6209.11_42_3000 Series Page 1 of 23 FOREST SERVICE HANDBOOK NATIONAL HEADQUARTERS (WO) WASHINGTON, DC FSH 6209.11 – RECORDS MANAGEMENT HANDBOOK CHAPTER 40 – FILE DESIGNATIONS AND DISPOSITION Amendment No.: 6209.11-2015-2 Effective Date: December 3, 2015 Duration: This amendment is effective until superseded or removed. Approved: JANE L COTTRELL Associate Deputy Chief Date Approved: 11/25/2015 Posting Instructions: Amendments are numbered consecutively by Handbook number and calendar year. Post by document; remove the entire document and replace it with this amendment. Retain this transmittal as the first page(s) of this document. The last amendment to this Handbook was 6209.11-2015-1 to 6209.11_42_7000. New Document 6209.11_42_3000 Series 23 Pages Superseded Document(s) by Issuance Number and Effective Date 6209.11_42_3000 Series (Amendment 6109.11-2013-4, 9/18/2013) 22 Pages Digest: 42 - Revises 3000 file code series direction previously issued. WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 2 of 23 FSH 6209.11 – RECORDS MANAGEMENT HANDBOOK CHAPTER 40 – FILE DESIGNATIONS AND DISPOSITION Table of Contents 42 – FILE DESIGNATIONS AND RETENTION PERIODS ............................................. 3 3000 Series File Codes ............................................................................................................... 3 WO AMENDMENT 6209.11-20015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 3 of 23 42 – FILE DESIGNATIONS AND RETENTION PERIODS 3000 Series File Codes Note: As electronic records management of unstructured data is implemented within the USDA/Forest Service, the Agency must maintain electronic versions of the records according to 36 CFR 1236 for the entire record lifecycle. The Agency must transfer permanent records to the National Archives and Records Administration (NARA) in accordance with the applicable NARA standards in place at the time of transfer. FS FILE CODE RETENTION RETENTION AUTHORITY Temporary, 3 years (FY) N1-95-10-2, Item 139 Temporary, 3 months GRS 4.2, ITEM 010 (DAAGRS-20130007-0001) Includes records relating to the National Association of State Foresters (NASF) and its activities. Excludes policy type records, which should be filed under 3000-Policy. Note: Close file at end of fiscal year and apply retention period. Temporary, 3 years (FY) N1-95-10-2, Item 141 Includes correspondence and records related to State and Private Forestry policy, Advisory Committee, NASF, authorities, responsibilities, organization, and general or administrative practices. Note 1: Close file at end of fiscal year. Note 2: File cooperative agreements under 1580. Note 3: Transfer closed file to NARA when 10 years old. Note 4: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 5: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 6: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (FY) N1-95-10-2, Item 138 HEADING SUB-HEADINGS DESCRIPTION 3000 State and Private Forestry General Includes general correspondence. Excludes correspondence relating to policy. Note: Close file at end of fiscal year and apply retention period. 3000 State and Private Forestry Inquiries Routine transmittals and letters of a personal nature. 3000 State and Private Forestry National Association of State Foresters 3000 State and Private Forestry Policy WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 3000 State and Private Forestry Special Projects 3100 Cooperative Fire Protection General 3100 Cooperative Fire Protection 3100 6209.11_42_3000 Series Page 4 of 23 Includes action plans and followups, special reports or summaries, and related working papers which address State and Private objectives or responsibilities. Establish as case files. File all original speeches under “1650-Press, Radio, Television – Policy Speeches.” Retain duplicate copies of speeches in the case file. Note 1: Records retention period begins when case file closed. Note 2: Transfer closed file to NARA when 10 years old. Note 3: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 4: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 5: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (see note) N1-95-10-2, Item 140 General correspondence relating to Cooperative Fire Protection (CFP) too broad to file under a specific subject. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-4, Item 271 Inquiries Includes standard transmittals or replies to routine inquiries for all program areas. Temporary, 3 months GRS 4.2, ITEM 010 (DAAGRS-20130007-0001) Cooperative Fire Protection Planning Includes correspondence related to all components of Cooperative Fire Protection Programs. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-4, Item 272 3100 Cooperative Fire Protection Prevention Includes general correspondence related to prevention except correspondence pertaining to the Smokey Bear Program. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-4, Item 273 3110 Smokey Bear Program Audio Visual Productions PERMANENT (see note) N1-95-10-2, Item 144 Includes 16mm films, video tape and slide set presentations, public service advertising, and other Smokey Bear Program audio and visual productions made in and for the Washington Office or Regions. This includes television, radio, newspaper, magazine, outdoor and transit advertising, news releases, brochures, campaign catalogs, educational videos and files, and other productions deemed historically significant. Note 1: WO maintains official record, transfer records to WO. Note 2: Original video production: Submit original edited master and duplicate copy to NARA (via WO) five (5) years after withdrawn from distribution. Note 3: Copies are non-record material and should be routed between FS WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 5 of 23 units until no longer needed for administrative use, at which point the copies should be destroyed. Note 4: Videos with a planned life of less than one year – destroy within one year of creation. Note 5: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 6: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 7: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. 3110 Smokey Bear Program Cooperative Agreements Includes supplements, revisions, and related correspondence regarding cooperative agreements associated with the Smokey Bear Program. Note 1: WO maintains official record, transfer records to WO. Note 2: Retention period begins when agreement expires or terminated. Note 3: Transfer closed file to NARA when 10 years old. Note 4: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 5: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 6: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (see note) N1-95-10-2, Item 142 3110 Smokey Bear Program General Includes correspondence relating to all components, and other subject matters specifically related to administration of the Smokey Bear program excluding agreements, licenses, and authorizations. Establish folders by subject matter (see “1640-AudioVisual-Graphic Arts” for disposition of art work.) Note 1: Washington Office (WO) maintains official record, all offices transfer records to WO. Note 2: Close file at end of fiscal year. Note 3: Transfer closed file to NARA when 15 years old. Note 4: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 5: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. PERMANENT (FY) N1-95-10-6, item 63 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 6 of 23 Note 6: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. 3110 Smokey Bear Program Smokey Bear Licenses 3120 Fire Equipment and Supply Management 3130 Includes inquiries, approved license and/or amendments, copy of bond surety, if required, royalty statements, bills for collection, and correspondence. Note 1: WO maintains official record, transfer records to WO. Note 2: Close file upon termination of license. Note 3: Retention period begins upon termination of license. Temporary, 10 years (see note) N1-95-10-2, Item 143 General Includes general correspondence related to excess equipment, supplies, and purchasing of supplies by States. Note: Close file and apply retention period when administrative use ceases. Temporary, 5 years (see note) N1-95-10-4, Item 274 Wildland Fire Protection Program General Includes general correspondence and records related to Federal technical and financial assistance provided to States in protecting State and private lands in all aspects of fire protection. Note: Close file and apply retention period when administrative use ceases. Temporary, 5 years (see note) N1-95-10-4, Item 275 3140 Extreme Fire Situation Program General Includes general correspondence, studies, and reports related to fire suppression assistance to States. Note: Close file and apply retention period when administrative use ceases. Temporary, 5 years (see note) N1-95-10-4, Item 276 3140 Extreme Fire Situation Program Federal Emergency Management Agency Includes general correspondence, studies, and reports related to Federal Emergency Management Agency (FEMA) Fire Management Assistance Program. Note: Close file and apply retention period when administrative use ceases. Temporary, 5 years (see note) N1-95-10-4, Item 277 3150 Rural Community Fire Protection General Includes general correspondence and records pertaining to assisting States in organizing, equipping, and training rural fire organizations in communities with populations of less than 10,000. Note: Close file and apply retention period when administrative use ceases. Temporary, 5 years (see note) N1-95-10-4, Item 278 3170 Cooperation Cooperative Agreements Includes supplements, revisions, and related correspondence. Note: Retention period begins when agreement expires or terminates. Temporary, 5 years (see note) N1-95-10-10, item 11 3170 Cooperation General Includes general correspondence related to fire protection with Federal, State, and local governments. Note: Retention period begins when agreement expires, terminated, or administrative use ceases. Temporary, 5 years (see note) N1-95-10-4, Item 279 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 3170 Cooperation Interstate Forest Fire Protection Compacts 3180 Records, Reports, Studies, and Publications 3180 6209.11_42_3000 Series Page 7 of 23 Includes regional coordinating effort with States to assist in fire protection activities. File contains supplements, revisions, and related correspondence. Note: Retention period begins when agreement expires or terminates. Temporary, 5 years (see note) N1-95-10-4, Item 280 General Includes general correspondence, Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (see note) N1-95-10-4, Item 281 Records, Reports, Studies, and Publications Reports Includes input source documents for the FS-3100-8 Annual Wildlfire Report and other reports documenting expenditures. The report contains data on acres protected, number of wildifires, and acres burned by cause and size class on State and private forest lands; also the report of State legislature that affects State fire programs. Note 1: Retention period begins when records no longer needed for administrative use. Published report is reference material. The record copy of Annual Wildfire Report, National Forest Fire Report, Rural Fire Prevention and Control Program Financing are published and maintained by Public Affairs staffs under 1630 – FS Publications. Note 2: The Washington Office, Fire and Aviation Management Staff collected the 1911-1982 Annual Wildlife Report and National Forest Fire Report, Rural Fire Prevention and Control Program Financing records and transferred to NARA between 1988 and 1990. Temporary, 5 years (see note) N1-95-10-4, Item 282 3180 Records, Reports, Studies, and Publications Studies Includes the Efficiency Analysis Report documenting alternative program actions for more efficient fire protection. An Efficiency Analysis is conducted on an as need basis when opportunities for program improvements are identified. The file also includes special studies that may lead to setting policy and are conducted at the regional level, or at the WO when the issue is national in scope. Note 1: Establish folders by reports and special studies. Note 2: Retain in office, do not transfer to FRC. Note 3: Retention period begins when administrative/ reference use ceases. Temporary, 5 years (see note) N1-95-10-4, Item 283 3200 Rural Forestry Assistance General Includes general correspondence related to broad policy on cooperative forestry assistance programs. Note: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 284 3200 Rural Forestry Assistance Inquiries Routine transmittals and letters of a personal nature. Temporary, 3 months GRS 4.2, ITEM 010 (DAAGRS-20130007-0001) WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 8 of 23 3200 Rural Forestry Assistance Training Includes correspondence related to training for State Foresters and private landowners. Note: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 285 3210 Forest Management Assistance General Includes general correspondence related to non-Federal land resource management assistance and technical assistance. Note: Close file at end of fiscal year and apply retention period. Temporary 15 years (FY) N1-95-10-4, Item 286 3210 Forest Management Assistance Reports Includes Annual Financial Status Report and Accomplishment Report. Note 1: Control records previously filed under 3210 are now filed under 1410. File agreements under 1530, 1540, or 1580. Financing and Plans are now filed under appropriate 6500 designation. Note 2: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 287 3220 Cooperative Nursery Production General Includes general correspondence related to assistance in furnishing tree plant stocks. Note: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 288 3220 Cooperative Nursery Production International Exchange of Seed Includes general correspondence, records of policies and procedures, exchanges records of seed, transfers of seed and pollen internationally. Note: Close file and apply retention period when administrative use ends. Temporary, 15 years (see note) N1-95-10-4, Item 293 3220 Cooperative Nursery Production International Seed Trade Includes general correspondence and records of policies and procedures related to the control of forest reproductive material moving in international trade. Note: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 294 3220 Cooperative Nursery Production Nursery Production Assistance Includes general correspondence, administrative studies, and reviews related to cooperative forestry tree nursery programs. Note 1: File cost-sharing conservation program records under 3300Forestry Incentives. Note 2: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 289 3220 Cooperative Nursery Production Seed Handling and Testing Includes general correspondence related to the cleaning, drying, extracting, and testing of tree seeds conducted by the National Tree Seed Laboratory. Note 1: File administrative studies under 4110-Study Plans. Note 2: File “Forestry Loans” under 3300-Forestry Incentives. Note 3: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 290 3220 Cooperative Nursery Production Seed Handling and Testing – Seed Bank Includes case studies containing correspondence with foreign researchers, US photo certificate, packing list, receipt of registered mail, foreign import permit, report of money received and bill for collection. Note 1: WO – National Tree Seed Laboratory microfilmed record: If desired, a microfilm record may be made to replace original paper records. (1) The microfilm shall be made in accordance with the provisions of 36 CFR 1230. (2) Destroy the original paper records when the microfilm is Temporary, 15 years (see note) N1-95-10-4, Item 291 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 9 of 23 reviewed and found satisfactory. (3) Destroy the microfilm record when 15 years old. Note 2: Retention period begins when study ends or no longer needed for administrative use. 3220 Cooperative Nursery Production Seed Handling and Testing – Seed Testing Includes test request sheet, laboratory worksheet, radiograph, germination sheet for each treatment, tetrazolium test sheet, and correspondence on test interpretations. Note 1: WO – National Tree Seed Laboratory microfilmed record: If desired, a microfilm record may be made to replace original paper records. (1) The microfilm shall be made in accordance with the provisions of 36 CFR 1230. (2) Destroy the original paper records when the microfilm is reviewed and found satisfactory. (3) Destroy the microfilm record when 15 years old. Note 2: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 292 3230 Cooperative Tree Improvement General Includes general correspondence, studies, and reports related to cooperative forestry tree improvement programs covered under P.L. 95-313. Note 1: Establish as case files. Note 2: Retention period begins after case file closed. Temporary, 15 years (see note) N1-95-10-4, Item 295 3240 Forest Products Utilization General Includes general correspondence and records related to assistance for improvement of harvesting, processing, marketing and use of wood, wood products, and wood for energy Note: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 296 3250 Forest Soil and Water Management General Includes general correspondence and other records related to protection and improvement of soil fertility and productivity on non-Federal forest lands, and the quality, quantity, and timing of water yield; technical assistance to other agencies. Note: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 297 3260 Urban Forestry Assistance General Includes general correspondence related to providing technical assistance to states for the protection, development, and management of forestland in and near urban areas. Note: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 298 3300 Forestry Incentives General Includes general correspondence between the WO and field units on procedures and policies about forestry incentives. File also contains information regarding loans, insurance, and other records that do not fit under the other file designations in this series. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-2, Item 145 3300 Forestry Incentives Inquiries Routine transmittals and letters of a personal nature. Temporary, 3 months GRS 4.2, ITEM 010 (DAAGRS-2013- WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 10 of 23 0007-0001) 3310 Cost-sharing Programs General Includes general correspondence on procedures, direction, and guidelines related to cost-sharing programs such as the Environmental Quality Incentives Program. The period of payment is 10 years. Note 1: Establish folders by program. Note 2: Close file and apply retention period when no longer needed for administrative use. Temporary, 5 years (see note) N1-95-10-2, Item 146 3320 Taxation General Includes general correspondence on forest taxation laws and incentives. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-2, Item 148 3320 Taxation Reports and Studies Includes reports and studies written on a contractual and non-contractual basis to provide taxation and finance information to potential users for educating private landowners on tax laws and other incentives provided by Congress. These reports are unique and done on an as-needed basis. The data from the reports and studies are used in a variety of forestry and tax publications. This file does not include material for tax booklets that are published annually through the Government Printing Office, covered under 1630-Forest Service Publications. Note 1: Close file when report or study completed. Note 2: Transfer closed file to NARA when 10 years old. Note 3: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 4: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 5: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (see note) N1-95-10-2, Item 147 3330 Loans OBSOLETE OBSOLETE Includes general correspondence related to the availability of loans under the Farmers Home Administration Loan Program for forestland owners, wood harvesters, and wood processors. Apply retention periods at right to pre-FY2011 records. Note: File code 3330 discontinued as of 10/1/2010. File correspondence under “3300 – Forestry Incentives – General”. OBSOLETE N/A 3340 Insurance OBSOLETE OBSOLETE Includes general correspondence related to technical assistance provided to the Federal Crop Insurance Board of Directors in the development of timber insurance plans. Apply retention periods at right to pre-FY2011 records. Note: File code 3340 discontinued as of 10/1/2010. File correspondence under “3300 – Forestry Incentives – General”. OBSOLETE N/A WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 3350 Conservation Reserve General 3360 Forest Legacy Program Forest Legacy Information System 3360 Forest Legacy Program 3360 Forest Legacy Program 6209.11_42_3000 Series Page 11 of 23 Includes general correspondence related to the Forest Service providing technical assistance for tree planting under the Conservation Reserve Program. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-2, Item 149 The Forest Legacy Information System (FLIS) includes information maintained regarding database management and operations for applications/systems funded through the Forest Legacy Program (FLP). Note 1: Close file at end of calendar year. Note 2: Transfer closed file to NARA when 10 years old. Note 3: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 4: Pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 5: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. Note 6: Database repositories scheduled separately. PERMANENT (CY) N1-95-10-5, Item 15c General Routine correspondence, comments, and other documentation not associated with specific case file, regarding FLP guidelines and direction; routine requests for information and responses; informal reports and attachments; general program recommendations; and other transactions of a general nature, not associated with a specific case file, regarding FLP planning, execution, administration, and implementation. Note: Close file at end of fiscal year and apply retention period. Temporary, 10 years (FY) N1-95-10-3, Item 52 Guidance Records pertaining to the national or regional implementation guidance and direction for the Forest Legacy Program (FLP). Includes State-specific assessments, assessment amendments and updates, designation letters, and memorandums of understanding and agreements. Note 1: Maintain by calendar year at host unit. Note 2: Retention period begins after document completed, expired, or case closed. Note 3: Transfer closed file to NARA when 10 years old. Note 4: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 5: Pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 6: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (see note) N1-95-10-5, Item 15a WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 12 of 23 Note 7: Office of record maintains an up-to-date list of records residing at unit, as well as records transferred to FRC and NARA. 3360 Forest Legacy Program Program Reviews Documentation of Forest Service reviews, State program reviews, and State quality-assurance inspections of program implementation of appraisal services. Records include documentation of outside-agency program-wide audits and inspection reports. Note: Close file when administrative use ceases and apply retention period. Temporary, 10 years (see note) N1-95-10-3, Item 53 3360 Forest Legacy Program Projects Records pertain to the use of Federal funds by grantee to acquire lands or interest in lands under the FLP. Records document the Federal financial investment in assuring the land or interests in land is protected in perpetuity. Records may include a copy of the recorded conservation easement/deed, review appraisal report, amicable agreement letters, proof of clear title, and minerals determinations. For conservation easements, project files may also include baseline documentation or cover page, summary of annual monitoring, and forest stewardship/multi-resource plan cover page. In addition, the project files must include project grant information, including (1) the award letter, (2) all grant modifications, (3) invoices, (4) financial reports, and (5) progress reports (containing clear language on substantial transactions). Note 1: Establish case files using the following case naming convention that is generated when a project and tract(s) are entered in FLIS: Regional Codes (two digit first-level organization code)-State abbreviation (Federal information Processing Standard two-letter abbreviations)-Project Number (four digit number, starting with 1000 and continuing sequentially)-tract in alphabetical sequence (two letters, starting with AA and continuing sequentially). The FLP project identifier will be cross-referenced with the grant number. Note 2: Maintain by calendar year at host unit. Note 3: Retention period begins after document completed, updated, expired, or case closed. Note 4: Transfer closed file to NARA when 10 years old. Note 5: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 6: Pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 7: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. Note 8: Office of record maintains an up-to-date list of records residing at unit, as well as records transferred to FRC and NARA. PERMANENT (CY) N1-95-10-5, Item 15b WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 3360 Forest Legacy Program Special Projects 3400 Forest Health Protection General Includes general correspondence and other records related to authorities and responsibilities applicable to Forest Health Management. Note 1: Close file at end of fiscal year. Note 2: File all native insect and disease records under 3400; file all exotic (non-native) invasive species records under file code 2900. Note 3: Transfer closed file to NARA when 10 years old. Note 4: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 5: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 6: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. 3400 Forest Health Protection Inquiries Routine transmittals and letters of a personal nature. 3410 Detection, Monitoring, and Evaluation General 3420 Management 3430 3440 Records include special project case files and information not filed under any other 3360 listing. Note 1: Maintain on host unit. Note 2: Retention period begins after case closed or based on document date, whichever applicable. 6209.11_42_3000 Series Page 13 of 23 Temporary, 10 years (see note) N1-95-10-3, Item 54 PERMANENT (FY) N1-95-10-2, Item 150 Temporary, 3 months GRS 4.2, ITEM 010 (DAAGRS-20130007-0001) Includes documentation associated with Forest Health Protection detection, monitoring, and evaluation activities, such as correspondence, field surveillance reports, detection surveys, their planning and conduct. Note: Close file at end of fiscal year and apply retention period. Temporary, 25 years (FY) N1-95-10-4, Item 299 General Includes documentation associated with Forest Health Protection management activities, including correspondence, biological evaluations, economic evaluations, and environmental assessments. Note: Close file and apply retention period when administrative use ends. Temporary, 25 years (see note) N1-95-10-4, Item 300 Program Funding and Accomplishment Reporting General Includes information associated with Forest Health Protection program funding and accomplishment reporting, such as correspondence, criteria, and supporting documentation necessary to support control projects. Note: Close file and apply retention period when administrative use ends. Temporary, 25 years (see note) N1-95-10-4, Item 301 Special Forest Health Protection Projects General Includes correspondence and case files related to Forest Health Protection special projects. Note 1: Folders arranged alphabetically by name of project. Note 2: Retention period begins when case file closed. Temporary, 25 years (see note) N1-95-10-4, Item 302 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 14 of 23 3450 Forest Health Protection Administration Collection of Expenditure and Accomplishment Reporting Data (19061971) Data collected before the installation of an automated system in 1971. Note 1: Offer collection to NARA when 30 years old. Note 2: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. PERMANENT (see note) N1-95-10-2, Item 153 3450 Forest Health Protection Administration Expenditure Summary Report Textual report which provides a breakdown of financial expenditures for major forest health protection on Federal and State lands. Arrange in chronological order. Note 1: WO maintains official record. Note 2: Close file at end of fiscal year. Note 3: Transfer closed file to NARA when 10 years old. Note 4: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 5: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 6: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (FY) N1-95-10-2, Item 152 3450 Forest Health Protection Administration General Includes correspondence, Annual Condition Report, and other records related to the funding and financing of forest health protection activities. Folders arranged by subject matter and/or geographic location. Note: Close file at end of fiscal year and apply retention period. Temporary, 25 years (FY) N1-95-10-4, Item 303 3450 Forest Health Protection Administration Reports Includes Forest Health Protection Accomplishment Report. Note 1: Close file at end of fiscal year. Note 2: Transfer closed file to NARA when 10 years old. Note 3: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 4: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 5: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (FY) N1-95-10-2, Item 151 3500 Cooperative Watershed General Includes general correspondence too broad to be filed under a specific heading; policy information generated by U.S. Natural Resources Conservation Service (NRCS); also general reports to NRCS. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-2, Item 154 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 3500 Cooperative Watershed Inquiries Routine transmittals and letters of a personal nature. 3510 Watershed Protection and Flood Prevention General 3510 Watershed Protection and Flood Prevention 3510 3520 6209.11_42_3000 Series Page 15 of 23 Temporary, 3 months GRS 4.2, ITEM 010 (DAAGRS-20130007-0001) Includes general correspondence related to P.L. 566, which ensures that all Forest and Rangelands are evaluated and considered from a multiple-use standpoint on multiple-use watershed projects. Note: Close file at end of fiscal year and apply retention period. Temporary, 10 years (FY) N1-95-10-4, Item 304 Reports Includes reports of activities accomplished on projects by acres, compiled by project, summarized by Regions and the Washington Office. Note 1: Close file at end of fiscal year. Note 2: Transfer closed file to NARA when 15 years old. Note 3: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 4: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 5: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (FY) N1-95-10-4, Item 305 Watershed Protection and Flood Prevention Small Watershed Projects Case files containing applications, correspondence planning process, forestry reports prepared on each project, watershed workplan contract documents, project accomplishment reports, Environmental Impact Statements. Note 1: Folders filed alphabetically by program or project. Note 2: Retention period begins when case filed closed. Note 3: Transfer closed file to NARA when 10 years old. Note 4: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 5: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 6: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (see note) N1-95-10-2, Item 155 River Basin Programs General Includes general correspondence related to comprehensive and special planning efforts that will result in the best use or combination of uses of water and related land resources. Note: Close file at end of fiscal year and apply retention period. Temporary, 15 years (FY) N1-95-10-4, Item 306 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 3520 River Basin Programs River Basin Studies 3530 Flood Prevention Program Flood Prevention Projects 3530 Flood Prevention Program General 3540 Emergency Watershed Protection Emergency Projects 6209.11_42_3000 Series Page 16 of 23 Case files containing proposals, plans of work, correspondence, reports, and financial data. Note 1: Retention period begins after case file closed. Note 2: Transfer closed file to NARA when 10 years old. Note 3: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 4: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 5: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (see note) N1-95-10-2, Item 156 Case files contain project plans, correspondence, reviews, budgetary information, work plans, and accomplishment reports. Note 1: Retention period begins after case file closed. Note 2: Transfer closed file to NARA when 10 years old. Note 3: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 4: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 5: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (see note) N1-95-10-2, Item 157 Includes general correspondence pertaining to P.L. 534, which ensures restoration and preservation of desirable watershed conditions on forestlands. Note: Close file at end of fiscal year and apply retention period. Temporary, 25 years (FY) N1-95-10-4, Item 307 Case files contain records such as applications, approvals, and completion reports. Note 1: Retention period begins after case file closed. Note 2: Transfer closed file to NARA when 10 years old. Note 3: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 4: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 5: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (see note) N1-95-10-2, Item 158 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 3540 Emergency Watershed Protection General Includes general correspondence pertaining to emergency measures used to assist local areas on Forest lands affected by fire, flood, or other disasters. Note: Close file at end of fiscal year and apply retention period. 3560 Interagency Programs General Includes general correspondence pertaining to States, counties, municipalities, and other local groups involved in watershed programs. Note: Close file at end of fiscal year and apply retention period. 3570 Hydrologic Surveys and Analysis General Includes correspondence and technical reports related to program direction, planning, conducting, and evaluating hydrologic surveys and analysis in response to a cooperative watershed management study or program. Note: Close file at end of fiscal year and apply retention period. 3600 Rural Resource Conservation and Development General Includes general correspondence too broad to be filed under a specific subject heading. Note: Close file at end of fiscal year and apply retention period. 3600 Rural Resource Conservation and Development Inquiries Routine transmittals and letters of a personal nature. 3610 Rural Development General 3610 Rural Development Reports 3620 Resource Conservation and Development Annual Forestry Plan of Work 3620 Resource Conservation and Development General 6209.11_42_3000 Series Page 17 of 23 Temporary, 25 years (FY) N1-95-10-4, Item 308 Temporary, 5 years (FY) N1-95-10-2, Item 159 Temporary, 10 years (FY) N1-95-10-4, Item 309 Temporary, 5 years (FY) N1-95-10-4, Item 310 Temporary, 3 months GRS 4.2, ITEM 010 (DAAGRS-20130007-0001) Records, including correspondence, pertaining to the coordination of forestry activities with other USDA Committees and outside agencies, to help support State and local concerns in eliminating problems in rural areas. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-6, item 64 Includes: (a) the Annual Rural Development Report, which is a consolidated report from field units summarizing special projects with USDA to help farmers; and (b) the Annual Needs Assessment Report required by USDA. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-4, Item 311 Report containing funding needs for the RC&D. Note: Close file at end of fiscal year and apply retention period. Temporary, 10 years (FY) N1-95-10-4, Item 312 Includes general correspondence related to working with State and local governmental units and sponsors for the purposes of improving the social, economic and environmental conditions of an RC&D area; identifying forestry activities and opportunities which will help sponsors with new and expanded problems to meet the needs of their rural citizens. Note 1: Close file at end of fiscal year. Note 2: Transfer closed file to NARA when 10 years old. Note 3: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to PERMANENT (FY) N1-95-10-2, Item 160 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 18 of 23 transferring permanent records to custody and ownership of NARA. Note 4: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 5: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. 3620 Resource Conservation and Development Projects Case files containing applications, plans, and changes in forestry. Note: Retention period begins when case file closed. 3620 Resource Conservation and Development Reports 3700 Organization Management Assistance 3900 Temporary, 10 years (see note) N1-95-10-2, Item 161 Annual Report for RC&D Projects and National Accomplishment Summary Report. Note 1: Close file at end of fiscal year. Note 2: File economic development regions and multicounty planning records in 3600 and apply retention period. Note 3: Transfer closed file to NARA when 15 years old. Note 4: Agency Records Officer authorization via a NARA approved transfer form [for example, ERA Transfer Request (TR)] required prior to transferring permanent records to custody and ownership of NARA. Note 5: As electronic retention of official records is approved for this file code category, pre-accession of electronic records is authorized by mutual consent of both NARA and Forest Service. Note 6: Store closed hardcopy records at FRC until eligible for transfer to NARA custody. PERMANENT (FY) N1-95-10-6, item 65 General Includes correspondence and other records related to technical assistance provided to State Foresters or equivalent officials in the areas of managerial assistance. Includes systems studies and analysis, employee development and training and managerial improvement. Note: Close file at end of fiscal year and apply retention period. Temporary, 5 years (FY) N1-95-10-4, Item 313 Statewide Forest Resource Planning General Includes general correspondence concerning State forest resource planning and coordination with the Forest Service. Excludes correspondence with a specific plan or special project. Note: Close file at end of fiscal year and apply retention period. Temporary, 3 years (FY) N1-95-10-4, Item 314 3900 Statewide Forest Resource Planning Special Projects Includes correspondence, work plans, reports, and documents concerning projects between State officials and the Forest Service. Case file by State. Note: Retention period begins when administrative use ceases. Temporary, 3 years (see note) N1-95-10-4, Item 316 3900 Statewide Forest Resource Planning State Forest Resource Plans Includes State plan, revisions, amendments, tables, attainment reports, and correspondence concerning development and publication of the State plan. Case file by State. Note: Retention period begins when plan is superseded. Temporary, 3 years (see note) N1-95-10-4, Item 315 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 19 of 23 3000 Series – Exhibit 01 Reference - Superseded file coding system PREVIOUS (SUPERSEDED) SUPERSEDED FILE CODE RETENTION AUTHORITY FS FILE CODE HEADING SUB-HEADINGS 3000 State and Private Forestry General 3000 N1-95-88-2 3000 State and Private Forestry Inquiries 3000-2 GRS 14-1 3000 State and Private Forestry National Association of State Foresters 3000-4 N1-95-88-2 3000 State and Private Forestry Policy 3000-1 N1-95-88-2 3000 State and Private Forestry Special Projects 3000-3 N1-95-88-2 3100 Cooperative Fire Protection General 3100 N1-95-88-2 3100 Cooperative Fire Protection Inquires 3100 GRS 14-1 3100 Cooperative Fire Protection Planning 3100-2 N1-95-88-2 3100 Cooperative Fire Protection Prevention 3100-3 N1-95-88-2 3110 Smokey Bear Program Audio Visual Productions 3110-3 N1-95-90-3 3110 Smokey Bear Program Cooperative Agreements 3110-1 N1-95-88-2 3110 Smokey Bear Program General 3110 N1-95-88-2 3110 Smokey Bear Program Smokey Bear Licenses 3110-2 N1-95-95-1 3120 Fire Equipment and Supply Management General 3120 N1-95-88-2 3130 Wildland Fire Protection Program General 3130 N1-95-88-2 3140 Extreme Fire Situation Program Federal Emergency Management Agency 3140-1 N1-95-88-2 3140 Extreme Fire Situation Program General 3140 N1-95-88-2 3150 Rural Community Fire Protection General 3150 N1-95-88-2 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 20 of 23 PREVIOUS (SUPERSEDED) SUPERSEDED FILE CODE RETENTION AUTHORITY FS FILE CODE HEADING SUB-HEADINGS 3170 Cooperation Cooperative Agreements 3170-1 N1-95-88-2 3170 Cooperation General 3170 N1-95-88-2 3170 Cooperation Interstate Forest Fire Protection Compacts 3170-2 N1-95-88-2 3180 Records, Reports, Studies, and Publications General 3180 N1-95-88-2 3180 Records, Reports, Studies, and Publications Reports 3180-1 N1-95-88-2 3180 Records, Reports, Studies, and Publications Studies 3180-2 N1-95-88-2 3200 Rural Forestry Assistance General 3200 N1-95-88-2 3200 Rural Forestry Assistance Inquiries 3200-1 GRS 14-1 3200 Rural Forestry Assistance Training 3200-2 N1-95-88-2 3210 Forest Management Assistance General 3210 N1-95-88-2 3210 Forest Management Assistance Reports 3210-1 N1-95-88-2 3220 Cooperative Nursery Production General 3220 N1-95-88-2 3220 Cooperative Nursery Production International Exchange of Seed 3220-3 N1-95-88-2 3220 Cooperative Nursery Production International Seed Trade 3220-4 N1-95-88-2 3220 Cooperative Nursery Production Nursery Production Assistance 3220-1 N1-95-88-2 3220 Cooperative Nursery Production Seed Handling and Testing 3220-2 N1-95-88-2 3220 Cooperative Nursery Production Seed Handling and Testing – Seed Bank 3220-2-1 N1-95-88-2 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 21 of 23 PREVIOUS (SUPERSEDED) SUPERSEDED FILE CODE RETENTION AUTHORITY FS FILE CODE HEADING SUB-HEADINGS 3220 Cooperative Nursery Production Seed Handling and Testing – Seed Testing 3220-2-2 N1-95-88-2 3230 Cooperative Tree Improvement General 3230 N1-95-88-2 3240 Forest Products Utilization General 3240 N1-95-88-2 3250 Forest Soil and Water Management General 3250 N1-95-88-2 3260 Urban Forestry Assistance General 3260 N1-95-88-2 3300 Forestry Incentives General 3300 N1-95-88-2 3300 Forestry Incentives Inquiries 3300-1 GRS 14-1 3310 Cost-sharing Programs General 3310 N1-95-88-2 3320 Taxation General 3320 N1-95-88-2 3320 Taxation Reports and Studies 3320-1 N1-95-88-2 3330 Loans OBSOLETE 3330 N1-95-88-2 3340 Insurance OBSOLETE 3340 N1-95-88-2 3350 Conservation Reserve General 3350 N1-95-88-2 3360 Forest Legacy Program Forest Legacy Information System New New 3360 Forest Legacy Program General New New 3360 Forest Legacy Program Guidance NEW NEW 3360 Forest Legacy Program Program Reviews New New 3360 Forest Legacy Program Projects NEW NEW 3360 Forest Legacy Program Special Projects New New 3400 Forest Health Protection General 3400 N1-95-88-2 3400 Forest Health Protection Inquiries 3400-1 GRS 14-1 3410 Detection, Monitoring, and Evaluation General 3410 N1-95-88-2 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 22 of 23 PREVIOUS (SUPERSEDED) SUPERSEDED FILE CODE RETENTION AUTHORITY FS FILE CODE HEADING SUB-HEADINGS 3420 Management General 3420 N1-95-88-2 3430 Program Funding and Accomplishment Reporting General 3430 N1-95-88-2 3440 Special Forest Health Protection Projects General 3440 N1-95-88-2 3450 Forest Health Protection Administration Collection of Expenditure and Accomplishment Reporting Data (1906-1971) 3450-1-2 N1-95-88-2 3450 Forest Health Protection Administration Expenditure Summary Report 3450-1-1 N1-95-88-2 3450 Forest Health Protection Administration General 3450 N1-95-88-2 3450 Forest Health Protection Administration Reports 3450-1 N1-95-88-2 3500 Cooperative Watershed General 3500 N1-95-88-2 3500 Cooperative Watershed Inquiries 3500-1 GRS 14-1 3510 Watershed Protection and Flood Prevention General 3510 N1-95-88-2 3510 Watershed Protection and Flood Prevention Reports 3510-1 N1-95-88-2 3510 Watershed Protection and Flood Prevention Small Watershed Projects 3510-2 N1-95-88-2 3520 River Basin Programs General 3520 N1-95-88-2 3520 River Basin Programs River Basin Studies 3520-1 N1-95-88-2 3530 Flood Prevention Program Flood Prevention Projects 3530-1 N1-95-88-2 3530 Flood Prevention Program General 3530 N1-95-88-2 3540 Emergency Watershed Protection Emergency Projects 3540-1 N1-95-88-2 WO AMENDMENT 6209.11-2015-2 EFFECTIVE DATE: 12/03/2015 DURATION: This amendment is effective until superseded or removed. 6209.11_42_3000 Series Page 23 of 23 PREVIOUS (SUPERSEDED) SUPERSEDED FILE CODE RETENTION AUTHORITY FS FILE CODE HEADING SUB-HEADINGS 3540 Emergency Watershed Protection General 3540 N1-95-88-2 3560 Interagency Programs General 3560 N1-95-88-2 3570 Hydrologic Surveys and Analysis General 3570 N1-95-88-2 3600 Rural Resource Conservation and Development General 3600 N1-95-88-2 3600 Rural Resource Conservation and Development Inquiries 3600-1 GRS 14-1 3610 Rural Development General 3610 N1-95-88-1 3610 Rural Development Reports 3610-1 N1-95-88-2 3620 Resource Conservation and Development Annual Forestry Plan of Work 3620-2-1 N1-95-88-2 3620 Resource Conservation and Development General 3620 N1-95-88-2 3620 Resource Conservation and Development Projects 3620-1 N1-95-88-2 3620 Resource Conservation and Development Reports 3620-2 N1-95-88-2 3700 Organization Management Assistance General 3700 N1-95-88-2 3900 Statewide Forest Resource Planning General 3900 N1-95-88-2 3900 Statewide Forest Resource Planning Special Projects 3900-2 N1-95-88-2 3900 Statewide Forest Resource Planning State Forest Resource Plans 3900-1 N1-95-88-2