6209.11,20 Page 1 of 22 FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK WO AMENDMENT 6209.11-96-1 EFFECTIVE 7/19/96 CHAPTER 20 - RECORDS MAINTENANCE 20.3 - Policy. 1. Use the Forest Service filing system as the basis for management and control of storage, retrieval, and disposal of agency records. Follow legal authorities in the filing system for retention and disposal of record material for each level of the organization. 2. Manage the filing system to ensure all official records are stored and retrieved efficiently and in a timely way in compliance with the procedures in this handbook. 3. Carefully follow instructions for filing to ensure adequate standardization of filing practices at each organizational level in the Forest Service. Use only the file designations in the file plan (sec. 41) for correspondence and filing. Field units cannot publish different file designations (or retention periods) in their supplements to the directive system. Changes are coordinated through the Washington Office (WO), Information Systems Staff. 20.4 - Responsibility. Office managers (including staff secretaries, file clerks, or employees designated as records coordinators) are responsible for the systematic and orderly maintenance of the official files; use of primary, secondary, and tertiary file codes on correspondence; and the creation and use of primary, secondary, and tertiary file folders according to established Forest Service procedures. Authors of correspondence should be thoroughly familiar with the filing system to determine the correct file code. 20.5 - Definitions. Active Records. Records necessary for conducting current business, which must be maintained in the office. Case Files. Folder containing material related toa specific action, transaction, event, person, place, project, or other subject. Examples of typical Forest Service case files include title files, contracts, timber sales, and employment actions. Also called project files. Central Files. Files of several offices or organizational units physically and/or functionally centralized or supervised in one location. Document. Recorded information, regardless of medium or characteristics. File Code. Numbers used in the file designation (for example, 6230). File Designation. Classification consisting of a number (code) and subject name (title) used to classify record material (for example, 6230 Records Maintenance and Disposition). Inactive Records. Records no longer required to conduct current business, which can be placed in an archives or records center or destroyed. Nonrecord Material. Material outside the definition for records, which is kept only for convenience or reference. Official Files. Accumulation of official records documenting an action or providing valuable information. Official files include the originals of incoming correspondence and the signed or initialed copies of outgoing and interoffice correspondence; the original and action copies of reports; completed forms; maps; photographs; and other documents. Personal Papers a. Papers accumulated by an official before assuming office. b. Materials pertaining solely to an individual's private affairs, such as outside business pursuits or private political associations. c. Diaries, journals, or other personal notes which are not prepared for transacting Government business. Record Copy. Official copy or record (normally white or yellow copy), complete with enclosures or related papers. Also known as the file copy. Record Material. Official Agency materials and documents made or received by the Forest Service in conducting public business, including books, papers, maps, photographs, machine- readable material, computerized data, and other documentary material regardless of medium. Subject Files. Files arranged by subject and containing mostly general correspondence, completed forms, reports, and other documents related to a particular program activity. Also called correspondence files or general files. 21 - FOREST SERVICE FILING SYSTEM. System using numbers and headings for file designations that correspond to title, chapter numbers, and headings in the FSM (FSH 1109.11, Directive System User Guide). Because the file designations closely relate to the chapter numbers and headings in the manual, the file plan is called a "manual-coordinated file system." For example, 1760 Equal Employment Opportunity is the manual title containing instructions on that subject, and also the primary designation in the filing system under which such information is written and filed (ex. 01). 21 - Exhibit 01 Relation Between Forest Service Manual and Filing System SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 21 - EXHIBIT 01. 22 - FILE PLAN. Organize all Forest Service subject matter according to the file plan in section 41. The file plan demonstrates how to arrange files in each office and how long to keep records. 22.1 - File Levels. Three file levels, primary, secondary, and tertiary, allow filing subject matter from general to specific levels. Exhibit 01 illustrates these levels. 22.1 - Exhibit 01 Levels and Elements of the File Plan (File Plan is in sec. 41) SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 22.1 - EXHIBIT 01. 22.11 - Primary. The first level of filing is a four-digit code and a title corresponding closely with the manual (such as 1620 Public Involvement Programs). Usually, file general correspondence and records broad in nature at this level (sec. 22.1, ex. 01). 22.12 - Secondary. The second level of filing (a subdivision of the primary level) has a four-digit code followed by a hyphenated number and a subject name corresponding closely with the manual title (such as 1620-1 Woodsy Owl Environmental Program). Case files and correspondence may be filed at this level (sec. 22.1, ex. 01). 22.13 - Tertiary. The third level of filing (a subdivision of the secondary level) has a four-digit code followed by two hyphenated numbers and the title (such as 1620-1-1 Licenses and Contracts). Records filed at this level may include case files, studies, reports, and other program-specific subject matter (sec. 22.1, ex. 01). 22.2 - Elements of File Plan. The file plan is in section 41. Section 22.1, exhibit 01 also illustrates the three elements of a file plan, as described below: 1. File Designation. Consists of a numerical code and subject title identifying the manual area from which the record was created. File designations provide for filing records at the primary, secondary, or tertiary level. 2. Description. Information in parentheses describes the kind of documents to file under the designation (code and title) and gives additional filing instructions. The term "includes" indicates major types of documents for the file designation but does not exclude other related documents. 3. Retention Columns. Specifies the total number of years records are to be kept at different Forest Service organizational levels, by Federal Records Centers, or the National Archives and Records Administration (NARA). Abbreviations for Agency organizational levels are: a. WO. Washington Office. b. RO&A. Regional Offices and Area. c. ES. Experiment Stations, including Forest Products Laboratory. d. SO. Forest Supervisor's Office. e. Other. Ranger District, Research Work Unit, Experimental Forest, Nursery, Warehouse, Shop, and similar units. 4. "See Note." Directs reader to the "NOTE" under the description of the file designation, giving additional instructions not addressed in the retention columns. 22.3 - Using File Plan. 1. File designations (title and code) shall be used to classify and file records Service-wide. No offices or organizational levels have exclusive use of any file designation. Follow the file plan in filing both general and program records. 2. To ensure standardization for program records, the WO and field units shall arrange program records according to the file plan for that program area. The primary, secondary, and tertiary file designations will be needed in most instances by the office having primary responsibility. 3. The retention periods apply to the office originating the record material as well as the offices at each organizational level that have responsibility in that program area. 23 - Using File Codes in Correspondence. Classify correspondence by subject matter. The author or a designated employee shall include the correct primary, secondary, or tertiary file code on the "File Code" line when writing official correspondence. Use a code on the "Route To" line for routing correspondence to the appropriate unit when the file code on the "File Code" line is not sufficient to ensure the proper routing. See FSH 6209.14, section 24.2, exhibit 01 for the Washington Office staff routing guides. On the subject line, concisely identify the specific subject. In assigning file designations: 1. Read the material to ensure the author has assigned a correct code. 2. Select the correct file code by referring to the file plan and subject index in chapter 40, and enter the code on the final letter. For example, a letter about a personnel meeting in Region 4 has the code 1360 (for the subject meeting) and is routed to the specific staff (Personnel) as follows: File Code: 1360 Route To: 6100 Subject: Personnel Meeting in R-4 23.1 - Outside Correspondence. Before filing correspondence received from outside the Forest Service, assign the appropriate primary, secondary, or tertiary file code in pen or pencil in the upper right-hand corner. 23.2 - Multiple File Codes. Use multiple file codes only when more than one primary subject is discussed in a letter and the letter requires action in all areas, such as "accounting activities" in "timber management" and "engineering." Separate multiple codes with a slash (/) as follows: 6500/2400/7000. File the record copy under the first code and indicate with a check mark next to the file code. File a cross-reference copy under the other codes and indicate with a check mark next to that code. Use a cross-reference form (OF-21; sec. 24.4, ex. 01) when an extra copy is not available. File one copy of correspondence sent electronically under the first file code. 23.3 - Codes for Routing Correspondence. Use the routing codes in FSH 6209.12, section 13.2, exhibit 01. Do not file documents according to the routing codes. 24 - FILING PRACTICES. The purpose of the Forest Service filing system is efficient storage and retrieval of information. Offices benefit most when they standardize filing practices. To provide uniformity throughout the Forest Service, comply with the standards in the following sections. 24.1 - Arrangement of File Drawers. 1. Arrange file drawers in sequential order from top to bottom, starting with the lowest file designation. 2. Label each drawer with the beginning and ending file designations (codes and titles) and fiscal years (ex. 01). 3. Arrange files by fiscal year in separate folders within the drawer. File the most current year in front if folders for more than one fiscal year are in the same drawer. 4. Arrange files in the exact sequence as the primary, secondary, and tertiary file designations appear in the file plan. General office files may be filed in one location and the program files in another location, as long as they are in sequence within the file drawers (ex. 02). 5. Within folders, file correspondence with the most recent records in the front. 24.1 - Exhibit 01 Arrangement of File Drawers SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 24.1 - EXHIBIT 01. 24.1 - Exhibit 02 Organization of Files Within Drawer SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 24.1 - EXHIBIT 01. 24.2 - Types of Files. 24.21 - General Correspondence or Subject Files. Establish files for correspondence and documents on a general subject at the beginning of each fiscal year. Set up additional folders behind a primary, secondary, or tertiary file designation when additional subject breakdowns are needed. 24.22 - Creating Secondary and Tertiary Folders. Do not use primary file folders for filing all records on the same topic. Use secondary and tertiary files to segregate program records when they have long retention periods or have been approved for permanent retention by NARA. File secondary and tertiary material in the primary file folder only if the volume of material is low and the retention periods are the same. 24.23 - Case Files. Many case files are at the secondary and tertiary levels. Do not establish active case files each year, but bring them forward with the current year's files. The disposition period begins after the case file is closed. 1. Create case files behind correspondence or subject files if there are enough records on a particular aspect of a general subject. The disposition period is the same as the general subject file and begins after the case file is closed. 2. Material in a case folder in the originating office need not be considered case file material in the receiving office. 3. The file plan often provides specific instructions for case files, such as contracts. Otherwise, arrange case files alphabetically, numerically, or by project, name, Region, Station, and so forth. 4. Set up a second folder if material becomes too bulky (3/4 to 1 inch thick) for one folder. Label the folders to indicate inclusive dates of the material and file the most recent folder in front (for example, file a folder for May 1, 1986, to September 30, 1986, in front of one for October 1, 1985, to April 30, 1986). 5. Do not remove individual items from case files. Fasten material securely inside the folder. Use the entire folder for filing and charging out individual cases as discussed in section 24.4. 6. Properly label case folders when they are activated and closed (sec. 24.51). 7. Mark "closed" and the fiscal year of closure on closed case folders. Separate closed cases from active cases in the files. Preprinted labels, "KEEP CURRENT UNTIL FILE IS CLOSED," may be obtained from the Washington Office Information Systems Staff. 24.24 - Inquiry Files. File used for standard replies, such as acknowledgments, general information, answers to routine congressional request, form letters, and other correspondence not requiring research or staff work. Destroy these documents after 3 months. Do not use inquiry files for legal, historical, or administrative records or for records having continuing value. Most program file plans have at least one inquiry file. 24.25 - Reader Files. Nonrecord material, commonly known as the "pink," used to circulate copies of outgoing communications to advise staff members of important developments and decisions. Destroy these files after 12months or when no longer needed for administrative use. Do not file with official record material. 24.26 - Reference Files. Used for nonrecord material, such as periodicals, pamphlets, and other published information, Code of Federal Regulations (CFR), legal reference records, comptroller's decisions, and briefing papers. Do not file reference material in the official files. Destroy when superseded or no longer needed for administrative use. 24.3 - Maintaining Official Files. File record material that originates in the office. Avoid filing information copies except those that (1) contribute to carrying out program activities or office operations (sec. 25.21) or (2) require a response. Additionally, use the following techniques: 1. File material on a regular basis. 2. Attach the incoming letter and enclosures together. 3. Remove paper clips, pins, and rubberbands. 4. Remove the incoming envelopes. 5. If not indicated, write the file code in the upper right- hand corner. 6. Avoid filing nonrecord and record material in the same folder. 24.4 - Folders, Guides, and Other Filing Aids. 1. Folders. Kraft folders (11-point weight, straight cut, with or without reinforced tops) meet most filing requirements. When a folder becomes 3/4 to 1 inch thick, prepare a new one, file in front of the old one, and indicate the dates covered on the folder. 2. Guides. Use file guides as a quick visual reference to different categories of files. Use 15 or fewer guides per drawer (pressboard guides, with metal tabs for insertable labels may be used). 3. Optional Form 21, Cross Reference. Use Form OF-21 to cross-reference records when more than one subject is covered, such as dual-coded letters (ex. 01). 4. Optional Form 22, Continuity Reference. Prepare Form OF- 22 to reduce later search time when bringing forward correspondence or documents to consolidate with more recent material (ex. 02). 5. Chargeout Cards. Use Form AD-235, Correspondence Charge- Out and Form AD-234, Folder Charge-Out, for charging out correspondence and case folder materials (ex. 03 and 04). 24.4 - Exhibit 01 Optional Form 21, Cross Reference SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 24.4 - EXHIBIT 01. 24.4 - Exhibit 02 Optional Form 22, Continuity Reference SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 24.4 - EXHIBIT 02. 24.4 - Exhibit 03 AD-235, Correspondence Charge-Out SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 24.4 - EXHIBIT 03. 24.4 - Exhibit 04 AD-234, Folder Charge-Out SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 24.4 - EXHIBIT 04. 24.5 - Labels. Each fiscal year the WO and field units shall access the Fort Collins Computer Center (FCCC) to print labels and distribute them to their respective offices. By August 15 the WO, IS&T staff shall make the labels program available at the FCCC for field units to access. Field units shall print and distribute to their respective units by September 15. The WO, Information Systems and Technology Staff is responsible for maintaining the date file for labels at the FCCC. 1. Units may obtain standard labels through vendors on the General Service Administration (GSA) schedule. Request flat pack, pressure- sensitive EDP, pin-feed labels, .92 X 3.2 inches, four-wide, mounted on a strong continuous carrier, and capable of operating on a high-speed printer. 2. Use plain labels on folders when preprinted labels are not suitable. 24.51 - Preparing Labels for Folders. To provide uniformity, prepare file folders according to the following standards (ex. 01). 1. Type labels in capital letters. 2. Avoid abbreviations of titles when possible. 3. Place the primary file designation (code and title) on the first line, and the secondary or tertiary file designations underneath. 4. Place the fiscal year at the top of the label on the extreme right side. 5. Strive for uniformity on the folders. 24.51 - Exhibit 01 Labeling Subject and Case File Folders SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 24.51 - EXHIBIT 01. 25 - SEPARATING NONRECORD FROM RECORD MATERIAL. Do not combine nonrecord material in file folders with record material. See definitions in section 20.5, paragraphs 8 and 11. If filing is necessary, place the material in separate, temporary, or transitory folders separate from official files, and, in general, dispose of them on a regular basis. 25.1 - Examples of Nonrecord Material. Some examples of nonrecord material are: 1. Information copies of correspondence and other papers not requiring administrative action. 2. Reading file copies of correspondence (normally, pink copies). 3. Tickler copies of correspondence. 4. Duplicates of documents or printed materials maintained in the official file. 5. Superseded manuals and directives outside the office responsible for retention. 6. Documents of Agency activities, such as employee welfare organizations and charitable fund drives. 7. Routing slips and transmittal sheets. 8. Working papers not needed to document project activity. 9. Drafts of reports and correspondence. 10. Blank forms. 11. Transcribed stenographic materials. 12. Materials received from an originating office or activity already required to maintain record copies. 13. Catalogs, trade journals, and other publications or papers from Government agencies, commercial firms, or private institutions not requiring action and not part of a case for which action is taken. 14. Library and museum material, extra copies of documents, and stocks of publications made or acquired for reference or exhibition purposes. 15. Correspondence and other records of short-term value. 16. Reproduction materials, such as stencils, hectograph masters, and offset plates. 17. Electronic messages of short-term interest with no documentary or evidential value which do not require administrative action. This includes messages concerning agency activities, informal messages from one employee to another, default messages, and so forth. 25.2 - Nonrecord Material Which May Acquire Record Status. Materials normally considered nonrecord (sec. 25.1) may acquire record status because they clarify a matter being documented. This includes electronic messages that have documentary or evidential value or require administrative action. Retention periods apply to electronic messages if placed in the official files (electronic or paper). Nonrecord material that acquires record status may be subject to the Freedom of Information Act or Privacy Act (FSM 6270 and FSH 6209.13) if placed in the official files (electronic or paper). 25.21 - Information Copies Which May Have Record Status. Copies circulated to other offices or Agency levels for information purposes may acquire record status when they contribute significantly to a staff in carrying out program activities or office operations. File such information copies in the official files and apply the retention period. 25.3 - Personal Papers. Individuals who keep private, non- official papers at the office shall clearly designate them nonofficial and file them separately from official records. In cases where portions of private personal correspondence pertain to official business, extract those parts and put them in the official files. For further instructions on the disposition of personal papers and official records, see GSA Bulletin FPMR B- 106, dated 10/30/80. 25.31 - Disposal. Personal papers may be disposed of without special authority after they have served their purpose. Officials should maintain only the minimum level of personal papers. 26 - PROCEDURE FOR REQUESTING NEW OR EXCESS FILING CABINETS. Every effort should be made to effect maximum use of filing cabinets and to limit the purchase of new equipment. For example: 1. Dispose of all records that have been authorized for disposition by the preparation and obtaining of authorized disposal schedules by the National Archives and Records Administration. 2. Transfer to Federal Records Centers inactive records not needed in daily business but not yet ready for disposal, when filing equipment can be released by such action. 3. Shift less active files, not transferable to records centers, to cabinets. 4. Use 5-drawer filing cabinets whenever available in lieu of 4-drawer cabinets. Follow procedures in FSH 6309.32, Federal Acquisition Regulations, subpart 104-26.308 and FSH 6409.31, Federal Property Management Regulations, subpart 101-25.302-2, when acquiring filing cabinets. 26.1 - Restrictions on Purchase of Specialized Filing Equipment. 26.11 - Prior Approval. The unit Records Manager shall approve requirements for specialized filing equipment prior to purchase. 26.12 - Specialized Filing Equipment. Specialized equipment includes: 1. Electric-powered files. 2. Hand-powered mechanized files. 3. Track-operating shelving files. 4. Conserv-A-Files. 5. Fire-resistant and insulated files. 26.13 - Justification for Purchase. In requests for purchase of specialized filing equipment other than safe-type files, include the amount of savings by use of special equipment, compared to the cost of standard equipment, when amortized over a 3-year period. Projected savings from specialized equipment may be based on reduction in manpower, increased workload capability, and increased usable space. Provide details of projected savings in the justification. Fully explain the need for safe-type files and send information copies of those requests to the Washington Office under dual designations 6230/6310.