypo content shall be deter-
mined by the method of Crabtree and Ross
In the Journal of the Society of Motion Pic-
ture Engineers, Vol. 14, p. 419 (1930).1 One
square inch of film (13/4" of 16 mm film or
3/4" of 35 mm film) is immersed in a shell
vial 3/4 x 4" containing 10 ml of the follow-
ing solutions:
Potassium bromide 25 grams.
Mercuric chloride 25 grams.
Water to make 1 liter.
After the sample has remained in the above
solution for 15 minutes the turbidity is com-
pared with that of three similar shell vials
containing the above solution, one with no
hypo, one with 0.02 mg, and one with 0.03
mg hypo (Na2S20). The comparison is made
In a darkened room using a mercury lamp for
.69
1 In this article (p. 426) the sensitivity of
the Mercuric chloride test is given as 0.05
mg of hypo without stating the volume of
solution or area or length of film, This value
Is obviously for 1 foot of film since with or-
dinary care 0.005.1ng per frame of 35 mm film
(1 square inch) is detectable.
Declassified and Approved For Release 2013/11/20: CIA-RDP78-00453A000100050011-6
Declassified and Approved For Release 2013/11/20: CIA-RDP78-00453A000100050011-6
? 101-14.000 Title 41?Chapter 101'
illumination. The shell vials should rest on
a black surface, the light entering from one
side of the vials. The criterion is that the
turbidity of the tested solution should not
exceed that of the one having 0.02 mg. of
hypo.
Flexibility. Flexibility is determined by
means of a Pfund folding endurance tester
used as described by Weber and Hill, Na-
tional Bureau of Standards Miscellaneous
Publication M158, obtainable from the Su-
perintendent of Documents, Government
Printing Office, Washington, D.C. 20402, price
5 cents.
Processed film, conditioned at 65% rela-
tive humidity, shall stand at least 16 single
folds in the Pfund tester (19 mm between
Jaws) without breaking. Film aged 72 hours
at 100?C and conditioned at 65% relative
humidity shall not lose more than 25% in
folding endurance of the original sample.
Burning time test. A sample 16 inches
long shall be cut from the 16 mm or 35 mm
film to be tested.. All gelatin layers shall be
removed by washing in warm water or treat-
ment with an enzyme such as pancreatin.
After drying for at least 24 hours, the sam-
ple shall be marked 2 inches from each end
and perforated with holes approximately 0.12
Inch in diameter along one edge at intervals
of about 11/4 inches, if sample is not already
perforated. A wire having a diameter of not
more than 0.020 inch shall be threaded
through the perforations on one side at
points approximately 114 inches apart.
The wire holding the dried sample is
stretched horizontally between two supports
permitting the sample to hang vertically
from it. The bottom corner of one end of
the sample Is ignited. The time which
elapses from the moment, the flame reaches
the first mark until the flame reaches the
second mark shall be recorded as the burn-
ing time. If the sample does not ignite or
if it does not completely burn, the burning
time is recorded as infinite. The test shall
be made in a room free from draughts. At
least three tests shall be made. The burn-
ing time shall not be less than 45 seconds.
23.11.1.
s available.
?sement.
c for transfers.
?visions of this Part
c. 6, 53 Stat. 812, as
$; sec. 205(c), 63 Stat.
sec. 704, 64 Stat. 816,
App. 2154: E.O. 10480,
49-1953 Comp., p. 962,
LI, 29 F.R. 5076.
as of this Part 101-14
I, Nov. 20, 1964, unless
of part.
,h strategic, critical,
basic materials re-
anal stockpile, and
xcess to the require-
al stockpile.
-Transfer of Excess
itical Materials to
kpile
of subpart.
with the transfer of
Critical materials to
me and authority.
ttes the policy and
,ransfer to the na-
:ess materials which
cal.
140064.6
001069891
Declassified and Approved For Release 2013/11/20: CIA-RDP78-00453A000100050011-6