6209.11,44-45 Page 1 of 14 FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK WO AMENDMENT 6209.11-96-1 EFFECTIVE 7/19/96 44 - RECORDS THAT REQUIRE SPECIAL MAINTENANCE AND DISPOSITION. 44.1 - Records of Daily Activities of High-level Officials. Offer records about the official daily activities of high-level Agency employees to NARA for historical preservation. These employees are the Chief, Associate Chief, Deputy Chiefs, Regional Foresters, Deputy Regional Foresters, Station Directors, Deputy Station Directors, Assistant Station Directors, and the Area Director. Such records include: calendars, appointment books, schedules, logs, diaries, and other records which document meetings, appointments, telephone calls, trips, and other activities which are not recorded in correspondence, reports, or other official records. For calendars only maintained electronically, (in lieu of) a paper hard copy of the daily schedule must be printed monthly and placed in the official files. Cut off records annually and offer to NARA when they are 5 years old. Submit a Form SF-258 (sec. 38.3, ex. 01), Request for Transfer of Records, to the local NARA headquarters. If the offer is not accepted, destroy the records when they are 6 years old. Cite General Record Schedule 23-2a for the records control item or disposal authority. 44.2 - Records of Daily Activities of Other Than High-level Officials. Routine materials containing no substantive information regarding the daily activities of other than high level officials as defined above; records of all Federal employees containing substantive information, the substance of which has been incorporated into official files; and/or personal records of all Federal employees relating to nonofficial activities. Destroy when no longer needed. 44.3 - Research Work Unit Study Data. Retain research work unit study data in the work unit files until the responsible research scientist determines there is no longer a local need for the data. Then dispose of the study data by destroying them, transferring them to other Forest Service research work units, or transferring them according to section 33. 44.4 - Records Created Under Alaska Native Claims Settlement Act of 1971 (Public Law 92-203, 85 Stat. 688). This disposition concerns records created by the Forest Service for contracts, leases, licenses, permits, rights-of-way, easements, or trespasses on lands or resources withdrawn for native selection according to the Alaska Native Claims Settlement Act. These records are essential to complete a statutory requirement in Section 1411 of the Alaska National Interest Lands Conservation Act (Public Law 96-487, 94 Stat. 2497, dated December 2, 1980). Destroy these records when they are 13 years old. Cite job number NCI-95-81-9 for disposal authority. 44.5 - General Accounting Office (GAO) and Related Agency Records. GAO site-audit records are under 6530 and 6540 and consist of the following documents or their equivalent: 1. Statements of transactions. 2. Statements of accountability. 3. Collection schedules. 4. Collection vouchers. 5. Disbursement schedules. 6. Disbursement vouchers. 7. All other schedules and vouchers or documents used as schedules or vouchers. File documents which GAO requires to support vouchers and/or schedules in the site-audit collection. Include automatic data processing or other machine versions of officers' accounts which are produced with GAO approval in lieu of formal voucher or schedule forms, and agency forms used instead of standard voucher or schedule forms. GAO no longer requires copies of contracts for which files closed after March 7, 1975. Auditors needing documents or data concerning contracts may use the contractor's files. 44.51 - Transfer to Federal Records Center (FRC). Transfer audited and unaudited accounts older than one full fiscal year to the FRC. Include only one of each required document in the GAO collection of accountable officer's accounts. Obtain permission through WO, IS&T staff to transfer unaudited accounts less than one year old to: Records Management Officer, OPS U.S. General Accounting Office 441 G Street, N.W. Washington, DC 20408 Prepare Form SF-135, Records Transmittal and Receipt (sec. 34.21, ex. 01,), and if needed, SF-135-A, Continuation (sec. 34.21, ex. 02). Indicate in the disposal authority column that the site-audit records are covered by General Records Schedule GRS 6 1a(2). The records are restricted to employees of the Forest Service and the GAO. 44.52 - Disposition. 1. Site-Audit Records. Disposal is authorized for 6 years and 3 months after the period covered by the account. 2. Related Agency Records. Disposal of copies of memorandum and related documents is authorized when 1 year old. 3. General Accounting Office Copies of Contracts Held by Federal Records Centers (FRC's). Contracts held by FRC's have the same disposal schedule as site-audit records (item 1), except for contracts pertaining to Native Americans which will be retained indefinitely at the records centers, until further notice. 44.53 - Records Which Require GAO Approval for Disposal. To use retention periods different from those in the General Records Schedule for the following types of records, the WO, IS&T staff first obtain approval from GAO before seeking approval from the Archivist of the United States: 1. Payroll and pay administration. 2. Procurement and supply. 3. Property disposal. 4. Budget preparation, presentation, and apportionment. 5. Accountable officer's accounts (agency copies). 6. Expenditure accounting. 7. Stores, plant, and cost accounting. 8. Travel and transportation. 9. Motor vehicle maintenance and operation. 10. Program records to be maintained for less than 3 years. 11. Records relating to claims by or against the Government. 44.6 - Records Affected by Changes in Major Computer Systems. 44.61 - Records Affected by the UNISYS/IBM Conversion. In 1991, The Department of Agriculture replaced the UNISYS with an IBM computer system at the National Computer Center at Fort Collins, Colorado (NCC-FC). This change required the Forest Service to convert files and tapes, primarily those needed for current programs, to the IBM system. Generated hard-copy reports are generally scheduled under the comprehensive job number N1-95-88-2. Cite Job Number 95-91-1 for the disposal authority. 44.61a - Disposition. All Offices shall delete the following files and tapes at the time of conversion from UNISYS to IBM: 1. Tapes that are unreadable due to lack of documentation, lack of software, or physical deterioration. 2. Housekeeping or administrative systems which are not covered by the General Records Schedule and which do not include sets of natural resource data. 3. Local (forest or ranger district level) systems with less than a 3-year span of data collection covering no more than one forest. 44.61b - Records Affected by Conversion That Need Appraisal by the National Archives and Records Administration (NARA). Forest Service units shall not destroy the following records before notifying NARA: 1. Local systems in which natural resource data have been collected for more than three years on an individual forest or from portions of a number of forests in an effort to compare similar data from several locations. 2. Any system or data that Forest Service officials believe has special importance but that will not be converted because the data are not useful for current business. 44.61c - Disposition of Records Submitted for Review by the National Archives and Records Administration (NARA). Submit a list of the tapes/files to NARA. NARA provides notice to the Forest Service within 30 calendar days if further evaluation of the tapes/files is necessary. 1. If the Forest Service receives no notice within 30 days of submitting the list to NARA, files and tapes may be deleted or destroyed. 2. Files which NARA evaluates and determines to be lacking in historical value shall be destroyed when no longer needed. 3. Files determined by NARA to have historical value shall be transferred to NARA with all related documentation. 44.7 - Records Created Under the Consent Decree. This disposition addresses records created by the Forest Service, Pacific Southwest Region (R-5) and Pacific Southwest Forest Range Experiment Station (PSW), according to the Bernardi V. Madigan, Civil Action No. 73-1110 SC (CW). These records are essential to document the historical record of a class action suit involving the under representation of women in the Forest Service. The records include but are not limited to: 1. General correspondence. 2. Implementation Plans and Consent Decree Implementation Fund files. 3. R-5 and PSW FSH 6109.22, Consent Decree Handbook, supplements, amendments, and interim directives, which are separately maintained as a permanent record under 1100-1, Record Copies. The Resolution Agreement and the Accomplishment Schedule are also contained in the Handbook. 4. Quarterly Reports and Summaries. 5. Six Month Monitor's Reports. 6. Regional Consent Decree Committee records. 7. Civil action records, including extension and other legal records, stipulations, hearings, and briefs, which do not include excessive documentation of documents filed with the related District Court case. 8. R-5 Workforce Management Planning Process records and reports. 9. Other records essential to documenting the consent decree activities, including VERSASKILL files, clearinghouse files, consent decree action items, and certificates of candidates. 10. Documentation concerning the Skills Database. 44.71 - Skills Bank Data Base. The Skills Bank Data Base was created pursuant to the Consent Decree for the purpose of assisting the Forest Service in achieving the goal of eliminating under representation of women employees with each General Schedules job series represented within its workforce and at each grade level therein. The data base contains identifying information, skills, work history, abilities, and education of all permanent employees assigned to Region 5 and Pacific Southwest Forest and Range Research Station (PSW). The records are stored on disk, magnetic tape, or other electronic media. The file is updated when an employee wishes to change their individual record. A Privacy Act system of records exists (USDA/FS-50). 44.72 - Disposition. 1. Consent Decree Records. Region 5 and PSW consent decree records are permanent records and shall be transferred to the Federal Records Center (FRC) one year after the decision made by the judge to end the Consent Decree (March 26, 1992). The FRC shall offer records to the National Archives 25 years after the end of the decree. All other Forest Service units should destroy consent decree records according to the retention periods associated with the file code on the document. 2. Skills Data Base Records. Individual records shall be deleted as employees transfer or retire out of Region 5 or PSW. Input documents and printouts should be destroyed when reference value ceases. 44.8 - Records Created Under the Alpha Filing System. 1. Forest Supervisor's Office Records. These records include all files dated on and prior to June 30, 1945 filed under all categories of the Forest Service alpha files plan. 2. Forest Supervisor's Land Files. These records include all land files dated on and after July 1, 1946 filed under the following categories of the Forest Service alpha files plan: L - Land; LU - Land Utilization; and LP - Land Planning. 44.81 - Disposition. Records created under the Forest Service alpha filing system are permanent records and shall be transferred immediately to the National Archives and Records Administration (NARA). NARA may apply the provisions of the General Records Schedule (GRS) during the archival process and may dispose of records considered to be of temporary value. 45 - MICROFILMING RECORDS. 45.05 - Definitions. 1. Archival Microfilm. Silver halide microfilm meeting the requirements of Federal Standard No. 125D, Film Photograph and Film, Photographic, Processed (for permanent records use); American National Standards Institute (ANSI) Standard PH1.25--1976 Safety Photographic Film, Specification for; PH1.28--1976 Photographics Film for Archival Records, Silver Gelatin Type on Cellulose Ester Base, Specifications for; PH1.41--1976 Photographic Film for Archival Records, Silver Gelatin Type on Polyester Base, Specifications for; when tested by ANSI Standard PH4.8--1971, Methylene Blue Method for Measuring Thiosulfate and Silver Densitometric Method for Measuring Residual Chemicals in Films, Plates, and Papers; and stored in accordance with ANSI Standard PH1.43--1976, Storage of Processed Safety Photographics Film, Practices for (36 CFR 1230). 2. Computer Output Microfilm (COM). Microfilm containing data produced by a recorder from computer generated signals. 3. Diazo. A slow print film, sensitized by means of diazonium salts, that forms an image when subsequently exposed to ultraviolet light and developed by ammonia. 4. Master. A copy of a microform from which further copies can be made. 5. Microfilm. Negative or positive microphotograph or film. The term is usually applied to a sheet, a long strip, or a roll of film that is 16 millimeters (mm), 35mm, 70mm, or 105mm in width and on which there is a series of microphotographs. 6. Microfiche. Miniaturized images arranged in rows forming a grid pattern on a card-size transparent sheet of film. 7. Microform. Any miniaturized form containing microimages, such as microcards, microfiche, microfilm, and aperture cards. 8. Original Microfilm. Camera microfilm, whether produced by customary or computer output microfilm (COM) methods and regardless of emulsion or base. 9. Vesicular Microfilm. Duplicating microfilm exposed by ultraviolet light and developed by being passed over a heat roller and by a second exposure to ultraviolet light which stabilizes the film. 45.1 - Standards for Microfilming Records. 45.11 - Standards for Temporary Records. If records are temporary and to be held less than 10 years, use any suitable film, processing system, or storage containers. 45.12 - Standards for Records to be Held Over 10 Years and Permanent Records. Maintain the integrity of original records authorized for disposal by ensuring that the microfilm copies are adequate substitutes for the original records and serve the purposes for which such records were created or maintained. Records must meet the following standards: 1. Preparation. Ensure the microfilm meets the following: a. Copies contain all significant detail on the original records. b. Copies of the records are arranged, identified, and indexed so that any individual document or component of the records can be located with reasonable effort. c. Photographic densities on negative copies are no higher than the intended purpose requires. Densities on negative copies should be between 1.0 and 1.2. On positive copies, keep the background as clear as practicable. d. Resolution is a minimum of 90 lines per millimeter. e. The photographic images at the beginning of each roll of microfilm include information identifying Forest Service, organizational unit, title of the records' microfilm roll number, and if possible, the inclusive dates, names, or other data identifying the first and last records on the roll. Microfilm any indexes, registers, or other finding aids at the beginning of the records. f. Design other microform systems so the file accurately represents the original records. Microfilm any indexes, registers, or other finding aids and locate them in a readily identifiable place within the collection of microfilmed records. Design systems that produce original permanent records on microfilm with no paper original (such as computer output microfilm) so they produce microfilm which meets the standards. g. Follow military specifications and standards for microfilming and photographing engineering drawings and similar related documents whenever applicable. 2. Microfilm Stock. To make photographic or micro-photographic copies of permanent records comply with standards for archival microfilm (sec. 45.05). If any process for microfilming permanent records does not produce an original microfilm meeting these standards, immediately make a silver duplicate negative or silver duplicate negative which does meet the standards. 3. Processing Film. Process film so that the residual thiosulfate concentration is greater than 0 but less than 1 microgram per square centimeter (the optimum concentration is 0.7 microgram per square centimeter in a clear area). Offices may determine whether their own processing meets this requirement by performing the tests in ANSI PH 4-8 or by submitting a sample (at least 2 square inches) from a clear area of the microfilm to the Office of the National Archives, National Archives and Records Administration (NARA), Washington, DC 20408. There may be a small charge for testing, although NARA tests small numbers of samples for free. 45.2 - Requests for Approval of Microfilming Projects, Equipment, and Facilities. 45.21 - Justifications for Requests (Forms AD-9 and AD-9A). A justification is required for microfilm projects, equipment, or facilities proposed to (1) preserve permanent records, (2) replace deteriorating records, (3) provide extra copies of records for security reasons, (4) upgrade equipment and facilities, and (5) increase an existing microfilm system by 50 percent or more. Make a cost-benefit analysis for the justification on form AD-9 (Application for Approval of Direct Microfilm Project or Equipment, ex. 01) or form AD-9A (Application for Approval of Computer Output Microfilm Project or Equipment, ex. 02). Send the completed forms to request approval from the Records Management Officer in the WO or the appropriate Region, Station, or Area, and keep copies of the completed forms on file for inventory of microfilm systems and equipment. As a minimum, show a cost advantage for one of the following in the analysis: 1. Savings for a one-time project that equals or exceeds the cost of the project. 2. Savings for a continuing project that will offset the capital and operating costs of the project within 3 years after it starts. 3. Annual savings for a continuing project that will substantially exceed its annual costs (one-tenth of the total capital costs plus annual operating costs). 45.21 - Exhibit 01 Form AD-9, Application for Approval of Direct Microfilm Project or Equipment SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 45.21 - EXHIBIT 01. 45.21 - Exhibit 01--Continued SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 45.21 - EXHIBIT 01. 45.21 - Exhibit 02 Form AD-9A, Application of Computer Output Microfilm Project or Equipment SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 45.21 - EXHIBIT 02. 45.21 - Exhibit 02--Continued Form AD-9A, Application of Computer Output Microfilm Project or Equipment SEE THE PAPER COPY OF THE MASTER SET FOR SECTION 45.21 - EXHIBIT 02. 45.22 - Approvals Needed to Destroy Original Records After Microfilming. Microfilm and destroy the originals only for temporary records with approved retention periods. Do not microfilm and destroy the originals of unscheduled records or records designated permanent without formal approval from NARA. When a proposed microfilm project provides for original record copies to be destroyed (item 26, form AD-9), send a completed form AD-9 to the WO IS&T staff for approval. If approved, the information will be used to complete SF-115 (Request for Records Disposition Authority). The SF-115 will be forwarded to NARA for approval. When the Archivist approves the project, the Forest Service Records Management Officer signs and returns the AD-9 to the requesting unit. 45.23 - Sources of Microfilming Services. Contact the appropriate NARA Branch office about microfilming services before going to commercial sources. NARA bulletins announce current fees for services. For services not listed, contact NARA. When the NARA service is advantageous, negotiate an agreement of services before work is begun. The agreement may be a purchase order showing (1) location of the records to be filmed; (2) description of the records, including the volume, size, physical condition, filming arrangement, and the nature and frequency of additions, changes, and deletions; (3) size and format of the film to be used; and (4) number and type (silver, diazo, vesicular) of reference copies. 45.3 - Sending Microfilm Copies to National Archives and Records Administration (NARA) or Federal Records Center (FRC). When permanent records are replaced by microfilm, offer the copies to either the Office of the National Archives (NN), NARA, Washington, DC 20408, or the local branch of the National Archives where the original permanent records would normally be retired. Provide one positive copy (silver, vesicular, or diazo microfilm), and one of the following: (1) silver original microfilm copy, (2) silver duplicate negative copy, or (3) silver master positive copy. Also forward adequate descriptive material and a certification that the microfilm was produced in the normal course of operations and that the microfilm is a complete, accurate copy of the original records.