REGULATIONS OF THE GENERAL SERVICES ADMINISTRATION TITLE 3, FEDERAL RECORDS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP78-04718A001800090001-4
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 23
• Document Creation Date: December 12, 2016
• Document Release Date: September 20, 2001
• Sequence Number: 1
• Publication Date: August 31, 1955
• Content Type: REGULATION

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GENERAL SERVICES ADMINISTRATION
TRANSMITTAL LETTER NO. 3-7
Washington 25, D. C. August 31, 1955
REGULATIONS OF THE GENERAL SERVICES ADMINISTRATION
TITLE 3, FEDERAL RECORDS
To: Heads of Federal Agencies
1. Material Transmitted
Attached are revised item 1 and related minor changes of other items
of General Records Schedule 1; revised items 15 and 16 of General
Records Schedule 2; revised item 4 of General Records Schedule 3; re-
vised subparagraph a, of the third paragraph of General Records
Schedule ~; revised appraisal of item 5.of General Records Schedule 6;
and revised appraisal of item 5 of General Records Schedule 9.
2. Nature of Revisions
Revised item 1 of General Records Schedule 1 authorizes disposal of
the personnel folders when their values for reemployment and retire-
ment have been exhausted; minor changes of phrasing in other parts of
the schedule are necessary as a consequence.
Revised items 15 and 16 of General Records Schedule 2 clarify the
coverage of the items to specify that the records involved are not
General Accounting Office records.
Revised item It and related revisions in the introductory paragraphs
of General Records Schedule 3 make the item consistent with a records
retention requirement in the Federal Property and Administrative
Services Act of 19119, and extend coverage of the schedule to agency
procurement records reflecting transactions under broad delegations
of authority from the Administrator of General Services to procure
for Government-wide purposes.
Subparagraph a* of the third paragraph of General Records Schedule 4
is revised to correct the number of the form entitled, Sale of
Government Property, Invitation, Sid, and Acceptance, to read Standard
Form 114 instead of Standard Form 144.
Revised appraisal of item 5 of General Records Schedule 6 clarifies
coverage to specifically exclude certain items such as income tax
records, social security reports, Federal Employee retirement ac-
counts, and other similar records.
Revised appraisal of item 5 of General Records Schedule 9 makes it
conform to the language and requirements of General Regulations
No. 123 of the Comptroller General, governing transportation request
procedures for the Government.
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Authority for the disposal provisions in these revised schedules is
contained in the following House Reportst 2471 (General Records
Schedule 2), 82d Congress, 2d session, 573 (General Records Sched-
ule 9), 1076 (General Records Schedule 6), 83d Congress, 1st ses-
sion, and 1580 (General Records Schedules 1 and 3), 84th Congress,
1st session.
4.
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
Division, National Archives and Records Service.
Page Changes
Appendix B, GRS 1
(7-10-53) and (1o-4-54)
Appendix B, GRS 2
Page 4 (10-4-5l )
Appendix B, GRS 3
(7-10-53) and (10-4-54)
Appendix B, GRS 4
Page 1 (7-1o-53)
Appendix B. GRS 6
Page 3 (1o-4-54)
Appendix B. GRS 9
Page 3 (10-4-54)
Effective Date
The Regulations transmitted herewith
1955.
Appendix B, GRS 1
(8-31-55)
Appendix B, GRS.2
Page 4 (8-31-55)
Appendix B, GRS 3
(8-31-55)
Appendix B, GRS 4
Page 1 (8-31-55)
Appendix B, GRS 6
Page 3 (8-31-55)
Appendix B, GRS 9
Page 3 (8-31-55)
shall become effective
October 17,
EDMUND F. MANSURE
Administrator
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GENERAL RECORDS SCHEDULE 1
Civilian Personnel Records
.GSA Reg. 3
Appendix B
(8-31-55)
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 legisla-
tion. This schedule covers all personnel folders of civilian employees whose employment terminated on
or after January 1, 1921. It covers also all other 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, (b5 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 func-
tioning 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 under rules and regulations of the
Civil Service Commission, was established in 1947 by the Federal Personnel Manual (R1 35-39) and consti-
tutes the key record relating to most civilian personnel. Executive Order 10561 (September 13, 1954)
provided that comparable records be kept covering employees of the executive branch outside of the
competitive service.
Prior to 1947 the contents of personnel folders varied somewhat according to agency practices. These
practices, however, have been essentially similar since about 1921. Specific personnel forms, such as the
Notification of Personnel Action (Standard Form 50), have been standardized since 1941.
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 Person-
nel Folder and Service Record Card are described in Civil Service Handbook 5-812, Basic Personnel Records
and Files System for Federal Agencies, which prescribes a simplified system of reco keeping for a er
personnel o ces.
The Official Personnel Folder, which travels with the Federal employee as he moves from agency to
agency, contains papers of long term value, listed as such in the Federal Personnel Manual, on the right
hand side, and papers of short term 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 on the right hand side are described in de
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.
Recruitment and selection: These include interview files and related data.
Training: These include evidence of skills acquired and made available to the agency.
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 RECOMMENDED
NO. DESCRIPTION OF RECORDS METHOD OF FILING* AUTHORIZED DISPOSITION
1. Personnel folders excluding (a) Alphabetically by (a) See page R1 36 of the
folders or group of folders selected name. Federal Personnel Manual
# scribed methods of filing are indicated by referral to the issuance prescribing them; those recom-
mended under the provision of Sec. 505(a) of the Federal Records Act of 1950 (44 U.S.C. 395) do
not refer to an established authority. Any new regulations or directives that may be issued from time
to time will supersede these recommendations.
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Appendix B
(8-31-55)
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ITEM
NO. DESCRIPTION OF RECORDS
'GENERAL RECORDS SCHEDULE 1
RECOMMENDED
METHOD OF FILING
by the National Archives; (b) folders
covering periods of employment termin-
ated prior to January 1, 1921; and (a)
papers on the left or the so-called
"temporary" side of the folder, which
are authorized for disposal by General
Records Schedule 1, item 11.
2. Service Record Card (Standard Form 7
or its equivalent).
3. Position descriptions pertaining to
positions abolished after September 1,
1950, and descriptions superseded
after that date.
4. Correspondence in the operating person-
nel office and its subordinate units
relating to their administration and
operation.
Correspondence, letters, and telegrams
offering appointments to potential
employees.
In accordance with Civil
Service Handbook 8-812,
Basic Personnel Records
and Iles' System for
Federal Agencies, Oct*
1 0, Part, A.
In accordance with Civil
Service Handbook 5-812,
Basic Personnel Records
and ea System for
Federal enc est.
TM, Part .
By subject or agency
filing system; start a
new file every 3 years.
Alphabetically by name.
AUTHORIZED DISPOSITION
for instructions relating
to folders of employees
transferred to another
agency. (b) Transfer
folders of separated em-
ployees to inactive file on
separation in accordance
with the Federal Personnel
Manual, 56-37; for De-
partment of Defense trans-
fer folder to Federal
Records Center, St. Louis,
Missouri, 1 month after
separation; for all other
agencies, 1 year after
separation. (1) Dispose
75 years after birth of em-
ployee or 60 years after
date of earliest document
in the folder if date of
birth cannot be ascertained,
provided employee has been
separated or retired for at
least 5 years; or (2) Dispose
5 years after death of em-
ployee, whichever is sooner.
Transfer to Federal Records
Canter, St. Louis, Missouri,
5 years after year of em-
ployee'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 applica-
tion, if offered as a
result of application for
temporary or excepted ap-
pointment, and dispose of
in accordance with provi-
sions in item 16; (3) All
others: Dispose immediate-
ly
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GENERAL RECORDS SCHEDULE 1
ITEM
NO. DESCRIPTION OF RECORDS
6. Certificate files, consisting aft
a. Requests for certificates of
eligibles.
7. Employee record cards used for
informational purposes outside
personnel offices (such as Form
OF-4).
8. Position descriptions (copies other
than those provided for by item 3).
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 on the
left side of the Official Personnel
Folder in accordance with the Federal
Personnel Manual, Chapter R1, pages
35-39.
12. Position identification strips, used
in service control file (such as
Standard Form 7) to provide summary
data on each position occupied.
13. Employee suggestion case files, includ-
ing files relating to management
improvement suggestions considered under
Title X of P. L. 1429, 81st Congress, or
comparable legislation.
RECOMMENDED
METHOD OF FILING
File requests and cer-
tificates by certificate
number.
File requests and cer-
tificates by certificate
number.
In accordance with Civil
Service Handbook S-812,
Basic Personnel Records
es Syatem for
Meral ices Oct.
1950 2 and
, Part III B B 3.
In accordance with civil
Service Handbook 5-812,
Basic Personnel Records
and Files 27stem for
Fe eras Agencies, Oat.
Alphabetically by name;
start a new file every
year.
On left side of folder,
chronologically.
In accordance with Civil
Service Handbook S-812,
Basic Personnel Records
Piles IFItem for
Federal encenc ees, Oct.
1950, Part I
Alphabetically by name;
start a new file every
5 years or every 2 years,
as appropriate.
`GSA Reg. 3
Appendix B
(8-31-55)
AUTHORIZED DISPOSITION
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.
Dispose when position is
abolished or description
is superseded.
Pl"e 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 dif-
fers 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
case.
Dispose on transfer or
separation of employee,
or when 2 years old.
Dispose when position is
canceled or new strip is
prepared.
After closing case transfer
to inactive file arranged
in same way as active file
but closed at end of each
year; dispose of (a) basic
copies 5 years after clos-
ing of the file; (b)
duplicate copies 2 years
after close of file.
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Appendix B
(8-31-55) GENERAL RECORDS SCHEDULE 1
ITEM
NO. DESCRIPTION OF RECORDS
14. Case files on rewards for superior
accomplishment under Title VII of
the Classification Act of 1949.
RECOMMENDED
METHOD OF FILING
Alphabetically within
fiscal year; start new
file each fiscal year.
Start new inactive file
every fiscal year; dispose
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,
including face sheets.
In accordance with Civil
Service Handbook 5-812,
Basic Personnel Records
and Files System for
eTceral Agencies, Oct.
1950, Pa .
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.
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.
Dispose upon receipt of
Civil Service Commission
report of inspection or
when 2 years old, whichever
is earlier, providing the
requirements of Section
A7-J48.01 of the Federal
Personnel Manual are
observed.
Dispose 2 years after date
of report.
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.
In accordance with
Chapter R3 of the
Federal Personnel Manual.
In accordance with
Chapter R3 of the
Federal Personnel Manual.
Dispose when action is
completed.
19. Copies of documents duplicated in
Official Personnel Folders and not pro-
vided for elsewhere in this schedule.
Alphabetically by name;
start a new file every
6 months.
Alphabetically by name;
start a new file every
6 months.
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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Appendix B
(8-31-55)
ITEM RECOMMENDED
NO. DESCRIPTION OF RECORDS METHOD OF FILING AUTHORIZED DISPOSITION
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 Conform to agency
Deferment of Government Employees or practice.
its predecessors on the Selective
Service status of employees (WMC Form
27 or equivalent).
b. Requests for occupational deferment Conform to agency
(DSS Form 42, 42a, or equivalent) and practice.
all supporting and accompanying
papers*
c. Appeals to the Review Committee on Conform to agency
Deferment of Government Employees or practice.
its predecessors for occupational
deferments and all accompanying and
supporting papers.
d. Correspondence between individual Conform to agency
agencies and the Review Committee on practice.
Deferment of Government Employees and
its predecessors.
e. Requests to the Review Committee on Conform to agency
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
individual employees on their practice.
Selective Service status.
21. Individual health record cards. File within year alpha-
betically by name. Set
up new file every year
and bring cards forward
from previous years to
it when individual con-
cerned is treated.
22. Logs or registers of visits to
dispensaries, first aid rooms, and
health units.
a. were information is summarized
on statistical reports.
b. Where information is not summarized
elsewhere.
Dispose 2 years after last
date on log or register.
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 after 6 months.
Dispose after 6 months.
Dispose after 6 months.
Dispose after 6 months.
All cards pertaining to an
individual to be disposed
of 6 years after date of
last entry on the cards
pertaining to him.
Dispose 3 months after last
date on log or register.
Dispose 6 years after date
of last papers in the file.
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5-
Health record cape 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 made a part
of or associated with the Official
Personnel Folder or may be retained
separately.
 GSA Reg. 3
Appendix B
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ITEM RECOMMENDED
NO. DESCRIPTION OF RECORDS METHOD OF FILING AUTHORIZED DISPOSITION
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 (R1 35-39),
is considered to be the official record documenting employment history. The documents filed on the right
side of 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. After carefully considering the various values inherent in these folders,
an Ad Hoc Committee on the Disposition of Personnel Folders, consisting of representatives of the Civil
Service Commission, the General Accounting Office, the Budget Bureau, and the General Services Administra-
tion, reported to the Administrator of General Services on December 31, 1952, that the folders did not
have sufficient value to warrant preservation indefinitely beyond the time they were required for adjudica-
tion of retirement claims.
Executive Order 10561 of September 13, 1954, designated official Personnel Folders as records of the
Civil Service Commission, but comparable folders of employees occupying positions excepted from the
competitive civil service are records of the employing agencies. These records have the same values as do
Official Personnel Folders, and they are therefore included in the coverage of this item.
Any historical value that personnel records as a class may have relates primarily to the individual,
not in his capacity as a Federal employee, but rather because of his position in the hierarchy of the
agency or because of his fame or notoriety as an individual. It would not be reasonable for the Federal
Government to keep the files relating to millions of employees on the gamble that a historian or biographer
might some day find in one of the folders the missing clue to some aspect of the life or career of an
individual who later became famous. On the other hand, the National Archives can identify the folders or
groups of folders, particularly those relating to employees with periods of employment prior to standard-
ization of the folder in 1947, that may contain papers of sufficient historical importance to warrant their
retention. This selection will be made prior to disposal of the remainder of the files.
The importance of personnel folders in retirement proceedings and in determining the pension rights of
former Government employees requires that the files of those covered or potentially subject to coverage by
a retirement system be retained until these pension rights have been finally determined.
Retirement benefits may be obtained after varying periods of service and at various ages, but it is
reasonable to assume that former employees will apply for these benefits before they are 75 years old.
Consequently the retention period for the folders is set at 75 years after the employee's birth, or, if
information as to date of birth is lacking, at 60 years after the date of the earliest document pertaining
to his employment. Similarly, the folder may be disposed of 5 years after the death of the employee on
the grounds that his retirement rights have by then been determined.
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 personnel folders and to be used as
the official record in lieu of lost folders. The cards serve as a central record, 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. Em-
ployment policy is normally reflected in agency files at higher administrative levels. Files covered by
item 4 some 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 pro-appointment negotiations with potential appointees.
Item 6. These forms relate to requests made by the agency to the Civil Service Commission for lists of
e lea from established registers. The certificate itself is of little administrative value once
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GENERAL RECORDS SCHEDULE 1 Appendix B
decisions have been taken with respect to the names certified.
Item 7. Optional Form It 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 on Standard Form 7 (see item 2) by the personnel office itself.
Item 8. Position descriptions, used in classification work and in employment control, are of value as
cont uing 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 9. These are primarily employee relations files and involve entrance and exit interviews, and inter-
vviewsinvolving complaints by or against the employee. Any action taken by reprimand or otherwise is
documented on the right hand side of the personnel folder. Some agencies place these records on the left
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
om anion on termination of their terms of office.
Item 11. These are temporary papers dealing either with the inception of personnel actions documented on
the rig t hand side of the Official Personnel Folder or with administrative matters, and are of adminis-
trative value only for a short time.
Item 12. These visible strips, which are maintained with the service record card files, provide summary
data n each position occupied. They have no record or reference value when the related positions are
canceled.
Item 13. These are case files accumulated under agency beneficial suggestion and management improvement
programs. They have administrative value in evaluating new suggestions and 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.
Item lJ. These are primarily copies of reports submitted to the Civil Service Commission. The copies are
o little value to the agencies after a short period following submittal of the report.
Item 15. 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
provision 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
commission inspection to ensure that applicable rules are being observed. The application files are held
for a sufficient period to serve the inspection needs of the Commission as well as the administrative
needs of the agency personnel office. Papers pertaining to successful applicants are retained for a long
period 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-
so nne 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- o so. Pen n _
ing those resulting from reduction in force proceedings, are documented in the Folder,nwhichtis held ford
a long period (item 1), and the papers here described are essentially working papers which rapidly lose
their value as organisational 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 long period by the provisions of this schedule, and
therefore are of little administrative value after relatively short periods.
Item 19. These are copies of forms relating to personnel actions and other matters involving the employee
submitted to the personnel office by the operating unit initiating the form.
-7-
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Appendix B GENERAL RECORDS SCHEDULE 1
(8-31-55)
Item 20. These records, created by Federal agencies as a result of operations pursuant to the Selective
ervice 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 Official Personnel Folders or their
equivalents existing prior to 19147.
Items 21 and 23. These are the continuing records of treatment of individual employees; any correspond-
ence, memo, 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 deemed of long term value by both personnel officials
and medical officials are normally filed in the Official Personnel Folder (item 1). 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 believe 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 24. 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 adminis-
trative 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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GENERAL RECORDS SCHEDULE 2
NO. DESCRIPTION OF RECORDS METHOD OF FILING
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.
10. Records of leave data transferred (such
as Standard Form 1150).
U. Notifications of personnel action, ex-
clusive of those in Official Personnel
Folders.
b. Chronological file copies, includ-
ing face sheets.
12. Copies of budget authorizations to
operating units that control personnel
ceilings and personnel actions.
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.
Alphabetically by name;
start a new file every
year.
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
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.
By pay period with other
pay records.
In accordance with Civil
Service Handbook 5-812,
Basic Personnel Records
and Files System for
Federal Agencies, Oct.
1950, Part I B 4.
Alphabetically; start a
new file every year.
Chronologically by pay
period.
GSA Reg. 3
Appendiic B
(1O-4-%)
AUTHORIZED DISPOSITION
Dispose 1 year after file
is closed or 1 year after
date of application if
filing arrangement differs
from that suggested herein.
Dispose after 10 years.
(Close file at end of year
and transfer to Federal
Records Center, St. Louis,
Missouri, 3 years there-
after; dispose 7 years
after transfer to Center.)
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.
Dispose 2 years after audit
of related pay records by
the General Accounting
Office.
Dispose when Federal
Records Center receives
second subsequent payroll
or check list covering same
payroll unit.
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 ApGSA pendix B
(8-31-55)
ITEM
NO.
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GENERAL RECCMDS SCHEDULE 2
DESCRIPTION OF RECORtDS
b. All other copies.
(1) Where earning record card is
maintained.
(2) Where earning record card is
not maintained.
RECCkO LADED
METHOD OF FILING
By pay period with
other pay records.
By pay period with
other pay records.
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.)
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. Copy used in General Accounting
office audit.
b. Copy used by disbursing officer in
preparing checks.
16. Memorandum copies of fiscal schedules
involved in payroll processing.
a. Copy used in General Accounting
Office audit.
17. Administrative reports and data relating
to payrolling operations and pay adminis-
tration.
a. Reports and data used for workload
and personnel management purposes.
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).
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.
yaribs with agency
practice.
Conform to agency
practice.
Conform to agency
practice.
Alphabetically by
name.
By return and chrono-
logically thereunder.
Conform to agency
practice.
Dispose 2 years after audit
by the General Accounting
Office.
Dispose 2 years after audit
of related pay records by
the General Accounting
Office.
Dispose after preparation
of check.
Dispose 1 month after end
of pay period.
Dispose 2 years after audit
of related pay records by
the General Accounting
Office.
Dispose 1 month after and
of pay period.
Dispose after 2 years.
Dispose after 4 years.
Dispose 4 years after card
is superseded or obsolete.
Item 1. These are the official centralized pay records maintained by agencies keeping such records under
General Regulations go. 102 of the Comptroller General or an adaptation thereof. SuEnaries of service
are also normally included. In agencies under payroll site audit, this centralized record is the only
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GENERAL RECORDS SCHEDULE 3
Procurement and Supply Records
GSA Reg. 3
Appendix B
(8-31-55)
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.
This schedule does not apply to records held by the General Accounting Office or to those of the
General Services Administration reflecting Government-wide procurement responsibilities. It applies, how-
ever, to records of other agencies to which the Administrator of General Services has made delegations of
authority, under Section 302 of the Federal Property and Administrative Services Act of 1949 (41 U.S.C.
252). 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 (44 U.S.C. 374).
Since 1949 Federal agencies have operated their procurement and supply systems under regulations
issued by 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 certain
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 presceibed.
General Services Adminisration General Regulation No. 4, 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, however. 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 42,000 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
from Federal Supply Service schedule contracts, purchase orders are used for transactions under $2,000 in
value, and the more formal contract instruments are used for transactions involving larger sums of money.
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Appendix B GENERAL RECORDS SCHEDULE 3
(8-31-55)
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.
ITEM RECOMMENDED
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.)
RECORDS OF TEMPORARY VALUE:
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.
4. 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.
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GENERAL RECORDS SCHEDULE 3
ITEM
NO. DESCRIPTION OF RECORDS
(a) Transactions negotiated
pursuant to delegations of
authority from the Adminis-
trator of General Services
permitting agencies to pro-
cure supplies and services
by negotiation rather than
advertising, except whent
i. In the opinion of the
contracting agency, the
public exigency will not
permit the delay incident
to advertising.
ii. The transaction is for
personal or professional
services.
RECOMMENDED
METHOD OF FILING
By contract symbol
and number there-
under; by purchase
order number.
iii. The transaction is for
any service to be
rendered by any university,
college, or other education-
al institution.
iv. The property or services
are to be procured and used
outside the limits of the
United States and its
possessions.
(b) All other transactions. By contract or lease
symbol and number
thereunder; by purchase
order number.
(2) Transactions of more than By contract or lease
$1,000 and less than $25,000. symbol and number
thereunder; by purchase
order number.
(3) Transactions of $25,000 or more. By contract or lease
symbol and number
thereunder; by purchase
order number.
be Obligation copy.
c. Other copies of papers described in
Lta.
(1) Papers duplicated in item li,a.
(2) Papers not duplicated in item
4a-
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
By appropriate number
in suspense file for
posting.
GSA RRg? 3
Appendix B
(8-31-55)
AUTHORIZED DISPOSITION
Dispose 6 years after
final payment.
Dispose 4 years after
final payment.
Dispose 7 years after final
payment. (Place in inac-
tive file on final payment;
transfer to Federal Records
Center 3 years thereafter.)
Dispose 11 years after final
payment. (Place in inac-
tive file on final payment;
transfer to Federal Records
Center 3 years thereafter.)
Dispose when funds are
obligated.
Dispose 1 year after com-
pletion of transaction.
Dispose in accordance with
provision for item lsa.
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 GSA Reg. 3
Appendix B
(8-31-55)
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ITEM
NO. DESCRIPTION OF RECORDS
GENERAL RECORDS SCHEDULE 3
RECOMMENDED
METHOD OF FILING
Defense reports reflecting procurement
under exemptions authorized by Section
201(a) of the Federal Property and
Administrative Services Act of 1949
(4o U.S.C. 481).
a. Copies received from other units for
internal purposes or for transmission.
b. Copies in other reporting units, and
related work papers.
a. Successful bids.
b. Unsuccessful bids.
c. Lists or cards of acceptable bidders.
7. Records relating to requisitions on the
Public Printer, and all supporting papers.
a. Printing procurement unit copy of
requisition, invoice, specifications
and related papers.
b. Accounting copy of requisition,
Government Printing Office invoice,
transfer of funds voucher, and
receiving report.
8. Requisitions for non-personal services,
such as duplicating, laundry, bindings
and other services (excluding records
associated with accountable officers'
accounts (Schedule 6)).
9. Requisitions for supplies and equipment
from current inventory.
10. Inventory files.
a. Inventory lists.
By report and chronolog-
ically thereunder.
By report and chronolog-
ically thereunder.
One copy of each bid
with procurement file
(item 4).
One copy of each bid
with procurement file
(item 4).
Alphabetically by stock
item or by name of bidder.
By requisition number.
Attach to related
vouchers.
AUTHORIZED DISPOSITION
Dispose 2 years after date
of report.
Dispose 1 year after date
of report.
Dispose in accordance with
provision for item it.
Dispose in accordance with
provision for item it.
Dispose when new list or
card is made.
Dispose it years after com-
pletion or cancellation of
requisition.
Dispose it years after period
covered by related account.
By requisition number. Dispose after 1 year.
Numerically by requi- Dispose 2 years after com-
sition number. pletion or cancellation of
requisition.
Numerically by requi- Dispose after 6 months.
sition number.
Numerically by stock Dispose 2 years from date
number or alphabetical- of list.
ly by item, as appropri-
ate.
Numerically by stock Dispose 2 years after dis-
number or alphabetical- continuance of item or 2
ly by item, as appropri- years after stock balance
ate. is transferred to new card
or recorded under a new
classification, or 2 years
after equipment is removed
from a en control.
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GENERAL RECORDS SCHEDULE 3
GSA Reg. 3
Appendix B
(8-31-55)
ITEM RECOMMENDED
NO. DESCRIPTION OF RECORDS METHOD OF FILING AUTHORIZED DISPOSITION
c. Report of survey files and other Conform to agency Dispose 2 years after date
papers used as evidence for adjust- practice. of survey action or date of
ment of inventory records, not other- posting medium.
wise covered in the General Records
Schedules.
11. Telephone statements and toll slips. Attached to related Dispose 4 years after period
vouchers. covered by related account.
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.
By report and chronolog-
ically thereunder.
13. Contractors# payrolls (construction By contract; thereunder
contracts) submitted in accordance with chronologically.
Labor Department regulations, with re-
lated certifications, anti-kickback af-
fidavits, and other related papers.
14. Tax exemption certificates, and Conform to agency
related papers. practice.
Dispose 3 years after date
of completion of contract
unless contract performance
is subject of enforcement
action on such date.
Dispose 4 years after 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 (c) 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 hold 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 425,000 or more. The longest applicable statute of limitations on
claims brought before the Comptroller General is 10 years (54 State 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
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Appendix B
(8-31-55) GENERAL RECORDS SCHEDULE 3
$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.
Procurement practices of Federal agencies are governed to a certain extent by Title III of the
Federal Property and Administrative Services Act of 1949, as amended (41 U.S.C. 251-260), hereinafter
referred to as the Act. As a matter of policy for the Federal Government as a whole, purchases and
contracts for supplies and services are largely to be made by advertising. According to the Act agencies
may procure by negotiation instead of advertising pursuant to delegations of authority by the Administra-
tor of General Services. Item 4a(l)(a) pertains only to procurement transactions in which the agency
procures by negotiation, rather than advertising, pursuant to a delegation of authority by the Administra-
tor. Other laws, notably 41 U.S.C. 5, permit agencies to negotiate contracts under certain circumstances
and in such cases the resulting files are covered by 4a(l)(b), 4a(2), and 4a(3).
Delegated authority to negotiate, normally requested by the agency, is usually keyed to a specific
subsection of Section 302(c) of the Act. Section 302(c) lists 14 types of circumstances which permit
negotiation without advertising. Section 307(c) of the Act requires that the.written findings upon which
agency decisions to negotiate pursuant to delegated authority are based, as well as the decisions them-
selves, be kept for a six-year period in the case of 4 of the 14 types of circumstances listed in Section
302(c). Section 307(d) requires the negotiation data be kept for six years following final payment in
the case of 9 of the 14 types of circumstances permitting negotiation. To simplify agency retention and
disposition, item 4a(l)(a) provides that the files on any transaction, including the agency determinations
and decisions to negotiate, which are affected in whole or in part by Sections 302(c) (except 302(c)(2),
(3), (4), (5), or (6)) or 307(d) of the Act, be retained six years after final payment.
The six-year requirement of 4a(l)(a) affects all procurement files of the type described in this
item. However since files of transactions of over $1,000 are retained in excess of six years under items
4a(2) and 4a(35, the requirement of the Act is expressly included only in the item covering transactions
of $1,000 or less. All files documenting such transactions not affected by the six-year period are
disposable four years after final payment in accordance with the appraisal factors discussed above.
Although most agencies are permitted to negotiate purchases without any delegation of authority (i.e.,
under 41 U.S.G. 5) when the amount involved does not exceed $500, and under certain other circumstances,
it should be noted that the retention provision of 4a(l)(a) is applicable to all transactions of $1,000 or
less negotiated under a delegation of authority under Section 302(c) of the Act.
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 procedures and policies is checked by the General Accounting Office so that irregularities of
significance are documented in that agency.
c. A eno administrative value: Normally procurement files are of little reference interest to the
agency after final payment s been made. Such needs, however, are adequately provided for by the reten-
tion period.
Item 5. These are workload and activity reports, with related subsidiary reports, made 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.
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 10. Inventory records, maintained to provide replenishment, stock control, and property maintenance
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GENERAL RECORDS SCHEDULE-3 Appendix B
(8-31-55)
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
T9 Tephone 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
eice) 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 threw-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 114. 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 retained as long as the agency accounts which they support.
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GENERAL RECORDS SCHEDULE 14
Property Disposal Records
GSA Reg. 3
'Appendix B
(6-31-55)
These records pertain to the sales by agencies of real and personal property surplus to the needs
of the Government. The act creating the General Services Administration transferred the staff functions
of the former War Assets Administration relating to property disposition to the new agency. This
schedule is not applicable to transaction or policy files created by the General Services Administration
and predecessor agencies, to records in the Interior Department relating to the public domain, and to
records relating to overseas property under State Department control. Surplus property transaction files
dated prior to the establishment of the former Procurement Division in 1933'are also not covered. Such
files are not necessarily of continuing value but they must be evaluated separately from later similar
records because prior to assignment of program responsibility to the Procurement Division the files are
incomplete and of varying nature.
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
without written approval of the Comptroller General, as required by Section 9 of the Records Disposal
Act of July 7, 1943, as amended (111 U.S.C. 3714).
In discharging its responsibilities, the General Services Administration has issued Title 1, Personal
Property Management, Regulations of the General Services Administration, which sets up procedures for
screening, redistribution, and sale of personal property in the Federal Government. Three forms are pre-
scribed for use by any agency selling surplus personal property under the regulations.
a. Standard Form 1111 (Sale of Government Property, Invitation, Bid, and Acceptance). Related
papers that are maintained by the agencies, usually in case fashion, consist of correspondence, bids and
other notices of sale, invoices, and sales slips.
b. Standard Forms 120 (Report of Excess Personal Property) and 121 (Quarterly Report of
Utilization and Disposal of Excess and Surplus Personal Property). Form 120 reports personal property
which is excess to the agency reporting to the regional General Services Administration offices, which
initiate screening action. The quarterly reports are submitted to the Personal Property Utilization
Division of the Federal Supply Service, General Services Administration, which consolidates the data.
Procedures relating to real property are governed by Title 2, Real Property Management, Regulations
of the General Services Administration.
ITEM RECOMMENDED
NO. DESCRIPTION OF RECORDS METHOD OF FILING AUTHORIZED DISPOSITION
RECORDS OF CONTINUING VALUE:
1. Case files on sales of surplus personal Transaction files in Disposal not authorized by
property (as described in item 6 below) alphabetical order by this schedule.
involving transactions of $25,000 or name of purchaser.
more, and documenting the initiation
and development of transactions that
deviate from established precedents with
respect to general agency disposal or to
major disposal programs.
2. Case files on disposal of surplus real Alphabetically by
and related personal property. location or by control
number, as appropriate.
3. Reports of excess real property. Conform to agency
practice.
RECORDS OF TEMPORARY VALUES
11. Correspondence files maintained by Conform to agency
operating units responsible for property practice.
disposal, pertaining to their operation
and administration, not otherwise
provided for.
Disposal not authorized by
this schedule. (Transfer to
Federal Records Center 3
years after close of file.)
Disposal not authorized by
this schedule.
5. Reports of excess personal property. Chronologically by Dispose after 3 years.
reporting unit.
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Appppendix B
(8-27-53) GENERAL RECOFOS SCHEDULE 4
ITEM
NO. DESCFQ PTION OF RECORDS
6. Case files on sales of surplus personal
property, comprising invitations, bids,
acceptances, lists of materials, evidence
of sales, and related correspondence
(other than those covered in items 1 and
2).
RECOMMENDED
METHOD CF FILING
AUTHORIZED DISPOSITION
b. Transactions of more than $1,000
and less than $25,000.
Transaction files in
alphabetical order by
name of purchaser.
Transaction files in
alphabetical order by
name of purchaser.
Transaction files in
alphabetical order by
name of purchaser.
7. Records necessary or convenient for the Conform to agency
use of real property sold, donated, or practice.
traded to non-Federal ownership since
August 21, 1935, including, if pertinent
as determined by the releasing agency,
site maps and surveys, plot plans,
architect's sketches, working diagrams,
preliminary drawings, blueprints, master
tracings, utility outlet plans, equipment
location plans, specifications, construc-
tion progress photographs, inspection
reports, building and equipment management
and maintenance records, allowance lists
as well as duplicate copies of title papers,
providedi (ap) that the records can be
segregated without harm to other documents
of enduring value, (b) that no responsi-
bility attaches to the Government because
of disagreement between the transferred
documents and the physical condition of
the property at the time of conveyance,
and (c) that if the property is released
for historical use or purpose the user
agree to retain them and return them to
the Federal Government immediately upon
the discontinuance of its use for
historical purposes.
Dispose L years after final
payment.
Dispose 7 years after final
payment. (Place in inactive
file on final payment and
transfer to Federal Records
Center 3 years thereafter.)
Dispose U years after final
payment. (Place in inactive
file on final payment and
transfer to Federal Records
Center 3 years thereafter.)
Transfer to new custodian
upon completion of sale,
trade, or donation proceed-
ings, or acceptance of
purchase money mortgage.
Item 1. These files, normally selected by the agency for permanent retention, are retained because they
document transactions involving new departures in the administration of surplus personal property disposal
and as such may be of continuing value. Those not warranting continued preservation must be appraised on
their own merits.
Item Its. Almost all contracts for the sale by the Government of surplus real property include recapture
c ausea, reservations on fissionable materials, reservations on water rights, and other restrictions.
These reservations are not limited in time and therefore the sales files must be kept indefinitely. Older
sales files and current ones not including such reservations may be disposable but since they represent
sales taking place under unstandardised policies and procedures they must be appraised on their own write.
The related personal property described in this item is property sold with the real estate or with similar
reservations.
1ttem_3. Reports of excess real property contain justifications for declaring the property excess and
contain data on the methods by which the property was acquired. Continuing legal needs for this
information preclude scheduling their disposal on a Government-wide basis.
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GSA Reg. 3
Appendix B
GENERAL RECORDS SCHEDULE'6 (8-31-55)
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 la 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 ourrent and immediately
preceding payment listings will be continously available. The disposal provision for item la does not
apply to original listings, which are maintained for a minimum of twelve years in the case of akeletonized
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 5. These records, relating to the availability, deposit and status of funds, comprise certificates
of deposit and related papers, or their equivalents, covering collected funds into the Treasury, tran-
scripts, tabulations, and reports prepared primarily by the Treasury Department informing administrative
agencies of the status of their funds subject to disbursement from certified vouchers, and used to recon-
cile with agency accounting records; copies of appropriation warrants officially making funds available
to agencies by Congress; and other records documenting the acquisition, maintenance, and availability of
agency funds. Conversely, this item does not cover source records supporting the aggregates of funds or
collections reported on certificates of deposit or summaries of disbursements. Therefore, records such
as income tax returns, social security reports, Federal employee retirement accounts, and the like are
not included. Those records serve separate and distinct special program purposes and do not relate to
agency funds accounting activities. Records covered by this item 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 and the Bureau of Accounts,
Treasury Department. The originals of the 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
peed 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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GSA Reg. 3
Appendix B
GENERAL RECORDS SCHEDULE 9 (8-31-55)
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. Agency memorandum copies are disposable after 4 years. Transportation requests which
are spoiled in preparation, canceled, or voided for any reason, or which are unused, as well as empty
request book covers (retained under the obsolete General Regulations No. 108 of the Comptroller General),
are not record material. They are disposable as soon as the regulations(now issued by agencies pursuant
to General Regulations No. 123 of the Comptroller General), requiring the maintenance of accountability
records, are complied with. Prior to July 1, 1955, comparable accountability records were required by
General Regulations No. 108. The accountability records themselves are disposable under this item 4 years
after all the entries on the records 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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