REGULATIONS OF THE GENERAL SERVICES ADMINISTRATION TITLE 3, FEDERAL RECORDS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP78-04718A001300080004-7
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 40
• Document Creation Date: December 12, 2016
• Document Release Date: May 22, 2001
• Sequence Number: 4
• Publication Date: October 4, 1954
• Content Type: REGULATION

GENERAL SERVICES ADMINISTRATION
EFT~ER
TRANSMITTAL. N0. 3-6
GNAW c` assification/Release Instructions on File October 4, 1954
REGULATIONS OF THE GENERAL SERVICES ADMINISTRATION
TITLE 3, FEDERAL RECORDS
To: Heads of Federal Agencies
1. Material Transmitted.
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Attached are new authentication; revised subsection 104.02, Chap-
ter IV; revised items 6, 16, 21, 22, and 23 and new item 25 of
General Records Schedule 1, revised items 1, 13, and 20 and revised
appraisals of most of the items of General Records Schedule 2, re-
vised items 1 and 4 and new items 13 and 14 of General Records
Schedule 3, revised item 1 of General Records Schedule 6, revised
item 4 and revised appraisal of item 5 of General Records Schedule 9,
revised General Records Schedule 14, and now General Records Sched-
ule 17; and revised Table of Contents, Appendix B.
2. Nature of Revisions and Additions
Revised subsection 104.02, Chapter IV, changes the listing of ap-
proved General Records Schedules to include the new schedule.
Revised item 6 of General Records Schedule 1 extends the period of
time for which certificate files are to be retained.
Revised items 16 and 23 of General Records Schedule 1 clarify the
coverage of the items.
Revised items 21 and 22 of General Records Schedule 1 extend the
coverage of the items.
New item 25 of General Records Schedule 1 provides for the dispo-
sition of certificates of performance ratings.
Revised item 1 of General Records Schedule 2 provides new standards
for the transfer to Federal Records Centers of individual earning
and service cards.
Revised item 13 of General Records Schedule 2 provides for the dis-
position of security copies of certain payrolling documents.
Revised item 20 of General Records Schedule 2 clarifies the coverage
of the item.
Revised appraisals of most of the items of General Records Schedule 2
provide more complete explanations of the reasons for the disposition
provisions of the schedule.
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Revised items 1 and 4 of General Records Schedule 3 exclude from the
coverage of these items-records covered by new item 13 of the same
schedule.
3.
New item 13 of General Records Schedule 3 provides for the disposition
of contractorsI payrolls.
New item 14 of General Records Schedule 3 provides for the disposition
of tax exemption certificate files.
Revised item 1 of General-Records Schedule 6 provides for the
disposition of -security copies of certain papers supporting accountable
officers' returns.
Revised item 4 of General. Records Schedule 9 clarifies the coverage
of the item.
Revised appraisal of item 5 of General Records Schedule 9 provides
a more complete explanation of the reasons for disposing of certain
travel records.
Revised General Records Schedule 14 provides for the disposition of
certain records of informational services.
New General Records Schedule 17 provides for the disposition of
certain cartographic, photogrammetric, and related records.
Authority for the disposal provisions in these new and revised schedules
and items is contained in the following House Reports: 1468 (General
Records Schedules 2 and 6)s 1541 (General Records Schedule-l)., 1571
(General Records Schedule 3) 2030 (General Records Schedule-1),, 2644
(General Records Schedule 17%and 2605 (General Records Schedules 1,,
3* 9, and 14), 83d Congress, 2d session.
Supplies of Schedules
Limited numbers of copies of General Records Schedules may be obtained
by agency records liaison offices,, designated in accordance with sub-
section 102.06 of Chapter I,, upon request to the Records Management
DivisLon.
4. Page C es
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Remove Insert
3-IV-104.02 (Cont'd-2) 3-IV-104.02 (Cont'd-2)
(8-27-53) (10-4-54)
Appendix B~ Table of Contents Appendix B. Table of Contents
(10-4-54)
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Appendix B, ORS 1
Page 2
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Pages 4, 5, 6, and 7
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Appendix B, GRS 2
Pages 2, 3, 4, and 5
(7-10-53)
Appendix B, GRS 3
Page 2
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Pages 4 and 5
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Appendix B, GRS 6
Page 2
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Appendix B, GRS 9
Page 2
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Appendix B, GIBS 114
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Appendix B. ORS 1
Pages 2, 4, 5 6, and 7
(10-~--545
Appendix B. GRS 2
Pages 2, 3, 4, and 5
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Appendix B, MS 3
Pages 2, 4, 5, and 6
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Appendix B. GRS 6
Pages (10-4-54)
Appendix B, GRS 9
Pages (12 and
0-4-54)
Appendix B. GRS54)14
Appendix B, ORS 17
(1o-4-54)
5. Effective Date
The Regulations transmitted herewith shall become effective on
November 18, 1954.
EDMUND F. MANSURE
Administrator
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In accordance with the authority vested in the
Administrator of General Services, I hereby declare
that the Regulations of the General Services Admin-
istration, Title 3, Federal Records, shall be the
Regulations governing the management of the records
of Federal agencies until modified by order of the
Administrator or by law.
EDMUND F. MANSURE
Administrator
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SECTION 1014.00 GENERAL RETENTION AND DISPOSAL SCHEDULES
104.01 Authority. Section 505(b) of the Federal Records Act of 1950
(141; U.S. ., Supp. V, sec. 395(b)) directs the Administrator to establish
standards for the selective retention of records of continuing value.
The Records Disposal Act prescribes that no records of the United States
Government shall be alienated or destroyed except in accordance with the
provisions of the Act. This Act also authorizes the Administrator to
submit to the Congress schedules proposing the disposal, after the lapse
of specified periods of time, of records of a specified form or character
common to several or all agencies that either have accumulated or may
accumulate in such agencies and that apparently will not, after the lapse
of the periods specified, have sufficient administrative, legal, research,
or other value to warrant their further preservation by the United States
Government.
These General Records Schedules, when reported upon favorably by the
Joint Committee on the Disposition of Executive Papers, constitute
authority to dispose of the records included therein. Agencies may apply
this authority subject to approval of the Comptroller General of the
United States when required by section 9 of the Records Disposal Act.
Such disposal authority is permissive and not mandatory. Agencies
desiring authority to dispose of records covered by such schedules after
shorter periods of time than the periods set forth in the General Records
Schedules shall make request therefor in the manner prescribed by section
106.00 of this Chapter. 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 reten-
tion period proposed.
104.02 Approved General Records Schedules. Pursuant to the authority
cited in subsection .0 , the General Records Schedules governing the
retention and disposal of the following types of records common to
several or all agencies, and instructions for using the schedules, are
contained in Appendix B to this Title:
a.
Schedule 1,
Civilian Personnel Records
b.
Schedule 2,
Payrolling and Pay Administration Records
c.
Schedule 3,
Procurement and Supply Records
d.
Schedule 14s.
Property Disposal Records
e.
Schedule 5,
Budget Preparation, Presentation, and
Apportionment Records
f.
Schedule 6,
Accountable Officers' Accounts
g.
Schedule 7,
Expenditure Accounting Records
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h. Schedule 8, Stores, Plant and Cost Accounting Records
i. Schedule 9, Travel and Transportation Records
~. Schedule 10, Motor Vehicle Maintenance and Operation Records
k. Schedule 11, Space and Maintenance Records
1. Schedule 12, Communications Records
m. Schedule 13, Printing, Binding, Duplication and Distribution Records
n. Schedule 14, Infformational Services Records
o. Schedule 15, Housing Records
p. Schedule 16, Administrative Management Records
q. Schedule 17, Cartographic, Photogrammetric, and Related Records
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Instructions for Using General Records Schedules
Schedule
1.
Civilian Personnel Records
Schedule
2.
Payrolling and Pay Administration Records
Schedule
3.
Procurement and Supply Records
Schedule
4.
Property Disposal. Records
Schedule
5.
Budget Preparation, Presentation, and Apportionment Records
Schedule
6.
Accountable Officers' Accounts
Schedule
7.
Expenditure Accounting Records
Schedule
8.
Stores, Plant and Cost Accounting Records
Schedule
9.
Travel and Transportation Records
Schedule
10.
Motor Vehicle Maintenance and Operation Records
Schedule
11.
Space and Maintenance Records
Schedule
12.
Communications Records
Schedule
13.
Printing, Binding, Duplication and Distribution Records
Schedule
14.
Informational Services Records
Schedule
15.
Housing Records
Schedule
16.
Administrative Management Records
Schedule
17.
Cartographic, Photogrammetric, and Related Records
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Appendix B
(7-10-53)
Civilian Personnel Records
Agency civilian personnel records relate to the supervision over and management of Federal civilian
employees, for the most part pursuant to regulations of the Civil Service Commission, the staff agency
charged with the administration of the Civil Service Act, and related regulations, orders, and
legislation. This schedule covers all copies of records relating to civilian personnel created since
January 1 1921, wherever located in an agency, exclusive of (a) copies of loyalty and other investigative
files, (b) program records of the Civil Service Commission (including records of Boards of U. S. Civil
Service Examiners and Committees of Expert Examiners, regardless of the custodian), and (c) records of
the Bureau of Employees' Compensation and the Public Health Service maintained pursuant to statutory-
Government-wide responsibilities for the health and welfare of Government employees. Records of agency
units functioning as staff personnel policy groups, rather than as operating personnel units, are not
covered by this schedule.
The Official Personnel Folder, a case file documenting employment history, was established in 1947
by the Federal Personnel Manual (Rl 35-38) and constitutes the key record relating to civilian personnel.
Prior to 1947 the contents of personnel folders varied somewhat with agency practice but these practices
have been essentially similar since about 1921. Specific personnel forms, such as the Notification of
Personnel Action (Standard Form 50) have been standardized since 19141. An auxiliary to the Official
Personnel Folder is the Service Record Card (Standard Form 7), a mandatory form which replaced multiple
types of similar forms used in the agencies. The Official Personnel Folder and Service Record Card are
described in Civil Service Handbook S-812, Basic Personnel Records and Files System for Federal Agencies,
which prescribes a simplified system of record keeping for Fetal personnel offices.
The Official Personnel Folder, which now travels with the Federal employee as he moves from agency
to agency, contains papers of continuing value, listed as such in the Federal Personnel Manual, on the
right hand side, and papers of temporary value on the left side. Until November 1951, the contents of
the left hand side of the folders were described in detail in the Federal Personnel Manual. Now, however,
only the records required to be kept are described in detail.
Records normally maintained in addition to the official folder and its related service record card
concern phases of personnel administration involving the selection of personnel and the supervision over
the work history and on-the-job performance, as follows:
Position classification; These records include copies of position classification sheets
and related records.
Other records pertaining to individual employees normally include service record cards and various other
controls maintained for purposes of convenience at the operating levels; agency dispensary records; and,
for the period of World War II, draft deferment records.
Provision is. made in this schedule for the disposition of copies of forms either duplicated in the
Official Personnel Folder or maintained in separate personnel files, as well as files maintained for
temporary processing or expediting purposes. This schedule also covers correspondence files not relating
to individuals maintained by operating personnel offices, involving their administration and operation.
The disposition of pay and payrolling records, normally maintained by agency fiscal units, is provided
for in Schedule 2.
ITEM
NO. DESCRIPTION OF RECORDS
RECOMMENDED
METHOD OF FILING* AUTHORIZED DISPOSITION
RECORDS OF CONTINUING VALUE:
1. Official Personnel Folders and Alphabetically by
comparable files accumulated prior to new.
establishment of the Official Personnel
Folder, excluding papers covered by
item 11 below.
(a) See page R1-36 of the
Federal Personnel Manual for
instructions relating to
folders of employees trans-
ferred to another agency.
(b) Transfer folders of
IPrescrlbed methods of filing are indicated by referral to the issuance prescribing them; those
recommended under the provision of Sec. 505(a) of the Federal Records Act of 1950 (41 U.S.C. Supp.
284(a))do not make reference to an established authority. Any new regulations or directives that may
be issued from time to time will supersede these reemrv endations.
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Appendix B
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GENERAL RECORDS SCHEDULE 1
2. Service Record Card (Standard Form In accordance with Civil
7 or its equivalent). Service Handbook S-812,
Basic Personnel Records
and Files System for
Federal Agencies, Oct.
1950, Part I A.
3. Position descriptions pertaining to In accordance with Civil
positions abolished after September 1, Service Handbook S-812,
1950, and descriptions superseded after Basic Personnel Records
that date, and Files System for
Federal Agencies, Oct.
1950, Part I C Z.
RECORDS OF TEMP(RARY VALUES
4. Correspondence in the operating person- By subject or agency
nel office and its subordinate units re- filing system; start a
lating to their administration and new file every 3 years.
operation.
5. Correspondence, letters, and telegrams Alphabetically by name.
offering appointments to potential
employees.
6. Certificate files, consisting of:
a. Requests for certificates of
eligibles.
7. Employee record cards used.for
informational purposes outside
personnel offices (such as Form
OF-4).
File requests and cer-
tificatesby certificate
number.
File requests and cer-
tificates by certificate
number.
In accordance with Civil
Service Handbook 5-812,
Basic Personnel Records
and Files System for
Federal Agencies, Oct.
1950, Part III B'2 and
-B 3.
AUTHORIZED DISPOSITION
separated employees to in-
active file on separation
in accordance with the Fed-
eral Personnel Manual, Rl-
35; for Department of De-
fense transfer folder to
Federal Records Center, St.
Louis, Missouri, 1 month
after separation; for all
other agencies, 1 year
after separation.
Transfer to-Federal Records
Center, St. Louis, Missouri,
5 years after year of
employee's separation or
transfer to another agency.
Retain one copy. (See item
8 for disposal of other
position descriptions.)
Dispose 3 years after file
is closed or 3 years after
date of document if filing
arrangement differs-from
that suggested herein.
(a) If -appointment _is ac-
cepted: Destroy immediate-
ly. (b) If appointment is
declined: (1) Return to
Civil Service Commission
with reply and application,
if name was received from
certificate of eligibles;
(2) File inside application,
if offered as a result of
application for temporary
or excepted appointment,
and dispose of in accord-
ance with provisions in
item 16; (3) All others:
Dispose immediately.
Dispose 2 years after date
of certificate.
Dispose 2 years after date
of certificate.
Dispose on transfer to
another agency or bureau or
on separation of employee.
-2-
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ITEM
NO.
DESCRIPTION OF RECORDS
RECOMMENDED
METHOD OF FILING
Appendix B
(7-10-53)
8.
Position descriptions (copies other
than those provided for by item 3).
In accordance with
Civil Service Hand-
book 5-812, Basic
Dispose when position is
abolished or description
is superseded.
Personnel Recor and
Files System for
Federal Agencies, Oct.
1950, Part C4.
10. Duplicate case files of efficiency
rating boards of review, copies of
which have been forwarded to the
Civil Service Commission.
11. All copies of correspondence and forms
maintained as temporary records in the
Official Personnel Folder in accordance
with the Federal Personnel Manual
Chapter Rl, pages 35-38 (May 1950j.
12. Position identification strips, used
in service control file (such as
Standard Form 7) to provide summary
data on each position occupied.
Employee suggestion case files,
including files relating to management
improvement suggestions considered under
Title X of P. L. 429, 81st Congress, or
comparable legislation.
Alphabetically by
name.
Alphabetically by
name; start a new
file every year.
Place in inactive file on
transfer or separation of
employee and start new in-
active file every 6 months;
dispose of inactive file 6
months after it is closed.
If filing arrangement differs
from that suggested herein,
dispose of records 6 months
after transfer or separation
of employee.
Dispose 1 year after closing
file; if filing arrangement
differs from that suggested
herein, dispose of records
1 year after completion of
ease.
On left side of Dispose on transfer or
folder, chronologically. separation of employee,
or when 2 years old.
In accordance with
Civil Service Hand-
book S-812, Basic
Personnel Recce and
es System for
Federal genies, Oct.
A.
Dispose when position is
cancelled or new strip is
prepared.
Alphabetically by
name; start a new
file every 5 years
or every 2 years,
as appropriate.
After closing case transfer
to inactive file arranged
in same way as active file
but closed at and of each
year; dispose of (a) basic
copies 5 years after closing
of the file; (b) duplicate
copies 2 years after close
of file.
14. Case files on rewards for superior Alphabetically within Start new inactive file
accomplishment under Title VII of the fiscal year; start new every fiscal year; dispose
Classification Act of 1949. file each fiscal year. of each year's file 6
months after close of that
fiscal year.
15. Notifications of personnel action,
exclusive of those in Official Personnel
Folders.
a. Chronological file copies, In accordance with Dispose after 2 years.
including face sheets. Civil Service Hand-
book 5-812, Basic
Personnel Re co` rr s and
Files System for
Federal genc. es, Oct.
L.
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Appendix B
Approved
(10-4-54) GENERAL
ITEM
NO. DESCRIPTION OF RECORDS
16. Applications for employment and re-
lated papers, excluding (a) records
relating to appointments requiring
Senatorial confirmation, and (b)
applications resulting in appointment
filed in the Official Personnel
Folder (covered in item 1 of this
-schedule).
17. Statistical reports in the operating
personnel office and subordinate units
relating to personnel.
18. Correspondence and forms in operating
personnel offices relating to individual
employees not maintained in Official
Personnel Folders and not provided for
elsewhere in this schedule.
a. Correspondence and forms relating
-to pending personnel actions.
b. Retention registers (including card
files and related papers) from which
-reduction-in-force actions have been
taken.
c. -Retention registers (including card
files and related papers) from which
no reduction-in-force actions have
been taken.
19. Copies of documents duplicated in
Official Personnel Folders and not pro-
vided for elsewhere in this schedule.
20. Files pertaining to the deferment of
Federal employees from military training
under the Selective Service and Training
Act of 1940, as amended (excluding records
held by the Selective Service System and
the Review Committee on Deferment of
Government Employees and their predecessor
and successor agencies).
a. Reports to the-Review Committee on
Deferment of Government Employees or
its predecessors on the Selective
Service status of employees (WMC Form
27 or equivalent).
b. Requests for occupational deferment
(DSS Form 42, 42a, or equivalent) and
all supporting and accompanying papers.
RECOMMENDED
METHOD OF FILING
Alphabetically; start
a new file every year.
In accordance with in-
spection requirements
of the Civil Service
Commission as stated in
Chapter A7 of the Federal
Personnel Manual.
By report and chrono-
logically thereunder.
In accordance with
Chapter-R3 of the
Federal Personnel
Manual.
In accordance with
Chapter R3 of the
Federal Personnel
Manual.
Alphabetically by name;
start a new file every
6 months.
Alphabetically by name;
start a new file every
6 months.
Conform to agency
practice.
Conform to agency
practice.
AUTHORIZED DISPOSITION
Dispose after 1 year.
Dispose upon receipt of
Civil Service Commission
report of inspection or
when 2 years old, whichever
is earlier, providing the
requirements of Section
A7-/+8.04 of the Federal
Personnel Manual are
observed.
Dispose 2 years after date
of report.
Dispose when action is
completed.
Dispose 6 months after file
is closed or 6 months after
date of document if filing
arrangement differs from
that suggested herein.
Dispose 6 months after file
is closed or 6 months after
date of document if filing
arrangement differs from
that suggested herein.
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GENERAL RECORDS SCHEDULE 1
ITEM
NO.
GSA Reg. 3
Appendix B
(lo-1-54 )
RECOMtNDED
METHOD OF FILING AUTHORIZED DISPOSITION
c. Appeals to the Review Committee on Conform to agency Dispose after 6 months.
Deferment of Government Employees or practice.
its predecessors for occupational
deferments and all accompanying and
supporting papers.
d. Correspondence between individual Conform to agency Dispose after 6 months.
agencies and the Review Committee on practice.
Deferment of Government Employees and
its predecessors.
e. Requests to the Review Committee on Conform to agency Dispose after 6 months.
Deferment of Government Employees and practice.
its predecessors for the designation
of certain positions as "Key Positions."
f. Reports made within an agency by Conform to agency Dispose after 6 months.
individual employees on their practice.
Selective Service status.
21. Individual health record cards. File within year alpha- All cards pertaining to an
betioally by name. Set individual to be disposed
up new file every year of 6 years after date of
and bring cards forward last entry on the cards
from previous years to pertaining to him.
it when individual con-
cerned is treated.
22. Logs or registers of visits to
dispensaries, first aid rooms, and
health units.
23. Health record case files, comprising
forms, correspondence, and related
papers documenting employee medical
history, except pre-employment physical
examinations, disability retirement
examinations, and fitness for duty
examinations which may be mate a part
of or associated with the Official
Personnel Folder or may be retained
separately.
a. Where information is summarized
on statistical reports.
b. Where information is not summarized
elsewhere.
Alphabetically by name.
Set up new file each
year and bring forward
from previous years
files related to an in-
dividual when that in-
dividual is treated.
Dispose 3 months after last
date on log or register.
Dispose 2 years after last
date on log or register.
Dispose 6 years after date
of last papers in the file.
24. Copies of statistical summaries and By report and chrono- Dispose 2 years after date
reports relating to employee health logically thereunder. of summary or report.
retained by reporting unit, and related
papers.
25. Certificates of performance rating. Conform to agency Dispose after 1 year.
practice.
Item 1. The Official Personnel Folder, promulgated in 1947 by the Federal Personnel Manual (Rl 35-38),
econsidered to be the official record documenting employment history. The permanent documents in the
folder, which "travels" with the employee throughout his Federal career, comprise papers which give legal
force and effect to appointments and all other personnel transactions, and which reflect minimum data on
job performance. All other personnel records relating to individuals are subordinate to the permanent
papers in the Official Personnel Folder and appropriate provision for disposing of them is made elsewhere
in this schedule, individually or as part of the material on the temporary side of the folder. This item
includes agency folders maintained as the official folder prior to the promulgation of the Official Per-
sonnel Folder.
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Appendix B
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Item 2. These service record cards are official summaries of the salient facts of employment history that
are maintained by personnel offices to obviate frequent references to official folders and to be used as
the official record in lieu of lost official folders. The cards-serve as a central personnel office
record of all aspects of personnel administration, and have continuous significance as a concise reference
source after transfer or separation of the employee.
Item 3. These descriptions must be retained indefinitely in order to protect fully the job restoration
rights of persons who are furloughed to enter the military service under the 1948 Selective Service law.
These rights involve restoration to the permanent position held as of September 1, 1950, when personnel
actions became temporary under Executive Order 10180 and related legislation.
Items 4 and 5. These files reflect the operation of the personnel office in administering the agency per-
sonnel program, and that of the subordinate branches charged with individual phases of the program.
Employment policy is normally reflected in agency files at higher administrative levels. Files covered
by :item 4 serve temporary administrative needs involved in the daily problems arising in personnel work,
and the retention period indicated is adequate to serve such temporary needs. Correspondence relating to
individuals who receive appointments is provided for elsewhere in this schedule, and item 5 relates to
routine papers reflecting pre-appointment negotiations with potential appointees.
Item 6. These forms relate to requests made by the agency to the Civil Service Commission for lists of
eligibles from established registers. The certificate itself is of little administrative value once
decisions have been taken with respect to the names certified.
Item 7. Optional Form 4 was developed as an informational record for operating units served by the per-
sonnel office to obviate requests for employee service and related data. Once the employee leaves the
operating unit, the card is of no further administrative value. The permanent summary card record is
maintained onStandard Form 7 (see item 2) by the personnel office itself.
Item 8. Position descriptions, used in classification work and in employment control, areof value as
continuing personnel documents while the descriptions they contain are still valid. Except for descrip-
tions which may be of continuing value because of their aptness of content (which may be retained as non-
record reference material), these records are of little value after they are superseded or obsolete.
Descriptions of positions abolished and descriptions superseded after September 1, 1950, are retained
for the special reasons noted under item 3.
Item . These are primarily employee relations files and involve entrance and exit interviews, and inter-
views involving complaints by or against the employee. Any action taken by reprimand or otherwise is per-
manently documented on the right hand side of the-personnel folder. Some agencies place these records on
the temporary side of the folder, to be disposed of on transfer or separation.
Item 10. These are duplicates of papers submitted by members of Boards of Review to the Civil Service
Commission on termination of their terms of office.
Item 11. These are temporary papers dealing either with the inception of personnel actions documented on
the permanent side of the Official Personnel Folder or with administrative matters,-and are of administra-
tive value only for -a short time.
Item 12. These visible strips, which are maintained with the service record card files, provide summary
data on each position occupied. They have no record or reference value when the related positions are
canceled.
Item 1 These are case files accumulated under agency beneficial suggestion and management improvement
programs. They have administrative value in evaluating new suggestionsand in documenting current
practices and procedures instituted as a result of the suggestions. The disposal period is sufficient to
satisfy administrative needs either in reference or in documenting current practices. A lapse of five
years after closing of the file will provide for normal reference needs.
Ite 11. These are primarily copies of reports submitted to the Civil Service Commission. The copies are
of little value to the agencies after a short period following submittal of the report.
Items. Copies of notifications of personnel action (other than the Official Personnel Folder copy) which
have administrative or fiscal use are the pay copy, which is to be disposed of uniformly with other pay
records, and the journal action copies, which will be retained for two years, in accordance with the pro-
vision of R1-2 of the Federal Personnel Manual, to satisfy inspection requirements.
Item 16. These files are involved in agency recruitment and appointment activities which are subject to
Comtmission inspection to ensure that applicable rulesare being observed. The application files are held
for a sufficient period to serve the inspection needs of the Commission as well as the administrative
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Appendix B
GENERAL RECORDS SCHEDULE 1 (lc-4-54)
needs of the agency personnel office. Papers pertaining to successful applicants are retained as part of
the personnel folders described in item 1. The files covered by this item, however, involve pending or
unsuccessful applications.
Item 17. These reports, which are required administratively and by the Commission on many phases of per-
sonnel administration, are normally consolidated into summary reports submitted to higher administrative
levels, or are so detailed as to have no further administrative value after the period indicated.
Item 18. This item is intended to provide for the mass of local and other forms and correspondence which
are not placed in the Official Personnel Folder because the Federal Personnel Manual does not require it
or because it is deemed not to be administratively necessary to do so. Pending personnel actions, includ-
ing those resulting from reduction in force proceedings, are documented in the Folder and the papers here
described are essentially working papers which rapidly lose their value as organizational and personnel
changes render them noncurrent. Generally, the other files covered by this item relate to aspects of
employment history which are also documented in the official folders or in fiscal records to be retained
for a lengthy period by the provisions of this schedule, and therefore are of little administrative value
after relatively short periods.
Item 1 . These are copies of forms relating to personnel actions and other matters involving the employee
submitted by the operating unit initiating the form to the personnel office.
Item 20. These records, created by Federal agencies as a result of operations pursuant to the Selective
Service and Training Act of 1940, as amended.are of no further administrative value to the agencies.
Actions taken with respect to individuals have been documented in retained Official Personnel Folders or
their equivalents existing prior to 1947.
Items 21 and 2 . These are the continuing records of treatment of individual employees; any correspond-
ence, memoranda, or other data are filed in the same jacket. Journal entries are made on record cards or
comparable forms recording each visit of the patient, brief diagnosis or statement of referral to private
doctor, and treatment given, if any. The documents excepted from disposal are deemed of long term value
by both personnel officials and by medical officials, and are normally filed in the Official Personnel
Folder (item 1), but the remainder of the papers in each file are of only ephemeral interest. The records
have no historical value; they are not of value for documenting health activities; medical officers be-
lieve that if no new data have been obtained during the retention period specified, they are of no value
medically; and their administrative utility is limited by the five-year statute of limitations on claims
for employees' compensation.
Item 22. These are journals on which are recorded the name of each patient, date on which he came, and,
often, other identifying data, time spent, and a very brief notation of the illness or injury that
prompted him to come. The records are occasionally used for administrative purposes for about one year
after they are created, but not longer. They have no historical value and no value for documenting the
history and functions of the dispensary, first aid room, or health unit; medical officers state that they
have no medical value. Since their only administrative use is for statistical purposes, it is possible
to dispose of those which'are statistically summarized almost immediately and the statistical utility of
the others is exhausted within the alternate period specified.
Item 2 . These are retained copies of reports and summaries compiled by a health unit for transmission to
higher administrative echelons, where they are used in combination with other reports for statistical and
narrative analysis, and of informational copies of analyses transmitted to health units by higher admini-
strative echelons. In either case, significant data are available at the higher echelons and the records
are of no utility in health units beyond the period of time specified.
Item 25. These files consist of certifications by each supervisor that he has rated employees under his
jurisdiction and has discussed the ratings with them. The certifications provide the necessary documenta-
tion to support the processing of periodic salary increases, and for the recording of other than
"satisfactory" ratings on the retained service record cards (item 2 of this schedule). After such record-
ing these certifications have no value.
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Payrolling and Pay Administration Records
GSA Reg. 3
appendix B
(7-lo-53)
Payrolling and pay administration records pertain to disbursements to civil employees of the Govern-
ment for personal services. This schedule applies to the pay records created since January 1, 1921, that
are common to all agencies, but it excludes (a) retirement record cards (Forms 2806 or equivalent) that
are maintained during employee duty and then are transferred to the Retirement Division of the Civil
Service Commission; (b) files physically transmitted to the General Accounting Office or maintained in
agency space for audit under Section 117(b) of the Budget and Accounting Procedures Act of 3,950 and the
Post Office Financial Control Act of 1950; (c) records relating to tax withholding, defense bonds, or
fidelity bonds, or other records held by the appropriate units of the Treasury Department responsible for
the related Government-wide programs; (d) or to Bureau of the Budget files reflecting agency personnel
needs and problems. Evaluation and disposition of these records must be provided for separately.
Normally copies of papers required by the Comptroller General to be maintained for site audit or to
be physically transferred to the General Accounting Office for centralized audit, technically constitute
segments of accountable officers' accounts (Schedule 6). In no event may disposal be made of records
pertaining to accounts, claims or demands involving the Government of the United States which have not
been settled or adjusted by the General Accounting Office unless the agency concerned has written
approval of the Comptroller General, as required by Section 9 of the Records Disposal Act of 1943, as
amended (4I U.S.C. 374).
About 70 percent of Federal civilian pay accounts are prepared and maintained in accordance with
General Regulations No. 102 of the Comptroller General, issued in 1944. This regulation provided, among
other things, that the pay record for each employee be maintained on a separate card form (Standard Form
1127 or equivalent) and abandoned the comprehensive payroll fairly universal in the Federal Government
since about 1880. The regulations induced a strong measure of uniformity, although the exemption of the
Post Office Department and the Postal Service from its purview immediately removed about one-fourth of
all Federal employees from its scope. However, there are at present three basic systems in use in the
Federal Government for the preparation and processing of payrolls: (a) The simplified payroll system
promulgated by General Regulations No. 102, serving the administrative interests of the agencies, the
General Accounting Office audit responsibilities, and the Division of Disbursement of the Treasury
Department. Although the regulations are specifically formulated for per annum employees, the system is
used in an adapted form for per diem and other employees of the Departments of the Army and the Air Faroe,
and certain civilian executive departments. The Navy, while not specifically exempt, has arranged to use
its traditional procedures in preparing civilian payrolls, although its departmental rolls are prepared
under an adaptation of the regulations; (b) The Navy system for its field employees, which retains the
older type of comprehensive payroll; and (c) The Post Office Department and United States Postal Service
systems.
The various adaptations of Regulations No. 102 which have been permitted by the Comptroller General
and the non-use of the regulations have resulted in the creation of records which are equivalent to the
individual pay card in value but often differ radically in physical nature and format. Some agencies,
for example, post pay and deduction data both to a pay card and to the older type of comprehensive pay-
roll. Other agencies use no pay card and rely on the comprehensive payroll where it is felt that use
of the simplified system, geared as it is to occasional changes in normal pay, is not administratively
feasible because pay changes may be the agency norm rather than the exception.
The key file in arp of the payroll systems is the record which contains the deduction and service
data. This data appears in either the centralized pay card or on the face of the older type of
ocmprehensivo payroll traditionally used.
In the payrolling process, a group of diverse records are accumulated. Under the Regulations 102
system, the pay records are normally site audited by representatives of the General Accounting Office,
who examine primarily the earning record cards, payroll change slips that are prepared to document changes
in normal pay, certification sheets containing the signature of the agency certifying officer, check lists
prepared in lieu of the more formal payrolls by Treasury or local disbursing personnel, source personnel
documents such as basic time and attendance reports, and copies of personnel action forms advising of
personnel actions resulting in changes in pay. In addition pay registers and other accounting devices are
maintained to check and balance the accounts.
All payroll systems require the maintenance of a summary leave card, to which information is posted
from more detailed records kept by time and attendance clerks located throughout an agency. Two basic
forms are used by most agencies: (a) Standard Form 1137, which shows leave taken by an employee over a
two-year period; and (b) Standard Form 1130, which is a combination time and attendance and leave record
designed to be maintained in agencies in which the timekeeping function is decentralized. One Standard
Form 1130 is maintained for each employee each pay period, and the current leave status figure is
accumulated from pay period to pay period.
Other records incidental to the payrolling process are withholding tax and defense bond records,
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 GSA Reg. 3 Approved For Release 2002/02/12 CIA-RDP78-04718AO01300080004-7
Appendix B
(lO-4-511) GENERAL RECORDS SCHEDULE 2
reports made to Treasury Department units and the Civil Service Commission on income tax and retirement
transactions, and other records not pertaining to individuals, but rather to the general administration
of the payrolling office and the payrolling function.
ITEM
NO,` DESCRIPTION OF RECORDS
-RECOMMENDED
METHOD OF FILING
RECORDS OF CONTINUING VALUE:
1. Individual earning and service cards
(such as Standard Form 1127 or its
equivalent), and papers recommended
by item -8 as attachments.
RECORDS OF TEMPORARY VALUE:
2., Correspondence files maintained by
operating units responsible for payroll
preparation and processing, pertaining
to-administration and operation of the
units.
Alphabetically by
name of employee;
start a new file
every year.
Conform to agency
practice.
Disposal not authorized by
this schedule. (Transfer
to Federal Records Center,
St. Louis, Missouri, 1 year
after audit.)
a. Copies used in payroll preparation
and processing. (Where Standard
Form 1130 is used for both time
and attendance and leave posting
purposes, the disposal provision
for item 9 applies.)
Standard Form 1130 for
each employee per pay
period, arranged by
pay period; one copy of
Standard Forms 1135 and
1136, chronologically.
Dispose 2 years after audit
by the General Accounting
Office.
By pay period with other
pay records.
Dispose 6 months after end
of pay period.
4,. Individual authorization card and record
of payroll allotments (such as Treasury
Department Form 2254).
a. Where record of bond deductions is
maintained on earning record card.
Alphabetically by name
of employee.
Dispose when superseded by
new card or on transfer or
separation of employee,
whichever is earlier.
b. Where record of bond deductions is
not maintained elsewhere.
5. Issuing agents' copies of bond
registration stubs.
6? Receipts for U. S. Savings Bonds,
and checks.
7, Reports of deposits and purchases of
bonds, and related papers.
Alphabetically by name
of employee.
-By year andbond num-
ber thereunder.
By month and-alpha-
betically thereunder.
Dispose 4 years after close
of file. (Remove to inac-
tive file when superseded
or upon transfer or separa-
tion; close inactive file
at end of each year and
transfer to Federal
Records Center 2 years
thereafter.)
Dispose 3 months after date
of receipt.
8.. Applications for leave and supporting
papers.
a. Applications for leave taken im-
mediately prior to separation.
Alphabetically by name;
start a new file every
year.
Disposal not authorized by
this schedule. (Attach to
individual pay or earning
card (see item 1).)
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Appendix B
GENERAL RECORDS SCHEDULE 2 (10-4-54)
ITEM RECOMMENDED
NO. DESCRIPTION OF RECORDS METHOD OF FILING
Alphabetically by name;
start a new file every
year.
AUTHORIZED DISPOSITION
Dispose 1 year after file
is closed or 1 year after
date of application if
filing arrangement differs
from that suggested herein.
9. Leave record cards, maintained inde-
pendently of pay and earning records.
(Including Standard Form 1130 when
used as a leave record.)
a. Final cards showing accumulated
leave on separation.
Alphabetically by name;
start a new file every
2 years if Standard Form
1137 or its equivalent
is used, and every pay
period if Standard Form
1130 is used.
Dispose after 10 years.
(Close file at and of year
and transfer to Federal
Records Center, St. Louis,
Missouri, 3 years there-
after; dispose 7 years
after transfer to Center.)
10. Records of leave data transferred (such
as Standard Form 1150).
Alphabetically by name;
start a new file every
2 years if Standard Form
1137 or its equivalent
is used, and every pay
period if Standard Form
1130 is used.
Alphabetically by name;
start a new file every
year.
Dispose 3 years after audit
of related pay records.
Dispose 2 years after file
is closed or 2 years after
date of document if filing
arrangement differs from
that suggested herein.
U. Notifications of personnel action, ex-
clusive of those in Official Personnel
Folders.
By pay period with other
pay records.
Dispose 2 years after audit
of related pay records by
the General Accounting
Office.
b. Chronological file copies, includ-
ing face sheets.
12. Copies of budget authorizations to
operating units that control personnel
ceilings and personnel actions.
In accordance with Civil
Service Handbook S-812,
Basic Personnel Records
and Files System for
Federal Agencies, Oct.
1950, Part I B 4.
Alphabetically; start a
new file every year.
13. Memorandum copies of payrolls, check
lists, and related certification sheets
(such as Standard Forms 1013, 1128, or
equivalents).
a. Security copies of documents pre-
pared or used for disbursement by
Treasury disbursing offices, and
related papers.
Chronologically by pay
period.
Dispose when Federal
Records Center receives
second subsequent payroll
or check list covering same
payroll unit.
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 GSA Reg. 3
Appendix B
(la-1-54 )
ITEM
NO.
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GENERAL RECCRDS SCHEDULE 2
RECOMMENDED
METHOD OF FILING AUTHORIZED DISPOSITION
b. All other copies.
(1) Where earning record card is
maintained.
(2) Where-earning record card is
not maintained.
14. Payroll control registers (such as
Standard Form 1125).
15. Payroll change slips exclusive of those
in Official Personnel Folders (such as
Standard Form 1126).
a. General Accounting Office audit
copy.
b. Copy used by disbursing officer in
preparing checks.
16. Memorandum copies of fiscal schedules
involved in payroll processing.
a. General Accounting Office audit
copy.
b. All other copies.
17. Administrative reports and data relating
to payrolling operations and pay adminis-
tration.
a. Reports and data used for workload
and personnel management purposes.
b. All other reports and data.
18. Withholding tax exemption certificates
(such as Internal Revenue Form W-4).
19. Returns on income taxes withheld (such
as Internal Revenue Form W-2).
20. Reports of withheld Federal taxes and
related papers (including records relat-
ing to income and social security taxes).
21. Retirement reports and registers.
By payperiod with
other pay records.
By pay period with
other pay records.
By pay period with
other pay records.
By pay period with
other pay records.
By pay period, there-
under alphabetically
by name.
By pay period, there-
under alphabetically
by name.
By pay period with
other pay records.
Varies with agency
practice.
Conform to agency
practice.
Conform to agency
practice.
Alphabetically by
new.
By return and chrono-
logically thereunder.
Conform to agency
practice.
Dispose 2 years after audit
by the General Accounting
Office.
Dispose when 10 years old.
(Transfer to Federal
Records Center, St. Louis,
Missouri, when 3 years old.)
Dispose 2 years after audit
by the General Accounting
Office.
Dispose 2 years after audit
by the General Accounting
Office.
Dispose after preparation
of check.
Dispose 1 month after end
of pay-period.
Dispose 2 years after audit
by the General Accounting
Office.
Dispose 1 month after end
of pay period.
Dispose after 2 years.
Dispose after 4 years.
Dispose 4 years after card
is superseded or obsolete.
Dispose after 4 years.
Dispose after 4 years.
Item 1. These are the official centralized pay records maintained by agencies keeping such records under
General Regulations No. 102 of the Comptroller General or an adaptation thereof. Summaries of service
are also normally included. In agencies under payroll site audit, this centralized record is the only
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 Approved For Release 2002/02/12 : CIA-RDP78-04718AO01300080004-7 GSA Reg. 3
Appendix B
GENERAL RECORDS SCHEDULE 2 (10-4-5I)
file documenting the fiscal aspects of employment history. It is retained as a record related to the
Official Personnel Folder and the Service Record Card, which document the employment history itself.
Comprehensive payrolls which serve as a fiscal record in lieu of an earning card are retained under item
13 for a ten-year period. After that time reference can be made to the payroll transmitted to the General
Accounting Office as a supporting voucher.
Items 2. 7, 12, 17. These files reflect the general operation and administration of the organizational
unit responsible for preparation of the payroll. The correspondence files pertain to routine administra-
tive matters and normally do not relate to individual pay accounts. Nor do they contain key fiscal data
of more than transitory importance. Reports pertaining to bond sales are made either for internal
accounting purposes or are submitted to Treasury units involved in the management of the savings bond
program. In either case, the papers are held long enough to satisfy internal accounting, reporting, and
other administrative needs. The administrative reports files may provide data on the volume of voucher
examination or the incidence of other accounting operations, of interest for work measurement or staffing
purposes; or they may consist of papers or reports transmitting agency accounting data for special or
routine reporting purposes. In either case, copies are retained to provide for the reference needs of the
unit preparing the report or compiling the data.
Items 3-6, 8-11. 13-16, 18-21. These files are accumulated in the course of processing and preparation
of the payroll. They are generally disposable after agency administrative and General Accounting Office
needs have been met, as follows:
a. Check lists, payrolls, posting media, controls, and related papers (Items 3. 11. 13-16). The
basic record used in accumulating data for the preparation of payrolls are the time and attendance reports,
which may consist of sheets manually posted by employees or payrolling personnel, or punched mechanically
by time clocks or similar equipment. Changes in employee status affecting the payroll are noted by the
payrolling office on the fiscal copy of the notification of personnel action (item lla), or the change
slip (item 15) prepared by the personnel office to authenticate, document, and provide accounting data on
pay adjustments. The time and attendance reports, personnel action notifications, and change slips are
all posting media to individual earning and service cardst and to check inscription plates (in the case
of the change slips). Payroll control registers (item 14) are accounting devices locally maintained to
insure the proper reconciliation, balancing and agreement of accounts from one pay period to the next.
The fiscal schedules are documents (item 165 summarizing, for accounting purposes, disbursements, collec-
tions, and specialized transactions occurring during the payrolling process, but they normally do not con-
tain data on individual payments. Schedules may be filed with other papers accumulated during the pay-
rolling process or may be filed as a supporting paper to the account current of the accountable officer
(Schedule 6, item 1), or both.
Agencies using the simplified payroll system retain memorandum copies of check lists (item 13b)
prepared by the Division of Disbursement, Treasury Department, or of comprehensive payrolls which have
been prepared by the agency for the Division of Disbursement or agency disbursing officers. Comprehensive
payrolls normally preclude the maintenance of individual earning cards. Where both are kept, the payroll
is made disposable with the posting media and controls two years after the General Accounting Office site
audit to provide for reference after such audit clearance. Where the earning record card is not main-
tained the memorandum copy of the comprehensive payroll is retained for 10 years. With the exception of
individual earnings record cards and comprehensive payrolls which are retained for 56 years, General
Accounting Office records relating to payroll transactions supporting disbursing accounts are available
for a 12-year period.
In the normal course of current operations, security copies of agency payrolls or check lists and
attached papers (item 13a) are transferred to appropriate Federal Records Centers by disbursing officers
as soon as checks are issued, Since only current data need be available, documents are disposable at the
Centers when the second subsequent roll or list is received. Other copies and the papers attached are
held long enough after site audit to satisfy agency needs. Under this procedure the current and immediate-
ly preceding payment listing will be continuously available.
b. Savings bond, retirement, and tax files Items 4_6.18-21 These are among the records relating
to the documentation of deductions from pay made in the course of the payrolling operation. They are
summarized in the individual earnings record (item 1) and other fiscal records, such as certain vouchers
and schedules (item 16). The Public Debt Bureau maintains adequate records of bonds purchased through
payroll savings plans; reports of income and social security taxes are sent to the Internal Revenue
Service; and reports of retirement transactions are sent to the Civil Service Commission.
c. Leave records Items 8-101. The applications for leave are held for a minimum period, since they
are posted to summary leave record cards (item 9). Most cards are disposable after retention for three
years to satisfy normal reference needs, but cards showing accumulated leave upon separation are dispos-
able after a sufficient period to provide for their use in answering claims brought within the statutory
ten-year period. The record of leave data transferred, submitted to the receiving agency on employee
transfer, is posted to the now leave record shortly after receipt of the data.
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 Approved For Release 2002/02/12 : CIA-RDP78-04718AO01300080004-7 GSA Reg, 3
(ppen )B
Procurement and Supply Records
Agency procurement and supply records include the papers and files involved in obtaining goods and
non-personal services, controlling the volume of stock on hand, reporting procurement needs, and related
supply matters which are part of daily procurement operations rather than staff or policy functions.
The basic procurement files reflect a considerable range of procedure, from simple small purchases to
complicated prime contractor and subcontractor operations.
This schedule covers procurement files dated since 1894, when such files began to be somewhat
standardized. All contract records prior to 1894, for example, are not of permanent value, but their
unstandardized nature makes it necessary for these older files to be evaluated on their own merits and
they are therefore not covered by this schedule. Frequently copies of procurement papers become integral
parts of other files in the agency, such as project files of various types or general subject files
pertaining to program operations; such copies are not covered by this schedule because they cannot be
considered and evaluated separately from the files of which they are a part. Furthermore, written
findings pertaining to procurement methods, required by Section 7(c) of the Armed Services Procurement
Act of 19117 (41 U.S.C. 156) and Section 307(c) of the Federal Property and Administrative Services Act
of 19119 (41 U.S.C. 257), are not covered by this schedule.
This schedule does not apply to records held by the General Accounting Office reflecting Government-
wide responsibilities, or to those held by the General Services Administration or other agencies to which
Government-wide procurement or related responsibilities have been delegated under the provisions of the
Federal Property and Administrative Services Act of 1949. Normally originals of papers required by the
Comptroller General to be maintained for site audit, or to be physically transferred to the General
Accounting Office for centralized audit, technically constitute segments of accountable officers'
accounts. These original papers are therefore excluded from coverage in this schedule for the reasons
set forth in Schedule 6. Similarly, this schedule does not apply to documents submitted to or created
by other coordinating or regulatory agencies, such as the National Production Authority, the Economic
Stabilization Agency, and others, in the course of their program operations.
In no event may disposal be made of records pertaining to accounts, claims or demands involving the
Government of the United States which have not yet been settled or adjusted by the General Accounting
Office without written approval of the Comptroller General, as required by Section 9 of the Records
Disposal Act of July 7, 1943, as amended (1i14 U.S.C. 374).
Since 1949 Federal agencies have operated their procurement and supply systems under regulations
issued by the Federal Supply Service of the General Services Administration, although the Secretary of
Defense under Section 201(a) of the Federal Property and Administrative Services Act of 1949, may
exempt his Department from General Services Administration procurement regulations and orders.
Records documenting procurement and supply in the agencies are largely standardized by various
regulations of the Comptroller General and the Administrator of General Services. Forms to be used and
reports to be made both ad hoc and as part of the returns of Federal disbursing officers are prescribed.
General Regulation No. 4 the Administrator of General Services, for example, makes mandatory the use
of certain standard supply contract forms. The physical arrangement of the transaction files themselves
differs in the various agencies, ho ever. In all agencies the official contract files, for example,
contain a minimum core of specified documents, but there are also other documents that vary in accordance
with what the individual agency deems to be best for its own operating purposes.
Procurement files fall into a number of functional categories, depending on the role of the file in
the total supply process and its administration.
The key procurement file is the transaction case file containing the formal contract or informal
purchase order or lease instruments and all related papers. The documents flowing into the transaction
file differ in detail, but they include, in addition to the purchase document, specifications, bids,
schedules of delivery, initiating requisitions, invoices, and correspondence. Other copies of these
documents, made for expediting and other administrative purposes, are scattered throughout the inspection,
shipping, expediting, and other units of the agency procurement organization. Conformed copies of most
procurement documents involving sums over $5,000 for military agencies and over $2,000 for other agencies,
and leases, are submitted to the General Accounting Office at the time of their execution. The General
Accounting Office contract file normally includes only those basic papers which enable its auditors to
pass on the propriety of the expenditure or obligation. In agencies whose accounts are under site audit,
the pertinent copies are maintained in agency space for the General Accounting Office.
Agency files may pertain to one or more of several procurement methods: (1) purchases against
Federal Supply Service schedule contracts, record copies of which are in the appropriate Federal Supply
Service regional office, (2) transactions initiated pursuant to the agency's own purchasing authority,
or (3) requisitions from Federal Supply Service current inventories. Normally, in transactions not
arising froomm~ Federal Supply Service schedule contracts, purchase e orders are usseedpffoortransactions under
ltfMVD~ of,money. r 'b $`~1 F%IMMl6ffS l2ML/ / ~ tf-U4f"IEBH UOUROW3 larger Bums
 GSA Reg. 3 Approved For Release 2002/02/12 : CIA-RDP78-04718AO01300080004-7
Appendix B
(1O-4?.51)
GENERAL RECORDS SCHEDULE 3
Certain basic legislation normally governs procurement policies. The First and Second War Powers Act,
enacted early in World War II, laid down general policies which gave to contracting officers wide latitute
in contract determinations. The Armed Services Procurement Act of 1947 (62 Stat. 21) stated policy for
armed forces procurement. Title III of the Federal Property and Administrative Services Act of 1949, as
amended, (63 Stat. 377) restated over-all procurement policy and methods for the Government as a whole.
Specialized legislation, such as the various renegotiation and price adjustment acts following World War
II, produced temporary modifications of procedures.
The Federal procurement field has been affected from time to time by specialized legislation, some of
which has been enacted for ad hoc purposes, while other laws have resulted in standard contract articles.
Thus the Contract Settlement Act of 1944, as amended, (58 Stat. 649) prescribed procedures and policies
to be used in the termination of World War II contracts; the Fair Labor Standards Act of 1938 prescribed
certain standards of working conditions and employment that are still in effect; and the Anti-Kickback Act
of 1934, subsequently amended in 1946, attempted to outlaw illegal arrangements by which employees returned
parts of their wages to their employers under duress. Other legislation and administrative policies have
imposed other legal safeguards and prohibitions, particularly in the field of real property procurement.
In most instances the procurement-files-are required to document actions taken under the various laws.
Legislation which governs the procurement process inevitably affects the content of procurement files
but not in such a way as to affect the long term value of the files except in the cases of those involving
certain aspects of real property acquisition.
Other files related to the procurement and supply function include reports used for supply management
purposes by the agency creating the records as well as the staff agency involved with Government wide pro-
grams, local requisition and stock inventory files, and other minor supply papers.
NO, DESCRIPTION OF RECORDS METHOD OF FILING - AUTHORIZED DISPOSITION
RECORDS OF CONTINUING VALUE:
-1. Procurement files (as described in item Conform to-agency Disposal not authorized by
4 below) involving transactions of practice, this schedule.
$25,000 or more and documenting the
initiation and development of transactions
that deviate from established precedents
with respect to general agency procurement
or to major procurement programs (other than
-those covered by item 13). -
2. Title papers documenting the acquisition Conform to agency Disposal not authorized by
of real property (by condemnation pro- practice. this schedule. (Transfer
ceedings or otherwise), to Federal Records Center
3 years after sale of
property.)
3. Correspondence files of procurement Conform to agency Dispose after 2 years.
operating units pertaining to their practice.
internal operation and administration
that are not covered elsewhere in this
schedule.
Contract, requisition, purchase order,
lease, bond and surety records, including
correspondence and related papers pertain-
ing to award, administration, receipt,
inspection, and payment (other than those
covered in items 1, 2, and 13).
a. -Procurement or purchase organization
copy.
(1) Transactions of $1,000 or less. By contract or lease Dispose 4 years after final
symbol and number payment.
thereunder; by purchase
order number.
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 Approved For Release 2002/02/12 : CIA-RDP78-04718AO01300080004-7 GSA Reg. 3
GENERAL RECORDS SCHEDULE 3 A(pendix3B
ITEM
NO$
related work papers., ically thereunder.
Dispose.in accordance with
provision for item 4a.
Dispose 2 years after date
of report.
Dispose 1 year after date
of report.
DESCRIPTION OF RECORDS
(2) Transactions of more than
$1,000 and less than $25,000.
(3) Transactions of $25,000 or more.
c. Other copies of papers described in
4a.
(1) Papers duplicated in item 4a.
REC OV,'IENDED
METHOD OF FILING
By contract or lease
symbol and number
thereunder; by purchase
order number.
AUTHORIZED DISPOSITION
Dispose 7 years after final
payment. (Place in
inactive file on final pay--
m9nt; transfer to Federal
Records Center 3 years
thereafter.)
By contract or lease Dispose 11 years after final
symbol and number payment. (Place in
thereunder; by purchase inactive file on final pay-
order number. ment; transfer to Federal
Records Center 3 years
thereafter.)
By appropriate number Dispose when funds are
in suspense file for obligated.
posting.
As appropriate. Dispose 1 year after comple-
tion of transaction.
duplicated in item 4a. As appropriate.
Files of volume and workload reports on
procurement and supply operations and
procedures (other than those incorporated
in case files or other files of a general
nature), exclusive of Department of
Defense reports reflecting procurement
under exemptions authorized by Section
201(a) of the Federal Property and
Administrative Services Act of 1949 (40
U.S.C. 481).
internal purposes or for transmission. ically thereunder.
one copy of each bid
with procurement file
(item 4).
One copy of each bid
with procurement file
(item 4).
e. Lists or cards of acceptable bidders. Alphabetically by
stock item or by name
of bidder.
Dispose in accordance with
provision for item 4.
Dispose in accordance with
provision for item 4.
Dispose when new list or
card is made.
7. Records relating to requisitions on the
Public Printer, and all supporting papers.
a. Printing procurement unit copy of By requisition number. Dispose 4 years after
requisition, invoice, specifications completion or cancellation
and related papers. of requisition.
b. Accounting copy of requisition, Attach to related Dispose 4 years after period
Government Printing Office invoice, vouchers. covered by related account.
transfer of funds voucher, and
receiving report.
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 GSA Reg. 3
Appendix B
(10-4-54)
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ITEM
No,_ DESCRIPTION OF RECORDS
GENERAL RECORDS SCHEDULE 3
-RECClO4ENDED
METHOD OF FILING
Requisitions for non-personal services,
such as duplicating, laundry, binding,
and other services (excluding records
associated with accountable officers'
accounts (Schedule 6)).
9. Requisitions for supplies and equipment
from current inventory.
By requisition
number.
c. Report of survey files and other
papers used as evidence for adjust-
ment of inventory records, not other-
wise covered in the General Records
Schedules.
12. Files of reports on supply requirements
and procurement matters submitted for
supply management purposes (other than
those incorporated in case files or other
files of a general. nature), exclusive of
Department-of Defense reports reflecting
procurement under exemptions authorized
under Section 201(a) of the Federal
Property and Administrative Services Act
of 1949 (40 U.S.C. 481).
a. Copies received from other units.for
internal purposes or for transmission
to staff agencies.
b. Copies in other reporting units, and
related work papers.
13. Contractors' payrolls (construction
contracts) submitted in accordance with
Labor Department-regulations, with re-
lated certifications, anti-kickback af-
fidavits, and other related papers.
Numerically by requi-
sition number.
pletion or cancellation of
requisition.
Numerically by stock
number or alphabetical-
ly by item, as appropri-
ate.
Numerically by stock
number or alphabetical-
ly by item, as appropri-
ate.
Conform to agency
practice.
Attached to related
vouchers.
By report and chronolog-
ically thereunder.
By report and chronolog-
ically thereunder.
By contract; thereunder
chronologically.
Dispose 2 years from date
of list.
Dispose 2 years after dis-
continuance of item or 2
years after stock balance
is transferred to new card
or recorded under a new
classification, or 2 years
after equipment is removed
from agency control.
Dispose 2 years after date
of survey action or date of
posting medium.
Dispose 4 years after period
covered by related account.
Dispose after 1 year.
Dispose 3 years after date
of completion of contract
unless contract performance
is subject of enforcement
action on such date.
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Aft
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Appendix B
GENERAL RECORDS SCHEDULE 3 (10-4-54)
ITEM RECOMMENDED
NO. DESCRIPTION OF RECORDS METHOD OF FILING AUTHORIZED DISPOSITION
14. Tax exemption certificates, and Conform to agency Dispose 4 years after
related papers. practice. period covered by related
account.
Item 1. These procurement files, normally selected by the agency as of continuing value, consist of
procurement papers and related records which may or may not have been physically located in the agency
principal procurement file. The records are retained not because of the individual transaction they
represent, but because (a) they represent new departures in administrative arrangements not documented
elsewhere in the agency, (b) they are an integral part of a file which may illustrate the inception and
accomplishments of a major procurement program, or (a) they represent procurement procedures radically
different from those normally followed and therefore are deserving of separate consideration. Normally
they will be found in only a few agencies, such as the Defense departments and Atomic Energy Commission,
which have unusual procurement problems.
Item 2. These records are of enduring legal, administrative, and historical value since they constitute
the basic evidence of acquisition of real property by the Government, including statements of legal
boundaries and restrictions that may run for generations. Other evidence of the same facts is legally
secondary to the statements in the title papers.
Item 3. These are routine administrative files not part of other case files, and they do not include
records of agencies or parts of agencies involved with the development of top procurement policy. Rather,
these files are held by the units responsible for the day to day detailed procurement transactions. They
are held long enough to satisfy administrative and reference needs.
Item 4. Agency procurement files (other than those described in items 1, 2, and 13) have the following
conceivable values:
a. Legal and fiscal value: The principal values of procurement files are those pertaining to the
rights of the Government as a contractor and as claimant or claimee and those involving audit or investi-
gation by the General Accounting Office, the Congress, or others of transactions and payments. The Gener-
al Accounting Office, which receives most claims involving procurement, has noted that claims quite con-
sistently involve transactions of $25,000 or more. The longest applicable statute of limitations on
claims brought before the Comptroller General is 10 years (54 Stat. 1061); certain types of claims are
governed by a six-year statute. The standard which has been developed for the disposition of procurement
files therefore requires that contracts relating to transactions of $25,000 or more must be retained until
eleven years after final payment. Files relating to transactions between $1,000 and $25,000 and below
$1,000 are retained until seven and four years, respectively, after final payment. Audit needs of the
General Accounting Office are satisfied under normal conditions after three years, since accounts must
be settled within three years from date of submission.
b. Historical value: Modern agency procurement files as a class are not of permanent historical or
archival value since they represent essentially routine transactions and merely bind the usual buyer-seller
relationships. These agency files are very voluminous and necessarily most of the transactions involved
are of no historical importance. Important policies and procedures are established by the Comptroller
General, the Administrator of General Services, and agency staff groups, and compliance with these pro-
cedures and policies is checked by the General Accounting Office so that irregularities of significance
are documented in that agency.
c. Agency administrative value: Normally procurement files are of little reference interest to the
agency after final payment has been made. Such needs, however, are adequately provided for by the reten-
tion period.
Item . These are workload and activity reports, with related subsidiary reports, mde to staff agencies
or to organizational superiors and are used for consolidated agency reports or for work measurement and
other management purposes. These copies have no administrative value after the lapse of the period
specified.
Item 6. The unsuccessful bids are retained for a period sufficient to serve needs of the contracting
agency and other interested Federal units.
Item 7. These are case files on printing and binding jobs performed by the Government Printing Office.
The files, comprising originating papers, agreements, and all related correspondence are normally main-
tained in the service organization involved in the printing and publication function. The period
specified is sufficient to safeguard agency administrative needs arising from fiscal adjustments with
the Government Printing Office, or from audit of the related accounts.
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 GSA Reg. 3 Approved For Release 2002/02/12 : CIA-RDP78-04718AO01300080004-7
Appendix B
(io-4-54) GENF AL-RECORDS SCHEDULE 3
Item 8. These are requisitions for routine agency services. They are of minor value after the services
have been performed.
Item 9. These are routine internal requisitions originated by operating units and filled from agency or
Federal Supply Service inventories. They do not directly result in procurement action. The period pro-
vided is sufficient for local administrative needs and for posting to stock records.
Item l0. Inventory records, maintained to provide replenishment, stock control, and property maintenance
data, are normally of administrative value as long as the individual inventory items involved are. in stock
or in current use. The periods provided are sufficient to allow for administrative and management uses,
including those involving the property accounting audit responsibilities of the General Accounting Office,
and the reconciliation with cost and control-accounts. Papers primarily created to serve as posting media
to inventory records, such as reports of survey resulting in the writing off or abandonment of property
other than by sale or salvage, are held for a brief period after posting.
Item 11. Toll slips are in effect invoices authorizing payment via public vouchers for long distance
telephone calls, and are usually filed with the related vouchers. Disposal is based on the three-year
statutory. period for the settlement of disbursing accounts, plus one year for agency administrative needs.
Item 12. These are reports required externally by the General Services Administration (Federal Supply
Service) and internally by the agency to show agency needs and procurement for Federal Supply management
purposes. The period of time specified is sufficient to satisfy internal agency needs for the information
contained in these reports.
Item 13. The Department of Labor requires (29 CFR 5.5(a)(3))that on each construction contract the con-
tractor each week submit certified copies of-all payrolls to the contracting officer, together with an
affidavit that the payrolls are correct and that the rates paid are the same as those prescribed by the
Secretary of Labor (these are not the copies used by the General Accounting Office in auditing cost-plus
contracts). The contractor is required to preserve his payrolls for three years after the work is com-
pleted and to make them available for examination. The Federal agencies to whom the payrolls are submit-
ted are also required (29 CFR 5.6(d))to preserve the payrolls for three years. With relatively small
contracts the payrolls in volume, constitute at least half of each contract file; in larger contracts,
the volume is proportionately greater. The primary purpose of preservation of payrolls is for enforce-
ment. Generally after the three-year period has passed the payrolls would be of little value if no.
enforcement action had taken place during such period. In cases where contractors' payrolls and related
papers are being used in an enforcement case or where remedial action is pending at the end of the three-
year period they should be retained.
Item 4. These files pertain to the Government's exemption from the payment of certain locally levied
taxes on goods and services. The Federal purchaser pays these local taxes at the time a purchase is made,
at the same time having the seller certify as to the amount and kind of tax paid. This tax exemption
certificate, executed by the purchaser, is then used by the agency primarily to bill the State or local
body involved for refund of the taxes paid. If the agency is unable to collect the bill, it is normally
forwarded to the General Accounting Office for action. When collection is made, the refunded taxes are
covered into agency accounts, memorandum copies of which are provided for in item 1, General Records
Schedule 6. The certificates are retainedas long as the agency accounts which they support.
-6-
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 Approved For Release 2002/02/12 : CIA-RDP78-04718AO01300080004-7 GSA Reg. 3
GENERAL RECORDS SCHEDULE 6 Appendix B
(e-27-53)
Accountable Officers' Accounts
Accountable officers, accounts include record copies of all papers concerned with the accounting for,
availability, and status of public funds. There are several types of "accountable officers," such as:
(a) the collecting officer, who receives monies awed to the Federal Government and ensures that it is
credited to the proper account; (b) the disbursing officer, who accomplishes the actual payment of public
monies to proper Federal creditors; and (c) the certifying officer, whose signature on a summary schedule
attests to the authenticity of vouchers listed on the schedule. The latter official, who is bonded, takes
the responsibility of approving for payment by the disbursing officer the sums due other agencies, con-
tractors, employees and others who have provided goods and services to the Government. Within the Federal
Government the certifying officer and the disbursing officer are usually different individuals, but the
disbursing officer and the collecting officer may be the same or different individuals.
Disbursements for virtually all Government agencies, except the Department of Defense, the Postal
Service, the Department of State, and certain Government corporations, are made by the Chief Disbursing
Officer of the Treasury, who heads the Division of Disbursement within the Bureau of Accounts, Treasury
Department. The Division was created by Executive Order 6166 of June 10, 1933. Prior to that time agen-
cies had their own disbursing organizations. Traditionally agencies transmitted individual vouchers,
covering schedules, and summaries on the basis of which payment was made and the papers were then forwarded
to the General Accounting Office for audit. Since about July 1949, however, disbursements have been made
for an increasing number of agencies merely on the basis of certified schedules, with the detailed vouchers
transferred to the General Accounting Office from the agency or held in agency space if site audit was
involved. This procedure was extended and confirmed by General Accounting Office General Regulations No.
115, issued January 29, 1952, which promulgated a standard form voucher and schedule of payments (Standard
Forms 1166 and 1167 for use by all agencies effective July 1, 1952) and formally eliminated the transfer
of vouchers to the Chief Disbursing Officer. This schedule applies to the accounting and the fiscal
records of agencies which may be held by either agency disbursing or certifying officers or by both.
Another procedural change with major record implications was the inception and gradual extension of
the on-the-site audit of agency accounts. Under this system the vouchers, contracts, schedules, accounts
current, and other related supporting documents are to be retained in agency space for the General Account-
ing Office auditors. Section 5 of the Post Office Department Financial Control Act of 1950 and Section
117(b) of the Budget and Accounting Procedures Act of 1950 (whenever the Comptroller General determines
that the audit shall be conducted at the site) require agencies to retain these records, which are under
General Accounting Office cognizance. Section 7(a) of General Accounting Office General Regulations No.
115 gives general authority to the agencies, if the records are no longer required for administrative pur-
poses and subject to the written approval by the Comptroller General, to transfer records audited at the
site to Federal Records Centers after two years. Because the records heretofore transferred to the General
Accounting Office are retained in the agency and available, several agencies have eliminated the creation
of memorandum copies.
This general schedule covers the memorandum copies of the accountable officers, accounts created since
January 1, 1921, whether or not the agencies are assigned for an audit-on-the-site. Conversely, it does
not apply to the papers which have been submitted to the General Accounting Office either by physical
transfer or by retention in agency space for audit purposes. Nor does the schedule apply to the manage-
ment copies of the schedules and related papers held by the Chief Disbursing Officer, from-which he makes
payment. These are covered by a separate authorization.
Because of special General Accounting Office needs, vouchers and related papers pertaining to freight
transportation charges are excluded from disposition. Under General Accounting Office General Regulations
No. 115 voucher schedules and supporting basic documents covering transportation services are forwarded
to the General Accounting Office, Washington, D. C., regardless of whether the forwarding agency is under
on-the-site audit. The memorandum copies, which are included in Schedule 9, are designated for transfer
to a Federal Records Center. Similarly, because of their value as auxiliary personnel records, the records
relating to pay of civilian personnel are excluded from coverage in this schedule and are separately
treated in Schedule 2.
In addition to the memorandum copies of returns, this schedule also covers records in other agencies
which are related to the audit of the accounts by the General Accounting Office. These-include (1) the
notices of exception by which the General Accounting Office notifies the proper accountable officer that
it takes exception to a specific payment or transaction, and (2) certificates of settlement that show the
status of his account.
Records relating to the availability, collection, and custody of funds include (1) the appropriation
warrants, (2) other documents which deposit funds into the Treasury, and (3) documents which provide
accountable officers with status reports on funds in their custody, such as the proofs of depository
account and statements of funds to their credit. Agency copies of these deposit and status documents are
so intimately related to the accounts of these officers that they are included in this schedule. The
copies received by the Fiscal Service of the Treasury Department are not covered by this schedule and are
provided for separately.
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 GSA Reg. 3
Appendix B
(10-4-54)
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GENERAL RECORDS SCHEDULE 6
ITEM RECOMMENDED
NO. _ DESCRIPTION OF RECORDS METHOD OF FILING AUTHORIZED DISPOSITION
RECORDS OF TEMPONARY VALUE:
1. Accountable officers' returns, compris-
ing memorandum copies of accounts current,
all supporting vouchers, schedules,
documents, and related papers not other-
wise provided for in this schedule (ex-
clusive of freight records covered by
Schedule 9 and payroll records covered
by Schedule 2).
a. Security copies of payment lists Chronologically by
prepared or used for disbursement payment period.
by Treasury disbursing offices.
2. General Accounting Office notices of
exception (formal or informal) and
related correspondence.
3. Copies of certificates of settlement
of accounts of accountable officers,
statements of differences, and related
papers.
a. Certificates covering closed account
settlements, supplemental settle-
ments, and final balance settlements.
b. Certificates covering periodic
settlements.
ing Office.
Schedules of certificates of settlement
of claims settled by the General Account-
5. Records relating to the availability,
collection, custody and deposit of
Case file or schedule
in chronological order.
Case file or schedule
in chronological order.
Chronologically or by
schedule number.
Dispose when Federal
Records Center receives
second subsequent document
covering same type of pay-
ment.
Dispose 4 years after
period covered by the
account.
Dispose 1 year after excep-
tion is reported as cleared
by the General Accounting
Office.
Dispose 2 years after date
of settlement, providing
certificate is cleared.
Dispose when subsequent
certificate of settlement
is received.
Dispose 2 years after date
of settlement.
Dispose 4 years after date
of document.
funds, including appropriation warrants
(other than records covered by item 1).
6. Administrative correspondence, reports
and data relating to voucher preparation,
administrative audit, and other account-
ing and disbursing operations.
a. Files used for workload and personnel Conform to agency filing Dispose after 2 years.
management purposes, system.
Conform to agency filing Dispose after 4
system.
Items 1-4. Accountable officers' returns consist of a variety of papers prescribed by regulations of the
Comptroller General. The returns, which are normally submitted monthly (although some returns are
rendered quarterly), consist of an account current, summarizing all collection and disbursement trans-
actions of the accountable officer, supported by detail documents supporting each summary entry on the
account current. The account current and all supporting documents are audited by the General Accounting
Office to insure-that transactions were conducted bythe accountable officers for legally proper purposes
in accordance with established procedures. Exceptions may be raised where the propriety of transactions
is not clear or where the supporting documentation is incomplete.
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GSA Reg. 3
Annendix B
(i0-4-54)
Under Public Law 72, 80th Cong., 1st seas. (61 Stat. 101), the General Accounting Office must com-
plete the audit of accounts within 3 years from the date of the submission of the account. The disposal
period provided for all returns files other than those covered in item in includes the three-year period,
plus an additional year for administrative purposes. Necessary references after the four-year period can
be made to the originals of the papers held by the General Accounting Office in its own space, or in ap-
propriate agency or Federal Records Center space.
In the normal course of current operations, security copies of voucher listings prepared or paid by
the Treasury disbursing offices normally consist of memorandum copies of lists of various types of
periodic payments made under certain Federal programs, and attached papers. These copies are transferred
to appropriate Federal Records Centers by disbursing offices as soon as checks are issued. Since only
current data need be available, these documents are disposable at the Centers when the second subsequent
document for each type of disbursement is received. Under this procedure, the current and immediately
preceding payment listings will be continously available. The disposal provision for item Is does not
apply to original listings, which are maintained for a minimum of twelve years in the case of skeletonized
payrolls, fifty-six years in the case of comprehensive payrolls, and eight years in the case of all other
types of listings.
Exception and certificate files are scheduled for disposal after periods based on clearance of the
exception as well as the total accounts.
Schedules of certificates of settlement of claims are listings of claims settled by the General
Accounting office and are retained for a shorter period than the certificates themselves.
Item . These records, relating to the availability, deposit and status of available funds, are held for
the same four-year period provided for the memorandum copies of accountable officers' returns, which
reflect the collections and expenditures of the funds. Key ledger records summarizing accountable
officers' accounts are retained for substantial periods in the Office of the Treasurer of the United
States, Treasury Department. The originals of appropriation warrants (Treasury Department copies) are not
scheduled for disposal.
Item 6. Files used for personnel and other non-fiscal management purposes are disposable after a minimum
period necessary for administrative and reporting needs. Other files are held for a somewhat longer
period, since they may contain substantive fiscal data and may be useful in General Accounting Office
comprehensive agency audits.
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GENERAL RECORDS SCHEDULE 9
Travel and Transportation Records
GSA Rego 3
AM-27- 31
This schedule covers records created since January 1, 1921, that pertain to the movements of goods
and persona under Government orders. The record keeping involved in the movement of goods centers about
the bills of lading, related vouchers, and associated records prescribed by General Regulations No. 97 of
the Comptroller General, while General Regulations No. 88 and several executive orders govern passenger
movement and reimbursement. Copies of some records used to support payments become part of the account-
able officers' accounts, but because of temporary circumstances noted below they are excluded from
coverage in Schedule 6 and their retirement is provided for separately in this schedule (items 1 and 3)-
a. Movement of goods. The key record is the bill of lading, of which there are copies for
consigners, consignees, and the carriers themselves. The papers related to and normally filed with the
bill of lading itself are varied and often voluminous. These may consist of shortage and demurrage
reports, invoices, and other descriptive data which completely document the administrative aspect of
encumbrance of funds. Included are records relating to the shipment of household effects, which is
authorized by law and regulation for military personnel and for civilian employees of the Government.
Agencies shipping certain valuables under the Government Losses in Shipment Act, which insures against
lone, retain copies of schedules of material shipped, papers relating to claims which may ensue, and other
pertinent documents.
Certain records pertaining to the movement of goods, normally disposable, are designated as
records of continuing value to protect the interests of the Government during a General Accounting Office
freight rate reaudit. These records will be reappraised after completion of the audit.
b. Movement of persons. The movement of persons is essentially documented by copies of travel
orders, which authorize travel and subsequent payment, and standard form vouchers showing payment for
official travel. The two primary copies of the travel orders are the administrative copy maintained by
the transportation unit controlling the issuance of travel orders, and copies used for the encumbrance of
funds.
NO. DESCRIPTION OF RECORDS METHOD OF FILING AUTHORIZED DISPOSITION
RECORDS OF CONTINUING VALUE:
1. Export certificates, transit Conform to agency Disposal not authorized by
certificates, demurrage car record practice, but file this schedule.
books, and shipping documents pertinent separately from other
.to freight classifications because they papers covering pay-
list articles involved in shipments. ment of freight
transportation charges.
RECORDS OF TEMPORARY VALUES
operating units responsible for travel practice.
and transportation, pertaining to their
operation and administration, not other-
wise provided for.
Files covering payment of freight trans-
portation charges (except records covered
by item 1), consisting of memorandum
copies of Government or commercial bills
of lading, shortage and demurrage reports,
and all supporting documents, and includ-
ing files relating to the shipment of
household effects.
a. Issuing office memorandum copy. By bill of lading Dispose after 10 years.
number. (Transfer to inactive file
on completion of transac-
tion; break inactive file
every 2 years and transfer
to Federal Records Center 1
year later.)
b. Consignee memorandum copy for Attach to related Dispose 4 years after period
encumbrance of funds. vouchers. covered by the related
account.
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 GSA Reg. 3
Appendix B
(10-4-54)
ITEM
NO.
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GENERAL RECORDS SCHEDULE 9
Papers covering passenger trans-
portation charges, consisting of
vouchers and related papers.
(Individual travel papers are
covered by item 5.)
RECOMMENDED
METHOD OF FILING AUTHORIZED DISPOSITIOW
In numerical sequence. Dispose 10 years after
date of final entry on
register.
With related accounts. Dispose 4 years after
period covered by related
account.
b. Obligation copy, if different Dispose when funds are
from copy described in item 4a. obligated.
5. -Records relating to official travel of
officers, employees, dependents, or
others authorized to travel by law
(exclusive of records covered by items
1 and 4).
In folders arranged Dispose after 4 years.
alphabetically by name
of employee; break file
every 2 years.
b. Obligation copies. In appropriate fashion Dispose when funds are
for posting. obligated.
6. Schedules of valuables shipped, and Chronologically in case Dispose after 4 years.
related papers and reports, fashion.
Item 1. These records are required by the General Accounting Office in its comprehensive reaudit of
World War II freight charges. The export certificates are the key documents affecting freight charges for
material destined for overseas shipment; transit certificates document in-transit storage of freight;
demurrage car record books show cars involved in freight demurrage and related data; and shipping documents
giving a detailed description of the materials shipped are essential in determining proper freight
classifications. It is around these points that controversies over freight charges usually revolve, and
therefore for the time being these files are designated as records of continuing value since they must be
retained until completion of the reaudit program.
Item 2. These are routine correspondence files retained long enough to serve reference needs.
-Item 3. These files, which document all shipment transactions, are held long enough tosatisfy agency
legal and administrative needs and General Accounting Office normal audit requirements. They include all
papers accumulated during the shipping transaction (except the specialized papers covered by item 1), such
as bills of lading, demurrage reports, shortage and overage reports, check-off sheets, delivery tickets,
related correspondence, and registers summarizing essential dataappearing on each billof lading issued.
The ten-year period is sufficient for accounting adjustments, and claims can normally be adjudicated on
the basis of the originals of papers that are sent to the General Accounting Office.
Item 4. These papers pertain to the payment to carriers for the transportation of personnel authorized by
law to travel. Memorandum copies of the payment vouchers, and supporting papers which may be required
from time to time by the General Accounting Office, are held as long as the agency accounts to which they
relate. Memorandum copies of the accounts arecovered by item 1 of General Records Schedule 6. Originals
of these papers are forwarded to the General Accounting Office for centralized audit. The obligation
copies of vouchers, which represent additional copies that may be made by the agency if the formal memo-
randum copy is not used for fund control purposes, have no value once the expenditure and appropriation
data are posted to agency control ledgers. The records covered by this item relate to agency payments to
carriers for groups of passengers transported. Travel records pertaining to individuals are covered by
item 5.
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Appendix B
GENERAL RECORDS SCHEDULE 9 (10-L-5h)
IWO' Item 5. These files pertain to the travel of personnel under orders issued pursuant to law by competent
agency authority. Each paper normally concerns travel of an individual. Included are papers which are
normally accumulated by agency units involved in expediting and arranging for the travel, including copies
of travel orders, per diem vouchers, hotel reservations, and related papers, as well as copies of account-
ing papers such as vouchers which may be used for. fund control purposes. The latter are of no value after
they have been posted to control ledgers; the administrative travel records are maintained generally as
long as memorandum copies of related agency accounts (item 1, General Records Schedule 6).
Papers covered by item 5a include also transportation request files. The originals of transportation
requests are surrendered to the carrier by the traveler, while a retained carbon copy of each is held as
a check against the originals, which are returned by the carrier with his bill and which become part of
the agency accounts. The carbon is disposable after 4 years. Transportation requests which are unused,
void, or otherwise canceled, as well as the empty request book covers, are not record material. They are
disposable as soon as the request numbers involved are posted to the agency travel request accountability
record as required by General Regulations 108 of the Comptroller General. The accountability record it-
self is disposable under this item 4 years after all entries on the record are cleared.
Item 6. Files relating to the administration of the Government Losses in Shipment Act are retained for
substantial periods by the Bureau of Accounts, Treasury Department, which has Government-wide responsi-
bility. These agency copies are retained long enough to satisfy local administrative and legal needs.
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Informational Services Records
Appendix B
(10-4-54)
This schedule covers certain records created since January 1, 1921, pertaining to informational
services performed by Government agencies in their day to day affairs and in their relations with the
public. Except as otherwise specified in individual items, it applies to copies of these records wherever
located in an agency. Items 2 and 6, however, are applicable only to files maintained in formally desig-
nated informational offices to which has been assigned responsibility for the operation of the informa-
tional activities of the agency or a subdivision thereof.
Since formal informational releases represent an agency+s contemporary explanation to the public of
its program, policies, and accomplishments, these end products are of considerable value for future re-
search. The records designated as disposable by this schedule are not the only other types of records
created by Federal agencies in connection with their relations with the public, but in many offices they
are relatively voluminous and may be disposed of after a very short time. Essentially they consist of
routine inquiries, replies thereto, other correspondence in which no unusual administrative decisions,
policies, or efforts are involved, and administrative background materials for formal informational re-
leases. Closely related records, such as certain records relating to budget presentation and printing,
duplicating, and distribution records, are covered by other general records schedules.
ITEM
NO. DESCRIPTION OF RECORDS
RECORDS OF CONTINUING VALUE:
1. Complete set of formal informational
releases and publications, such as
press releases, press conference
transcripts, official speeches,
graphic progress presentations, and
indexes thereto.
2. Subject files of formally designated
informational offices, not covered
elsewhere in this schedule.
RECORDS OF TEMPORARY VALUE:
3. Requests for information and copies
of replies thereto, involving no admin-
istrative action, no policy decisions,
and no special compilations or research
and requests for and transmittals of
publications, photographs and other
informational literature.
Acknowledgments and transmittals of
inquiries and requests that have been
referred elsewhere for reply.
5. Daily press service teletype news.
6. Informational services project case
files maintained in formally desig-
nated informational offices.
7. Anonymous letters, letters of commen-
dation, complaint, criticism and sug-
gestion, and replies thereto, excluding
those on the basis of which investiga-
tions were made or administrative action
taken and those incorporated in individ-
ual personnel records.
RECNDED
METHOD OF FILING
Conform to agency
practice. Start a
new file every 2
years.
Conform to agency
practice. Start a
new file every 2
years.
Chronologically.
By project. Start a
new file every year.
AUTHORIZED DISPOSITION
Disposal not authorized by
this schedule. (Transfer
to Federal Records Center
4 years after close of
file.)
Disposal not authorized by
this schedule. (Transfer
to Federal Records Center
2 years after break in
file.)
Dispose 3 months after
transmittal or reply.
Dispose 3 months after
acknowledgment and referral.
Dispose after 3 months.
Dispose 1 year after close
of file or 1 year after
completion of project if
method of filing differs
from that suggested herein.
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 GSA Reg. 3
Appendix B
(lo-4-54)
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ITEM RECCI ENDED
NOl_ DESCRIPTION OF RECORDS METHOD OF FILING AUTHORIZED DISPOSITION
8. Bibliographies, check lists, and Conform to agency Dispose when superseded or
indexes of agency publications and -practice, obsolete.
releases, except those used as
indexes to formal informational
releases (see item 1).
Item 1. These records document the public release of information concerning agency activities and accom-
plishments. It is incumbent upon the agency to determine where and in what manner the record series of
these releases are retained (see General Records Schedule 13, item 1). Other copies, if filed separately,
may be considered nonrecord and-may be disposed of when of no further reference value; if integrated in
general subject files they may be disposed of in the same manner as the file of which they are a part.
Item 2. The value of these records will vary greatly from agency to agency and even from bureau to bureau
within a single agency. Some of the files, such as correspondence concerning the use of copyrighted
material, may have-long term legal value and other segments of the files may have continuing historical
and research values.
Items 3 and 4 These records are of transitory value and after the lapse of time specified they will not
have sufficient value to warrant their preservation. Inquiries and requests from the public are of such
a nature that the retention of the material for statistical purposes would serve no significant purpose.
Item . These records keep agency officials posted on current news events and at times are of vital
importance in the formulation of agency policy decisions. The information contained in these records is
available with more comprehensive coverage in the daily newspapers, libraries, or in the organization
issuing the releases.
Item 6. These records are accumulated in the preparation of agency informational releases (item 1). They
consist chiefly of preliminary drafts, copies of requisitions and distribution lists, statistical compila-
tions and work papers used in the preparation-and issuance of formal informational releases. Basic data
supporting the formal releases resulting from research or other work done in operating offices are retain-
ed in the operating offices engaged in program activities covered by the release.
Item 7. Those anonymous letters and letters of commendation, complaint, criticism, and suggestions and
replies for which investigations or administrative action has been taken are not covered by this item.
The residue are of little use in the documentation of agency programs and are of no value beyond the
specified time.
Item 8. These records are of no value as finding aids unless kept current and those that are useful as
indexes are retained under the provisions of item 1.
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Appendix B
GENERAL RECORDS SCHEDULE 17 (10-4-5Z)
Cartographic. Photogrananetrio, and Related Records
This schedule covers cartographic, photogrammetric, and related records that have been created, used,
or located in agencies of the Federal Government. Disposal authorizations contained herein are not appli-
cable to records created before January 1, 1860. Records created prior to that date are not disposable
unless specific approval of their disposal is obtained from the Congress.
Among the cartographic records are maps and such variant forms of graphic presentation as charts
(hydrographic, nautical, weather, aeronautical, and the like), cartograms, globes, and relief models,
which have been prepared or used in connection with the official activities of the United States Govern-
ment. The maps and charts are listed in various stages of completion from the planetable or similar
drawing to the final publication. The word "publication" as used in this schedule means reproduction by
printing, photographic, and other methods in multiple copies, whether for limited or general distribution.
The photogrammetric records include the aerial film and other photographic materials used in mapping.
The related textual records are those which form an integral part of the map-making activities of agencies
and include field survey notes; project, map history, and similar files; controls and computations; and
finding aids.
This schedule covers the principal categories of records that are common to several or all agencies.
Records not included are of such a specialized character that they are not readily susceptible to evalua-
tion on a Government-wide basis. For example, the schedule covers annotated maps used in intermediate
stages of the preparation of a published map. These annotated maps are essentially working papers used
by all map-making agencies in similar ways. Annotated maps that are unique and an end in themselves are
not, however, covered. This is because it is impossible to state in general terms which of these have
enduring value and which are disposable. Among such records are military campaign and order of battle
maps, international boundary maps, cadastral maps, and maps showing property lines and rights of way.
The map-making and map-using activities of the Government have increased many times over during the
past several decades and the making of a modern map has become exceedingly complex. This is largely the
result of the development of photogrammetry, the science of obtaining reliable measurements of the earth's
surface by means of photography.
The rapid increase in mapping activities and the complex methods required to achieve a final product
have resulted in the creation of a large volume of records of varying degrees of importance. Most of
these records lose their usefulness after specified periods of time and can therefore be disposed of.
Certain records, created or used in the process of making a map, however, have continuing value. They
should be transferred to a Federal Records Center or to the National Archives when they are no longer
needed in the current operations of the agency holding them. Normally cartographic and related records
created or used in offices outside the Washington area should be transferred to the nearest Federal
Records Center. In the Washington area records of continuing value should be transferred to the National
Archives or the Region 3 Federal Records Center.
Cartographic records of continuing legal, administrative, and research value are of two principal
kindsr (1) those created or checked in the field on the basis of surveys and observations or from photo-
grammetric sources; and (2) one copy of each edition or variant of each published map.
The first group is retained as the primary source material from which the published maps are taken
and which often contains more information than is included in the publications. The published maps are
retained as the sum of the map-making accomplishments of the agency as well as for administrative, legal,
and research use.
The records created in the intermediate stages of map-making, between the original survey records
and the final maps, are for the most part temporary records and can be disposed of in accordance with
provisions of this schedule.
There is not a sufficiently standardized terminology to permit the use of universally accepted titles
for the various records created in the map-making process. For that reason additional descriptions of the
records covered by each item are included in the appraisal section of the schedule.
The cartographic records listed below include the most significant ones created in the map-making
agencies of the Federal Government. The items are listed approximately in the order in which the records
are created during the map-making process regardless of whether the maps are based on field work or office
compilation.
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Appendix B
(lo-444) GENERAL RECCRDS SCHEDULE 17
The final published or finished composite manuscript maps created by each agency are generally of
enduring value as are the original drawings and related records based on precise observations and measure-
ments. Records created during the intermediate map-making steps are for the most part disposable after the
maps have been completed or published.
ITEM
N0, DESCRIPTION OF RECCR.DS AUTHORIZED DISPOSITION
1. Planetable and similar field made drawings Disposal not-authorized by this schedule.
and related materials. (Transfer to Federal Records Center in annual
blocks 1 year after publication or completion
of resultant map.)
2. Stereophotogrammetric drawings and related Disposal not authorized by this schedule.
(Transfer to Federal Records Center in annual
blocks 1 year after publication or completion
of resultant map.)
3. Field completion boards of the stereo- Dispose 1 year after publication or completion
of the resultant map, provided they are not re-
quired for any future revision. (If required
for future revisions, transfer to Federal
Records Center 1 year after publication of
resultant map, pending use in revisions.)
Q. Field completion board or blueline and Disposal not authorized by this schedule.
similar prints other than those derived (Transfer to Federal Records Center in annual
from stereophotogrammetric origin, blocks 1 year after publication or completion
of resultant map.)
5. Overlay and similar drawings prepared in the
field on the basis of field surveys.
a. Those only partially duplicated in
resultant map.
b. Those completely duplicated in resultant
map.
6. Overlay and similar drawings prepared in the
office on the basis of compilation.
a. Those only partially duplicated in
resultant map.
b. Those completely duplicated in
resultant map.
7. Manuscript office compilations, derived from
other than field surveys and stereophotogram-
metric sources, that have not been published.
Composite manuscript office compilations
derived from field survey and similar sources
and only partially reproduced in published
maps.
9. Manuscript office compilations, derived from
-other than field survey and atereophotogram-
metric sources, that are not unique because
they have been published.
Color separation boards or manuscripts for
reproduction and related materials.
Disposal not authorized by this schedule.
(Transfer to Federal Records Center in annual
blocks 1 year after publication or completion
of resultant map.)
Dispose 1 year after publication or completion
of the resultant map.
Disposal not authorized by this schedule.
(Transfer to Federal Records Center in annual
blocks 1 year after publication or completion
of resultant map.)
Dispose 1 year after publication or completion
of resultant map.
Disposal not authorized by this schedule.
(Transfer-to Federal Records Center in annual
blocks 1 year after compilation-is completed.)
Disposal not authorized by this schedule.
(Transferto Federal Records Center in annual
blocks 1 year after publication of resultant
map.)
Dispose 1 year after publication of the
resultant map.
Dispose 1 year after publication of the result-
ant map, provided they are not required for
future revisions. (If required for future re-
visions, transfer to Federal Records Center 1
year after publication of resultant map, pend-
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Appendix B
GENERAL RECORDS SCHEDULE 17 (10-4-514)
12. Color pulls and the like.
13. Map correction files.
14. Proof copies of maps and related papers.
15. Mono-color positive prints of composite
manuscript drawings prepared for issuance
as preliminary edition.
16. Copy of each published (printed or other-
wise reproduced) map and variant thereof,
including atlases and portfolios.
AUTHORIZED DISPOSITION
Dispose 1 year after publication of the result-
ant map, provided they are not required for
future revisions. (If required for future
revisions, transfer to Federal Records Center
1 year after publication of resultant map,
pending use in revisions.)
Dispose 1 year after publication of the result-
ant map, provided they are not required for
future revisions. (If required for future
revisions, transfer to Federal Records Center
1 year after publication of resultant map,
pending use in revisions.)
Dispose 1 year after publication of the result-
ant map, provided retention is not required for
legal purposes. (If retention required for
legal purposes, transfer to Federal Records
Center 1 year after publication of resultant
map, pending expiration of legal requirement.)
Dispose 1 year after publication of the result-
ant map.
Disposal not authorized by this schedule.
(Transfer to the National Archives in annual
blocks at the close of the fiscal year in which
Disposal not authorized by this schedule.
(Transfer to Federal Records Center or the
National Archives 1 year after preparation.)
18. Graphic indexes. Dispose when records to which they relate are
disposed of.
Photogrammetric records are being used to an increasing extent by map-making and map-using agencies,
particularly by agencies responsible for mapping extensive areas. Much of the aerial photography required
by the agencies is done for them by private organizations under contract. The negative film is supplied
to the agency which can then make as many prints as it needs. The aerial film is of enduring value as the
primary source of information on physical and cultural landscapes. The film contains the most complete
and accurate information available not only for legal and administrative requirements but also for
research.
Since most modern aerial film is on a safety acetate base, provision is made in this schedule for its
retirement to a Federal Records Center. It should be noted, however, that nitro-cellulose film normally
will not be accepted by the National Archives or Federal Records Centers owing to the special handling
it requires.
ITEM
N0, DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION
19. Vertical and oblique negative aerial films. Disposal not authorized by this schedule.
(Transfer to Federal Records Center when super-
seded by more recent film.)
20. Photo index sheets, flight line indexes, and Disposal not authorized by this schedule.
similar finding aids (negatives and prints). (Transfer to Federal Records Center when
records to which they relate are transferred.)
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Appendix B
(10-4-54) GENERAL RECORDS SCHEDULE 17
ITEM
NO.
21.
DESCRIPTION OF RECORDS AUTHORIZED DISPOSITION
Record set of aerial mosaics and similar
prints covering selected areas.
22. Record set of contact aerial photographic
prints.
23. Precise film negatives of stereophotogram-
metric manuscript drawings.
25. Precise film negatives of maps other than
the stereophotogrammetric manuscript used
for field completion.
b. Minor administrative papers summarized
in a. above.
In order to have a complete and accurate account of mapping plans and programs as well as of the
production, flow, and distribution of maps, certain closely related textual records have been developed.
Administrative and housekeeping records pertaining to map-making offices are provided for elsewhere
in General Records Schedules, which require the retention of record sets of publications, organizational
and functional charts, directives, regulations, speeches, press releases, and similar materials.
ITEM
NO, DESCRIPTION OF RECORDS
26. Project, map history, or similar files.
a. Documents outlining the projects.
a. Those developed by the agency or
obtained from non-Federal agencies.
Disposal not authorized by this schedule.
(Transfer to Federal Records Center when no
longer needed in current transactions.)
Disposal not authorized by this schedule.
(Transfer to Federal Records Center when no
longer needed in current transactions.)
Dispose 1 year after publication of the result-
ant map.
Dispose 1 year after publication of the result-
ant map.
Dispose 1 year after publication of the result-
ant map or area on that map.
Disposal not authorized by this schedule.
(Transfer to Federal Records Center 1 year after
publication of map or completion of project.)
Dispose 1 year after publication of map or
completion of project.
Dispose when obsolete or superseded or upon
publication of related map, whichever is later.
Disposal not authorized by this schedule.
(Transfer to Federal Records Center 1 year
after publication or completion of resultant
map.)
b. Those obtained from other Federal
agencies.
Finding aids to cartographic and related
records.
Dispose 1 year after publication or completion
of resultant map.
Dispose when superseded or when resultant map
is published whichever is sooner.
Disposal not authorized by this schedule.
(Transfer to Federal Records Center 1 year
after publication or completion of resultant
map.)
Dispose when records to which they relate are
disposed of.
Item L. A planetable field drawing generally is a manuscript map covering a prescribed area and drawn on
a specially prepared paper board (sometimes metal-mounted). This map is first prepared in the field,
usually in pencil, from local observations and precise mensurations. Later it may be finalized in ink.
Aft
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Appendix B
GENERAL RECORDS SCHEDULE 17 (10.1..I)
It takes its name from the planetable on which it is made. This manuscript drawing has continuing value
because it portrays the landscape as the topographer saw it at a given date and because it includes
unique data.
A manuscript sketch and similar map drawing derived from field observations and not made according to
the planetable mapping technique has enduring value also if it is unique and records terrain information
in relation to an official survey. Maps such as these have often been made in connection with a field
reconnaissance, a traverse survey, or as a general sketch of an area in which geodetic and similar con-
trols have not been used. They were standard products of field mapping prior to the introduction of the
planetable and similar precise mapping techniques.
Item 2. These drawings are prepared in mapping offices from aerial photographs (generally diapositive) in
accordance with a precise pattern of controls and have record value equivalent to that of the planetable
drawing. This process of making manuscript maps is generally referred to as stereoscopic mapping and has
to a large extent superseded planetable mapping, especially of rough terrain. The drawings have continu-
ing value because they contain unique data.
Item 2. These are blueline, brownline, and other photocopies of the stereophotogrammetric drawings listed
in item 2. The photocopy, or field board as it is frequently called, is sent to the field for completion
and, if necessary, correction. These annotated photocopies are not needed longer than one year after
publication of the resultant maps (which duplicate them) unless they are required for future revisions of
the maps.
ItemAl. It is a general practice of map-making agencies in resurveying an area to prepare blueline photo-
copies to precise scale of existing acceptable maps of the region. The copies are sent to the field for
either completion or correction according to specific requirements. If additional data or changes are
added to these copies they become of enduring value since they represent the results of field observations
and are unique.
Items 5 and 6. The overlay sheets and similar drawings are prepared in the field or in a map-making office
on tracing paper or cloth or on acetate sheets laid over a base map. Selected information is placed on
these transparencies. The drawings together with the base maps from which they were made are of enduring
value because they contain unique information if the information has not been reproduced on the final
published map.
Item 7. These manuscript maps, generally on paper, vellum, tracing cloth, acetate, or vinylite, are com-
piled in map-making offices or drafting rooms from one or several other maps and related sources. Each
map is a composite, usually in black and white, including on one base all of the required information.
These maps may be entirely in ink or pencil or they may include information added to the map base by
stickup, Zipatone, or similar adhesive means. Maps such as this, which are prepared for specific purposes
and have not been published, are unique and may have enduring value. Because it is difficult to appraise
such records as a unit, they should be transferred to the Federal Records Center, pending special individ-
ual appraisal.
Item 8. These manuscript maps, generally on paper and often mounted on metal such as aluminum, are pre-
pared from field survey drawings and other sources. They are composite manuscript maps which are repro-
duced in whole or in part as published maps. Often the composite manuscript map includes more informa-
tion than is finally selected for reproduction in the published map and accordingly becomes a unique
record and may have enduring value. The maps may be in ink, pencil, or color.
Item 9. These maps are the same as those described in item 7 except that they have been published. They
can, therefore, be disposed of one year after publication. Some agencies retain these manuscripts in
order to add changes for new editions of the published map. If an agency wishes to do this, it should
dispose of each manuscript when it is no longer needed.
Item 10. These color separation boards, sometimes referred to as "metal mounts" because the paper often
is secured to a metal (usually aluminum) sheet, are blueline or similar plates of composite manuscript
maps. There is a separate color board for each color required on the final map. From each of these a
glass plate or similar negative copy to precise registry is made for the ultimate purpose of deriving a
metal or similar press plate for each separate color to be printed on the published map. The practice in
some agencies is to retain the color separation boards indefinitely for subsequent editions of the publish-
ed map. Unless this is necessary, the boards can be disposed of one year after publication of the rele-
vant map.
Item ll. Many processes are used in the preparation of modern published maps. Among the materials used
are glass plate negatives, film negatives, and the like; lithographic (stone) engravings; press plates of
various kinds; copper engravings; wood cuts; line cuts; zinc engravings; and others.
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Appendix -B
(10-4 -64) GENERAL RECORDS SCHEDULE 17
Although these are considered as nonrecord items they are noted here because they usually are retain-
ed in a map-making agency for a considerable period of time, occupying a large amount of space and requir-
ing special equipment for storage. Except in rare instances these media, once the map has been published,
may be unused for a decade or more. A plan should be developed for the disposal or salvage of such of
these items as are not absolutely essential for future publication. In most instances, retention of the
color separation boards should make unnecessary the retention of the so-called reproduction media.
Item 12. These are reproductions of each of the individual press plates for each color or run and are to
the precise scale of reproduction of the final published map. Normally these are not needed longer than
one yearafter publication. In some instances, agencies retain these printed copies on paper either in
place of or in addition to press plates. Normally these copies are less stable and useful than the color
separation boards, the glass plate and similar photographic negatives, and the press plates, although
they require less space and are easier to handle.
Item 13. These generally are published (printed) copies of maps prepared in the agency that have been
annotated with specified kinds of information. The annotations on these office copies generally represent
corrections of the extant edition of the published map made prior to the issuing of-a new-edition. These
maps are referred to as map correction copies, aid proofs, correction copies, and the like. After publica-
tion of the corrected map they are not needed for longer than one year except in rare instances where the
may be legal need to give the origins of revisions.
Item 14. Normally one or more special press runs (or hand pulls) are required before final publication
of each map. Such proof copies often bear annotations by the editors indicating final changes to be made
in line, color, or composition. The records cease to have value-soon after the final published map has
been accepted.
Item 15. These are mono-color (usually blue) prints of the completed composite manuscript drawing. -These
prints are advance copies of the final published map and are made available in small numbers as a prelim-
inary edition. They have only temporary record value.
Item 16. Among the most important cartographic records of an agency are its published maps and similar
forms of graphic presentation. A record set of these items, which may be printed, photoprocessed, or
otherwise reproduced, is of enduring value. They represent the map-making accomplishments of the agency
and they contain the significant cartographic information assembled or developed by the agency. One copy
of each published map, atlas, portfolio, and photomap, including each edition and variant, and of all
related indexes (in map or other form) are to be preserved permanently.
Item :17. Globes and terrain models are prepared and used often to show selected, highly specialized
information. They are, like the final manuscript or published maps, of enduring value.
Item 18. Graphic indexes generally take the form of a base map or may be on transparencies or overlays
accompanying a base map of an area which is covered by several maps or sets of maps. The indexes indicate
in color, line, or by other means the coverage of each map. They should be retained as long as the maps
to which they refer are retained as they are finding aids which expedite use of the maps. Other graphic
indexes are listed in item 20.
Item 19. This is-the negative film made by or for an agency and accepted as satisfactory for use in the
preparation of a map. The film normally-is "flown" in accordance with a carefully developed and controlled
plan and each roll must be identified by letter and number so that it is possible to determine precisely
what portion of the earth's surface is represented. The line of flight and the area covered by each is
correlated with a photo-index or similar finding aid. Normally the film on a spool is housed within a
properly labelled metal container (cylinder) approximately six inches in diameter and about twelve inches
long. The aerial photographic film is equivalent in value to records created on the basis of field
surveys.
Item 20. These records take several different forms, though basically they are graphic indexes to each
roll of negative film. The standard form is a photo-index sheet. The index sheets, together with over-
lays showing the line and number of flights, descriptive lists, and catalogs of the film described in
item 19 are needed as long as the film is needed.
Item 21. Frequently photo prints are assembled, matched, and then reproduced as units covering a specific
area. Such mosaics, prepared in connection with particular projects or activities, may have enduring
value. Prints in addition to those in the record set can be disposed of when no longer needed.
Item 22. The contact prints made from the aerial film are used in stereoscopic mapping, the. preparation
of mosaics, and-plotting supplemental control, as well as for general terrain information. A record set
of these prints can serve as insurance againstfilm loss or damage. Other copies can be disposed of when
no longer needed. Provision for retention of a record set of these prints does not mean that an agency
should make up a set for this purpose. Only a record set of the prints available after completion of the
mapping project is necessary.
Approved For Release 2002/02J62 : CIA-RDP78-04718AO01300080004-7
 Approved For Release 2002/02/12 : CIA-RDP78-04718AO01300080004-7 GSA Reg. 3
Appendix B
GENERAL RECORDS SCHEDULE 17 (10.4.54)
,/ Item 23. These are film negatives of the stereophotogrammetric drawings (item 2) made usually on a large
scale. Blueline, brownline, and similar color prints and ozalid copies are made from these precise film
negatives for use in field completion activities of the agency. Since these are merely copies of the re-
tained drawings they can be disposed of shortly after publication of the maps.
Item 24. These are positive photographic prints on a transparent medium, usually glass, that have been
prepared from aerial film. They are used in a plotting instrument or projector in preparing a map or
stereophotogrammetric drawing. They are disposable as working papers after publication of the maps.
Item 25. These are, like the negatives in item 23, made merely in order to prepare prints. They can be
disposed of as working papers after publication of the maps.
Item 26. These files which vary from agency to agency are retained because they give in narrative and
graphic form a history of the cartographic accomplishments of the agencies. They contain documents show-
ing proposals and outlines of mapping projects planned; authorizations and contracts; periodic reports,
memoranda, and correspondence on progress made; lists of sources and place names used, procedures followed
in drafting, filming, and 'editing, and distribution; aver-all cost statements; final completion reports,
project histories, or papers explaining discontinuance, change, or extension of projects; and, where
necessary, attachments in the form of photographs, drawings, maps, plans, and charts.
The minor administrative papers, assembled in connection with projects but not necessary to an ade-
quate history of them, can be disposed of shortly after completion of the projects. Such papers include
daily progress and work reports, working papers, and records of personnel assignments and travel, and
similar materials.
Item 27. These are files maintained in various forms by offices and individual cartographers on mapping
in general and on specialized problems connected with the preparation of specific maps. They constitute
the background material which is helpful for reference. They contain copies of publications and of
records retained elsewhere and rough working notes. Included are publications; bibliographies; copies or
excerpts of correspondence, reports, control data, lists of sources and place names, and related
materials; photographs, sketches, maps, plans, and charts; and similar and related materials. While of
considerable value to the cartographer in the preparation of a map they need not be retained past the
period of their usefulness to the individual or the office. The records listed elsewhere in this schedule,
which are to be retained, document sufficiently the cartographic accomplishments of the agencies.
The maps included in these files, if considered rare or valuable items, can be offered when no longer
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names (i.e. geographic names) when no longer needed can be offered to the United States Board on
Geographic Names.
Item 28. In the making of a map to precise specifications one or more controls are considered essential
to accuracy. These controls are usually obtained from observations and mensurations in the field and in-
clude transit traverse, triangulation, leveling, and altimetry records and field and office computations.
The observations and similar control data obtained in the field are usually in field notebooks. Office
computations are usually typed, processed, or printed lists.
For the United States and certain other areas the primary controls are developed and made available
by the U. S. Coast and Geodetic Survey, For other areas controls and computations may have been developed
by other Governments, other agencies of this Government, or non-Government sources.
Controls and measurements prepared by the agency itself are of continuing value as the accuracy of
the resultant maps is dependent upon them. Those obtained from other agencies of this Government need not
be kept after they have served their purpose because they will be held by the creating offices. Those
obtained from other sources will need to be kept in order to insure their availability.
Item 29. These include field derived observations that generally are of only temporary value because in
most instances the observation is obtained from sighting on non-permanent objects that are subject to
change. In most instances the marker, if placed, cannot be controlled.
Item 30. A principal product of nearly all field surveys and observations is the written record usually in
the form of a pocket-size notebook. These field survey notes may be a running account of observable mate-
rial and cultural features of the terrain; a description of subsurface conditions as to water resources,
geology, mineral resources, and the like based on a series of readings or measurements in the field; or a
log or journal account closely related to and often an integral part of a specific mapping activity wheth-
er it is on land or on water. Such records generally are of continuing value because they describe the
area as it was observed by the surveyor in the field.
Item 31. Finding aids are tools which expedite the use of cartographic and related records. They need to
be kept as long as the records to which they relate. Wherever possible they should be filed with or near
the related records. The following are, in addition to the graphic indexes listed in items 18 and 20, the
kinds of finding aids generally found in agencies: card indexes; descriptive lists, shelf lists, and the
like; registers and similar bound and loose leaf volumes containing lists and descriptions of cartographic
records; and published catalogs, calendars, guides, and lists.
Approved For Release 2002/02/12 .CIA-RDP78-04718A001300080004-7