6209.11_42_4000 Series
Page 1 of 50
FOREST SERVICE HANDBOOK
NATIONAL HEADQUARTERS (WO)
WASHINGTON, DC
FSH 6209.11 – RECORDS MANAGEMENT HANDBOOK
CHAPTER 40 – FILE DESIGNATIONS AND DISPOSITION
Amendment No.: 6209.11- 2016-5
Effective Date: April 4, 2016
Duration: This amendment is effective until superseded or removed.
Approved: JANE L. COTTRELL
FOR: Deputy Chief, Business Operations
Date Approved: 03/28/2016
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 6209.11-2016-4 to 6209.11_42_6000 Series.
New Document
6209.11_42_4000 Series
50 Pages
Superseded Document(s) by
Issuance Number and
Effective Date
6209.11_42_4000 Series
(Amendment 6209.11-2014-1, 01/02/2014)
40 Pages
Digest:
42 - Updates retention periods and authorities recently approved by the National Archives and
Records Administration.
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
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Table of Contents
42 - FILE DESIGNATIONS AND RETENTION PERIODS.............................................. 3
4000 - Series File Codes ......................................................................................................... 3
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 3 of 50
42 - FILE DESIGNATIONS AND RETENTION PERIODS
4000 - 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
HEADING
SUB-HEADING
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
PERMANENT
(FY)
N1-95-12-4,
item 2
Temporary,
(3 months)
GRS 4.2,
ITEM 010
(DAA-GRS2013-00070001)
4000
Research and
Development
General
General records, including general correspondence and documentation of
policy development, regarding the Forest Service Research and
Development program not covered elsewhere in this schedule.
Note 1: Close file at end of fiscal year.
Note 2: Transfer closed file to NARA in 5 year blocks when most recent
is 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.
4000
Research and
Development
Inquiries
Standard replies and transmittals for the 4000 series.
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
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4000
Research and
Development
Statistical
Methods
Records include statistical analysis supporting all phases of research,
including experimental and sampling design, data analysis and
interpretation. Additionally, records may include documentation and
reviews of study plans, grant proposals, and research products for
appropriateness of statistical methods and inference from analysis.
Note: Close file and apply retention period when analysis complete.
Temporary,
30 years
(see note)
N1-95-12-1,
item 1
4000
Research and
Development
Statistical
Reports
Records include statistical reports for each State, following coverage by
an initial inventory and by each subsequent reinventory. Statistical
reports for Regions, Survey units, and counties are optional. Reports
compare principal statistics with similar data from previous surveys or
estimates, and indicate the extent to which differences are attributable to
such factors as changes in forest conditions, or differing accuracy
standards, definitions, and techniques.
Statistical reports should also include an appraisal of the outlook for
timber supplies in terms of available cut, for example, and technical
opportunities for improving the future supply situation. Statistical reports
for counties or Survey units may be issued at the option of Forest Service
Research Stations. The release of county statistics should be accompanied
by a statement on reliability and a word of caution regarding the use of
statistics with high sampling errors.
Final reports may be included in other reports included elsewhere in this
schedule, though an official copy of the report should be retained under
this filecode.
Note: Close file and apply retention period when report issued.
Temporary,
30 years
(see note)
N1-95-12-5,
item 1
4020
Research Data
Management
General
Records, including general correspondence, associated with Forest
Service research data management activities not covered elsewhere in this
retention schedule. Includes information regarding prospective and
retrospective archive-related budget and performance information.
Documentation includes communication with Research Stations
regarding archive activities.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-5,
item 2
4020
Research Data
Management
Policies and
Procedures
Records include policies and procedures for research data archiving and
management.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-5,
item 3
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 5 of 50
4020
Research Data
Management
Research Data
Archive
Records include the formal archive research data products developed
from Forest Service Research and Development studies (original study
data scheduled separately).
Note 1: Database systems and applications holding archive data products
consisting of structured research data are scheduled separately.
Note 2: Close file at end of fiscal year.
Note 3: Transfer closed file to NARA in 5 year blocks when most recent
is 50 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)
N1-95-12-5,
item 4
4060
Research
Facilities and
Areas
Construction
General records, not covered elsewhere in the 4000, 6300, or 7300 series,
regarding construction of research facilities and areas.
Note: Retain in current files as long as facility is in use, transfer
applicable records to Forest Service History file, and apply retention
period to remaining records.
Temporary,
3 years
(see note)
N1-95-12-2,
item 1
4060
Research
Facilities and
Areas
Equipment
General records, not covered elsewhere in the 4000, 6300, or 7000 series,
regarding research equipment selection, development, and maintenance.
Note: Retain in current files as long as equipment is in use, retention
period begins when equipment no longer actively used.
Temporary,
3 years
(see note)
N1-95-12-2,
item 2
4060
Research
Facilities and
Areas
Experimental
Forests and
Ranges
Experimental forests, ranges, grasslands, and watersheds provide lands
for conducting research that serves as a basis for the management of
forests and rangelands. An approved establishment record is required for
every experimental area.
Records include:
 Establishment record for the experimental area, which contains:
o Map showing location of experimental area, including boundaries
and ownership status
o Photographs or illustrations showing typical conditions of the
landscape
o Narrative including purpose of experimental area, cover types,
PERMANENT
(see notes)
N1-95-12-4,
item 3
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
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physical and climatic conditions, and description of and impact
upon land and resource values
o Accessibility
o Existing facilities
o Arrangements for management, administration, and protection
o Recommendations
o Dates and signatures
o Designation order
 Documentation indicating whether or not approved regional guides and
forest plans include the proposed experimental forest or range
 Environmental analysis
 Changes to boundaries of experimental areas
 Resource management and study plans, which include natural resource
guidelines, to protect experimental areas from activities that would
reduce research value.
 Termination order and associated documentation disestablishing the
experimental area
Note 1: Close file when experimental area disestablished.
Note 2: Provide copies of applicable records to FS Historian for
inclusion in Agency history file (1680).
Note 3: Transfer closed file to NARA in 5 year blocks when most recent
is 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.
4060
Research
Facilities and
Areas
General
General records, including correspondence, not covered elsewhere in this
schedule, regarding the selection, development, and maintenance of
research facilities, equipment, and areas, including offices, laboratories,
greenhouses, and experimental forests and ranges.
Note 1: Do not use when correspondence concerns a specific building or
related structure that is retained under a 7300 file code category.
Note 2: Close file at end of fiscal year and apply retention period.
Temporary,
3 years (FY)
N1-95-12-2,
item 3
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
4060
Research
Facilities and
Areas
Research
Natural Areas
6209.11_42_4000 Series
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A research natural area is a physical or biological unit in which current
natural conditions are maintained insofar as possible. Research natural
areas are part of a national network of ecological areas designated in
perpetuity for research and education and/or to maintain biological
diversity on National Forest System lands. They are principally used for
non-manipulative research, observation and study.
Records include:
 Establishment record for the research natural area, which contains:
o Analysis and recommendation for natural resource area
o Map showing location of area, including boundaries and ownership
status
o Photographs or illustrations showing typical conditions of the
landscape
o Narrative including purpose of area, cover types, physical and
climatic conditions, and description of and impact upon land and
resource values
o Arrangements for management, administration, and protection
o Recommendations
o Dates and signatures
o Designation order
 Documentation indicating whether approved regional guides and forest
plans include the research natural area
 Changes to boundaries of research natural areas
 Termination order and associated documentation disestablishing the
research natural area
Note 1: Close file when area disestablished.
Note 2: Provide copies of applicable records to FS Historian for
inclusion in the Agency history file (1680).
Note 3: Transfer records 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 notes)
N1-95-12-4,
item 4
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
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4070
Research
Program
Formulation and
Documentation
General
Includes records that reflect overall policy, direction, and planning in the
administration of the Research Stations, Laboratories, and continuing
research units.
Note 1: Establish folders by subject matter:
 Policy
 Program Formulation and Planning
 Projects
 Long Range Planning for Forestry Research
 Application for Research Results
 Program Reporting
Note 2: Close file at end of fiscal year.
Note 3: Transfer closed file to NARA in 5 year blocks when most
recent is 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)
N1-95-12-4,
item 5
4080
Research
Administration
Cooperative
Agreements
Research agreements with universities, colleges, institutions, and
organizational arms of the Forest Service, including reports.
Case files may contain drafts and working papers used to develop the
final agreement and documentation pertaining to ongoing agreement
activities, including correspondence and other supporting
documentation, such as:
 Applications, forms, and budget documents
 Evaluation reports, panelist comments, review ratings or scores.
 Notice of agreement or equivalent, and terms and conditions.
 Amendment requests and actions, if any.
 Periodic and final performance reports (progress, narrative, financial).
 Audit reports and/or other monitoring or oversight documentation.
 Summary reports and the like.
Note 1: Retention period for records retained under this file code
category begins after agreement has been cancelled, terminated or
Temporary,
10 years
(see notes)
GRS 1.2, item
20 (DAAGRS-20130008-0001)
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
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officially closed.
Note 2: Create case files as needed.
Note 3: File rejected applications under “4080 – Research
Administration – Unsuccessful G&A Applications
4080
Research
Administration
General
Grant records associated with research program activities . Organize
folders by country or organization and study, divide studies into
pending, approved, and rejected, including reports.
Case files may contain drafts and working papers used to develop the
final instrument and records pertaining to ongoing administration of the
instrument, including correspondence and other supporting
documentation, such as:
 Applications, forms, and budget documents
 Evaluation reports, panelist comments, review ratings or scores.
 Notice of Grant Award or equivalent and grant terms and conditions.
 State plans, if any (submissions from states that assure compliance
with all applicable Federal statutes and regulations in effect with
respect to the period for which the State receives funding).
 Amendment requests and actions, if any.
 Periodic and final performance reports (progress, narrative, financial).
 Audit reports and/or other monitoring or oversight documentation.
 Summary reports and the like.
Note 1: Retention period for records retained under this file code
category begins after grant has been cancelled, terminated or officially
closed.
Note 2: Final Products – The tangible result of a completed grant
produced/delivered by the recipient to satisfy the purpose of the award.
Not all grants and cooperative agreements result in tangible products or
deliverables. For those that do, a copy should be retained in the
appropriate program or project file. Per GRS 1.1, item 30, all other
copies may be destroyed when business use ceases.Contract and Grant
grant records associated with activities conducted under Public Law
480, 733, 106, and 934 programs. Organize folders by country or
organization and study, divide studies into Pending, approved, and
rejected, including reports.
Note: Close file when contract or grant terminated or expires and apply
retention period.
Note 3: File rejected applications under “4080 – Research
Administration – Unsuccessful G&A Applications”
Temporary,
10 years
(see notes)
GRS 1.2, item
20 (DAAGRS-20130008-0001)
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
4080
Research
Administration
Grants
4080
Research
Administration
4080
Research
Administration
6209.11_42_4000 Series
Page 10 of 50
Grant records associated with activities conducted under Public Law 480,
733, 106, and 934 programs. Organize folders by country or organization
and study, divide studies into pending, approved, and rejected, including
reports.
Note: Close file and apply retention period when contract or grant
terminated or expires.
Temporary,
10 years
(see note)
N1-95-12-4,
item 6
Interagency
Agreements
Records associated with interagency research agreements
Note 1: Create case folders as needed.
Note 2: Close file when agreement terminated or expires and apply
retention period. Records associated with interagency research
agreements. Case files may contain drafts and working papers used to
develop the final agreement and documentation pertaining to ongoing
agreement activities, including correspondence and other supporting
documentation, such as:
 Applications, forms, and budget documents
 Evaluation reports, panelist comments, review ratings or scores.
 Notice of agreement or equivalent, and terms and conditions.
 Amendment requests and actions, if any.
 Periodic and final performance reports (progress, narrative, financial).
 Audit reports and/or other monitoring or oversight documentation.
 Summary reports and the like.
Note 1: Retention period for records retained under this file code
category begins after agreement has been cancelled, terminated or
officially closed.
Note 2: Create case files as needed.
Note 3: File rejected applications under “4080 – Research
Administration – Unsuccessful G&A Applications”
Temporary,
10 years
(see notes)
GRS 1.2, item
20 (DAAGRS-20130008-0001)
Unsuccessful
G&A
Applications
Grant and interagency agreement case files – unsuccessful applications.
Case files containing records relating to unsuccessful indivdiual grant or
cooperative agreements. Records include, but are not limited to:
 Applications, forms, and budget documents.
 Evaluation reports, panelist comments, review ratings or scores.
 Notice of non-aware or equivalent, and grant terms and conditions.
 Associated general documentation.
Note 1: Retention begins after final action is taken on the file.
Temporary,
3 years
(see notes)
GRS 1.1, item
21 (DAAGRS-20130008-6)
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
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4090
Handbooks
(Research)
General
General records, including correspondence, regarding research
community handbooks, not found elsewhere in this schedule.
Note: Close file at end of fiscal year and apply retention period.
4100
Forest and
Rangeland
Management
Research
General
General records, including correspondence, regarding policy and
management of forest and rangeland management research. Research
provides the science that addresses the understanding and managing of
terrestrial vegetation process. The research focuses on forest management
and silviculture, genetics and biotechnology, soils and forest/range
production, fire and microbes, climate change, and forest operations.
Note 1: Close file at end of fiscal year.
Note 2: Transfer closed file to NARA in 5 year blocks when most
recent is 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.
4110
Programs
(Forest and
Rangeland
Management
Research)
Dendrology
(Obsolete)
4110
Programs
(Forest and
Rangeland
Management
Research)
Periodic Reports
Dendrology (Obsolete)
Note 1: Official record resides at the Washington Office.
Note 2: File legacy records under 4110 subheadings, as appropriate.
Forest and rangeland management research reports summarizing the
results of studies. The results may also be published in scientific journals;
however, journal articles do not substitute/replace requirement for a final
report. Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Temporary,
3 years (FY)
N1-95-12-3,
item 1
PERMANENT
(FY)
N1-95-12-4,
item 9
Obsolete
Obsolete
PERMANENT
(see notes)
N1-95-12-1,
item 2
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 12 of 50
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report issued.
Note 5: Transfer file to NARA 15 years after file is closed.
Note 6: 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 7: 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 8: Store closed hardcopy records at FRC until eligible for transfer
to NARA custody.
4110
Programs
(Forest and
Rangeland
Management
Research)
Problem
Analysis
4110
Programs
(Forest and
Rangeland
Management
Research)
Program
Formulation
Records include information about Research and Development (R&D)
problems regarding forest and rangeland management. Includes specific
questions or statements of situations or conditions raised for inquiry and
solution. Records include documentation of the problem-selection
process, including an analysis of the feasibility of conducting R&D on
the various problems the unit could address. Records may include
documentation regarding the state of existing knowledge and urgency of
the problem weighed against such factors as relevant R&D underway by
other scientists, probable success in finding solutions within the specified
period, opportunities for technology transfer and application, available
resources, and ease or difficulty of reorienting R&D to problems of
higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
Temporary,
30 years
(see notes)
N1-95-12-4,
item 10
Policy, program formulation, and mangement records, including
correspondence, regarding terrestrial vegetation research. Research
focuses on forest management and silviculture, genetics and
biotechnology, soils and forest/range production, fire and other
disturbances, native and non-native insects, pathogens and plants,
beneficial arthropods and microbes, climate change, and forest
operations. Other areas in associated with this research include water,
riparian management, threatened and endangered (T&E) species,
economics, products, and carbon inventory.
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
Temporary,
30 years
(see notes)
N1-95-12-4,
item 11
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
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4110
Programs
(Forest and
Rangeland
Management
Research)
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
format (paper, magnetic media, microfilm, microfiche, and so forth).
Note 1: Close file and apply retention period when project ends.
Note 2: Records retention policies for data stored in electronic. database
repositories: scheduled under a separate records retention schedule.
Note 3: Longer retention authorized if necessary for administrative use.
Temporary,
30 years
(see notes)
N1-95-12-3,
item 2
4110
Programs
(Forest and
Rangeland
Management
Research)
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary, 30
years (FY)
N1-95-12-4,
item 12
4110
Programs
(Forest and
Rangeland
Management
Research)
Study Plans
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the research or development. Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include a
schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary, 30
years (see notes)
N1-95-12-1,
item 3
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
4200
4210
6209.11_42_4000 Series
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Wildlife and
Fish
Management
Research
General
General records, including correspondence, regarding policy and
management of wildlife and fish management research. Research
focuses on wildlife and fish management on private and public lands, and
the recovery of threatened or endangered species. Scientists investigate
the complex interactions among species, ecosystem dynamics and
processes, land use and management, and emerging broad-scale threats,
including global climate change, loss of open space, invasive species, and
disease.
Note 1: Close file at end of fiscal year.
Note 2: Transfer closed file to NARA in 5 year blocks when most
recent is 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)
N1-95-12-4,
item 13
Programs
(Wildlife and
Fish
Management
Research)
Periodic Reports
Wildlife and fish habitat research reports summarizing the results of
studies. The results may also be published in scientific journals; however,
journal articles do not substitute/replace requirement for a final report.
Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report is issued.
Note 5: Transfer file to NARA 15 years after file is closed.
Note 6: Agency Records Officer authorization via a NARA approved
transfer form [for example, ERA Transfer Request (TR)] required prior to
PERMANENT
(see notes)
N1-95-12-1,
item 4
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 15 of 50
transferring permanent records to custody and ownership of NARA.
Note 7: 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 8: Store closed hardcopy records at FRC until eligible for transfer
to NARA custody.
4210
Programs
(Wildlife and
Fish
Management
Research)
Problem
Analysis
Records include information about Research and Development (R&D)
problems regarding wildlife and fish-habitat management. Includes
specific questions or statements of situations or conditions raised for
inquiry and solution. Records include documentation of the problemselection process, including an analysis of the feasibility of conducting
R&D on the various problems the unit could address. Records may
include documentation regarding the state of existing knowledge and
urgency of the problem weighed against such factors as relevant R&D
underway by other scientists, probable success in finding solutions within
the specified period, opportunities for technology transfer and
application, available resources, and ease or difficulty of reorienting
R&D to problems of higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
Temporary,
30 years
(see notes)
N1-95-12-4,
item 14
4210
Programs
(Wildlife and
Fish
Management
Research)
Program
Formulation
Policy, program formulation, and management records, including
correspondence, regarding wildlife and fish management research.
Research focuses on wildlife and fish management on private and public
lands, and the recovery of threatened or endangered species. Scientists
investigate the complex interactions among species, ecosystem dynamics
and processes, land use and management, and emerging broad-scale
threats, including global climate chanage, loss of open space, invasive
species, and disease.
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
Temporary,
30 years
(see notes)
N1-95-12-4,
item 15
4210
Programs
(Wildlife and
Fish
Management
Research)
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
Temporary,
30 years
(see notes)
N1-95-12-3,
item 3
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 16 of 50
format (paper, magnetic media, microfilm, microfiche, and so forth).
Note 1: Close file and apply retention period when project ends.
Note 2: Records retention policies for data stored in electronic database
repositories: scheduled under a separate records retention schedule.
Note 3: Longer retention is authorized if necessary for administrative
use.
4210
Programs
(Wildlife and
Fish
Management
Research)
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-4,
item 16
4210
Programs
(Wildlife and
Fish
Management
Research)
Study Plans
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the research or development. Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include a
schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-1,
item 5
4300
Watershed and
Air Quality
Management
Research
General
General records, including correspondence, regarding policy and
management of watershed and air quality management research.
Research focuses on the sustainable management of essential water and
air resources by providing clear air and safe drinking water, by protecting
lives and property from wildland fire and smoke, and through adapting to
climate variability and change. Research features ecosystem services with
a high level of integration between water, air, and soil research; and
PERMANENT
(FY)
N1-95-12-4,
item 17
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 17 of 50
stresses the effects of climate variability and change on water budgets
and carbon sequestration from an ecosystem perspective.
Note 1: Close file at end of fiscal year.
Note 2: Transfer closed file to NARA in 5 year blocks when most
recent is 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.
4310
Programs
(Watershed and
Air Quality
Management
Research)
Periodic Reports
Watershed and air quality management research reports summarizing the
results of studies. The results may also be published in scientific journals;
however, journal articles do not substitute/replace requirement for a final
report. Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report is issued.
Note 5: Transfer file to NARA 15 years after file is closed.
Note 6: 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 7: 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 8: Store closed hardcopy records at FRC until eligible for transfer
to NARA custody.
PERMANENT
(see notes)
N1-95-12-1,
item 6
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 18 of 50
4310
Programs
(Watershed and
Air Quality
Management
Research)
Problem
Analysis
Research and Development (R&D) problems associated with watershed
management and rehabilitation. Includes specific questions or statements
of situations or conditions raised for inquiry and solution. Records
include documentation of the problem-selection process, including an
analysis of the feasibility of conducting R&D on the various problems the
unit could address. Records may include documentation regarding the
state of existing knowledge and urgency of the problem weighed against
such factors as relevant R&D underway by other scientists, probable
success in finding solutions within the specified period, opportunities for
technology transfer and application, available resources, and ease or
difficulty of reorienting R&D to problems of higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
Temporary,
30 years
(see notes)
N1-95-12-4,
item 18
4310
Programs
(Watershed and
Air Quality
Management
Research)
Program
Formulation
Policy, program formulation, and management records, including
correspondence, regarding watershed management and rehabilitation
research. Research focuses on the sustainable management of essential
water and air resources by providing clear air and safe drinking water, by
protecting lives and property from wildland fire and smoke, and through
adapting to climate variability and change. Research features ecosystem
services with a high level of integration between water, air, and soil
research; and stresses the effects of climate variability and change on
water budgets and carbon sequestration from an ecosystem perspective.
Set up individual folders as needed, for specific programs such as
classification methods, damage prevention, erosion, hydrology,
measurements, rehabilitation, and water yield improvement.
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
Temporary,
30 years
(see notes)
N1-95-12-4,
item 19
4310
Programs
(Watershed and
Air Quality
Management
Research)
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
format (paper, magnetic media, microfilm, microfiche, and so forth).
Note 1: Close file and apply retention period when project ends.
Temporary,
30 years
(see notes)
N1-95-12-3,
item 4
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 19 of 50
Note 2: Records retention policies for data stored in electronic database
repositories: scheduled under a separate records retention schedule.
Note 3: Longer retention is authorized if necessary for administrative
use.
4310
Programs
(Watershed and
Air Quality
Management
Research)
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-4,
item 20
4310
Programs
(Watershed and
Air Quality
Management
Research)
Study Plans
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the Research and Development (R&D). Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include a
schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-1,
item 7
4310
Programs
(Watershed and
Air Quality
Management
Research)
Surface
Environment
and Mining
Includes material that describes the authorities, objectives, and
responsibilities for Surface Environment and Mining.
Note 1: Washington Office maintains official record, all offices transfer
records to Washington Office.
Note 2: Close file at end of fiscal year.
Note 3: Transfer closed file to NARA in 5 year blocks when most recent
is 15 years old.
Note 4: Agency Records Officer authorization via a NARA approved
transfer form [for example, ERA Transfer Request (TR)] required prior
PERMANENT
(FY)
N1-95-12-4,
item 21
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 20 of 50
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.
4310
Programs
(Watershed and
Air Quality
Management
Research)
Surface
Environment
and Mining
Program
4400
Wildland Fire
and Fuels
Research
General
Includes material relating to the research, development, and application
program for environmentally safe techniques for the exploring, reshaping,
restoration, re-vegetation, and rehabilitation of surface-mined lands to
help meet the Nation's energy crisis.
Note 1: Establish case files as needed.
Note 2: Close file at end of fiscal year or when administrative use ends
(as applicable).
Note 3: Transfer closed file to NARA in 5 year blocks when most recent
is 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
(see notes)
N1-95-12-4,
item 22
General records, including correspondence, regarding wildland fire and
fuels research. Research focuses on developing the knowledge and tools
that managers use to reduce negative impacts and enhance beneficial
effects of fire; and fire and fuels management on society and the
environment. The research has five major focus areas:
 Understanding and modeling fundamental fire processes,
 Interactions of fire with ecosystems and the environment,
 Social and economic aspects of fire,
 Evaluation of integrated management strategies and disturbance
interactions at multiple scales, and
 Application of fire research to address management problems.
Note 1: Close file at end of fiscal year.
Note 2: Transfer closed file to NARA in 5 year blocks when most
recent is 15 years old.
Note 3: Agency Records Officer authorization via a NARA approved
PERMANENT
(FY)
N1-95-12-4,
item 23
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 21 of 50
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..
4410
Programs
(Wildland Fire
and Fuels
Research)
Periodic Reports
4410
Programs
(Wildland Fire
and Fuels
Research)
Problem
Analysis
Wildland fire and fuels research reports summarizing the results of
studies. The results may also be published in scientific journals; however,
journal articles do not substitute/replace requirement for a final report.
Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report is issued.
Note 5: Transfer file to NARA 15 years after file is closed.
Note 6: 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 7: 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 8: Store closed hardcopy records at FRC until eligible for transfer
to NARA custody.
Research and Development (R&D) problems regarding forest fires,
atmospheric science, and fire control technology. Includes specific
questions or statements of situations or conditions raised for inquiry and
solution. Records include documentation of the problem-selection
process, including an analysis of the feasibility of conducting R&D on
the various problems the unit could address. Records may include
documentation regarding the state of existing knowledge and urgency of
PERMANENT
(see notes)
N1-95-12-1,
item 8
Temporary,
30 years
(see notes)
N1-95-12-4,
item 24
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 22 of 50
the problem weighed against such factors as relevant R&D underway by
other scientists, probable success in finding solutions within the specified
period, opportunities for technology transfer and application, available
resources, and ease or difficulty of reorienting R&D to problems of
higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
4410
Programs
(Wildland Fire
and Fuels
Research)
Program
Formulation
Policy, program formulation, and management records, including
correspondence, regarding wildland fire and fuels research. Research
focuses on developing the knowledge and tools that managers use to
reduce negative impacts and enhance beneficial effects of fire; and fire
and fuels management on society and the environment. The research has
five major focus areas:
 Understanding and modeling fundamental fire processes,
 Interactions of fire with ecosystems and the environment,
 Social and economic aspects of fire,
 Evaluation of integrated management strategies and disturbance
interactions at multiple scales, and
 Application of fire research to address management problems.
Set up individual folders as needed, for specific programs such as forest
fire science, atmospheric science, and fire control technology.
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
Temporary,
30 years
(see notes)
N1-95-12-4,
tiem 25
4410
Programs
(Wildland Fire
and Fuels
Research)
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
format (paper, magnetic media, microfilm, microfiche, and so forth).
Note 1: Close file and apply retention period when project ends.
Note 2: Records retention policies for data stored in electronic database
repositories: scheduled under a separate records retention schedule.
Note 3: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-3,
item 5
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 23 of 50
4410
Programs
(Wildland Fire
and Fuels
Research)
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-4,
item 26
4410
Programs
(Wildland Fire
and Fuels
Research)
Study Plans
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the research or development. Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include a
schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-1,
item 9
4500
Entomology,
Pathology, and
Invasive Species
Research
General
General records, including correspondence, regarding entomology,
pathology, and invasive species research. The purpose of research is to
develop scientific information, methods, and technology to reduce,
minimize, or eliminate the introduction, establishment, spread, and
impact of invasive species, and to restore ecosystems affected by
invasives or restore their functions. Research focuses on plants, animals,
fish, insects, diseases, invertebrates, and other species that are not native
to the ecosystem under consideration and whose introduction causes or is
likely to cause economic or environmental harm.
Note 1: Close file at end of fiscal year.
Note 2: Transfer closed file to NARA in 5 year blocks when most recent
is 15 years old.
Note 3: Agency Records Officer authorization via a NARA approved
transfer form [for example, ERA Transfer Request (TR)] required prior
PERMANENT
(FY)
N1-95-12-4,
item 27
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 24 of 50
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.
4510
Programs
(Entomology,
Pathology, and
Invasive Species
Research)
Periodic Reports
Forest Service entomology, pathology, and invasive species research
reports summarizing the results of studies. The results may also be
published in scientific journals; however, journal articles do not
substitute/replace requirement for a final report. Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report is issued.
Note 5: Transfer file to NARA 15 years after file is closed.
Note 6: 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 7: 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 8: Store closed hardcopy records at FRC until eligible for transfer
to NARA custody.
PERMANENT
(see notes)
N1-95-12-1,
item 10
4510
Programs
(Entomology,
Pathology, and
Invasive Species
Research)
Problem
Analysis
Research and Development (R&D) problems regarding insect control
methods, insect identification, insect survey techniques, and forest
insects. Includes specific questions or statements of situations or
conditions raised for inquiry and solution. Records include
documentation of the problem-selection process, including an analysis of
the feasibility of conducting R&D on the various problems the unit could
address. Records may include documentation regarding the state of
existing knowledge and urgency of the problem weighed against such
Temporary,
30 years
(see notes)
N1-95-12-4,
item 28
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 25 of 50
factors as relevant R&D underway by other scientists, probable success in
finding solutions within the specified period, opportunities for technology
transfer and application, available resources, and ease or difficulty of
reorienting R&D to problems of higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
4510
Programs
(Entomology,
Pathology, and
Invasive Species
Research)
Program
Formulation
Policy, program formulation, and management records, including
correspondence, regarding entomology, pathology, and invasive species
research. The purpose of research is to develop scientific information,
methods, and technology to reduce, minimize, or eliminate the
introduction, establishment, spread, and impact of invasive species, and
to restore ecosystems affected by invasives or restore their functions.
Research focuses on plants, animals, fish, insects, diseases, invertebrates,
and other species that are not native to the ecosystem under consideration
and whose introduction causes or is likely to cause economic or
environmental harm. Set up individual folders, as needed, for specific
programs such as control methods, insect identification, insect survey
techniques, and forest insects.
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
Temporary,
30 years
(see notes)
N1-95-12-4,
item 29
4510
Programs
(Entomology,
Pathology, and
Invasive Species
Research)
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
format (paper, magnetic media, microfilm, microfiche, and so forth).
Note 1: Close file and apply retention period when project ends.
Note 2: Records retention policies for data stored in electronic database
repositories: scheduled under a separate records retention schedule.
Note 3: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-3,
item 6
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 26 of 50
4510
Programs
(Entomology,
Pathology, and
Invasive Species
Research)
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-4,
item 30
4510
Programs
(Entomology,
Pathology, and
Invasive Species
Research)
Study Plans
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the research or development. Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include a
schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-1,
item 11
4600
Inventory and
Monitoring
Research
General
General records, including correspondence, regarding development of
resource data, analysis, and tools needed to effectively identify current
status and trends of forests, management options and impacts, and threats
and impacts of fire, insects, disease, and other natural processes,
enhancing use and value of our Nation’s forests and grasslands.
Assessing current and potential effects of climate change is dependent on
monitoring of forest ecosystems at greatest risk to rapid change. Focus
areas include the development and use of integrated interdisciplinary
science, technologies and remote sensing to increase the timeliness and
spatial resolution of incidence of forest fragmentation from land use
change, and incidence of insect, disease, fire, and extreme weather
events.
Note 1: Close file at end of fiscal year.
PERMANENT
(FY)
N1-95-12-4,
item 31
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 27 of 50
Note 2: Transfer closed file to NARA in 5 year blocks when most recent
is 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.
4610
Programs
(Inventory and
Monitoring
Research)
Periodic Reports
Inventory and monitoring research reports summarizing the results of
studies. The results may also be published in scientific journals; however,
journal articles do not substitute/replace requirement for a final report.
Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report is issued.
Note 5: Transfer to NARA 15 years after file is closed.
Note 6: 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 7: 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 8: Store closed hardcopy records at FRC until eligible for
transfer to NARA custody.
PERMANENT
(see notes)
N1-95-12-1,
item 12
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 28 of 50
4610
Programs
(Inventory and
Monitoring
Research)
Problem
Analysis
Research and Development (R&D) problems regarding inventory and
monitoring methods. Includes specific questions or statements of
situations or conditions raised for inquiry and solution. Records include
documentation of the problem-selection process, including an analysis of
the feasibility of conducting R&D on the various problems the unit could
address. Records may include documentation regarding the state of
existing knowledge and urgency of the problem weighed against such
factors as relevant R&D underway by other scientists, probable success in
finding solutions within the specified period, opportunities for technology
transfer and application, available resources, and ease or difficulty of
reorienting R&D to problems of higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
Temporary,
30 years
(see notes)
N1-95-12-4,
item 32
4610
Programs
(Inventory and
Monitoring
Research)
Program
Formulation
Policy, program formulation, and management records, including
correspondence, regarding development of resource data, analysis, and
tools needed to effectively identify current status and trends of forests,
management options and impacts, and threats and impacts of fire, insects,
disease, and other natural processes, enhancing use and value of our
Nation’s forests and grasslands. Assessing current and potential effects of
climate change is dependent on monitoring of forest ecosystems at
greatest risk to rapid change. Focus areas include the development and
use of integrated interdisciplinary science, technologies and remote
sensing to increase the timeliness and spatial resolution of incidence of
forest fragmentation from land use change, and incidence of insect,
disease, fire, and extreme weather events.
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
Temporary,
30 years
(see notes)
N1-95-12-4,
item 33
4610
Programs
(Inventory and
Monitoring
Research)
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
format (paper, magnetic media, microfilm, microfiche, and so forth).
Note 1: Close file and apply retention period when project ends.
Temporary,
30 years
(see notes)
N1-95-12-3,
item 7
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 29 of 50
Note 2: Records retention policies for data stored in electronic database
repositories: scheduled under a separate records retention schedule.
Note 3: Longer retention is authorized if necessary for administrative
use.
4610
Programs
(Inventory and
Monitoring
Research)
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-4,
item 34
4610
Programs
(Inventory and
Monitoring
Research)
Study Plans
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the research or development. Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include a
schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-1,
item 13
4700
Forest Products
and Uses
Research
General
General correspondence and information regarding the forest products
and harvesting research program not covered elsewhere in this schedule.
The Forest Products and Uses (FPU) research program provides the
scientific and technology base to sustainably manage and use forest and
forest fiber-based products. Focus areas include plant, soil, and social
sciences; silviculture; productivity; forest and range management;
harvesting operations; forest and biomass products and utilization;
economics; urban forestry; bioenergy; and climate change.
Note 1: Close file at end of fiscal year.
PERMANENT
(FY)
N1-95-12-4,
item 35
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 30 of 50
Note 2: Transfer closed file to NARA in 5 year blocks when most
recent is 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.
4710
Programs
(Forest Products
and Uses
Research)
Periodic Reports
Forest products and uses program research reports summarizing the
results of studies. The results may also be published in scientific journals;
however, journal articles do not substitute/replace requirement for a final
report. Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report is issued.
Note 5: Transfer to NARA 15 years after file is closed.
Note 6: 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 7: 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 8: Store closed hardcopy records at FRC until eligible for transfer
to NARA custody.
PERMANENT
(see notes)
N1-95-12-1,
item 14
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 31 of 50
4710
Programs
(Forest Products
and Uses
Research)
Problem
Analysis
Research and Development (R&D) problems regarding utilization of
forest and forest fiber-based products. Includes specific questions or
statements of situations or conditions raised for inquiry and solution.
Records include documentation of the problem-selection process,
including an analysis of the feasibility of conducting R&D on the various
problems the unit could address. Records may include documentation
regarding the state of existing knowledge and urgency of the problem
weighed against such factors as relevant R&D underway by other
scientists, probable success in finding solutions within the specified
period, opportunities for technology transfer and application, available
resources, and ease or difficulty of reorienting R&D to problems of
higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
Temporary,
30 years
(see notes)
N1-95-12-4,
item 36
4710
Programs
(Forest Products
and Uses
Research)
Program
Formulation
Policy, program formulation, and management records, including
correspondence, regarding the forest products and harvesting research
program not covered elsewhere in this schedule. The Forest Products and
Uses (FPU) research program provides the scientific and technology base
to sustainably manage and use forest and forest fiber-based products.
Focus areas include plant, soil, and social sciences; silviculture;
productivity; forest and range management; harvesting operations; forest
and biomass products and utilization; economics; urban forestry;
bioenergy; and climate change.
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
Temporary,
30 years
(see notes)
N1-95-12-4,
item 37
4710
Programs
(Forest Products
and Uses
Research)
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
format (paper, magnetic media, microfilm, microfiche, and so forth).
Note 1: Close file and apply retention period when project ends.
Note 2: Records retention policies for data stored in electronic database
repositories: scheduled under a separate records retention schedule.
Temporary,
30 years
(see notes)
N1-95-12-3,
item 8
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 32 of 50
Note 3: Longer retention is authorized if necessary for administrative
use.
4710
Programs
(Forest Products
and Uses
Research)
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary, 30
years (FY)
N1-95-12-4,
item 38
4710
Programs
(Forest Products
and Uses
Research)
Study Plans
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the research or development. Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include a
schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-1,
item 15
4800
Forest Values
and Benefits
Research
General
General records, including correspondence, regarding Forest Values and
Benefits (FBV) research. The focus of the FBV program is to promote
human and ecological sustainability through research directed at
understanding and managing forest products and their values and benefits
that connect people with the natural world. This research focuses on
nature-based recreation and changing trends in urban American society;
connnections between recreation visitors, communities and the
environment; human benefits and consequences of recreation and nature
contact; the effectiveness of recreation management and decisionmaking;
and sustaining ecosystems affected by recreation.
Note 1: Close file at end of fiscal year.
PERMANENT
(FY)
N1-95-12-4,
item 39
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 33 of 50
Note 2: Transfer closed file to NARA in 5 year blocks when most
recent is 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.
4810
Programs
(Forest Values
and Benefits
Research)
Periodic Reports
Forest values and benefits research reports summarizing the results of
studies. The results may also be published in scientific journals; however,
journal articles do not substitute/replace requirement for a final report.
Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report is issued.
Note 5: Transfer to NARA 15 years after file is closed.
Note 6: 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 7: 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 8: Store closed hardcopy records at FRC until eligible for
transfer to NARA custody.
PERMANENT
(see notes)
N1-95-12-1,
item 16
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 34 of 50
4810
Programs
(Forest Values
and Benefits
Research)
Problem
Analysis
Records associated with Research and Development (R&D) problems
regarding forest values and benefits research. Includes specific questions
or statements of situations or conditions raised for inquiry and solution.
Records include documentation of the problem-selection process,
including an analysis of the feasibility of conducting R&D on the various
problems the unit could address. Records may include documentation
regarding the state of existing knowledge and urgency of the problem
weighed against such factors as relevant R&D underway by other
scientists, probable success in finding solutions within the specified
period, opportunities for technology transfer and application, available
resources, and ease or difficulty of reorienting R&D to problems of
higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
Temporary,
30 years
(see notes)
N1-95-12-4,
item 40
4810
Programs
(Forest Values
and Benefits
Research)
Program
Formulation
Policy, program formulation, and management records, including
correspondence, regarding forest values and benefits research. Includes
specific questions or statements of situations or conditions raised for
inquiry and solution. Records include documentation of the problemselection process, including an analysis of the feasibility of conducting
R&D on the various problems the unit could address. Records may
include documentation regarding the state of existing knowledge and
urgency of the problem weighed against such factors as relevant R&D
underway by other scientists, probable success in finding solutions within
the specified period, opportunities for technology transfer and
application, available resources, and ease or difficulty of reorienting
R&D to problems of higher priority.
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
Temporary,
30 years
(see notes)
N1-95-12-4,
item 41
4810
Programs
(Forest Values
and Benefits
Research)
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
format (paper, magnetic media, microfilm, microfiche, and so forth.).
Temporary,
30 years
(see notes)
N1-95-12-3,
item 9
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 35 of 50
Note 1: Close file and apply retention period when project ends.
Note 2: Records retention policies for data stored in electronic database
repositories: scheduled under a separate records retention schedule.
Note 3: Longer retention is authorized if necessary for administrative
use.
4810
Programs
(Forest Values
and Benefits
Research)
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-4,
item 42
4810
Programs
(Forest Values
and Benefits
Research)
Study Plans
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the research or development. Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include a
schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-1,
item 17
4820
Renewable
Resources
Economics
General
Records, including general correspondence, related to procedures and
direction associated with renewable resources economics. The focus of
the program is to:
 Provide economic analysis techniques and information for evaluating
management and protection alternatives for forest and rangeland
 Provide economic concepts and analysis procedures for evaluation of
multiple output trade-offs on public and private lands.
 Provide analysis of present and future forest products demands,
PERMANENT
(FY)
N1-95-12-4,
item 43
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 36 of 50
values, and trade patterns.
 Evaluate feasibility of emerging product and processing technology
for wood and other forest products.
Note 1: Close file at end of fiscal year.
Note 2: Transfer closed file to NARA in 5 year blocks when most
recent is 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.
4820
Renewable
Resources
Economics
Periodic Reports
Renewable resources economic reports summarizing the results of
studies. The results may also be published in scientific journals; however,
journal articles do not substitute/replace requirement for a final report.
Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report is issued.
Note 5: Transfer to NARA 15 years after file is closed.
Note 6: 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 7: 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 8: Store closed hardcopy records at FRC until eligible for
transfer to NARA custody.
PERMANENT
(see notes)
N1-95-12-1,
item 18
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 37 of 50
4820
Renewable
Resources
Economics
Problem
Analysis
Records, including general correspondence, related to procedures and
direction associated with renewable resources economics.
Includes specific questions or statements of situations or conditions raised
for inquiry and solution. Records include documentation of the problemselection process, including an analysis of the feasibility of conducting
R&D on the various problems the unit could address. Records may
include documentation regarding the state of existing knowledge and
urgency of the problem weighed against such factors as relevant R&D
underway by other scientists, probable success in finding solutions within
the specified period, opportunities for technology transfer and
application, available resources, and ease or difficulty of reorienting
R&D to problems of higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
Temporary,
30 years
(see notes)
N1-95-12-4,
item 44
4820
Renewable
Resources
Economics
Program
Formulation
Policy, program formulation, and management records, including
correspondence, regarding renewable resources economics research.
Includes specific questions or statements of situations or conditions raised
for inquiry and solution. Records include documentation of the problemselection process, including an analysis of the feasibility of conducting
R&D on the various problems the unit could address. Records may
include documentation regarding the state of existing knowledge and
urgency of the problem weighed against such factors as relevant R&D
underway by other scientists, probable success in finding solutions within
the specified period, opportunities for technology transfer and
application, available resources, and ease or difficulty of reorienting
R&D to problems of higher priority.
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
Temporary,
30 years
(see notes)
N1-95-12-4,
item 45
4820
Renewable
Resources
Economics
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
format (paper, magnetic media, microfilm, microfiche, and so forth).
Note 1: Close file and apply retention period when project ends.
Note 2: Records retention policies for data stored in electronic database
Temporary,
30 years
(see notes)
N1-95-12-3,
item 10
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 38 of 50
repositories: scheduled under a separate records retention schedule.
Note 3: Longer retention is authorized if necessary for administrative
use.
4820
Renewable
Resources
Economics
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-4,
item 46
4820
Renewable
Resources
Economics
Study Plans
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the research or development. Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include a
schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-1,
item 19
4900
Emerging
Research Areas
General
General records, including correspondence, regarding development of
Emerging Research Areas (ERAs). ERAs rest on a science foundation
structured around Research and Development’s (R&D’s) Strategic
Program Areas. In 2012 the five (5) ERAs are:
 Climate Change: Adaptation research to improve the resiliency of
forests, rangelands and aquatic areas, and mitigating the adverse
impacts of climate change through trees, forests, and forest ecosystems.
 Biofuels: Alternative energy sources and new markets that contribute to
energy security and independence while reducing greenhouse gases.
 Urban Natural Resources Stewardship: The management, protection,
PERMANENT
(FY)
N1-95-12-5,
item 5
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 39 of 50
and stewardshiop of urban natural resources to improve people’s lives.
 Nanotechnology: Leading-edge innovations in the development of
wood products.
 Water Management and Restoration: Best management practices
designed to protect and restore watersheds that enhance water quantity
and quality.
Note 1: The list of Emerging Research Areas will change over time at
R&D’s discretion as new research areas come into being
Note 2: Close file at end of fiscal year.
Note 3: Transfer closed file to NARA in 5 year blocks when most
recent is 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.
4910
Programs
(Emerging
Research Areas)
Periodic Reports
Emerging research reports summarizing the results of studies. The results
may also be published in scientific journals; however, journal articles do
not substitute/replace requirement for a final report. Includes refined data
sets used during the writing of the periodic reports. Final reports include:
 Study title and administrative identifying information
 Names of Principal Investigators and research unit(s) that performed
the study
 Study initiation and termination dates
 Plain language summary of conclusions drawn from the study and their
impact on science and society
Note 1: Additional report information requirements may be specified by
R&D or individual Reseach Stations.
Note 2: Research Stations maintain official record.
Note 3: Create case files as needed.
Note 4: Close file when report is issued.
Note 5: Transfer all records, including refined data sets used during the
writing of the report, to NARA 15 years after file is closed.
Note 6: Agency Records Officer authorization via a NARA approved
transfer form [for example, ERA Transfer Request (TR)] required prior to
PERMANENT
(see notes)
N1-95-12-3,
item 12
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 40 of 50
transferring permanent records to custody and ownership of NARA.
Note 7: 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 8: Store closed hardcopy records at FRC until eligible for
transfer to NARA custody.
4910
Programs
(Emerging
Research Areas)
Problem
Analysis
Research and Development (R&D) problems associated with emerging
research areas. Includes specific questions or statements of situations or
conditions raised for inquiry and solution. Records include
documentation of the problem-selection process, including an analysis of
the feasibility of conducting R&D on the various problems the unit could
address. Records may include documentation regarding the state of
existing knowledge and urgency of the problem weighed against such
factors as relevant R&D underway by other scientists, probable success in
finding solutions within the specified period, opportunities for technology
transfer and application, available resources, and ease or difficulty of
reorienting R&D to problems of higher priority.
Note 1: Create case files as needed.
Note 2: Close file and apply retention period when problem resolved.
Temporary,
30 years
(see notes)
N1-95-12-5,
item 6
4910
Program
(Emerging
Research Areas)
Program
Formulation
Policy, program formulation, and management records, including
correspondence, regarding regarding development of Emerging Research
Areas (ERAs). ERAs rest on a science foundation structured around
Research and Development’s Strategic Program Areas. In 2012 the five
(5) ERAs are:
 Climate Change: Adaptation research to improve the resiliency of
forests, rangelands and aquatic areas, and mitigating the adverse
impacts of climate change through trees, forests, and forest ecosystems.
 Biofuels: Alternative energy sources and new markets that contribute
to energy security and independence while reducing greenhouse gases.
 Urban Natural Resources Stewardship: The management, protection,
and stewardshiop of urban natural resources to improve people’s lives.
 Nanotechnology: Leading-edge innovations in the development of
wood products.
 Water Management and Restoration: Best management practices
designed to protect and restore watersheds that enhance water quantity
and quality.
Set up individual folders, as needed, for specific programs such as
economics, facilities, resources, and users.
Temporary,
30 years
(see notes)
N1-95-12-5,
item 7
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 41 of 50
Note 1: Establish case files as needed.
Note 2: Close file and apply retention period at end of fiscal year or
when administrative use ends (as applicable).
4910
Programs
(Emerging
Research Areas)
Research Data
(Raw)
All raw data and supplementary documentation produced during a study
are to be maintained in original form. These records may also be stored
as structured data in an electronic database repository or in the Agency
Research Data Archive (scheduled separately, see 4020). Records
include, but are not limited to, observational data, sensor data, laboratory
worksheets, records, notes, memoranda, photographs, software,
videotapes, computer printouts, and instrument outputs in any storage
format (paper, magnetic media, microfilm, microfiche, and so forth).
Note 1: Close file and apply retention period when project ends.
Note 2: Records retention policies for data stored in electronic database
repositories: scheduled under a separate records retention schedule.
Note 3: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-3,
item 13
4910
Programs
(Emerging
Research Areas)
Research Work
Units
Research Work Units and Programs are the basic problem-solving
elements of Station Research and Development (R&D) programs.
Stations meet changing R&D needs and priorities by establishing new
Research Work Units and programs, discontinuing old units and
programs, or revising them, with concurrence of the Deputy Chief for
R&D. Records maintained are associated with organization of a research
work unit and general information regarding the work done by each work
unit, including but not limited to research work unit descriptions or
program charters. Types of research work units include pioneering
research work units; multifunctional research work units; multi-project
programs; research and development programs; and research,
development, and application programs, including descriptions.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
30 years (FY)
N1-95-12-5,
item 8
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
4910
Programs
(Emerging
Research Areas)
Study Plans
6209.11_42_4000 Series
Page 42 of 50
Records consist of the description of the proposed study or experiment; a
review of pertinent literature; a statement of the specific objectives; and a
description of the field, laboratory, and office methods planned for use in
the research or development. Additional records may include
documentation associated with application of results obtained from the
study and identification of means for minimizing environmental health
and safety hazards associated with the study. The plan may also include
a schedule of activities and an estimate of the cost in scientist-years and
funds and assign responsibility for conducting the study.
Note 1: Close file and apply retention period when final report is issued.
Note 2: Longer retention is authorized if necessary for administrative
use.
Temporary,
30 years
(see notes)
N1-95-12-3,
item 11
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_4000 Series
Page 43 of 50
4000 Series – Exhibit 01
Reference - Superseded file coding system
FS FILE
CODE
4000
4000
4000
4000
4020
4020
4020
4060
4060
4060
4060
4060
HEADING
Research and
Development
Research and
Development
Research and
Development
Research and
Development
Research Data
Management
Research Data
Management
Research Data
Management
Research Facilities and
Areas
Research Facilities and
Areas
Research Facilities and
Areas
Research Facilities and
Areas
Research Facilities and
Areas
SUB-HEADINGS
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
General
4000
N1-95-88-2
Inquiries
4000-1
GRS 14-1
Statistical Methods
4000-2
N1-95-88-2
Statistical Reports
New
New
General
New
New
Policies and Procedures
New
New
Research Data Archive
New
New
Construction
4060-1
N1-95-88-2
Equipment
4060-4
N1-95-88-2
Experimental Forests and
Ranges
General
4060-2
N1-95-88-2
4060
N1-95-88
Research Natural Areas
4060-3
N1-95-88-2
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6209.11_42_4000 Series
Page 44 of 50
PREVIOUS
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
HEADING
SUB-HEADINGS
(SUPERSEDED)
FILE CODE
General
4070
4080
Research Program
Formulation and
Documentation
Research Administration
Cooperative Agreements
4080-1
4080
4080
Research Administration
Research Administration
General
Grants
4080
4080-2
4080
Research Administration
Interagency Agreements
4080-3
4080
Research Administration
New
N1-95-12-4, item 6
4090
4100
Handbooks (Research)
Forest and Rangeland
Management Research
Programs (Forest and
Rangeland Management
Research)
Unsuccessful G&A
Applications
General
General
New
4100
New
N1-95-88-2
4070
4110
Dendrology
(Obsolete)
4110-3
N1-95-88-2
File rejected
applications under
“4080 – Research
Administration –
Unsuccessful G&A
Applications
File rejected
applications under
“4080 – Research
Administration –
Unsuccessful G&A
Applications”
File rejected
applications under
“4080 – Research
Administration –
Unsuccessful G&A
Applications”
Obsolete
N1-95-88-2;
N1-95-12-4, item 7
N1-95-88-2
N1-95-88-2;
N1-95-12-4, item 6
N1-95-88-2;
N1-95-12-4, item 8
N1-95-88-2
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
4110
4110
4110
4110
4110
4110
4200
4210
4210
4210
4210
6209.11_42_4000 Series
Page 45 of 50
PREVIOUS
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
HEADING
SUB-HEADINGS
(SUPERSEDED)
FILE CODE
Programs (Forest and
Rangeland Management
Research)
Programs (Forest and
Rangeland Management
Research)
Programs (Forest and
Rangeland Management
Research)
Programs (Forest and
Rangeland Management
Research)
Programs (Forest and
Rangeland Management
Research)
Programs (Forest and
Rangeland Management
Research)
Wildlife and Fish
Management Research
Programs (Wildlife and
Fish Management
Research)
Programs (Wildlife and
Fish Management
Research)
Programs (Wildlife and
Fish Management
Research)
Programs (Wildlife and
Periodic Reports
4110-2
N1-95-88-2
Problem Analysis
4110-1-2
N1-95-88-2
Program Formulation
4110
N1-95-88-2
Research Data (Raw)
New
New
Research Work Units
4110-1-1
N1-95-88-2
Study Plans
4110-1-3
N1-95-88-2
General
4200
N1-95-88-2
Periodic Reports
4210-2
N1-95-88-2
Problem Analysis
4210-1-2
N1-95-88-2
Program Formulation
4210
N1-95-88-2
Research Data (Raw)
New
New
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
4210
4210
4300
4310
4310
4310
4310
4310
4310
4310
6209.11_42_4000 Series
Page 46 of 50
PREVIOUS
HEADING
Fish Management
Research)
Programs (Wildlife and
Fish Management
Research)
Programs (Wildlife and
Fish Management
Research)
Watershed and Air
Quality Management
Research
Programs (Watershed
and Air Quality
Management Research)
Programs (Watershed
and Air Quality
Management Research)
Programs (Watershed
and Air Quality
Management Research)
Programs (Watershed
and Air Quality
Management Research)
Programs (Watershed
and Air Quality
Management Research)
Programs (Watershed
and Air Quality
Management Research)
Programs (Watershed
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
SUB-HEADINGS
(SUPERSEDED)
FILE CODE
Research Work Units
4210-1-1
N1-95-88-2
Study Plans
4210-1-3
N1-95-88-2
General
4300
N1-95-88-2
Periodic Reports
4310-2
N1-95-88-2
Problem Analysis
4310-1-2
N1-95-88-2
Program Formulation
4310
N1-95-88-2
Research Data (Raw)
New
New
Research Work Units
4310-1-1
N1-95-88-2
Study Plans
4310-1-3
N1-95-88-2
Surface Environment and
4310-3
N1-95-88-2
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
4310
4400
4410
4410
4410
4410
4410
4410
4500
4510
4510
4510
6209.11_42_4000 Series
Page 47 of 50
PREVIOUS
HEADING
SUB-HEADINGS
and Air Quality
Management Research)
Programs (Watershed
and Air Quality
Management Research)
Wildland Fire and Fuels
Research
Programs (Wildland Fire
and Fuels Research)
Programs (Wildland Fire
and Fuels Research)
Programs (Wildland Fire
and Fuels Research)
Programs (Wildland Fire
and Fuels Research)
Programs (Wildland Fire
and Fuels Research)
Programs (Wildland Fire
and Fuels Research)
Entomology, Pathology,
and Invasive Species
Research
Programs (Entomology,
Pathology, and Invasive
Species Research)
Programs (Entomology,
Pathology, and Invasive
Species Research)
Programs (Entomology,
Pathology, and Invasive
Mining
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
Surface Environment and
Mining Program
4310-3-1
N1-95-88-2
General
4400
N1-95-88-2
Periodic Reports
4410-2
N1-95-88-2
Problem Analysis
4410-1-2
N1-95-88-2
Program Formulation
4410
N1-95-88-2
Research Data (Raw)
New
New
Research Work Units
4410-1-1
N1-95-88-2
Study Plans
4410-1-3
N1-95-88-2
General
4500
N1-95-88-2
Periodic Reports
4510-2
N1-95-88-2
Problem Analysis
4510-1-2
N1-95-88-2
Program Formulation
4510
N1-95-88-2
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
4510
4510
4510
4600
4610
4610
4610
4610
4610
4610
4700
4710
6209.11_42_4000 Series
Page 48 of 50
PREVIOUS
HEADING
Species Research)
Programs (Entomology,
Pathology, and Invasive
Species Research)
Programs (Entomology,
Pathology, and Invasive
Species Research)
Programs (Entomology,
Pathology, and Invasive
Species Research)
Inventory and
Monitoring Research
Programs (Inventory and
Monitoring Research)
Programs (Inventory and
Monitoring Research)
Programs (Inventory and
Monitoring Research)
Programs (Inventory and
Monitoring Research)
Programs (Inventory and
Monitoring Research)
Programs (Inventory and
Monitoring Research)
Forest Products and Uses
Research
Programs (Forest
Products and Uses
Research)
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
SUB-HEADINGS
(SUPERSEDED)
FILE CODE
Research Data (Raw)
New
New
Research Work Units
4510-1-1
N1-95-88-2
Study Plans
4510-1-3
N1-95-88-2
General
4800, 4810
N1-95-88-2
Periodic Reports
4810-2
N1-95-882
Problem Analysis
4810-1-2
N1-95-88-2
Program Formulation
4810-1, 4810-3
N1-95-88-2
Research Data (Raw)
New
New
Research Work Units
4810-1-1
N1-95-88-2
Study Plans
4810-1-3
N1-95-88-2
General
4700
N1-95-88-2
Periodic Reports
4710-2
N1-95-88-1
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
4710
4710
4710
4710
4710
4800
4810
4810
4810
4810
4810
4810
6209.11_42_4000 Series
Page 49 of 50
PREVIOUS
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
HEADING
SUB-HEADINGS
(SUPERSEDED)
FILE CODE
Programs (Forest
Products and Uses
Research)
Programs (Forest
Products and Uses
Research)
Programs (Forest
Products and Uses
Research)
Programs (Forest
Products and Uses
Research)
Programs (Forest
Products and Uses
Research)
Forest Values and
Benefits Research
Programs (Forest Values
and Benefits Research)
Programs (Forest Values
and Benefits Research)
Programs (Forest Values
and Benefits Research)
Programs (Forest Values
and Benefits Research)
Programs (Forest Values
and Benefits Research)
Programs (Forest Values
and Benefits Research)
Problem Analysis
4710-1-2
N1-95-88-2
Program Formulation
4710
N1-95-88-2
Research Data (Raw)
New
New
Research Work Units
4710-1-1
N1-95-88-2
Study Plans
4710-1-3
N1-95-88-2
General
4900
N1-95-88-2
Periodic Reports
4910-2
N1-95-88-2
Problem Analysis
4910-1-2
N1-95-88-2
Program Formulation
4910
N1-95-88-2
Research Data (Raw)
New
New
Research Work Units
4910-1-1
N1-95-88-2
Study Plans
4910-1-3
N1-95-88-2
WO AMENDMENT 6209.11-2016-5
EFFECTIVE DATE: 04/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
4820
4820
4820
4820
4820
4820
4820
4900
4910
4910
4910
4910
4910
4910
6209.11_42_4000 Series
Page 50 of 50
PREVIOUS
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
HEADING
SUB-HEADINGS
(SUPERSEDED)
FILE CODE
Renewable Resources
Economics
Renewable Resources
Economics
Renewable Resources
Economics
Renewable Resources
Economics
Renewable Resources
Economics
Renewable Resources
Economics
Renewable Resources
Economics
Emerging Research
Areas
Programs (Emerging
Research Areas)
Programs (Emerging
Research Areas)
Program (Emerging
Research Areas)
Programs (Emerging
Research Areas)
Programs (Emerging
Research Areas)
Programs (Emerging
Research Areas)
General
4820
N1-95-88-2
Periodic Reports
4820-2
N1-95-88-2
Problem Analysis
4820-1-2
N1-95-88-2
Program Formulation
4820-1
N1-95-88-2
Research Data (Raw)
New
New
Research Work Units
4820-1-1
N1-95-88-2
Study Plans
4820-1-3
N1-95-88-2
General
New
New
Periodic Reports
New
New
Problem Analysis
New
New
Program Formulation
New
New
Research Data (Raw)
New
New
Research Work Units
New
New
Study Plans
New
New