6209.11_42_6000 Series
Page 1 of 140
FOREST SERVICE HANDBOOK
NATIONAL HEADQUARTERS (WO)
WASHINGTON, DC
FSH 6209.11 – RECORDS MANAGEMENT HANDBOOK
CHAPTER 40 – FILE DESIGNATIONS AND DISPOSITION
Amendment No.: The 6209.11-2016-4
Effective Date: February 4, 2016
Duration: This amendment is effective until superseded or removed.
Approved: J. LENISE LAGO
Deputy Chief for Business Operations
Date Approved: 01/27/2016
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 6209.11-2016-3 to 6209.11_42_5000 Series.
New Document
6209.11_42_6000 Series
140 Pages
Superseded Document(s) by
Issuance Number and
Effective Date
6209.11_42_6000 Series
92 Pages
Digest:
42 - Revises 6000 file code series direction previously issued.
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 2 of 140
Table of Contents
42 - FILE DESIGNATIONS AND RETENTION PERIODS.............................................. 3
6000 - Series File Codes ......................................................................................................... 3
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 3 of 140
42 - FILE DESIGNATIONS AND RETENTION PERIODS
6000 - 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
6000
6100
Administration
Personnel
Reference
General
6100
Personnel
Inquiries
6100
Personnel
Institutional and
Specialized
Knowledge
Records
6100
Personnel
OPF - Duplicate
Documentation
DESCRIPTION
Reference - Use for Routing purposes only.
Correspondence, reports, and other records relating to the general
administration and operation of personnel functions, but excluding
records specifically described elsewhere in this schedule and records
maintained at agency staff planning levels.
Note: Close file at end of fiscal year and apply retention period.
Requests for information and copies of replies thereto, involving no
administrative actions, no policy decisions, and no special
compilations or research and requests for and transmittals of
publications, photographs, and other information literature.
RETENTION
RETENTION
AUTHORITY
Reference
Temporary,
3 years (FY)
Reference
GRS 1-3
Temporary,
3 months
GRS 4.2, ITEM
010 (DAA-GRS2013-0007-0001)
Temporary (see GRS 2.5, item
Records documenting capture of institutional and specialized
description) 030 (DAA-GRSknowledge. Includes status updates on current and pending
2014-0004-0004)
assignments, contact information for sources, and other job-related
inofrmation an office may choose to obtain from a departing
employee.
Exclusion: Formal oral histories recorded with an employee before
his/her depature are not covered by this item. These are retained
under: ‘1680 – History Program – Archival History’ and
other/additional file code categories as appropriate.
Retention/Disposition: Temporary, destroy when no longer required
for business use.
Other copies of documents duplicated in OPFs not provided for
Temporary,
GRS 1-18b
elsewhere in this schedule.
6 months
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6100
Personnel
6100
Personnel
Personnel
Operations
Statistical Reports
Reference
6100
Personnel
Statistical
Summaries
6100
Personnel
Supervisor’s
Personnel Files
6120
Programs,
Standards, Actions,
and Documents
Applicant Case
Files
6209.11_42_6000 Series
Page 4 of 140
DESCRIPTION
RETENTION
Statistical reports in the operating personnel office and subordinate
Temporary,
units relating to personnel.
2 years (FY)
Note: Close file at end of fiscal year and apply retention period.
Agency civilian personnel records relate to the supervision and
Reference
management of Federal civilian employees. The most important types
of records, the Official Personnel Folders (OPF), the Service Record
Cards, and the Employee Medical Folders, are maintained according to
The Guide to Personnel Recordkeeping, an Office of Personnel
Management (OPM) manual that prescribes a system of recordkeeping
for Federal personnel.
Copies of statistical summaries and reports (with related papers)
Temporary,
pertaining to employee health (retained by the reporting unit).
2 years
Note 1: Electronic master files and databases created to supplement or
(see note)
replace the records covered by this item are not authorized for disposal
under the GRS. Schedule such files on an SF 115.
Note 2: Retention period begins on date of summary or report.
Correspondence, forms, and other records relating to positions,
Temporary,
authorizations, pending actions, position descriptions, requests for
1 year
personnel action, and records on individual employees duplicated in or
(see note)
not appropriate for the OPF. Also includes employee emergency
contact information.
Retention/Disposition: Review annually and destroy superseded or
obsolete documents, or destroy file relating to an employee within 1
year after separation or transfer.
Note : A copy of the employee’s Individual Development Plan (IDP)
may be retained in this file. See ‘6140 - Employee Development,
Performance, Awards - Training - Employee Training’ for disposition
of the IDP
Case files documenting the processing of investigations on Federal
Temporary,
employees or applicants for Federal employment, whether or not a
5 years
security clearance is granted, and other persons, such as those
(see note)
performing work for a Federal agency under contract, who require an
approval before having access to Government facilities or to sensitive
data. These files include questionnaires, summaries of reports
prepared by the investigating agency, and other records reflecting the
RETENTION
AUTHORITY
GRS 1-16
Reference
GRS 1-22
GRS 1-18a
GRS 18-22a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6120
Programs,
Standards, Actions,
and Documents
6120
Programs,
Standards, Actions,
and Documents
6120
Programs,
Standards, Actions,
and Documents
6120
Programs,
Standards, Actions,
and Documents
6130
Employment and
Status Changes
SUB-HEADING
6209.11_42_6000 Series
Page 5 of 140
DESCRIPTION
RETENTION
processing of the investigation and the status of the clearance,
exclusive of copies of investigative reports furnished by the
investigating agency.
Note 1: Personnel security clearance case files created under Office
of Personnel Management procedures and regulations and related
indexes maintained by the personnel security office of the employing
agency.
Note 2: Per GRS - Destroy upon notification of death or not later than
5 years after separation or transfer of employee or no later than 5 years
after contract relationship expires, whichever is applicable.
General
Official records, including correspondence, regarding programs,
Temporary,
standards, actions, and associated documentation, too general to be
3 years (FY)
retained under any other 6120 category.
Note: Close file at end of fiscal year and apply retention period.
Indexes
Index to the Personnel Security Case Files.
Temporary (see
Note 1: Personnel security clearance case files created under Office of
note)
Personnel Management procedures and regulations and related indexes
maintained by the personnel security office of the employing agency.
Note 2: Destroy with related case file.
Investigative
Investigative reports and related documents furnished to agencies by Temporary (see
Reports
investigative organizations for use in making security/suitability
note)
determinations.
Note 1: Personnel security clearance case files created under Office
of Personnel Management procedures and regulations and related
indexes maintained by the personnel security office of the employing
agency.
Note 2: Destroy in accordance with the investigating agency
instructions.
Secruity Clearance Correspondence, reports, and other records relating to the
Temporary,
Administrative
administration and cooperation of the personnel security program, not
2 years (FY)
Subject Files
covered elsewhere in this schedule.
Note 1: Organize by fiscal year.
Note 2: Close file at end of fiscal year and apply retention period.
Alternative
Approved requests or applications to participate in an alternate
Temporary,
Worksites –
worksite program; agreements between the Agency and the employee;
1 year
RETENTION
AUTHORITY
GRS 1-3
GRS 18-22c
GRS 18-22b
GRS 18-21
GRS 1-42a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
Approved
Requests
6130
Employment and
Status Changes
Alternative
Worksites Generated by
Agency or
Employee
6130
Employment and
Status Changes
Alternative
Worksites Unapproved
Requests
6130
Employment and
Status Changes
6130
Employment and
Status Changes
ApplicationsUnsolicited –
Flagged for
Destruction
Certificate Files
6209.11_42_6000 Series
Page 6 of 140
DESCRIPTION
RETENTION
and records relating to the safety of the worksite, the installation and
(see note)
use of equipment, hardware, and software, and the use of secure,
classified information or data subject to the Privacy Act.
Note 1: Retention period begins at end of employee’s participation in
the program.
Note 2: Do not use for Telework records. Retain Telework records
under “6160 – Attendance, Leave, and Telework – Alternative
Workplace (Telework) Requests and Agreements” and “6160 –
Attendance, Leave, and Telework – Alternative Workplace (Telework)
Program Evaluations”.
Forms and other records generated by the Agency or the participating
Temporary,
employee evaluating the alternate worksite program.
1 year
Note 1: Destroy when 1 year old or when no longer needed,
(see note)
whichever is later.
Note 2: Do not use for Telework records. Retain Telework records
under “6160 – Attendance, Leave, and Telework – Alternative
Workplace (Telework) Requests and Agreements” and “6160 –
Attendance, Leave, and Telework – Alternative Workplace (Telework)
Program Evaluations”.
Unapproved requests or applications to participate in an alternate
Temporary,
worksite program, classified information or data subject to the Privacy
1 year
Act.
(see note)
Note 1: Retention period begins when request is rejected.
Note 2: Do not use for Telework records. Retain Telework records
under “6160 – Attendance, Leave, and Telework – Alternative
Workplace (Telework) Requests and Agreements” and “6160 –
Attendance, Leave, and Telework – Alternative Workplace (Telework)
Program Evaluations”.
Includes general correspondence and records related to responses to
Temporary,
applications which will not be kept; unsolicited out-of-agency
6 months (FY)
applications for employment.
Note: Close file at end of fiscal year and apply retention period.
Certificate Files, including SF 39, SF 39A, or equivalent, and all
Temporary,
papers upon which the certification was based: list of eligibles
2 years (FY)
screened for the vacancies, ratings assigned, availability statements,
RETENTION
AUTHORITY
GRS 1-42c
GRS 1-42b
GRS 1-17c
GRS 1-33p
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6130
HEADING
Employment and
Status Changes
SUB-HEADING
Employment
Actions
6209.11_42_6000 Series
Page 7 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
the certificate of eligibles that was issued to the selecting official, the
annotated certificate of eligibles that was returned from the selecting
official, and other documentation material designated by the examiner
for retention.
Note: Cut off annually at end of fiscal year and apply retention period.
Records consist of case files of employment actions including the
Temporary (see GRS 1-3, 1-4, 1following:
notes)
5, 1-8, 1-14, 1-33
 Offers of Employment: Correspondence, including letters and
telegrams used to offer appointments to potential employees [GRS
1-4]
 Accepted Offers: [GRS 1-4a]
 Declined Offers
a. Name received from certificate [GRS 1-4b(1)]
b. Temporary,or excepted appointment [GRS 1-4b(2)].
c. File with application [GRS 1, items 33k, 33l, 33m, or 33n, as
appropriate].
d. All others [GRS 1-4b(3)].
 Certificate of Eligibles: Copies obtained from OPM of certificates
of eligibles with related requests, forms, correspondence, and
statement of reasons for passing over a preference eligible and
selecting a non-preference eligible. [GRS 1-5]
 Interview Records: Includes correspondence, reports, and other
records relating to interviews with employees. [GRS 1-8]
 Notification of Personnel Action: Standard Form 50, documenting
all individual personnel actions such as employment, promotions,
transfers, separation, exclusive of the copy in the OPF. [GRS 1-14]
 Chronological File Copies: Chronological file copies, including fact
sheets, maintained in personnel offices. [GRS 1-3]
 All Other Copies: Destroy when no longer needed for
administrative use.
Note 1: Establish case files.
Note 2: See cited GRS for retention periods.
Note 3: Individual actions are filed in the Official Personnel Folder
(OPF).
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6130
Employment and
Status Changes
General
6130
Employment and
Status Changes
Handicapped
Individuals
Appointments
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Employment and
Status Changes
Interagency
Placement
Program
Medical - EMF
Long-Term
Medical Records –
Separated
Employees
Medical - EMF
Long-Term
Medical Records –
Transferred
Employees
Medical – EMF
Temporary,or
Short-Term
Records
Medical - PreEMF Employee
Health Case Files
6209.11_42_6000 Series
Page 8 of 140
DESCRIPTION
RETENTION
Correspondence, reports, and other records relating to the general
Temporary,
administration and operation of personnel functions (including
3 years (FY)
recruitment), but excluding records specifically described elsewhere in
this schedule and records maintained at agency staff planning levels.
Note: Close file at end of fiscal year and apply retention period.
Case files containing position title and description; fully executed SF
Temporary,
171; medical examiner's report; a brief statement explaining
5 years
accommodation of impairment; and other documents related to
(see note)
previous appointment, certification,and/or acceptance or refusal,
created in accordance with FPM chapter 306-11, subchapter 4-2.
Note: Retention period begins on the date of approval or disapproval
of each case.
Interagency Placement Program (IPP) and registration sheet
Temporary (see
Note: Destroy upon expiration of employee’s eligibility.
note)
RETENTION
AUTHORITY
GRS 1-3
GRS 1-40
GRS 1-33r
Long-term medical records as defined in 5 CFR Part 293, Subpart E. Temporary (see
Note: Transfer to NPRC, St. Louis, MO, 30-days after separation.
note)
NPRC will destroy 75 years after birth date of employee; 60 years after
date of the earliest document in the folder, if the date of birth cannot be
ascertained; or 30 years after latest separation, whichever is later.
Long-term medical records as defined in 5 CFR Part 293, Subpart E. Temporary (see
Note: See 5 CFR Part 293, Subpart E for instructions.
note)
GRS 1-21a(2)
Medical - Employee Medical Folder (EMF) Temporary, or Short-Term Temporary,
Records as defined in the Federal Personnel Manual (FPM).
1 year
Note: Retention period begins after separation or transfer of
(see note)
employee.
Case Files include individual employee health case files created prior Temporary, 60
to establishment of the EMF system that have been retired to a NARA
years
records storage facility.
(see note)
Note: Retention period begins at time of retirement to NARA records
storage facility.
GRS 1-21b
GRS 1-21a(1)
GRS 1-21c
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6130
Employment and
Status Changes
Merit Promotions
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Personnel
6209.11_42_6000 Series
Page 9 of 140
DESCRIPTION
RETENTION
Records relating to the promotion of an individual that document
Temporary (see
qualification standards, evaluation methods, selection procedures, and
note)
evaluations of candidates.
Note: Destroy after OPM audit or 2 years after the personnel action is
completed, whichever comes first.
Non-OPF
Operating personnel office records relating to individual employees
Temporary (see
Correspondence not maintained in OPFs and not provided for elsewhere in this
note)
and Forms
schedule.
Note: Destroy when action completed.
Non-OPF - Other Miscellaneous correspondence and forms regarding individual
Temporary,
Correspondence employees not maintained in OPFs and not provided for elsewhere in
6 months
and Forms
this schedule.
Note: Close file semi-annually and apply retention period.
Non-OPF Pending Pending personnel actions relating to individual employees not
Temporary (see
Personnel Actions maintained in OPFs and not provided for elsewhere in this schedule.
note)
Note: Destroy when action completed.
Non-OPF
Obsolete
Obsolete. Retain existing records under ‘6130 – Employment and
Retention
Status Changes – Separation Program Management – Agency Specific’
Registers and
Related Records –
RIF Action Taken
(Obsolete)
OBSOLETE
Obsolete – Do Not Use:
OBSOLETE
6130 - Application Record Card
6130 - Cancelled and Ineligible Applications for Position Filled From
a Register or Inventory
6130 - Certification Request Control Index
6130 - Correspondence – Applications, Certification of Eligibles,
Examination and Recruiting Operations
6130 - Correspondences/Notices – Change in Name, Address, or
Availability
6130 - DEP Control Cards
6130 - Eligible Applications for Position Filled
6130 - Eligible Applications for Positions Filled From a Register or
Inventory
RETENTION
AUTHORITY
GRS 1-32
GRS 1-17a
GRS 1-17c
GRS 1-17a
Obsolete
OBSOLETE
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6130
Employment and
Status Changes
6130
Employment and
Status Changes
SUB-HEADING
6209.11_42_6000 Series
Page 10 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
6130 - Examination Announcement Case Documentation
6130 - Examination and Certification
6130 - Ineligible or Incomplete Applications for Position Filled
6130 - Letter to Applicants Denying Transfer of Eligibility
6130 - Lost or Exposed Test Material
6130 - Register or Inventory of Eligibles
6130 - Reports of Audits of Delegated Examining Operations
6130 - Request for Prior Approval of Personnel Actions
6130 - Test Answer Sheets
6130 – Test Material Stock Control
Official Personnel Agency civilian personnel records for permanent employees. Records Temporary (see GRS 1-1a, GRS
File (OPF)
are maintained in individual Official Personnel Folder (OPF) under
note)
1-1b, GRS 1-10a
employee name. Records are not closed until employee separates or
transfer from agency.
Note 1: Includes copies of nondisclosure agreements retained in OPF,
such as SF312 - Classified Information Nondisclosure Agreement,
signed by personnel with access to information that is classified under
standards put forth by Executive Orders governing security
classification (GRS 4.2, item 120).
Note 2: Records covered by Privacy Act System of Records
OPM/Govt-1 and contain Personnally Identifiable Information (PII).
Restrict access.
Note 3: When employee leaves Forest Service, process records as
follows:
 Employees separating from federal service, see “6130 –
Employment and Status Changes – OPF Separated Employees”
 Employees transferring to another federal agency, see “6130 –
Employment and Status Changes – OPF Transferred Employees”
OPF - Separated Agency civilian personnel records for permanent employees separated Temporary (see
GRS 1-1b
Employee Records from federal service. Individual employee separation records required
note)
to be placed in the separating employee’s OPF. As identified in the
Office of Personnel Management (OPM) Guide to Personnel
Recordkeeping, includes but is not limited to:
• resignation letter
• reason for separation (such as reduction in force)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6130
Employment and
Status Changes
6130
Employment and
Status Changes
SUB-HEADING
6209.11_42_6000 Series
Page 11 of 140
DESCRIPTION
RETENTION
• documentation of retirement-option elections and coverage
• documentation of indebtedness
• documentation of payment or repayment to, or refund from FERS
or CSRS
• record of employee leave prepared upon transfer or separation
• records of most recent performance ratings
• designation of beneficiary
Note 1: Records covered by Privacy Act System of Records
OPM/Govt-1 and contain Personnally Identifiable Information (PII).
Restrict access.
Note 2: File on left side (short-term) or right side (long-term) of the
OPF, as appropriate. (GRS 2.5, item 040)
Note 3: Transfer folder to National Personnel Records Center
(NPRC), St. Louis, MO, 30 days after latest separation. NPRC will
destroy 65 years after separation from Federal service.
Note 4: This item does not cover OPFs for employment terminated
prior to January 1, 1921. If an agency has such files, it should contact
NARA to request appraisal of the files. If NARA rejects the records,
the disposition for GRS 1, item 1b applies.
Note 5: Records will be managed and maintained in accordance with
OPM’s Guide to Personnel Recordkeeping until transfer to NPRC.
Note 6: Previous subheading: ‘OPF – Separated Employees’
OPF - Transferred Agency civilian personnel records for permanent employees that have Temporary (see
Employees
transferred to another federal agency. Records are maintained in
note)
individual Official Personnel Folder (OPF).
Note 1: Records covered by Privacy Act System of Records
OPM/Govt-1 and contain Personnally Identifiable Information (PII).
Restrict access.
Note 2: See Chapter 7 of The Guide to Personnel Recordkeeping for
instructions relating to folders of employees transferred to another
agency.
Note 3: Records will be managed and maintained in accordance with
OPM’s Guide to Personnel Recordkeeping until transfer to NPRC.
OPM – Employee All copies of correspondence and forms maintained on the left side of Temporary (see
Temporary OPF the Official Personnel Folder in accordance with Chapter 3 of The
note)
RETENTION
AUTHORITY
GRS 1-1a
GRS 1-10a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
Records
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Employment and
Status Changes
Reasonable
Accommodation Employee Case
Files
Reasonable
Accommodation General
Reasonable
Accommodation Supplemental Files
Reasonable
Accommodation Tracking System
Reasonable
Accommodation
Requests –
Reference
6209.11_42_6000 Series
Page 12 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
Guide to Personnel Recordkeeping, excluding the Immigration and
Naturalization Service Form I-9 and performance-related records.
Note 1: Records covered by Privacy Act System of Records
OPM/Govt-1 and contain Personnally Identifiable Information (PII).
Restrict access.
Note 2: Destroy when superseded or obsolete, or upon separation or
transfer of employee, unless specifically required to be transferred with
the OPF.
Note 3: Records will be managed and maintained in accordance with
OPM’s Guide to Personnel Recordkeeping until transfer to NPRC.
Note 4: Subheading changed, previously “Temporary, Individual
Employee Records – Correspondence and Forms”.
DISCONTINUED
File under 1760 File under 1760
File records under 1760 – Equal Employment Opportunity –
Reasonable Accommodation Employee Case File
DISCONTINUED
File under 1760 File under 1760
File records under 1760 – Equal Employment Opportunity –
Reasonable Accommodation
DISCONTINUED
File under 1760 File under 1760
File records under 1760 – Equal Employment Opportunity –
Reasonable Accommodation Supplemental Files
DISCONTINUED
File under 1760 File under 1760
File records under 1760 – Equal Employment Opportunity –
Reasonable Accommodation Tracking System
REFERENCE: Information created and maintained while receiving,
Reference
Reference
coordinating, reviewing, processing, approving, and reporting requests
for reasonable accommodation from Federal employees and applicants
under the Rehabilitation Act of 1973 and Executive Order 13164. A
reasonable accommodation is a change in the work environment or in
the customary way things are done, enabling an individual with a
disability to enjoy equal employment opportunities. The three
categories of reasonable accommodation are:
Modification or adjustments to a job application process to permit an
individual with a disability to be considered for a job, such as
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6130
HEADING
Employment and
Status Changes
SUB-HEADING
Separation
Program
Management –
Agency Specific.
6209.11_42_6000 Series
Page 13 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
providing application forms in large print or Braille;
Modifications or adjustments necessary to enable a qualified individual
with a disability to perform essential functions of the job, such as
providing sign language interpreters; and
Modifications or adjustments that enable employees with disabilities to
enjoy equal benefits and privileges of employment, such as removing
physical barriers in an office or cafeteria.
This schedule includes all requests for reasonable accommodation
and/or assistive technology devices and services offered through the
Agency or the Computer/Electronic Accommodation Program (CAP)
that are made by or on behalf of applicants, current or former
employees. Also included are medical records, supporting notes and
documentation, as well as procedures and records related to
processing, deciding, implementing, and tracking requests for
reasonable accommodation(s).
Note: File copy of requests under “6130 – Employment and Status
Changes - Employment Actions” or “6130 – Employment and Status
Changes – Merit Promotions” as applicable and forward request to
Civil Rights.
These records are specific to an agency separation initiative such as
Temporary (see GRS 2.5, item
reduction-in-force, voluntary early retirement, voluntary separation,
note)
011, (DAA-GRSand similar programs. These records document the general work
2014-0004-0002)
process to release career, temporary, and political-appointment
employees from employment status. Records include, but are not
limited to: registers of separation or transfers such as SF-2807, SF3103, or similar records; retention registers and related records;
reports, correspondence, and control documents; and exit interview
compilations identifying and tracking trends.
Retention/Disposition: Destroy 2 years after date of program closure.
Close case file and end of fiscal year and apply retention.
Retention registers and related records regarding individual employees,
not maintained in OPFs, and not provided for elsewhere in this
schedule from which no reduction-in-force actions have been taken
and related records.
Note 1: Destroy when superseded or obsolete.
Note 2: Previous subheading: ‘Non-OPF Retention Registers and
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6130
Employment and
Status Changes
Separation
Program
Management – Not
Agency Specific.
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6130
Employment and
Status Changes
6140
Employee
Development,
Performance,
Awards
6140
Employee
Development,
Performance,
Awards
6209.11_42_6000 Series
Page 14 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
Related Records – No RIF Action Taken’
These records are not specific to an agency separation initiative and
document the general work process to release career, temporary, and
political appointment employees from employment status. Includes
registers of separation or transfers such as SF-2807, SF-3103, or
similar records; retention registers and related records; reports,
correspondence, and control documents; and exit interview
compilations identifying and tracking trends.
Retention/Disposition: Destroy when no longer needed for business
use. Close case file at end of fiscal year and apply retention.
SES – General
General correspondence and other records associated with the Senior
Executive Service not covered elsewhere in this schedule.
Note: Close file at end of fiscal year and apply retention period.
SES Candidates - Records associated with Senior Executive Service Candidates not
Unassigned
currently placed in an SES position within the Forest Service.
Note 1: Retention period begins when case file closed.
Note 2: Destroy when 3 years old or 2 years after regular inspection,
whichever is sooner.
Temporary,
Temporary, Individual Employee Records - Immigration and
Individual
Naturalization Service Form I-9
Employee Records Note: Retention period begins after employee separates from service
- Immigration and or transfers to another agency.
Naturalization
Service Form I-9
Awards General awards records, excluding those relating to department-level
Employee General awards. Case files including recommendations, approved nominations,
Awards – Agency correspondence, reports, and related handbooks pertaining to agencySponsored
sponsored cash and noncash awards such as incentive awards, withingrade merit increases, suggestions, and outstanding performance.
Note: Close file at end of fiscal year and apply retention period.
Awards General awards records, excluding those relating to department-level
Employee General awards. Includes correspondence pertaining to awards from other
Awards – Other Federal agencies or non-Federal organizations.
Federal Agencies Note: Close file at end of fiscal year and apply retention period.
Temporary (see GRS 2.5, item
note)
010, DAA-GRS2014-0004-0001)
Temporary,
3 years (FY)
GRS 1-3
Temporary (see
note)
GRS 1-7c(1)
Temporary,
3 years (see
note)
GRS 1-10b
Temporary,
2 years (FY)
GRS 1-12a(1)
Temporary,
2 years (FY)
GRS 1-12a(2)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6140
6140
6140
6140
6140
HEADING
SUB-HEADING
Employee
Development,
Performance,
Awards
Employee
Development,
Performance,
Awards
Employee
Development,
Performance,
Awards
Awards Employee Length
of Service, Sick
Leave Awards
Awards Employee Letters
of Commendation
Employee
Development,
Performance,
Awards
Employee
Development,
Performance,
Awards
6140
Employee
Development,
Performance,
Awards
6140
Employee
Development,
Performance,
6209.11_42_6000 Series
Page 15 of 140
DESCRIPTION
RETENTION
AUTHORITY
Records including correspondence, reports, computations of service
and sick leave, and lists of awardees.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
1 year (FY)
GRS 1-12b
Letters recognizing length of service and retirement and letters of
appreciation and commendation for performance, excluding copies
filed in the OPF.
Note: Close file at end of fiscal year and apply retention period.
Lists of nominees and winners, and indexes of nominations.
Note: Destroy when superseded or obsolete.
Temporary,
2 years (FY)
GRS 1-12c
Temporary (see
note)
GRS 1-12d
Temporary,
3 years (see
note)
GRS 1-13
Awards Employee Lists
of/or Indexes to
Agency Award
Nominations
Awards - Incentive Reports pertaining to the operation of the Incentive Awards Program.
Program Reports Note: Retention period begins when report signed.
EPFS - Non-SES
Appointees –
Appraisals of
Unacceptable
Performance
RETENTION
Appraisals of unacceptable performance, where a notice of proposed
Temporary,
GRS 1-23a(1)
demotion or removal is issued but not affected, and all related
1 year
documents such as performance feedback and related counseling.
(see note)
Performance-based adverse actions resulting from employee failure to
satisfactorily complete a Performance Improvement Plan (PIP) are
maintained under File Code 6170.
Note: Destroy after the employee completes 1 year of acceptable
performance from the date of the written advance notice of proposed
removal or reduction in grade notice.
EPFS - Non-SES Place records on left side of the OPF and forward to gaining Federal
Temporary (see GRS 1-23a(3)(a)
Appointees –
agency upon transfer or to NPRC if employee separates.
note)
Former Employees Note 1: Forward to gaining Federal Agency upon transfer or to NPRC
– Latest Rating of if employee separates.
Record
Note 2: If agency retrieves an OPF from NPRC, dispose of these
documents after 4 years.
EPFS - Non-SES All other performance plans and ratings.
Temporary, GRS 1-23a(3)(b)
Appointees –
Note: Retention period begins when document signed.
4 years
Former Employees
(see note)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
Awards
– Other
Performance Plans
and Ratings
EPFS - Non-SES
Appointees –
Former Employees
– Other Summary
Performance
Appraisal Records
EPFS - Non-SES
Appointees –
Superseded
Performance
Records
EPFS - Non-SES
Appointees –
Supporting
Documents
Performance
Rating Board
Cases
6140
Employee
Development,
Performance,
Awards
6140
Employee
Development,
Performance,
Awards
6140
Employee
Development,
Performance,
Awards
Employee
Development,
Performance,
Awards
Employee
Development,
Performance,
Awards
6140
6140
6140
6140
Employee
Development,
Performance,
Awards
Employee
Development,
6209.11_42_6000 Series
Page 16 of 140
DESCRIPTION
All other summary performance appraisal records, including
performance appraisals and job elements and standards upon which
they are based.
Note: Retention period begins when appraisal signed.
RETENTION
Temporary,
4 years
(see note)
RETENTION
AUTHORITY
GRS 1-23a(4)
Performance records superseded through an administrative, judicial, or Temporary (see
quasi-judicial procedure.
note)
Note: Destroy when superseded.
GRS 1-23a(2)
Employee Performance File System - Non-SES Appointees –
Supporting Documents
Note: Retention period begins when appraisal signed.
Temporary,
4 years
(see note)
GRS 1-23a(5)
Includes copies of case files forwarded to OPM relating to
performance rating board reviews.
Note: Retention period begins when case is closed.
Temporary,
1 year
(see note)
GRS 1-9
Temporary,
5 years
(see note)
GRS 1-23b(3)
SES Appointees –
Other Ratings and
Plans
Other performance records for SES appointees as defined in 5 U.S.C.
3132a (2), including other performance appraisals, job elements, and
standards (job expectations) upon which they are based excluding
those for SES appointees serving on a Presidential appointment (5
CFR 214).
Note: Retention period begins on date of appraisal.
Other ratings and plans for SES appointees (as defined in 5 U.S.C.
3132a (2).
Note: Close file at end of fiscal year and apply retention period.
Temporary,
5 years (FY)
GRS 1-23b(2)(b)
SES Appointees –
Performance
Latest rating of record, for SES appointees as defined in 5 U.S.C.
3132a (2), including other performance appraisals, job elements, and
SES Appointees Other Performance
Appraisals, Job
Elements, and
Standards
Temporary (see GRS 1-23b(2)(a)
note)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6140
6140
6140
6140
6140
HEADING
SUB-HEADING
Performance,
Awards
Records for
Former SES
Employees
Employee
Development,
Performance,
Awards
Employee
Development,
Performance,
Awards
Employee
Development,
Performance,
Awards
Employee
Development,
Performance,
Awards
Employee
Development,
Performance,
Awards
6209.11_42_6000 Series
Page 17 of 140
DESCRIPTION
RETENTION
standards (job expectations) upon which they are based [excluding
those for SES appointees serving on a Presidential appointment (5
CFR 214) that is less than 5 years old], the performance plan upon
which it is based, and any summary rating.
Note: Place records on left side of the OPF and forward to gaining
Federal agency upon transfer or to NPRC if employee leaves Federal
service. An agency retrieving an OPF from NPRC will dispose of
those documents 5 years after retrieval.
SES Appointees – SES appointee (as defined in 5 U.S.C. 3132a (2)) performance records Temporary (see
Superseded
superseded through an administrative, judicial, or quasi-judicial
note)
Performance
procedure.
Records
Note: Destroy when superseded.
SES Appointees – Records consist of performance assessment supporting documentation
Temporary,
Supporting
pertaining to a former SES appointee (as defined in 5 U.S.C. 3132a
5 years
Documents
(2)).
(see note)
Note: Retention period begins on date of appraisal.
Training – Agency Includes correspondence, memoranda, agreements, authorizations,
Temporary,
Sponsored
reports, requirement reviews, plans, objectives relating to the
5 years (FY)
establishment and operation of training courses and conferences.
Note 1: Excluding records of formally established schools that train
agency employees in specialized program areas, such as law
enforcement and national defense.
Note 2: Close file at end of fiscal year and apply retention period.
Training – Agency Training – Agency Sponsored - Background and Working Files
Temporary,
Sponsored Note 1: Excluding record copy of manuals, syllabuses, textbooks, and 3 years (FY)
Background and other training aids developed by the Agency.
Working Files
Note 2: Close file at end of fiscal year and apply retention period.
Training Correspondence, memoranda, reports, Individual Development Plans,
Temporary,
Employee Training and other records relating to the availability of training and employee
5 years (FY)
participation in training programs sponsored by other Government
agencies or non-Government institutions.
Note 1: Close file at end of fiscal year and apply retention period.
Note 2: A copy may be placed in “6100 – Personnel – Supervisor’s
Personnel Files”.
RETENTION
AUTHORITY
GRS 1-23b(1)
GRS 1-23b(4)
GRS 1-29a(1)
GRS 1-29a(2)
GRS 1-29b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6150
Classification and
Pay
6150
Classification and
Pay
Appeals Files –
Certificate of
Classification
Appeals Files –
Classification
Appeals
6150
Classification and
Pay
6150
Classification and
Pay
CFC Authorization for
Individual
Allotment
CFC - Other
Authorizations
6150
Classification and
Pay
Direct Deposit
Sign-up Form
6150
Classification and
Pay
General
6150
Classification and
Pay
Levy and
Garnishments
6150
Classification and
Pay
Pay – Electronic
Database
6209.11_42_6000 Series
Page 18 of 140
DESCRIPTION
Certificates of classification issued by OPM.
Note: Destroy after affected position is abolished or superseded.
Case files relating to classification appeals, excluding OPM
classification certificate.
Note: Retention period begins after case is closed.
RETENTION
Temporary (see
note)
GRS 1-7d(2)
Temporary,
1 year
(see note)
GRS 1-7d(1)
Combined Federal Campaign - Authorization for Individual Allotment Temporary (see
to the CFC
note)
Note: Destroy after GAO audit or when 3 years old, whichever is
sooner.
Other authorizations, such as union dues and savings.
Temporary (see
Note: Destroy after GAO audit or when 3 years old, whichever is
note)
sooner.
Direct Deposit Sign-up Form
Note: Destroy when superseded or after separation.
RETENTION
AUTHORITY
GRS 2-15a
GRS 2-15b
Temporary (see
note)
GRS 2-17
General correspondence and other records too general to fit in any
Temporary,
other category under 6150 Classification, Pay, Uniforms.
3 years (FY)
Note 1: Close file at end of fiscal year and apply retention period.
Note 2: Retain records associated with Forest Service Uniform
Program under “6540 – Payments – Uniform Allowance”.
Official Notice of Levy or Garnishment (IRS Form 668A or
Temporary,
equivalent), change slip, work papers, correspondence, release and
3 years
other forms, and other records relating to charge against retirement
(see note)
funds or attachment of salary for payment of back income taxes or
other debts of Federal employees.
Note 1: Retention period begins when garnishment is terminated.
Note 2: Retain records associated with Forest Service Uniform
Program under “6540 – Payments – Uniform Allowance”.
Pay record for each employee as maintained in an electronic database. Temporary (see
This database may be a stand-alone payroll system or part of a
note)
combined personnel/payroll system.
GRS 1-3
GRS 2-18
GRS 2-1a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6150
Classification and
Pay
Pay - Individual
Pay Record
6150
Classification and
Pay
Pay - Noncurrent
Payroll Files
6209.11_42_6000 Series
Page 19 of 140
DESCRIPTION
RETENTION
Note 1: This item pertains to the NFC database.
Note 2: Update elements and/or entire record as required.
Note 3: The Paycheck8 system contains the Forest Service time and
attendance source and input records. Records in the Paycheck8 system
are retained under “6160 – Attendance, Leave, & Telework – Time &
Attendance Input Records” (GRS 2-8) and “6160 – Attendance, Leave,
& Telework – Time & Attendance Source Records” (GRS 2-7).
Note 4: Destroy after GAO audit or when 6 years old, whichever is
sooner.
Individual pay record containing payroll data on each employee within Temporary (see
an agency; this record may be in paper or microform, but not in
note)
machine-readable form.
Note 1: This item pertains to NFC records, except as identified in
Note 4.
Note 2: With the implementation of the Paycheck 8 system, paper
copies of individual employee pay records are no longer maintained by
the Agency.
Note 3: The Paycheck8 system contains the Forest Service time and
attendance source and input records. Records in the Paycheck8 system
are retained under “6160 – Attendance, Leave, & Telework – Time &
Attendance Input Records” (GRS 2-8) and “6160 – Attendance, Leave,
& Telework – Time & Attendance Source Records” (GRS 2-7).
Note 4: Fire Time reports (OF 288 Emergency Fire Fighter Time
Report) for casual (AD) firefighters: Transfer to NPRC for 56 years
retention. These reports should pertain only to emergency or "pick up"
firefighters. Regular firefighters are covered by payrolls prepared by
NFC.
Note 5: Transfer to National Personnel Records Center. Destroy when
56 years old.
Copy of non-current payroll data as maintained by the payroll service Temporary, 15
bureaus in either microform or machine-readable form.
years
Note 1: Close file after the last pay period of the year (at the end of
(see note)
the leave year) and apply retention period.
Note 2: Retain records associated with Forest Service Uniform
Program under “6540 – Payments – Uniform Allowance”.
RETENTION
AUTHORITY
GRS 2-1b
GRS 2-2
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
SUB-HEADING
6209.11_42_6000 Series
Page 20 of 140
DESCRIPTION
RETENTION
Pay Comparability Records created under implementation of the Federal Employees Pay
Temporary,
Comparability Act including written narratives and computerized
3 years
transaction registers documenting use of retention, relocation and
(see note)
recruitment bonuses, allowances, and supervisory differentials, and
case files consisting of requests for and approval of recruitment and
relocation bonuses and retention allowances.
Note 1: Retention period begins at date of approval or upon
completion of the relevant service agreement or allowance, whichever
is later.
Note 2: Retain records associated with Forest Service Uniform
Program under “6540 – Payments – Uniform Allowance”.
Payroll Change
Records used to direct a change or correction of an individual pay
Temporary,
Files - All Other transaction whether created and maintained by paying agency or
1 month
Copies
payroll processor. Copies not subject to GAO audit.
Note 1: Destroy 1 month after end of related pay period.
Note 2: Retain records associated with Forest Service Uniform
Program under “6540 – Payments – Uniform Allowance”.
Payroll Change
Records used to direct a change or correction of an individual pay
Temporary (see
Files - GAO Audit transaction whether created and maintained by paying agency or
note)
Records
payroll processor. Copies subject to GAO audit.
Note 1: Destroy after GAO audit or when 3 years old, whichever is
sooner.
Note 2: Retain records associated with Forest Service Uniform
Program under “6540 – Payments – Uniform Allowance”.
Payroll
Correspondence between agency and payroll processor regarding
Temporary,
Correspondence general, routine administrative issues that do not relate to individual
2 years (FY)
payments.
Note 1: Close file at end of fiscal year and apply retention period.
Note 2: Retain records associated with Forest Service Uniform
Program under ‘6540 – Payments – Uniform Allowance’
Payroll System - Reports providing fiscal information on agency payroll.
Temporary (see
Agency Fiscal
Note 1: Destroy after GAO audit or when 3 years old, whichever is
note)
Reports
sooner.
Note 2: Retain records associated with Forest Service Uniform
Program under “6540 – Payments – Uniform Allowance”.
RETENTION
AUTHORITY
GRS 1-41
GRS 2-23b
GRS 2-23a
GRS 1-24
GRS 2-22c
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
Payroll System –
Error Reports,
Ticklers, System
Operation Reports
Payroll System Reports and Data –
Agency Workload
Position
Classification
Standards –
Development –
Case File
Position
Classification
Standards –
Development –
Review File
Position
Descriptions
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
Savings Bond
Purchases Authorization
Savings Bond
Purchases Receipt and
Transmittal
Savings Bond
Purchases Registration
Survey Files –
Classification
Survey Results
6209.11_42_6000 Series
Page 21 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
Payroll System - Error Reports, Ticklers, System Operation Reports
Note: Destroy when related actions are completed or when no longer
needed, not to exceed 2 years.
Temporary,
2 years (see
note)
GRS 2-22a
Reports and data used for agency workload and or personnel
management purposes.
Note: Close file at end of fiscal year and apply retention period.
Correspondence and other records relating to the development of
standards for classification of positions peculiar to the Agency and
OPM approval or disapproval.
Note: Retention period begins after position is abolished or
description is superseded.
Correspondence and other records relating to the development of
standards for classification of positions peculiar to the Agency and
OPM approval or disapproval.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
2 years (FY)
GRS 2-22b
Temporary,
5 years
(see note)
GRS 1-7a(2)(a)
Temporary,
2 years (FY)
GRS 1-7a(2)(b)
Record copy of position descriptions, including information on title,
Temporary,
series, grade, duties and responsibilities, and related documents.
2 years
Note: Retention period begins after position is abolished or
(see note)
descriptions are superseded.
Authorization for Purchase and Request for Change - U.S. Savings
Temporary (see
Bonds, SB 2152, or equivalent.
note)
Note: Destroy when superseded or after separation of employee.
Bond receipt and transmittal files: receipts for and transmittals of U.S.
Temporary,
Savings Bonds.
4 months
Note: Retention period begins after issuance of bond.
(see note)
Bond registration files: issuing agent's copies of bond registration
stubs.
Note: Retention period begins after issuance of bond.
Classification survey reports on various positions prepared by
Classification Specialists, including periodic reports.
Note: Destroy when 3 years old or 2 years after regular inspection,
Temporary,
4 months
(see note)
Temporary (see
note)
GRS 1-7b
GRS 2-14a
GRS 2-14c
GRS 2-14b
GRS 1-7c(1)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
6150
Classification and
Pay
SUB-HEADING
6209.11_42_6000 Series
Page 22 of 140
DESCRIPTION
RETENTION
whichever is sooner.
Inspection, audit, and survey files including correspondence, reports, Temporary (see
and other records relating to inspections, surveys, desk audits, and
note)
evaluations.
Note: Destroy when obsolete or superseded.
Taxes - Agency Agency copy of employee wages and tax statements, such as IRS Form Temporary,
Copy of Employee W-2 and State equivalents, maintained by agency or payroll processor.
4 years
Wages and Tax
Note: Retention period begins on date issued.
(see note)
Statements
Taxes - Agency Agency copy of employer reports of Federal tax withheld, such as IRS Temporary,
Copy of Employer Form W-3, with related papers including reports relating to income
4 years
Reports of
and social security tax, and State equivalents, maintained by agency or
(see note)
Withholdings
payroll processor.
Note: Retention period begins on date issued.
Taxes - Employee Employee withholding allowance certificate such as Internal Revenue
Temporary,
Withholding
Service (IRS) Form W-4 and State equivalents.
4 years
Allowance
Note: Retention period begins when superseded, obsolete, or upon
(see note)
Certificate
separation of employee.
Thrift Savings
Form TSP-1 authorizing deduction of employee contribution to the
Temporary (see
Plan Election
Thrift Savings Plan.
note)
Forms
Note: Destroy when superseded or after separation of employee.
Wages General correspondence and other general records relating to employee Temporary,
Allowances
allowances.
3 years (FY)
Note: Close file at end of fiscal year and apply retention period.
Wages - Fair
General correspondence and other general records regarding the Fair
Temporary,
Labor Standards Labor Standards Act
3 years (FY)
Act
Note: Close file at end of fiscal year and apply retention period.
Wages - Wage
Wage survey reports and data, background documents and
Temporary (see
Surveys
correspondence pertaining to area wages paid for each employee class;
note)
background papers establishing need, authorization, direction, and
analysis of wage surveys; development and implementation of wage
schedules; and request for an authorization of specific rates (excluding
authorized wage schedules and wage survey recapitulation sheets).
Note: Destroy after completion of second succeeding wage survey.
Survey Files –
Inspection, Audit,
and Survey
RETENTION
AUTHORITY
GRS 1-7c(2)
GRS 2-13b
GRS 2-13c
GRS 2-13a
GRS 2-16
GRS 1-3
GRS 1-3
GRS 1-38
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6150
Classification and
Pay
6160
Attendance, Leave,
and Telework
6160
Attendance, Leave,
and Telework
6160
Attendance, Leave,
and Telework
6160
Attendance, Leave,
and Telework
6160
Attendance, Leave,
and Telework
SUB-HEADING
6209.11_42_6000 Series
Page 23 of 140
DESCRIPTION
RETENTION
Wages - Waiver of Agencies may approve amounts not aggregating to more than $500 or
Temporary,
Claims Files
GAO may approve any amount.
6 years,
Note: Close file at end of fiscal year and apply retention period.
3 months (FY)
Alternative
Records include forms and other records generated by the Agency or
Temporary,
Workplace
participating employee evaluating the alternate worksite program.
1 year
(Telework)
Note 1: Files may contain PII, store in secure area, control access.
(see note)
Program
Note 2: Retention period begins when administration use ends.
Evaluations
Note 3: Heading changed, previously titled “Attendance and Leave”.
Alternative
Records include requests or applications to participate in an alternate
Temporary,
Workplace
worksite (telework) program; agreements between the Agency and the
1 year
(Telework)
employee; and records relating to the safety of the worksite, the
(see note)
Requests and
installation and use of equipment, hardware, and software, and the use
Agreements
of secure, classified information or data subject to the Privacy Act.
Also includes forms and other records generated by the Agency or
participating employee evaluating the alternate worksite program.
Note 1: Files may contain PII, store in secure area, control access.
Note 2: Retention period begins when employee’s participation ends,
employee’s agreement is changed, amended, or employee’s request is
rejected.
Note 3: Heading changed, previously titled “Attendance and Leave”.
Donated Leave
Case files documenting the receipt and donation of leave for medical
Temporary,
Program
emergencies, including recipient applications, agency approvals or
1 year
denials, medical or physician certifications, leave donation records or
(see note)
OF 630-A, supervisor/timekeeper approvals, leave transfer records,
payroll notification records, and leave program termination records.
Note 1: Close file after the last pay period of the year (at the end of
the leave year) and apply retention period.
Note 2: Heading changed, previously titled “Attendance and Leave”.
General
Correspondence and records too broad to be retained under any other
Temporary,
subheading in 6160-Attendance and Leave
6 years (FY)
Note 1: Close file at end of fiscal year and apply retention period.
Note 2: Heading changed, previously titled “Attendance and Leave”.
Leave
OPM 71 or equivalent plus any supporting documentation of requests Temporary (see
Applications –
and approvals of leave.
note)
Time Card
Note 1: Once approved leave has been taken the approved leave
RETENTION
AUTHORITY
GRS 6-11a
GRS 1-42
GRS 1-42
GRS 1-37
GRS 2-7
GRS 2-6a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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CODE
HEADING
SUB-HEADING
Initialed
6209.11_42_6000 Series
Page 24 of 140
DESCRIPTION
request can be destroyed at the end of the following pay period.
Note 2: Heading changed, previously titled “Attendance and Leave”.
OPM 71 or equivalent plus any supporting documentation of requests
and approvals of leave.
Note 1: Destroy after GAO audit or when 3 years old, whichever is
sooner.
Note 2: Heading changed, previously titled “Attendance and Leave”.
RETENTION
6160
Attendance, Leave,
and Telework
Leave
Applications –
Time Card Not
Initialed
6160
Attendance, Leave,
and Telework
Leave Record Creating Agency
Copy (Obsolete)
Obsolete: Retain existing records under ‘6130 – Employment and
Status Changes – OPF Separated Employee Records’
6160
Attendance, Leave,
and Telework
Leave Restoration
Case Files
Includes documentation and general correspondence in identifying
criteria to determine forfeited annual leave.
Note 1: Close file after the last pay period of the year (at the end of
the leave year) and apply retention period.
Note 2: Heading changed, previously titled “Attendance and Leave”.
6160
Attendance, Leave,
and Telework
Record of
Employee Leave
(obsolete)
Obsolete: Retain existing records under ‘6130 – Employment and
Status Changes – OPF Separated Employee Records’
6160
Attendance, Leave,
and Telework
Time and
Attendance Input
Records
Records in either paper or machine readable form used to input time
Temporary (see
and attendance data into a payroll system, maintained either by agency
note)
or payroll processor.
Note 1: The Paycheck8 system contains the Forest Service time and
attendance source and input records. Records in the Paycheck8 system
are retained under “6160 – Attendance, Leave, & Telework – Time &
Attendance Input Records” (GRS 2-8) and “6160 – Attendance, Leave,
& Telework – Time & Attendance Source Records” (GRS 2-7).
Note 2: The most recent year of paycheck data will be maintained on
the computer system, the remaining 5 years of data will be maintained
in archived status on electronic media. Records stored in an archived
status must be made available in a timely manner to satisfy external
and internal information requests.
Note 3: Use of electronic and digital signature authorized for Forest
Service Payroll System Electronic Applications, including Paycheck8.
Paycheck8 records with electronic or digital signatures will not be
RETENTION
AUTHORITY
Temporary (see
note)
GRS 2-6b
Obsolete
Obsolete
Temporary,
6 years
(see note)
GRS 2-7
Obsolete
Obsolete
GRS 2-8
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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CODE
HEADING
6160
Attendance, Leave,
and Telework
6160
Attendance, Leave,
SUB-HEADING
6209.11_42_6000 Series
Page 25 of 140
DESCRIPTION
maintained in hardcopy.
Note 4: Official record copy of fire timesheets, overtime
authorizations, and leave slips (OPM 71 Request for Leave or
Approved Absence) are still maintained in hardcopy.
Note 5: Destroy after GAO audit or when 6 years old, whichever is
sooner.
Note 6: Heading changed, previously titled “Attendance and Leave”.
Time and
All time and attendance records upon which leave input data is based,
Attendance Source such as time or sign-in sheets; time cards (such as Optional Form (OF)
Records
1130); flexi-time records; leave applications for jury and military duty;
and authorized premium pay or overtime, maintained at duty post,
upon which leave input data is based. Records may be in either
machine-readable or paper form.
Note 1: The Paycheck8 system contains the Forest Service time and
attendance source and input records. Records in the Paycheck8 system
are retained under “6160 – Attendance, Leave, & Telework – Time &
Attendance Input Records” (GRS 2-8) and “6160 – Attendance, Leave,
& Telework – Time & Attendance Source Records” (GRS 2-7).
Note 2: The most recent year of paycheck data will be maintained on
the computer system, the remaining 5 years of data will be maintained
in archived status on electronic media. Records stored in an archived
status must be made available in a timely manner to satisfy external
and internal information requests.
Note 3: Use of electronic and digital signature authorized for Forest
Service Payroll System Electronic Applications, including Paycheck8.
Paycheck8 records with electronic or digital signatures will not be
maintained in hardcopy.
Note 4: Official record copy of fire timesheets, overtime
authorizations, and leave slips (OPM 71 Request for Leave or
Approved Absence) are still maintained
in hardcopy.
Note 5: Destroy after GAO audit or when 6 years old, whichever is
sooner.
Note 6: Heading changed, previously titled “Attendance and Leave”.
Time Card -
If employee initials time card or equivalent.
RETENTION
RETENTION
AUTHORITY
Temporary
(see note)
GRS 2-7
Temporary (see
GRS 2-6a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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CODE
HEADING
SUB-HEADING
and Telework
Initialed
6160
Attendance, Leave,
and Telework
6170
Personnel Relations
and Services
6170
Personnel Relations
and Services
6209.11_42_6000 Series
Page 26 of 140
DESCRIPTION
RETENTION
Note 1: Destroy at the end of the following pay period.
note)
Note 2: Heading changed, previously titled “Attendance and Leave”.
Time Card – Non- If employee has not initialed time card or equivalent.
Temporary (see
Initialed
Note 1: Destroy after GAO audit or when 3 years old, whichever is
note)
sooner.
Note 2: Heading changed, previously titled “Attendance and Leave”.
Administrative
Administrative Grievances (5 CFR 771): Records relating to
Temporary,
Grievances
grievances raised by agency employees, except EEO complaints.
4 years
These case files include statements of witnesses, reports of interviews
(see note)
and hearings, examiner's findings and recommendations, a copy of the
original decision, related correspondence and exhibits, and records
relating to a reconsideration request.
Note: The Office of Personnel Management (OPM) has determined
that agencies may decide how long, within the range of 4 to 7 years,
grievance and adverse action files need to be retained. Based on
previous retention periods, the Forest Service will retain these records
for 4 years.
Adverse Actions Adverse Actions (5 CFR 752) and Performance-Based Actions (5 CFR Temporary,
and Performance- 432): Case files and records related to adverse actions and
4 years
Based Actions
performance-based actions. The case file includes a copy of proposed
(see note)
adverse action with supporting documents, Douglas Factors, case
analysis, statements of witnesses, employee's reply, letter
disseminating authority to take action, hearing notices, reports and
decisions, reversal of action, Performance Improvement Plans (PIP),
and appeal records. Discipline includes any corrective action taken
against an employee, by a representative of management, in response
to misconduct. Discipline can involve informal measures such as
letters of caution, letters of direction, letters of warning, or counseling.
It can also involve more formal measures such as letters of reprimand
and certain adverse actions including suspensions, reductions in grade
or pay, and/or removals.
Note 1: OPM has determined that agencies may decide how long,
within the range of 4 to 7 years, grievance and adverse action files
need to be retained. To implement this authority, each agency must
select one fixed retention period, between 4 and 7 years, for the entire
RETENTION
AUTHORITY
GRS 2-6b
GRS 1-30a
GRS 1-30b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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CODE
HEADING
6170
Personnel Relations
and Services
6170
Personnel Relations
and Services
6170
Personnel Relations
and Services
SUB-HEADING
6209.11_42_6000 Series
Page 27 of 140
DESCRIPTION
RETENTION
series of its closed cases. Agencies are not authorized to use different
retention periods for individual cases. The Agency should publish the
chosen retention period in the Privacy Act notice for these records, the
Agency's records disposition manual, and any other issuance dealing
with the disposition of these records.
Note 2: Based on previous retention periods, the Forest Service will
retain these records for 4 years.
Alternative
General correspondence and copies of statutes, regulations, meeting
Temporary,
Dispute Resolution minutes, reports, statistical tabulations, evaluations of the ADR
3 years (FY)
(ADR) - General program, and other records relating to the Agency's overall ADR
program.
Note 1: Close file at end of fiscal year and apply retention period.
Note 2: Longer retention is authorized if records are needed for
agency business.
Alternative
Records documenting ADR proceedings. These files may include an
Temporary,
Dispute Resolution agreement to use ADR, documentation of the settlement or
3 years
(ADR)
discontinuance of the ADR case, parties' written evaluations of the
(see note)
Proceedings
process and/or the neutral third party mediator, and related
correspondence.
Note: Retention period begins after settlement is implemented or case
is discontinued.
Alternative
ADR is any procedure, conducted by a neutral third party, which is
Reference
Dispute Resolution used to resolve issues in controversy, including, but not limited to,
(ADR) conciliation, facilitation, mediation, fact-finding, mini-trials,
REFERENCE
arbitration, and use of ombuds. Records covered by this schedule
relate to techniques and processes used in an agency's ADR program in
resolving disputes with or between its own employees.
Note: This schedule does not apply to: 1. Administrative grievance
files, 2. Adverse action files, 3. Formal and informal equal
employment opportunity proceedings, 4. Traditional EEO counseling
or other records included in the EEO file when a person chooses to go
directly to ADR, or 5. Private party claims or EEOC's involvement
with Federal sector claims of non-EEOC employees against other
Federal agencies. These records are covered by other items in GRS 1.
This schedule does not apply to ADR records produced as part of an
RETENTION
AUTHORITY
GRS 1-27a
GRS 1-27b
Reference
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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FILE
CODE
HEADING
SUB-HEADING
6170
Personnel Relations
and Services
Conduct
6170
Personnel Relations
and Services
Conflict of Interest
and Outside
Employment
6170
Personnel Relations
and Services
Federal Workplace
Drug Testing
Program
6170
Personnel Relations
and Services
Federal Workplace
Drug Testing
Program Collection/Handlin
g of Specimens –
Chain of Custody
6170
Personnel Relations
Federal Workplace
6209.11_42_6000 Series
Page 28 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
agency's primary mission.
Includes correspondence, memoranda related to code of ethics and
Temporary (see GRS 2.8, item
standards of ethics. Forms created to meet requirements of Ethics in
note)
010 (DAA-GRSGovernment Act are retained by the Department of Agriculture; do not
2014-0005-0001)
use this category to retain completed/submitted official forms.
Note: Destroy when 6 years old or when superseded or obsolete,
whichever is later.
Obsolete. New records created under the Ethics in Government Act
Temporary (see
GRS 25-3
are retained by the Department of Agriculture. Apply retention to
note)
legacy records only.
Note: Destroy 6 years after the waiver or other agreed-upon
determination or action has been issued or undertaken or is no longer
in effect, whichever is later.
Drug testing program records created under EO 12564 and Public Law
Reference
Reference
100-71, Section 503 (101 Stat. 468), excluding consolidated statistical
and narrative reports concerning the operation of agency programs,
including annual reports to Congress (as required by Pub. L. 100-71,
503(f)). This authorization does not apply to oversight program
records of the Department of Health and Human Services, the Office
of Personnel Management, the Office of Management and Budget, the
Office of National Drug Control Policy, and the Department of Justice.
Note: Disciplinary action case files pertaining to actions taken against
employees for drug use, drug possession, failure to comply with drug
testing procedures, and similar matters are covered by GRS 1, item
30b, which authorizes destruction of records between 4 and 7 years
after the case is closed.
Forms and other records used to maintain control and accountability of Temporary,
GRS 1-36d(2)
specimens from the point of collection to the final disposition of the
3 years
specimen.
(see note)
Note 1: Any records relevant to litigation or disciplinary actions
should be disposed of no earlier than the related litigation or adverse
action case file(s).
Note 2: Dispose of any records not relevant to litigation or
disciplinary actions when 3 years old.
Bound books containing identifying data on each specimen, recorded
Temporary,
GRS 1-36d(1)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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CODE
HEADING
SUB-HEADING
and Services
Drug Testing
Program Collection/Handlin
g of Specimens –
Record Books
6170
Personnel Relations
and Services
6170
Personnel Relations
and Services
6170
Personnel Relations
and Services
6209.11_42_6000 Series
Page 29 of 140
DESCRIPTION
RETENTION
at each collection site in the order in which the specimens were
3 years
collected.
(see note)
Note 1: Any records relevant to litigation or disciplinary actions
should be disposed of no earlier than the related litigation or adverse
action case file(s).
Note 2: Dispose of any records not relevant to litigation or
disciplinary actions when 3 years old.
Federal Workplace Federal workplace drug testing program - drug test plans and
Temporary (see
Drug Testing
procedures, excluding documents filed in record sets of formal
note)
Program - Drug issuances (directives, procedures handbooks, operating manuals, and
Test Plans and
the like). Includes agency copies of plans and procedures (with related
Procedures
drafts, correspondence, memoranda, and other records pertaining to the
development of procedures for drug testing programs) including the
determination of testing incumbents in designated positions.
Note 1: Any records relevant to litigation or disciplinary actions
should be disposed of no earlier than the related litigation or adverse
action case file(s).
Note 2: Dispose of any records not relevant to litigation or
disciplinary actions when 3 years old or when superseded or obsolete,
whichever is greater.
Federal Workplace Forms completed by employees whose positions are designated
Temporary (see
Drug Testing
sensitive for drug testing purposes acknowledging that they have
note)
Program received notice that they may be tested.
Employee
Note 1: Any records relevant to litigation or disciplinary actions
Acknowledgment should be disposed of no earlier than the related litigation or adverse
of Notice
action case file(s).
Note 2: Destroy when employee separates from testing-designated
position.
Federal Workplace Records relating to the selection of specific employees/applicants for
Temporary,
Drug Testing
testing and the scheduling of tests. Included are lists of selectees,
3 years
Program –
notification letters, and testing schedules.
(see note)
Selection &
Note 1: Any records relevant to litigation or disciplinary actions
Scheduling
should be disposed of no earlier than the related litigation or adverse
action case file(s).
Note 2: Dispose of any records not relevant to litigation or disciplinary
RETENTION
AUTHORITY
GRS 1-36a
GRS 1-36b
GRS 1-36c
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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FILE
CODE
HEADING
SUB-HEADING
6170
Personnel Relations
and Services
Federal Workplace
Drug Testing
Program - Test
Results - Negative
6170
Personnel Relations
and Services
Federal Workplace
Drug Testing
Program - Test
Results – Positive Employees
6170
Personnel Relations
and Services
Federal Workplace
Drug Testing
Program - Test
Results – Positive
– Applicants not
accepted for
employment
6170
Personnel Relations
and Services
Financial
Disclosure - Senior
Executive Service
Employees
6170
Personnel Relations
Labor Arbitration
6209.11_42_6000 Series
Page 30 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
actions when 3 years old.
Records documenting individual test results, including reports of
Temporary,
GRS 1-36e(2)
testing, notifications of employees/applicants and employing offices,
3 years
and documents relating to follow-up testing.
(see note)
Note 1: Any records relevant to litigation or disciplinary actions
should be disposed of no earlier than the related litigation or adverse
action case file(s).
Note 2: Dispose of any records not relevant to litigation or disciplinary
actions when 3 years old.
Records documenting individual test results, including reports of
Temporary (see GRS 1-36e(1)(a)
testing, notifications of employees/applicants and employing offices,
note)
and documents relating to follow-up testing.
Note 1: Any records relevant to litigation or disciplinary actions
should be disposed of no earlier than the related litigation or adverse
action case file(s).
Note 2: Dispose of any records not relevant to litigation or disciplinary
actions when employee leaves the Agency or when 3 years old,
whichever is later.
Records documenting individual test results, including reports of
Temporary, GRS 1-36e(1)(b)
testing, notifications of employees/applicants and employing offices,
3 years
and documents relating to follow-up testing.
(see note)
Note 1: Any records relevant to litigation or disciplinary actions
should be disposed of no earlier than the related litigation or adverse
action case file(s).
Note 2: Dispose of any records not relevant to litigation or disciplinary
actions when 3 years old.
Obsolete. Includes Financial Disclosure Report and related records.
Temporary,
GRS 25-2a(2)
New records created under the Ethics in Government Act are retained
6 years
by the Department of Agriculture. Apply retention to legacy records
(see note)
only.
Note: Destroy when 6 years old; except that documents needed in an
ongoing investigation will be retained until no longer needed in the
investigation.
Correspondence, forms, and background papers relating to labor
Temporary,
GRS 1-28b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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CODE
HEADING
SUB-HEADING
and Services
6170
Personnel Relations
and Services
Labor
Management
Relations –
General and Case
Files
6170
Personnel Relations
and Services
Personnel
Counseling
6170
Personnel Relations
and Services
6180
Insurance and
Annuities
6209.11_42_6000 Series
Page 31 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
arbitration cases.
Note: Retention period begins after final resolution of case.
Correspondence, memoranda, reports, and other records relating to the
relationship between management and employee unions or other
groups.
Note 1: Office negotiating agreement retains official file, other offices
retain copies as needed.
Note 2: Close files and apply retention period when case completed or
at end of fiscal year, whichever is greater.
Reports of interviews, analyses, and related records.
Note: Retention period begins after termination of counseling.
5 years
(see note)
Temporary,
5 years
(see note)
GRS 1-28a
Personnel
Records created in planning, coordinating, and directing an alcohol and
Counseling drug abuse program.
Alcohol and Drug Note: Close file at end of fiscal year and apply retention period.
Abuse Program
Employee
Individual Employee separation case files. Records are not included in
Separation Case separating employee’s Official Personnel folder (OPF). Records
Files
document individual employees’ transfer to another Federal agency or
office or voluntary, involuntary, disability, early retirement,
retirement, or death separation from career, temporary, and political
appointment service; and legal and financial obligations of government
to employee and employees to government. Includes:
 Records of counseling activities and outplacement services,
 Exit interview records (retain AD-3001 under ‘6230 – General’)
 Exit clearances,
 Checklists of returned property,
 Certificationsof removal/non-removal of government records,
 Records documenting notificatin of appropriate third partieis (such
as benefits providers, payroll, facility services, security, information
technology) of impending separation,
 Records documenting terms and entitlements of separation (such as
leave balance pay out or transfer of account, severance, pension,
temporary continuation of coverage, annuity estimates, assistance),
Temporary,
3 years
(see note)
Temporary
3 years (FY)
Temporary,
1 year
(see
description)
GRS 1-26a
GRS 1-26b
GRS 2.5, item
020 (DAA-GRS2014-0004-0003)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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CODE
HEADING
,6180
Insurance and
Annuities
6180
Insurance and
Annuities
6180
Insurance and
Annuities
6180
Insurance and
Annuities
SUB-HEADING
6209.11_42_6000 Series
Page 32 of 140
DESCRIPTION
RETENTION
 Records documenting employees financial obligatinos to
government (such as salary offset notices in effect at time of
separation; student loan repayment; recruitment, retention, and
relocation incentives; and determinations of settlement),
 Copy of leave record retained for agency use.
Exclusion: Records required to be filed in employee’s OPF are
excluded from this item.
Retention/Disposition: Destroy 1 year after date of separation or
transfer.
Note: Previous subheading: ‘Retirement assistance’
General
Correspondence, reports, and other records relating to the general
Temporary
administration and operation of insurance and annuities, but excluding 3 years (FY)
records specifically described elsewhere in the 6180 series.
Note: Close file at end of fiscal year and apply retention period.
Health Benefits Denied eligiblity files consisting of applications, court orders, denial Temporary (see
Denied, Appealed letters, appeal letters, and related papers. Pursuant to Subchapter S17
note)
to OPM of the FEHB Handbook enrollment files of spouses eligible for
Successful
benefits are transferred to OPM when former spouse cancels the
enrollment, when enrollment is terminated by the employing office, or
when former spouse begins receiving an annuity payment.
Note: Create enrollment file in accordance with Subchapter S17 of the
FEHB Handbook.
Health Benefits Denied eligiblity files consisting of applications, court orders, denial
Temporary,
Denied, Appealed letters, appeal letters, and related papers. Pursuant to Subchapter S17
3 years
to OPM of the FEHB Handbook enrollment files of spouses eligible for
(see note)
Unsuccessfull
benefits are transferred to OPM when former spouse cancels the
enrollment, when enrollment is terminated by the employing office, or
when former spouse begins receiving an annuity payment.
Note: Retention period begins upon denial.
Health Benefits Denied eligibility files consisting of applications, court orders, denial
Temporary,
Request Under
letters, appeal letters, and related papers.
3 years
Spouse Equity – Note: Retention period begins upon denial.
(see note)
Denied – Not
Appealed
RETENTION
AUTHORITY
GRS 1-3
GRS 1-35b(1)
GRS 1-35b(2)
GRS 1-35a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
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6209.11_42_6000 Series
Page 33 of 140
RETENTION
AUTHORITY
HEADING
SUB-HEADING
DESCRIPTION
RETENTION
6180
Insurance and
Annuities
Statistical report of logs or registers reflecting daily number of visits to
dispensaries, first aid rooms, and health units. Not summarized.
Note: Retention period begins on date of last entry.
Temporary,
2 years
(see note)
GRS 1-20b
6180
Insurance and
Annuities
Summarized statisital report of logs or registers reflecting daily
number of visits to dispensaries, first aid rooms, and health units.
Note: Retention period begins on date of last entry.
Temporary,
3 months
GRS 1-20a
6180
Insurance and
Annuities
Health Unit
Control Files Statistical Report Non-Summarized
Health Unit
Control Files Statistical Report Summarized
Individual NonOccupational
Health Record
GRS 1-19
6180
Insurance and
Annuities
6180
Insurance and
Annuities
6180
Insurance and
Annuities
6180
Insurance and
Annuities
Forms, correspondence, and other records (including summary
Temporary,
records), documenting an individual employee's medical history,
6 years
physical condition, and visits to Government health facilities, for non(see note)
work related purposes, excluding records covered by GRS 1- 21.
Note: Retention period begins on date of last entry.
Injury - Personal Forms, reports, correspondence, and related medical and investigatory
Temporary,
Injuries
records relating to on-the-job injuries, whether or not a claim for
3 years
compensation was made, excluding copies filed in the Employee
(see note)
Medical Folder and copies submitted to the Department of Labor.
Note 1: Cut off case file on termination of compensation or when
deadline for filing a claim has passed.
Note 2: Retention period begins after cut off.
Injury/Illness Reports and logs (including Occupational Safety and Health
Temporary,
Occpational Injury Administration (OSHA) Forms 100, 101, 102, and 200, or equivalents) 5 years (FY)
and Disease Files maintained as prescribed in 29 CFR 1960 and OSHA pamphlet 2014 to
document all recordable occupational injuries and illnesses for each
establishment.
Note: Close file at end of fiscal year and apply retention period.
Insurance
Reports and data of withholdings and contributions for health benefits
Temporary,
and life insurance; used for agency workload and/or personnel
2 years (FY)
management purposes.
Note: Close file at end of fiscal year and apply retention period.
Insurance - Air
Reports and data used for agency workload and/or personnel manageTemporary,
Travelers
ment purposes.
2 years (FY)
Note: Close file at end of fiscal year and apply retention period.
GRS 1-31
GRS 1-34
GRS 2-22b
GRS 2-22b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6180
Insurance and
Annuities
Insurance - Life
6180
Insurance and
Annuities
Retirement Files
(obsolete)
6200
Office Management
General
6200
Office Management
Inquiries
6220
Correspondence
6220
Correspondence
Controlled
Correspondence
Reports
General
6220
Correspondence
6209.11_42_6000 Series
Page 34 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
Reports and data of withholdings and contributions for Life Insurance
used for agency workload and/or personnel management purposes.
Note: Close file at end of fiscal year and apply retention period.
Obsolete. Retain records as appropriate under ‘6130 – Employment
and Status Changes – Separation Program Management – Agency
Specific’ or ‘6130 – Employment and Status Changes – Separation
Program Management – Not Agency Specific’.
Includes correspondence and other records of a general nature
regarding office management not covered by another item in this
schedule.
Note: Close file at end of fiscal year and apply retention period.
Standard replies to inquires for the 6200 series.
Temporary,
2 years (FY)
GRS 2-22b
Obsolete
Obsolete
Temporary,
2 years (FY)
GRS 23-1
Temporary,
3 months
Reports listing status of controlled correspondence.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
5 years (FY)
GRS 4.2, ITEM
010 (DAAGRS-20130007-0001)
N1-95-10-10,
item 62
Temporary,
5 years (FY)
N1-95-10-10,
item 63
Temporary,
5 years (FY)
N1-95-10-10,
item 64
General records regarding the creation, tracking, issuing, storage,
and retrieval of correspondence. File by FY.
Note: Close file at end of fiscal year and apply retention period.
Routine Controlled Correspondence of a routine nature, such as inquiries from members
Correspondence of Congress or constituents concerning general information about the
Forest Service.
Includes the following:
 USDA Controlled Correspondence: Correspondence assigned to
the Forest Service by the Office of the Secretary of Agriculture,
 NRE Controlled Correspondence: Responses to correspondence
prepared at the request of the Office of the Under Secretary for
Natural Resources and the Environment (NRE), and
 FS Controlled Correspondence: Correspondence from a member
of Congress addressed to the Chief of the Forest Service, to
individual Forest Service staffs, or to the Congressional Liaison
Officer.
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6220
Correspondence
6230
Records Creation,
Maintenance, and
Disposition
SUB-HEADING
6209.11_42_6000 Series
Page 35 of 140
DESCRIPTION
Note: Close file at end of fiscal year and apply retention period.
Correspondence of a substantive nature that pertains to significant
policy issues and program functions, such as plans, objectives, or
responsibilities.
Includes the following:
 USDA Controlled Correspondence: Correspondence assigned to
the Forest Service by the Office of the Secretary of Agriculture
 NRE Controlled Correspondence: Responses to correspondence
prepared at the request of the Office of the Under Secretary for
Natural Resources and the Environment (NRE)
 FS Controlled Correspondence: Correspondence from a member
of Congress addressed to the Chief of the Forest Service, to
individual Forest Service staffs, or to the Congressional Liaison
Officer
Note 1: The office of record for controlled correspondence is that
of the signing official. Exceptions: Washington Office is the FS
office of record for controlled correspondence signed by the
Secretary of Agriculture or the Under Secretary for Natural
Resources and the Environment.
Note 2: Close file at end of fiscal year and apply retention period.
Note 3: Transfer closed file to NARA when 15 years old.
Note 4: Agency Records Officer authorization via a NARA
approved transfer form [for example, ERA Transfer Request (TR)]
required prior to transferring permanent records to custody and
ownership of NARA.
Note 5: As electronic retention of official records is approved for
this file code category, pre-accession of electronic records is
authorized by mutual consent of both NARA and Forest Service.
Note 6: Store closed hardcopy records at FRC until eligible for
transfer to NARA custody.
Classified Document Internal information access and protection program operation records
Container Security including forms or lists used to record safe and padlock
Files – Access
combinations, names of individuals knowing combinations and
Control Records comparable data used to control access into classified document
containers.
Significant
Controlled
Correspondence
RETENTION
RETENTION
AUTHORITY
PERM-ANENT
(FY)
N1-95-10-9,
item 25
Temporary (see GRS 4.2, item
note)
031 (DAAGRS-20130007-0020)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6230
Records Creation,
Maintenance, and
Disposition
Classified Document
Container Security
Files – Document
Containers
6230
Records Creation,
Maintenance, and
Disposition
Classified Document
Container Security
Files – General
Administrative
Records
6230
Records Creation,
Classified Records
6209.11_42_6000 Series
Page 36 of 140
DESCRIPTION
Note 1: Destroy when superseded by a new form or list or upon
turn-in of containers.
Note 2: Forms involved in investigations will be retained until
completion of the investigation.
Note 3: Security clearance required to access these records. Store in
secure location.
Internal information access and protection program operation
records pertaining to classified or controlled unclassified document
containers. Includes forms placed on safes, caibnets, or vaults that
record opening, closing, and routine checking of container security.
Note:1: Retention begins after last entry on form.
Note 2: Forms involvedin investigations are not covered by this
item. Such forms are to be retained according to the schedule item
for records of the investigation.
Note 3: Security clearance required to access these records. Store in
secure location.
General administrative Internal information access and protection
program operation records including:
 Records documenting security-approved container access.
 Records documenting receipt, internal routing, dispatch, and
destruction of classified, unclassified-but-controlled, and
unclassified records relating to classified or controlled
unclassified document containers, such as forms placed on safes,
cabinets, or vaults that record opening, closing,and routine
checking of container security.
 Tracking dtabases and other records used to manage overal
program.
 Requests and authorizations for individuals to have access to
classified files.
Note 1: Retention period begins after last form entry, reply, or
submission; or when associated documents are declassified or
destroyed; or when authorization expires; whichever is appropriate.
Note 2: Security clearance required to access these records. Store in
secure location.
Includes general correspondence and report files pertaining to the
RETENTION
RETENTION
AUTHORITY
Temporary, 90
days
(see note)
GRS 4.2, item
032 (DAAGRS-20130007-0021)
Temporary,
2 years
(see note)
GRS 4.2, item
030 (DAAGRS-20130007-0003)
Temporary,
GRS 18-1
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6230
6230
6230
6230
6230
6230
HEADING
SUB-HEADING
Maintenance, and
Disposition
Security
Records Creation,
Maintenance, and
Disposition
Records Creation,
Maintenance, and
Disposition
Records Creation,
Maintenance, and
Disposition
Records Creation,
Maintenance, and
Disposition
Records Creation,
Maintenance, and
Disposition
Records Creation,
Maintenance, and
Disposition
6209.11_42_6000 Series
Page 37 of 140
DESCRIPTION
administration of security classification, control, and accounting for
classified documents, not covered elsewhere in the schedule.
Note 1: This item does not cover records documenting policies and
procedures accumulated in offices having agency-wide
responsibilities for security and protective services programs.
Note 2: Close file at end of fiscal year and apply retention period.
Note 3: Security clearance required to access these records. Store in
secure location.
Disposition –
Obsolete. Do not use.
Records Schedules Retain records under “6230 – Records Creating, Maintenance, and
(obsolete)
Disposition - Records Management Program”
Disposition –
Obsolete. Do not use.
Transfers to Federal Retain records under “6230 – Records Creating, Maintenance, and
Records Centers Disposition - Records Management Program”
(obsolete)
Disposition –
Obsolete. Do not use.
Transfers to National Retain records under “6230 – Records Creating, Maintenance, and
Archives (obsolete) Disposition - Records Management Program”
Fundamental
Reports, significant correspondence, drafts, received comments, and
Classification
related materials responding to “fundamental classification guidance
Guidance Review review” as required by Executive Order 13526 Section 1.9.
Files
Note 1: This item does not cover reports and corresondence received
at the Information Security Oversight Office (ISOO).
Note 2: Retention begins after report is submitted to ISOO, but
longer retention is authority if required for business use.
Note 3: Security clearance required to access these records. Store in
secure location.
General (obsolete) Obsolete. Do not use.
Retain records under “6230 – Records Creating, Maintenance, and
Disposition - Records Management Program”
Legal Hold Cases Records include, but are not limited to, tracking logs and
documentation, litigation hold memorandums and notifications, and
other related documentation associated with litigation hold cases.
Note 1: Retention period begins when litigation/legal hold lifted.
RETENTION
RETENTION
AUTHORITY
2 years (FY)
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Temporary,
5 years
(see note)
GRS 4.2, item
110 (DAAGRS-20130007-0011)
Obsolete
Obsolete
Temporary,
7 years
(see note)
N1-95-10-8,
Item 7
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6230
Records Creation,
Maintenance, and
Disposition
6230
Records Creation,
Maintenance, and
Disposition
SUB-HEADING
6209.11_42_6000 Series
Page 38 of 140
DESCRIPTION
RETENTION
Note 2: May contain Personnally Identifiable Information maintain
in secure location, authorized access only.
Note 3: File litigation hold records not associated with a specific
case under “6230 – Records Creating, Maintenance, and Disposition
- Records Management Program”.
Records of Daily Substantive information regarding the daily activities of Federal
Temporary,
Activities of Federal employees, other than high level officials. Including, but not limited
2 years (FY)
Employees
to, calendars, appointment books, schedules, logs, diaries, and other
records which document meetings, appointments, telephone calls,
trips, and other activities that are not recorded in correspondence,
reports, or other official records.
Note 1: Consult with Records Officer or Unit Records Manager to
determine whether the official record is to be maintained
electronically or hardcopy.
Note 2: For employees named in litigation and litigation hold
memos, retain all electronic and hardcopy data described above until
hold lifted. Then apply retention period.
Note 3: Close file at end of fiscal year and apply retention period.
Note 4: May contain Personnally Identifiable Information maintain
in secure location, authorized access only.
Records of High- Including, but not limited to, calendars, appointment books,
PERMANENT
Level Officials
schedules, logs, diaries, and other records which document meetings,
(see note)
appointments, telephone calls, trips, and other activities that are not
recorded in correspondence, reports, or other official records.
Note 1: High-level officials include: Chief, Associate Chief, Deputy
Chiefs, Regional Foresters, Station Directors, Forest Product Lab
Director, and International Institute of Tropical Forestry Director.
Note 2: Includes employee(s) assigned as acting when position is
vacant, who serve until position is filled. Does not include temporary
actings for encombered positions.
Note 3: Consult with Records Officer or Unit Records Manager to
determine whether official record is to be maintained electronically or
hardcopy.
Note 4: High-level officials are routinely named in litigation and
litigation hold memos. Retain all electronic data described above until
both the CIO and Records officials authorize distruction.
RETENTION
AUTHORITY
GRS 23-5a
N1-95-10-7,
item 3
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6230
HEADING
Records Creation,
Maintenance, and
Disposition
SUB-HEADING
Records
Management
Program
6209.11_42_6000 Series
Page 39 of 140
DESCRIPTION
Note 5: Organize by FY. Cut off annually.
Note 6: When records are 15-years old, submit to National Archives
and Records Admnistration through FS Records Officer.
Note 7: If NARA rejects submission, destroy records.
Note 8: May contain Personnally Identifiable Information maintain in
secure location, authorized access only.
Note 9: 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 10: 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 11: Store closed hardcopy records at FRC until eligible for
transfer to NARA custody.
Records related to policies, procedures, and management of agency
business records from creation to eventual disposition. Includes
records created and maintined while planning, managing,
evaluating, administering, and performing the function of agency
records management. Activities include:
 Providing oversight of entire records management program,
 Transferring, destroy, and retrieving records,
 Inventorying records and conducting records surveys,
 Scheduling records,
 Providing other records management services to customer units
(such as records storage/reference assistance, and technical
assistance with file plans and other records management
questions),
 Conducting records “clean out” days, and
 Conducting special projects.
Records include:
 Agency records management program surveys or evaluations
(such as the NARA Self-Assessment),
 Reports of surveys or evaluations,
 Reports of corrective action taken in response to agency program
RETENTION
Temporary,
6 years
RETENTION
AUTHORITY
GRS 4.1,
item 020
(DAA-GRS2013-00020007
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 40 of 140
DESCRIPTION
surveys or evaluations,
 Disposal authorizations, schedules, and reports,
 Records schedules, legacy records schedules (SF 115, Request
for Records Disposition Authority),
 SF 135, Records Transmittal and Receipt (and box lists),
 OF 11, Reference Request,
 Transfer Request (TR); Legal Transfer Instrument (LTI); SF 258,
Agreement to Transfer Records to the National Archives of the
United States (and box lists), and
 AD-3001, Documentary Materials Removal/Non-Removal
Certification and Non-Disclosure Agreement.
Note 1: Destroy 6 years afer the project, activity, or transaction is
completed or superseded, but longer retention is authorized if needed
for business use.
Note 2: SF-258: Retain on site indefinitely, as Agency has
determined that the data recorded on these documents is useful in
establishing status of records subject to litigation hold. Ensure the file
is labeled clearly and confidential information is protected.
Note 3: SF-135 - Retain on site indefinitely, as Agency has
determined that the data recorded on these documents is useful in
establishing status of records subject to litigation hold. Include
information on disposition of records (destroyed, transferred to
Archives, and so forth). Ensure the file is labeled clearly and
confidential information is protected.
Note 4: This schedule item covers copies of records schedules,
transfer requests, legal transfer instruments, and similar forms
maintained by agencies. This item does not pertain to copies
maintained by NARA.
Note 5: Organize records by subject and/or case files, or by file code,
subject matter and FY or CY (as appropriate for location/office
maintaining the records).
Note 6: Use this category to retain records previously retained under
the following 6230 categories:
 Disposition – Records Schedules
 Disposition – Transfers to Federal Records Centers
RETENTION
RETENTION
AUTHORITY
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6230
Records Creation,
Maintenance, and
Disposition
6230
Records Creation,
Maintenance, and
Disposition
6230
Records Creation,
Maintenance, and
Disposition
SUB-HEADING
6209.11_42_6000 Series
Page 41 of 140
DESCRIPTION
 Disposition – Transfers to National Archives (NARA)
 General
Tracking and Control Records used to provide access to and control of permanent records.
– Permanent Records Includes:
 Indexes,
 Lists,
 Registers,
 Inventories, and
 Logs.
Note 1: Retain on site until records retention schedule approved by
NARA.
Note 2: This schedule excludes records containing abstracts of
records content or other information that can be used as an
information source apart rom the related records.
Tracking and Control Records used to provide access to and control of records authorized
– Temporary
for destruction by the GRS or a NARA-approved records schedule
Records
(temporary records). Includes:
 Indexes,
 Lists,
 Registers,
 Inventories, and
 Logs.
Note 1: Destroy when no longer needed.
Note 2: This schedule excludes records containing abstracts of
records content or other information that can be used as an
information source apart rom the related records.
Vital (Essential) Includes records involved in planning, operating, and managing the
Records
Agency’s vital or essential records program. Includes:
 Vital records inventories,
 Vital records cycling plans,
 Results of tests, surveys, or evaluations, and
 Reports of corrective action taken in response to agency vital
records tests.
Note 1: The actual copies of vital records are nonrecord material
RETENTION
RETENTION
AUTHORITY
Retain on Site
until Records
Retention
Schedule issued
to
FSH 6209.11,
Chapter 40
Pending
Temporary
(see notes)
GRS 4.1, item
010 (DAAGRS-20130002-0016)
Temporary,
3 years
(see notes)
GRS 4.1,
item 030
(DAA-GRS2013-00020008)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6230
Records Creation,
Maintenance, and
Disposition
Vital (Essential)
Records - Copies
6250
Mail Management
General
6250
Mail Management
6250
Mail Management
6250
Mail Management
6250
Mail Management
6250
Mail Management
6250
Mail Management
6250
Mail Management
6209.11_42_6000 Series
Page 42 of 140
DESCRIPTION
and may be destroyed when reference use ceases or the documents
are superseded.
Note 2: Close file after project, activity, or transaction is completed
or superseded, but longer retention is authorized if needed for
business use.
Note 3: Essential records are necessary for the continued operations
(COOP) and are maintained according to each record’s original file
code and records schedule.
Copies of agency records deemed essential to restore agency
functions in case of emergency.
Note: Destroy when superseded by the next cycle.
General files including correspondence, memoranda, directives, and
guides relating to the administration of mailroom operations.
Note: Retention period begins when superseded or obsolete.
Mail and Delivery Records of receipt and routing of incoming and outgoing mail and
Service Control Files items handled by private delivery companies such as United Parcel
Service, excluding both those covered by GRS item 12-5 (Post Office
and Private Mail Company Records) and those used as indexes to
correspondence files.
Note: Close file at end of fiscal year and apply retention period.
Mail Receipts
Records of and receipts for mail and packages received through the
Official Mail and Messenger Service.
Mail Volume
Statistical reports and data relating to handling of mail and volume
Reports
of work performed.
Note: Close file at end of fiscal year and apply retention period.
Messenger Service Daily logs, assignment records and instructions, dispatch records,
Files
delivery receipts, route schedules, and related records
Metered Mail
Official metered mail reports and all related papers.
Note: Close file at end of fiscal and apply retention period.
Monetary Mail
Records relating to checks, cash, stamps, money orders, or any other
valuables remitted to the Agency by mail.
Note: Close file at end of fiscal year and apply retention period.
Post Office and
Post Office and private mail company forms and supporting papers,
RETENTION
Temporary
Temporary,
1 year
(see note)
Temporary, 1
year (FY)
Temporary,
6 months
Temporary,
1 year (FY)
Temporary,
2 months
Temporary,
6 years (FY)
Temporary,
1 year (FY)
Temporary,
RETENTION
AUTHORITY
GRS 4.1, item
031 (DAAGRS-20130002-0015)
GRS 12-6g
GRS 12-6a
GRS 12-6f
GRS 12-6 d
GRS 12-1
GRS 12-7
GRS 12-6e
GRS 12-5
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6250
Mail Management
6250
Mail Management
6250
Mail Management
6270
Availability of
Records
SUB-HEADING
6209.11_42_6000 Series
Page 43 of 140
DESCRIPTION
Private Mail
exclusive of records held by United States Postal Service. Also
Company Records includes:
 Records relating to incoming or outgoing registered mail pouches,
registered, certified, insured, overnight, express, and special
delivery mail including receipts and return receipts.
 Application for registration and certification of declared value
mail.
 Report of loss, rifling, delayed or late delivery, wrong delivery, or
other improper treatment of mail.
Note: Close file at end of fiscal year and apply retention period.
Reports
Statistical reports of postage used on outgoing mail and fees paid for
private deliveries (special delivery, foreign, registered, certified, and
parcel post or packages over 4 pounds).
Note: If combined with mail volume reports, retain under “6250 –
Mail Management – Mail Volume Reports”.
Routing Guides
Locator cards, directories, indexes, and other records relating to mail
delivery to individuals.
Note: Retention period begins when routing guide superseded by
new version.
Stamps
Requisition for stamps (exclusive of copies used as supporting
documents to payment vouchers).
Erroneous Release Records pertaining to the inadvertent release of privileged information
Records (including to unauthorized parties, containing information the disclosure of which
released records) would constitute an unwarranted invasion of personal privacy.
Includes:
 Requests for information,
 Copies of replies, and
 All related supporting documents.
Includes record-keeping copy of the released records interfiled with
records of the erroneous release.
Note 1: Follow the disposition instructions approved for the released
record copy or destroy 6 years after the erroneous release, whichever is
later.
Note 2: Excluding data retained in FOIAXpress or similar system.
RETENTION
RETENTION
AUTHORITY
1 year (FY)
Temporary,
6 months
GRS 12-6b
Temporary,
5 months
GRS 12-6h
Temporary,
6 months
Temporary
(see note)
GRS 12-6c
GRS 4.2,
item 060
(DAA-GRS2015-00020001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6270
6270
HEADING
Availability of
Records
Availability of
Records
SUB-HEADING
Erroneous Release
Records (without
released records)
FOIA Access and
Disclosure Files
6209.11_42_6000 Series
Page 44 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
Records pertaining to the inadvertent release of privileged information Temporary, GRS 4.2, item
to unauthorized parties, containing information the disclosure of which
6 years
061 (DAA-GRSwould constitute an unwarranted invasion of personal privacy.
(see note) 2015-0002-0002)
Includes:
 Requests for information,
 Copies of replies, and
 All related supporting documents.
Files do not include the original record-keeping copy of the released
records.
Note 1: Destroy 6 years after the erroneous release, but longer
retention is authorized if required for business use.
Note 2: Excluding data retained in FOIAXpress or similar system.
Case files created in response to requests for information under the
Temporary (see GRS 4.2, item
Freedom of Information Act (FOIA) and completed by:
notes)
020 (DAAGRS-2013 Granting the request in full.
0007-0002)
 Granting the request in part.
 Denying the request for any reason including:
 Inability to fulfill request because records do not exist.
 Inability to fulfill request because request inadequately describes
records.
 Inability to fulfill request because search or reproduction fees are
not paid.
 Final adjudication on appeal to any of the above original settlements
 Final agency action in response to court remand on appeal.
Includes:
 Requests (either first-party or third-party),
 Replies,
 Copies of requested records,
 Administrative appeals, and
 Related supporting documents (such as sanitizing instructions).
Exclusion: Record copies of requested records are not covered by this
item. Such records remain covered by the original records retention
authority.
Records may be further organized according to subject, such as:
 Access Granted
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6270
6270
6270
6270
HEADING
Availability of
Records
Availability of
Records
Availability of
Records
Availability of
Records
SUB-HEADING
6209.11_42_6000 Series
Page 45 of 140
DESCRIPTION
 Appeals
 Denials
Note 1: Destroy 6 years after final agency action or 3 years after final
adjudication by the courts, whichever is later.
Note 2: Agencies may wish to retain redacted copies of requested
records for business use after the rest of the associated request case file
is destroyed.
Note 3: This consolidates records previously retained under the
following subheadings under 6270 – Availability of Records:
 FOIA Requests – Access Granted
 FOIA Requests – Denials
 FOIA Requests - Appeals
Note 4: Schedule excludes data retained in FOIAXpress or similar
USDA/FS sanctioned FOIA database system.
FOIA Appeals
Obsolete. Retain records under “6270 – Availability of Records –
FOIA Access and Disclosure Files”
FOIA Control Files Records documenting accounting for and control of access to records
regarding Freedom of Information Act (FOIA) requests. Records
include documentation of control points and accountability for
information relating to FOIA access requests, including:
 Forms, registers, ledgers, logs, and tracking systems documenting
requester identity and contact information, request date, and nature
or purpose of request.
 Inventories of controlled records.
 Forms accompanying documents to ensure continuing control,
showing names of people handling the documents, intra-office
routine, and comparable data.
 Agent and researcher files.
Note: Retention begins after date of last entry, final action by agency,
or final adjudication by courts, as may apply, whichever is later.
FOIA External
Obsolete. Retain records under “6270 – Availability of Records –
Reports
FOIA Reports”
FOIA General
Administrative records relating to the general agency
implementation of the FOIA, including notices, memoranda, routine
correspondence, and related records not covered elsewhere in 6270
RETENTION
RETENTION
AUTHORITY
Obsolete
Obsolete
Temporary,
5 years
(see note)
GRS 4.2, item
040 (DAAGRS-20130007-0004)
Obsolete
Obsolete
Temporary,
2 years (FY)
GRS 14-15
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6270
6270
6270
6270
6270
HEADING
Availability of
Records
Availability of
Records
Availability of
Records
Availability of
Records
Availability of
Records
SUB-HEADING
6209.11_42_6000 Series
Page 46 of 140
DESCRIPTION
file code categories.
Note 1: Close file at end of fiscal year and apply retention period.
Note 2: Previously titled “Availability of Records – FOIA
Administrative Files”.
Note 3: Excludes data retained in FOIAXpress or similar USDA/FS
sanctioned FOIA database system.
FOIA Internal
Obsolete. Retain records under “6270 – Availability of Records –
Reports
FOIA Reports”
FOIA Reports
Internal and external reports. Includes annual reports provided to
external agencies (USDA, Congress, and Department of Justice) and
internal recurring reports and one-time information requirements
relating to the Forest Service implementation of the Freedom of
Information Act.
Note1: Close file at end of fiscal year and apply retention period.
Note 2: Consolidates records previously retained under the following
6270 subheadings:
 FOIA External Reports
 FOIA Internal Reports
FOIA Request - Obsolete. Retain records under “6270 – Availability of Records –
Denials
FOIA Access and Disclosure Files”
FOIA Requests – Obsolete. Retain records under “6270 – Availability of Records –
Access Granted
FOIA Access and Disclosure Files”
Privacy Act Access Case files created in response to requests for information under the
and Disclosure Files Privacy Act (PA) and completed by:
 Granting the request in full
 Granting the request in part
 Denying the request for any reason including:
 Inability to fulfill request because records do not exist
 Inability to fulfill request because request inadequately describes
records
 Inability to fulfill request because search or reproduction fees are
not paid
 Final adjudication on appeal to any of the above original settlements
 Final agency action in response to court remand on appeal
RETENTION
RETENTION
AUTHORITY
Obsolete
Obsolete
Temporary,
2 years (FY)
GRS 4.2, item
070 (DAAGRS-20130007-0006)
Obsolete
Obsolete
Obsolete
Obsolete
Temporary
(see notes)
GRS 4.2, item
020 (DAAGRS-20130007-0002)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6270
HEADING
Availability of
Records
SUB-HEADING
Privacy Act
Accounting of
Disclosure
6209.11_42_6000 Series
Page 47 of 140
DESCRIPTION
Includes:
 Requests (either first-party or third-party)
 Replies
 Copies of requested records
 Administrative appeals
 Related supporting documents (such as sanitizing instructions)
Exclusion: Record copies of requested records are not covered by this
item. Such records remain covered by the original records retention
authority.
Records may be further organized according to subject, such as:
 Access Granted
 Appeals
 Denials
Note 1: Destroy 6 years after final agency action or 3 years after final
adjudication by the courts, whichever is later.
Note 2: Agencies may wish to retain redacted copies of requested
records for business use after the rest of the associated request case file
is destroyed.
Note 3: This consolidates records previously retained under the
following subheadings under 6270 – Availability of Records:
 PA Requests – Access Granted
 PA Requests – Denials
 PA Requests - Appeals
Note 4: Schedule excludes data retained in FOIAXpress or similar
USDA/FS sanctioned FOIA database system.
Files maintained under the provisions of 5 U.S.C. 552a(c) for an
accurate accounting of the date, nature, and purpose of each disclosure
of a record to any person or to another agency, including forms for
showing the subject individual's name, requester's name and address,
purpose and date of disclosure, and proof of subject individual's
consent when applicable.
Note: Dispose of in accordance with the approved disposition
instructions for the related subject individual's records or 5 years after
the disclosure for which the accountability was made, whichever is
later.
RETENTION
Temporary
(see note)
RETENTION
AUTHORITY
GRS 4.2, item
050 (NC1-6477-1, item 27)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6270
Availability of
Records
6270
Availability of
Records
6270
Availability of
Records
6270
Availability of
Records
Privacy Act
Amendment
Requested – Refused
by Agency
Privacy Act
Amendment
Requests – Approved
Privacy Act
Amendment
Requests – Refused
by Agency - Appeals
Privacy Act
Amendment
Requests
6209.11_42_6000 Series
Page 48 of 140
RETENTION
RETENTION
AUTHORITY
Obsolete. Retain records under “6270 – Availability of Records –
Privacy Act Amendment Requests”
Obsolete
Obsolete
Obsolete. Retain records under “6270 – Availability of Records –
Privacy Act Amendment Requests”
Obsolete
Obsolete
Obsolete. Retain records under “6270 – Availability of Records –
Privacy Act Amendment Requests”
Obsolete
Obsolete
Temporary,
(see notes)
GRS 4.2, item
090 (DAAGRS-20130007-0007)
DESCRIPTION
Files relating to an individual’s request to amend a record pertaining to
that individual under 5 U.S.C. Section 552a (d) (2), to the individual’s
request for review of an agency’s refusal to amend a record under 5
U.S.C. Section 552a (d) (3), and to any civil action or appeal brought
by the individual against the refusing agency under 5 U.S.C. Section
552a (g). Includes:
 Requests to amend and to review refusal to amend
 Copies of agency’s replies
 Statement of disagreement
 Agency justification for refusal to amend a record
 Appeals
 Related materials
Note1: Destroy with the records for which amendment was requested
or 4 years after close of case (final determination by agency or final
adjudication, whichever applies), whichever is later.
Note 2: Consolidates records previously retained under the following
6270 subheadings:
 Privacy Act Amendment Requests – Refused by Agency
 Privacy Act Amendment Requests – Approved
 Privacy Act Amendment Requests – Refused by Agency – Appeals
Note 3: Schedule excludes data retained in FOIAXpress or similar
USDA/FS sanctioned FOIA database system.
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6270
Availability of
Records
6270
Availability of
Records
6270
Availability of
Records
6270
Availability of
Records
Availability of
6270
SUB-HEADING
6209.11_42_6000 Series
Page 49 of 140
DESCRIPTION
Privacy Act Control Records documenting accounting for and control of access to records
Files
regarding Privacy Act requests. Records include documentation of
control points and accountability for information relating to Privacy
Act access requests, including:
 Forms, registers, ledgers, logs, and tracking systems documenting
requester identity and contact information, request date, and nature
or purpose of request
 Inventories of controlled records
 Forms accompanying documents to ensure continuing control,
showing names of people handling the documents, intra-office
routine, and comparable data
 Agent and researcher files
Note 1: Retention begins after date of last entry, final action by
agency, or final adjudication by courts, as may apply, whichever is
later.
Note 2: Schedule excludes data retained in FOIAXpress or similar
USDA/FS sanctioned FOIA database system.
Privacy Act Records relating to the general agency implementation of the Privacy
General
Act, including Privacy Act System of Records Notices published in the
Federal Register, memoranda, routine correspondence, and related
records
Note 1: Close file when Privacy Act System of Records is
discontinued and apply retention period.
Note 2: Previously titled “Availability of Records – PA General
Administration”.
Note 3: If updating only, retain previous Federal Register Notices for
historical value.
Privacy Act Reports Recurring reports and one-time information requirement relating to
agency implementation, including biennial reports to the Office of
Management and Budget (OMB), and the Report on New Systems at
all levels.
Note: Close file at end of fiscal year and apply retention period.
Privacy Act Requests Obsolete. Retain records under “6270 – Availability of Records – PA
– Access Granted Access and Disclosure Files”
Privacy Act Requests Obsolete. Retain records under “6270 – Availability of Records – PA
RETENTION
RETENTION
AUTHORITY
Temporary,
5 years
(see note)
GRS 4.2, item
040 (DAAGRS-20130007-0004)
Temporary,
2 years (FY)
GRS 14-26
Temporary,
2 years (FY)
GRS 4.2, item
070 (DAAGRS-20130007-0006)
Obsolete
Obsolete
Obsolete
Obsolete
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6300
Records
Procurement
Management
6300
Procurement
Management
6300
Procurement
Management
6300
Procurement
Management
6300
Procurement
Management
6310
Small Purchases
SUB-HEADING
6209.11_42_6000 Series
Page 50 of 140
DESCRIPTION
- Denials
Access and Disclosure Files”
GAO/OGC Opinion Includes general correspondence and decisions pertaining to
procurement policy.
Note: Close file at end of fiscal year and apply retention period.
General
Includes general correspondence and other records related to
management, policy, and interpretation of procurement practices
established for organizational levels of FS. File also includes pertinent
laws, regulations and translations previously filed under 6310 and
6320.
Note: Close file at end of fiscal year and apply retention period.
Inquiries
Requests for information and copies of replies thereto, involving no
administrative actions, no policy decisions, and no special
compilations or research and requests for and transmittals of
publications, photographs, and other information literature.
Procurement
Includes general correspondence, reports and procedures for
Preference Programs establishment of goals for Small Business Administration, SBA 8(a)
Contracts, Women-Owned Businesses and Minority Businesses.
Note: Close file at end of fiscal year and apply retention period.
Reports
Quarterly Reports submitted to USDA, GSA and Congress which
include AD-760, Report of Individual Procurement, SF 281, FPDSSummary of Contract Actions of $10,000 or Less and Subcontract
Data on Selected Prime Contracts, and so forth.
Note: Close file at end of fiscal year and apply retention period.
Purchase Orders Requisitions, purchase order, purchase card transaction
documentation, lease, and bond and surety records, including
correspondence and related papers pertaining to award,
administration, receipt, inspection and payment.
 Transactions dated on or after July 3, 1995 (the effective date of
the Federal Acquisition Regulations (FAR) rule defining
“simplified acquisition threshold”) at or below the simplified
acquisition threshold and all construction contracts at or below
$2,000.
 Procurement or purchase organization copy (obligation copy), and
related papers.
RETENTION
RETENTION
AUTHORITY
Temporary,
10 years (FY)
N1-95-10-9,
item 26
Temporary,
10 years (FY)
N1-95-10-10,
item 65
Temporary,
3 months
Temporary,
10 years (FY)
GRS 4.2, item
010 (DAAGRS-20130007-0001)
N1-95-10-10,
item 66
Temporary,
10 years (FY)
N1-95-10-9,
item 27
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6310
HEADING
Small Purchases
SUB-HEADING
Purchasing
6209.11_42_6000 Series
Page 51 of 140
DESCRIPTION
 Other copies of records described above used by component
elements of a procurement office for administrative purposes.
 Data Submitted to the Federal Procurement Data System (FPDS).
Electronic data file maintained by FY, containing unclassified
records of all procurements, other than small purchases, and
consisting of information required under 48 CFR 4.601 for
transfer to the FPDS.
Note 1: Close file at the end of fiscal year in which final payment was
received and apply retention period.
Note 2: Report any lost or stolen procurement files to assigned
records personnel. Records personnel will consult with CIO Privacy
and Security personnel and the Agency Records Officer to
determine if formal notification must be made regarding loss of
controlled, unclassified, sensitive information (CUI) or official
records. Loss of official records will be reported to the National
Archives and Records Administration (NARA) per 36 CFR 1230 –
Unlawful or Accidental Removal, Defacing, Alteration, or
Destruction of Records.
Correspondence files of operating procurement units concerning
internal operation and administration matters not covered elsewhere
in this schedule . Records include administrative material regarding
purchasing, requisitioning, and related items such as policies,
procedures, negotiations, special and directed sources of supply,
foreign purchases, taxes, inspection and acceptance, transportation,
use of forms, pertinent laws and regulations, translations. Also
includes records pertaining to active cardholders, including training
certification, appointment documentation, official correspondence
between procurement official and cardholder, warning notices,
copies of review findings, and other information the Local Agency
Program Coordinator (LAPC) deems appropriate.
Note 1: Close file (except for training and appointment records) at
end of fiscal year and apply retention period.
Note 2: Retention period for training and appointment records
begins when purchase card is deactivated.
Note 3: Records may contain PII, keep in secured location, and
restrict access.
RETENTION
Temporary,
2 years (FY)
RETENTION
AUTHORITY
GRS 3-2
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6310
Small Purchases
Tax Exemption
Certificates
6320
Contracting
Bidders List
6320
Contracting
6320
Contracting
6320
Contracting
6209.11_42_6000 Series
Page 52 of 140
DESCRIPTION
Note 4: Additionally, retain authorization for procurements via
purchase card, over the micro-procurement amount, under ‘6320 –
Contracting - Bids, Proposals, and Contracts’.
Tax exemption certificates and related papers
Note: Retention begins after final payment or cancellation, but
longer retentino is authorized if required for business use.
List or cards of acceptable bidders.
Note: Destroy when superseded or obsolete.
Bids, Proposals, and Records include bids, proposals, contracts, requestions, purchase
Contracts
orders, lease, and bond and surety records, including correspondence
and related papers pertaining to award, administration, receipt,
inspection and payment for transactions dated on or after July 3,
1995 (the effective date of the Federal Acquisition Regulations
(FAR) rule defining “simplified acquisition threshold”) that exceed
the simplified acquisition threshold and all construction contracts
exceeding $2,000. Records include:
 Procurement or purchase organization copy (obligation copy), and
related papers.
 Other copies of records described above used by component
elements of a procurement office for administrative purposes.
 Data Submitted to the Federal Procurement Data System (FPDS).
Electronic data file maintained by FY, containing unclassified
records of all procurements, other than small purchases, and
consisting of information required under 48 CFR 4.601 for
transfer to the FPDS.
Note: Retention period begins after final payment.
Contracting Officer Records include documentation associated with contracting officers
Warrants
warranted authority.
Note: Retention period begins when warrant terminated.
General
Includes general correspondence regarding contracting and related
procedures.
Note: Close file at end of fiscal year and apply retention period.
RETENTION
Temporary,
6 years
(see note)
Temporary
(see note)
Temporary,
6 years
(see note)
Temporary,
6 years
(see note)
Temporary,
2 years (FY)
RETENTION
AUTHORITY
GRS 1.1,item
10 (DAA-GRS2013-00030001)
GRS 3-5d
GRS 1.1, item
10 (DAA-GRS2013-00030001)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
GRS 3-2
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6320
Contracting
6320
Contracting
6320
Contracting
6320
Contracting
6330
Specifications,
Standards, and
Qualified Products
Lists
Shipments
6340
6350
Transportation of
Things
SUB-HEADING
6209.11_42_6000 Series
Page 53 of 140
DESCRIPTION
RETENTION
Solicited and
Formal solicitations of offers to provide products or services (for
Temporary,
Unsolicited Bids and example, Invitations for Bids, Requests for Proposals, and Requests for
6 years
Proposals – Canceled Quotations) canceled prior to award of a contract. The files include
(see note)
pre-solicitation documentation on the requirement, any offers that were
opened prior to the cancellation, documentation on any Government
action up to the time of cancellation, and evidence of the cancellation.
Note: Retention period begins on date of cancellation.
Solicited and
Solicited and unsolicited bids and proposals files – canceled
Temporary,
Unsolicited Bids and solicitations- unopened bids.
6 years
Proposals – Canceled Note: Close file after cancellation and apply retention period.
(see note)
– Unopened Bids
Solicited and
Records relating to small purchases as defined in the Federal
Temporary,
Unsolicited Bids and Acquisition Regulations (48 CFR Part 13).
6 years
Proposals – Small Note: Destroy 6 years after final payment or cancellation, but longer
(see note)
Purchase
retention is authorized if required for business use.
Solicited and
Solicited and Unsolicited Bids and Proposals Files - Successful bids
Temporary,
Unsolicited Bids and and Proposals.
6 years
Proposals Note: Destroy 6 years after final payment or cancellation, but longer
(see note)
Successful
retention is authorized if required for business use.
General
Includes general correspondence and other records regarding
Temporary,
specifications, standards, and qualified products lists not covered
2 years (FY)
elsewhere.
Note: Close file at end of fiscal year and apply retention period.
General
Original vouchers and support documents covering commercial
Temporary,
freight transportation charges of settled fiscal accounts, including
6 years
registers and other control documents, but excluding those covered
(see note)
by 6350 – Transportation of Things.
Note 1: Record copies of all freight documents used to support
payments become components of the accountable officers' accounts.
Note 2: Retention period begins at end of account period.
General
Routine administrative records including correspondence, forms, and
Temporary,
related records pertaining to commercial and noncommercial agency
2 years (FY)
freight functions not covered elsewhere in 6350. Documentation
includes accountability records regarding the issue or receipt of
accountable documents.
RETENTION
AUTHORITY
GRS 1.1, item
10 (DAA-GRS2013-00030001)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
GRS 3-2
GRS 1.1, item
10 (DAA-GRS2013-00030001)
GRS 9-4a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6350
Transportation of
Things
6350
Transportation of
Things
6350
Transportation of
Things
6350
Transportation of
Things
SUB-HEADING
6209.11_42_6000 Series
Page 54 of 140
DESCRIPTION
Note 1: Record copies of all freight documents used to support
payments become components of the accountable officers' accounts.
Note 2: Close file at end of fiscal year and apply retention period.
Government Bills of Issuing office copies of Government or commercial bills of lading
Lading – Domestic (Standard Form (SF) 1113A) and supporting documents.
Note 1: Record copies of all freight documents used to support
payments become components of the accountable officers' accounts.
Note 2: Retention period begins after final payment or cancellation,
but longer retention is authorized if required for business use.
Government Bills of Issuing office copies of Government or commercial bills of lading
Lading –International (Standard Form (SF) 1113A) and supporting documents.
Note 1: Record copies of all freight documents used to support
payments become components of the accountable officers' accounts.
Note 2: Retention period begins after final payment or cancellation,
but longer retention is authorized if required for business use.
Lost or Damaged Schedules of valuables shipped, correspondence, reports, and other
Shipments
records relating to the administration of the Government Losses in
Shipment Act.
Note 1: Record copies of all documents used to support payments
become components of the accountable officers' accounts.
Note 2: Retention period begins when file closed.
Unsettled Accounts Records covering payment for commercial freight transportation
charges for services for which (1) notice of overcharge has been or is
expected to be issued, or if a rail freight overpayment is involved, (2)
deduction or collection action has been taken, (3) the voucher contains
inbound transit shipment(s), (4) parent voucher has print of paid
supplemental bill associated, (5) the voucher has become involved in
litigation, or (6) any other condition arises, such as detection of
overcharge, that prevents the settling of the account, requiring the
voucher to be retained beyond the 6 year retention period.
Note 1: Record copies of all documents used to support payments
become components of the accountable officers’ accounts.
Note 2: Retention period begins after final payment or cancellation,
but longer retention authorized if required for business use.
RETENTION
RETENTION
AUTHORITY
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
6 years
(see note)
GRS 9-2
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6360
Printing
General
6400
Property Management
General
6400
Property Management
Inquiries
6410
Personal Property
Management
Excess Personal
Property
6410
Personal Property
Management
General
6410
Personal Property
Management
Records and
Inventory
6410
Personal Property
Management
Registers
6410
Personal Property
Management
6410
Personal Property
Management
6209.11_42_6000 Series
Page 55 of 140
RETENTION
RETENTION
AUTHORITY
Includes correspondence and other general records regarding free
printing, field printing, reprints, printing equipment.
Note: Close file at end of fiscal year and apply retention period.
Includes general correspondence and other records related to Asset
Management too broad to file under a specific heading.
Note: Close file at end of fiscal year and apply retention period.
Routine inquiries requesting general information and responses.
Temporary,
5 years (FY)
N1-95-10-10,
item 67
Temporary,
5 years (FY)
N1-95-10-10,
item 68
Temporary,
3 months
Includes correspondence and forms relating to the declaration of
personal property as excess to Agency requirements and the
acquisition of excess personal property from other Federal agencies.
Note: Close file at end of fiscal year and apply retention period.
Includes general correspondence and other records related to
Personal Property too broad to file under a specific heading.
Note: Close file at end of fiscal year and apply retention period.
Includes inventories of accountable personal property and supporting
documentation such as AD-112, Report of Unserviceable, Lost or
Damaged Property.
Note: Retention period for inventories begins when next comparable
inventory completed.
Includes registers of GBLs and other accountable forms.
Note: Retention period begins after GAO audit and when records no
longer have administrative use. Do not send to FRC.
Temporary,
3 years (FY)
GRS 4.2, ITEM
010 (DAAGRS-20130007-0001)
GRS 4-2
DESCRIPTION
Registers for Items of Includes registers for subway tickets, I.D. Badges, keys, building
Tangible and Other passes, and so forth.
Value
Note: Apply the retention after register is closed. Register is closed
when each item is accounted for. Do not send to FRC.
Reports
Recurring and non-recurring reports such as Utilization and Disposal
of Excess and Surplus Property; and AD-120, Report of Excess
Personal Property; Exchange/Sale of Personal Property.
Note: Close file at end of fiscal year and apply retention period.
Temporary,
2 years (FY)
GRS 4-1
Temporary,
6 years
3 months
(see note)
N1-95-10-10,
item 69
Temporary,
6 years
3 months
(see note)
Temporary,
6 years
3 months
(see note)
Temporary,
6 years
3 months
(see note)
N1-95-10-10,
item 70
N1-95-10-10,
item 71
N1-95-10-10,
item 72
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6410
6410
6410
6420
6420
6420
6420
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 56 of 140
DESCRIPTION
Personal Property
Management
Surplus Personal Case files on transactions of more than $5,000 but less than $25,000,
Property - $5,000 - or if identified in FMRs as requiring special handling (firearms,
$24,999
weapons, aircraft,and so forth) on sales of suplus (to the Federal
government) personal property, comprising invitations, bids,
acceptances, lists of materials, evidence of sales, and related
correspondence.
Note: Retention period begins after final payment.
Personal Property
Surplus Personal Case files on transactions of more than $25,000 on sales of suplus (to
Management
Property –$25,000 or the Federal government ) personal property, comprising invitations,
Greater
bids, acceptances, lists of materials, evidence of sales, and related
correspondence.
Note: Retention period begins after final payment.
Personal Property
Transfer in and/or Including donations and AD-107 - Report of
Management
Receipt
Transfer/Disposition/Construction of Property; SF122/123 – Report
of Excess Personal Property/ Transfer Order – Excess Personal
Property/ Transfer Order Surplus Personal Property.
Note: Close file at end of fiscal year and apply retention period.
Stores and Cupboard
General
Correspondence files of units responsible for materials accounting
Stock Management
operations.
Note: Close file at end of fiscal year and apply retention period.
Stores and Cupboard Materials Accounting Stores accounting returns and reports. Materials accounting data are
Stock Management
normally reviewed and consolidated by means of records and returns
submitted to agency headquarters. There the information is used for
procurement planning, budget, utilization projections, and other
management purposes. The records do not include records reflecting
the physical movements of material to and from storage points,
although they may be involved in posting.
Note: Close file at end of fiscal year and apply retention period.
Longer retention authorized if required for business use.
Stores and Cupboard Materials Accounting Working files used in accumulating stores accounting data
Stock Management
Background
Note: Close file at end of fiscal year and apply retention period.
Longer retention authorized if required for business use.
Stores and Cupboard
Stock Management
Materials Invoice
Invoices or equivalent papers used for expendable or durable
materials accounting purposes. Records are maintained to provide
RETENTION
RETENTION
AUTHORITY
Temporary,
6 years
3 months
(see note)
N1-95-10-10,
item 73
Temporary,
6 years
3 months
(see note)
N1-95-10-10,
item 74
Temporary,
6 years
3 months (FY)
N1-95-10-10,
item 75
Temporary,
2 years (FY)
GRS 8-1
Temporary,
3 years (FY)
GRS 1.1, item
40 (DAA-GRS2013-00030012)
Temporary,
3 years (FY)
GRS 1.1, item
40 (DAA-GRS2013-00030012)
GRS 1.1, item
40 (DAA-GRS-
Temporary,
3 years (FY)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6430
Fleet Equipment
Management
6430
Fleet Equipment
Management
6430
Fleet Equipment
Management
Fleet Equipment
Management
Fleet Equipment
Management
Fleet Equipment
Management
Real Property
Management
6430
6430
6430
6440
6440
Real Property
Management
6440
Real Property
management
SUB-HEADING
6209.11_42_6000 Series
Page 57 of 140
DESCRIPTION
personal accountability for the receipt and custody of materials and
to document the monetary worth of such materials (non-accountable
items). Completed copies of material movement documents show
custody.
Note: Close file at end of fiscal year and apply retention period.
Longer retention authorized for business use.
Acquisitions,
Obsolete – file records under ‘7130 – Fleet Equipment Management
Identification, and – Acquisitions, Identification, and Classification
Classification
Annual Motor
Obsolete – file records under ‘7130 – Fleet Equipment Management
Vehicle and
– Annual Motor Vehicle and Equipment Reports
Equipment Reports
Disposal of Fleet Obsolete – file records under ‘7130 – Fleet Equipment Management
Equipment
– Disposal of Fleet Equipment
Fleet Assignment Obsolete – file records under ‘7130 – Fleet Equipment Management
and Utilization
– Fleet Assignment and Utilization
General
Obsolete – file records under ‘7130 – Fleet Equipment Management
– General
Use and Storage Obsolete – file records under ‘7130 – Fleet Equipment Management
– Use and Storage
Excess Real Property Includes reports, disposition instructions and correspondence related
to excess real property.
Note 1: See Real Property Disposition for disposition of records
necessary and convenient for the use of real property transferred to
another federal agency or old, donated, or traded to a non-federal
entity.
Note 2: Close file at end of fiscal year and apply retention period.
General
Includes general correspondence and other records regarding real
property management not covered elsewhere in this schedule.
Note: Close file at end of fiscal year and apply retention period.
Leases < $25,000 Includes determinations, findings, market surveys, solicitation,
award and administration of acquisition of lease hold interest in real
property under Forest Service leasing authority. File disputes and
appeal material by case folder. Records include: Transactions of
RETENTION
RETENTION
AUTHORITY
2013-00030012)
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Obsolete
Temporary,
10 years (FY)
N1-95-10-9,
item 28
Temporary,
10 years (FY)
N1-95-10-10,
item 80
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
SUB-HEADING
6209.11_42_6000 Series
Page 58 of 140
DESCRIPTION
$25,000 or less.
Note: Retention period begins after final payment.
Leases >$25,000 Includes determinations, findings, market surveys, solicitation,
award and administration of acquisition of lease hold interest in real
property under Forest Service leasing authority. File disputes and
appeal material by case folder. Records include transactions of more
than $25,000.
Note: Retention period begins after final payment.
Quarters
Includes general correspondence, and direction for quarters
Management
management.
Note: Close file at end of fiscal year and apply retention period.
Quarters/Housing All other quarters and housing application files.
Applications – All Note 1: Excluding copies in rental/lease files.
Others
Note 2: Close file at end of fiscal year and apply retention period.
Quarters/Housing Rejected applications for quarters and housing.
Applications –
Note 1: Excluding copies in rental/lease files.
Rejected
Note 2: Retention period begins on date of rejection.
Quarters/Housing Individual quarters and housing assignment tenant cards.
Assignment and Note: Destroy when tenant vacates unit.
Vacancy Card Files –
Individual Tenant
Cards
Quarters/Housing Individual quarters and housing assignment and vacancy unit cards.
Assignment and Note: Retention period begins after close of FY in which unit is
Vacancy Card Files – closed to tenancy or leaves agency control.
Individual Unit
Cards
Quarters/Housing Maintenance and repair records for individual units - summary card
Maintenance and or ledger record
Repair
Note: Retention period begins at end of fiscal year in which unit is
closed to tenancy or leaves agency control
Quarters/Housing Maintenance and repair records for individual units - summary card
Maintenance and or ledger record, includes work orders, requisitions, and related
Repair - Work
papers involved in repair and maintenance
RETENTION
RETENTION
AUTHORITY
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
2 years (FY)
GRS 15-1
Temporary,
2 years (FY)
GRS 15-7b
Temporary,
1 year
(see note)
Temporary
(see note)
GRS 15-7a
Temporary,
3 years
(see note)
GRS 15-5b
Temporary,
3 years
(see note)
GRS 15-2a
Temporary,
3 years
(see note)
GRS 15-2b
GRS 15-5a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 59 of 140
DESCRIPTION
RETENTION
AUTHORITY
Orders
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Management
6440
Real Property
Note: Retention period begins at end of fiscal year in which work is
done.
Quarters/Housing Reports pertaining to housing management, including expenditure,
Management Reports survey, collection, and other statistical and narrative data
Note: Close file at end of fiscal year and apply retention period.
Quarters/Housing Copies of rental agreements, renewals, termination notices, and
Rental Agreements related documents.
Note: Retention period begins at end of FY in which (a) rental
termination, lapse, or cancellation occurs or (b) litigation is
concluded, whichever is later.
Quarters Inventory Furnishing inventory files, pertaining to items included in furnished
and Rate Setting units.
Note: Retention period begins after close of FY in which inventory
is superseded.
Real Property
Includes records (excluding abstractor or certficate of title)
Acquisition
documenting the acquisition of real property by purchase,
condemnation, donation, exchange, and so forth, for property
acquired after December 31, 1920.
Note: Retention period begins after unconditional sale of release by
Government or conditions, restrictions, mortgages or other liens.
Real Property
Includes reports, disposition position instructions and
Disposition
correspondence related to real property, as well as records related to
the sale, donation or trade of real property.
Note 1: Maintain records in office, retention period begins when
administrative use ceases.
Note 2: Records (such as abstract or certificate of title) necessary or
convenient for the use of real property sold, donated or traded to
non-federal ownership or transferred to Federal ownership shall be
conveyed to the new custodian upon completion of sale, trade,
donation or transfer proceedings.
Rental Rates
Includes reports, printouts, correspondence, contract information
regarding the establishment of rental rates.
Note: Close file at end of fiscal year and apply retention period.
Reports
Recurring and non-recurring reports such as Annual Report of Real
RETENTION
Temporary,
2 years (FY)
GRS 15-3
Temporary,
3 years
(see note)
GRS 15-4
Temporary,
3 years
(see note)
GRS 15-6
Temporary,
10 years
(see notes)
GRS 3-1a
Temporary,
10 years
(see note)
N1-95-10-10,
item 81
Temporary,
10 years (FY)
N1-95-10-10,
item 82
Temporary,
N1-95-10-10,
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
Management
6440
Real Property
Management
6450
Management
Accountability and
Survey Boards
6450
Management
Accountability and
Survey Boards
Management
Accountability and
Survey Boards
Management
Accountability and
Survey Boards
6450
6450
SUB-HEADING
6209.11_42_6000 Series
Page 60 of 140
DESCRIPTION
Property Leased to the U.S., report of space used by building, rental
housing survey. Accounting, bookkeeping, Federal Real Property
Program (FRPP) management reports submitted to USDA and GSA,
and other records may be maintained in accordance with regulations
or procedures prescribed by GAO or Treasury.
Note: Close file at end of fiscal year and apply retention period.
Space Management Includes correspondence and records pertaining to space and
maintenance matters, including:
 allocation;
 utilization;
 building plan files, surveys, and other records utilized in agency
space planning, assignment, and adjustment;
 Agency reports to GSA;
 directory service files;
 identification credentials and related papers (including cards,
badges, parking permits, photographs, agency permits ot operate
motor vehicles, passes, and other identification credentials).
Note: Close file at end of fiscal year and apply retention period.
Findings of Financial Appeals of findings of pecuniary/fiscal liability.
Liability - Appeals Note: Apply retention period when case closed.
Fiscal Liability
Recommendations Lists
General
Survey Boards or
Officers Assignments
Chronological logs of survey board report findings and associated
disposition.
Note: Close file at end of fiscal year and apply retention period.
Records of a general nature regarding survey officers and survey
boards, including policy, not covered elsewhere in this scheduled.
Note: Close file at end of fiscal year and apply retention period.
Documentation of assignments and criteria for assignment to boards
of survey or as survey officer for operational purposes established by
agency authority (not established by Public Law or Executive Order)
for facilitative or operational purposes, related to the Agency’s
mission, composed wholly of full-time officers or employees of the
Federal government, and not subject to the Federal Advisory
RETENTION
RETENTION
AUTHORITY
10 years (FY)
item 83
Temoprary,
10 years (FY)
N1-95-10-10,
item 84
Temporary,
6 years,
3 months
(see note)
Temporary,
6 years,
3 months (FY)
Temporary,
6 years,
3 months (FY)
Temporary,
6 years,
3 months (FY)
N1-95-10-8,
Item 9
N1-95-10-8,
Item 10
N1-95-10-8,
Item 11
N1-95-10-8,
Item 12
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6450
Management
Accountability and
Survey Boards
6460
Waste Prevention,
Recycling, and
Acquisition
6460
Waste Prevention,
Recycling, and
Acquisition
Waste Prevention,
Recycling, and
Acquisition
6460
6460
Waste Prevention,
Recycling, and
SUB-HEADING
6209.11_42_6000 Series
Page 61 of 140
DESCRIPTION
Committee Act, for example committees tasked with reviewing
policy, studying reorganizations, recommending new actions or
developing multi-year plans. Records include any files created
and/or maintained by the committee including agenda, minutes, final
reports, and related records documenting accomplishments of
official boards and committees.
Note 1: As per GRS 26-1b, this item is scheduled via SF-115
submitted to the National Archives and Records Administration. It
has been determined that no records of permanent value are
associated with this item.
Note 2: See file code 1350.
Note 3: Close file when administrative use ends and apply retention
period.
Survey Boards or Includes records of determinations, findings, and recommendations
Officers - Findings for fiscal liability.
Note: Apply retention period when case closed.
General
Records regarding efforts to increase waste prevention, recycling and
the acquisition of recycled content and environmentally preferable
products and services in support of Forest Service programs and
practices
Note: Close file at end of fiscal year and apply retention period.
Green Purchasing Lists of Green Purchasing Options, including bio, GSA Advantage,
Information
and EPA listed options.
Note: Close file at end of fiscal year and apply retention period.
Green Team
Records include files created and/or maintained on team
Activities
assignments, membership, and activities. Committees established by
agency for facilitative or operational purposes unrelated to the
Agency’s mission, composed wholly of full-time officers or
employees of the Federal government, and not subject to the Federal
Advisory Committee Act.
Note: Destroy/delete when no longer needed for administrative
purposes.
Pollution Prevention Records include documentation regarding local and national
(P2) Activities
pollution prevention campaigns, including hazardous material
RETENTION
RETENTION
AUTHORITY
Temporary,
6 years, 3
months (see
notes)
Temporary,
5 years (FY)
N1-95-10-8,
Item 13
Temporary,
5 years (FY)
N1-95-10-8,
Item 15
Temporary
(see note)
GRS 26-1a
Temporary,
5 years (FY)
N1-95-10-8,
Item 16
N1-95-10-8,
Item 14
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
Acquisition
6460
Waste Prevention,
Recycling, and
Acquisition
Recycling
Campaigns
6460
Waste Prevention,
Recycling, and
Acquisition
Waste Prevention,
Recycling, and
Acquisition
Commuter Choices
Subsidy Benefits
Programs
Recycling Reports
6470
Commuter Choices
Subsidy Benefits
Programs
Commuter Bicycle
Reimbursement
Program
6470
Commuter Choices
Subsidy Benefits
Programs
Commuter Highway
Vehicle Program for
Vanpools
6460
6470
Reduce, Reuse,
Recycle – 3Rs
Activities
Annual Passes in
Limited Locations
6209.11_42_6000 Series
Page 62 of 140
DESCRIPTION
reduction.
Note: Close file when administrative use ceases and apply retention
period..
Records include documentation of local and national recycling
campaign efforts.
Note: Close file when administrative use ceases and apply retention
period.
Records include reports from units that are consolidated and
provided to the WO, USDA, GSA, and OMB.
Note: Close file at end of fiscal year and apply retention period.
Records document local and national “3R” activities and campaigns.
Note: Close file when administrative use ceases and apply retention
period.
Documents associated with Annual Passes in Limited Locations
Program relating to the disbursement of transportation subsidies to
employees, including applications of employees no longer in the
program, superseded applications, certification logs, vouchers,
spreadsheets, and other forms used to document the disbursement of
subsidies.
Note: Close file at end of fiscal year and apply retention period.
Documents associated with the Commuter Bicycle Reimbursement
Program relating to the disbursement of transportation subsidies to
employees, including applications of employees no longer in the
program, superseded applications, certification logs, vouchers,
spreadsheets, and other forms used to document the disbursement of
subsidies.
Note: Close file at end of fiscal year and apply retention period.
Documents associated with the Commuter Commuter Highway
Vehicle Program Vanpools relating to the disbursement of
transportation subsidies to employees, including applications of
employees no longer in the program, superseded applications,
certification logs, vouchers, spreadsheets, and other forms used to
document the disbursement of subsidies.
Note: Close file at end of fiscal year and apply retention period.
RETENTION
RETENTION
AUTHORITY
Temporary,
5 years (FY)
N1-95-10-8,
Item 17
Temporary,
5 years (FY)
N1-95-10-8,
Item 18
Temporary,
5 years (FY)
N1-95-10-8,
Item 19
Temporary,
3 years (FY)
GRS 9-7
Temporary,
3 years (FY)
GRS 9-7
Temporary,
3 years (FY)
GRS 9-7
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6470
Commuter Choices
Subsidy Benefits
Programs
General
6470
Commuter Choices
Subsidy Benefits
Programs
6470
Commuter Choices
Subsidy Benefits
Programs
6480
Asset Management
Inspection
6500
Finance and
Accounting
6500
Finance and
Accounting
6500
Finance and
Accounting
6209.11_42_6000 Series
Page 63 of 140
DESCRIPTION
General documents regarding policy and procedures, as well as
program management, relating to the disbursement of transportation
subsidies to employees.
Note: Close file at end of fiscal year and apply retention period.
Parking Benefits Documents associated with the Parking Benefits Program relating to
Program
the disbursement of transportation subsidies to employees, including
applications of employees no longer in the program, superseded
applications, certification logs, vouchers, spreadsheets, and other
forms used to document the disbursement of subsidies.
Note: Close file at end of fiscal year and apply retention period.
Rideshare Incentive Documents associated with the Rideshare Incentive Program for
Program for
Carpools relating to the disbursement of transportation subsidies to
Carpools
employees, including applications of employees no longer in the
program, superseded applications, certification logs, vouchers,
spreadsheets, and other forms used to document the disbursement of
subsidies.
Note: Close file at end of fiscal year and apply retention period.
General
Correspondence and records regarding internal control and
inspection assistance for asset management functions.
Note 1: A-76, competitive sourcing and outsourcing falls under
1310 – Methods of Doing Business – Performance of Commercial
Activities.
Note 2: Close file at end of fiscal year and apply retention period.
Batch Control
Form FS-6500-160 tracks the number of records to be sent from one
Records
location to another and certifies the specific number of documents
sent.
Note: Close file at end of fiscal year and apply retention period.
Batch Transmittal Form FS-6500-161 certifies the number of records transmitted and
Record File
received at National Computer Center at Kansas City (NCC_KC).
Note: Close file at end of fiscal year and apply retention period.
General
Correspondence and records regarding adherence to OMB, GAO,
Treasury, USDA, and Forest Service guidelines and principles for
financial management accounting and reporting, fund management,
and related internal controls not covered elsewhere in this schedule.
Includes records related to in-service meetings, such as costs,
RETENTION
RETENTION
AUTHORITY
Temporary,
3 years (FY)
GRS 9-7
Temporary,
3 years (FY)
GRS 9-7
Temporary,
3 years (FY)
GRS 9-7
Temporary,
5 years (FY)
N1-95-10-8,
Item 20
Temporary,
10 years (FY)
N1-95-10-10,
item 85
Temporary,
10 years (FY)
N1-95-10-10,
item 86
Temporary,
10 years (FY)
N1-95-10-10,
item 87
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6500
Finance and
Accounting
Irregularities
6500
Finance and
Accounting
Membership
Certificates
6500
Finance and
Accounting
Reports
6500
Finance and
Accounting
Reports Administrative
6209.11_42_6000 Series
Page 64 of 140
DESCRIPTION
meeting approval, action plans, agenda, and attendance).
Note: Close file at end of fiscal year and apply retention period.
Includes records of investigations for losses which trigger an
accountable officer’s liability.
Note: Close file at end of fiscal year and apply retention period.
Membership certificates
Note 1: Retain in office.
Note 2: Retention period begins when superseded or obsolete.
Statement of account and reports containing specific accounting
information for each contract, permit, and agreement. These reports
are produced at the end of each month's accounting cycle whenever
there is activity on a contract or permit.
Note 1: Synopsis - Retain original and most recent copy in sale
folder (under 2450).
Note 2: Timber Sale Statement of Account - Retain with official
contract (under 2450).
Note 3: Agreements Report
Note 4: Permit Product Report – Retain most current in the Timber
Sale Permit folder (under 2450).
Note 5: Close file at end of fiscal year and apply retention period.
Includes monthly and quarterly summaries by district, national
forest, or proclaimed unit, of all contract and permit information
summarized in the monthly accounting cycle reports.
Note 1: Contracts, Permits, and Agreements Scheduled
Past/Terminations Reports. Retention period begins when
administrative use ceases.
Note 2: Uncut Under Contract Report. Retention period begins
when administrative use ceases.
Note 3: Road Credits Authority. Year-end report only.
Note 4: Contract History
Note 5: Transfer of Earned Timber Sale Receipts. File with AD742, Transfer and Adjustment Voucher, under “6540 – Finance and
Accounting - Vouchers and Related Documents”.
Note 6: Close file at end of fiscal year and apply retention period.
RETENTION
RETENTION
AUTHORITY
Temporary,
10 years (FY)
N1-95-10-9,
item 29
Temporary,
10 years (see
note)
Temporary,
10 years (FY)
N1-95-10-10,
item 88
Temporary,
10 years (FY))
N1-95-10-10,
item 90
N1-95-10-10,
item 89
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6500
Finance and
Accounting
Reports Edit/Update
Transactions
6510
Appropriations and
Funds
General
6520
Financial Management
Financial Plans
6520
Financial Management
General
6520
Financial Management
Manpower
Allocations
6530
Billings and
Collections
Billings and/or
Receipts
6209.11_42_6000 Series
Page 65 of 140
DESCRIPTION
Outputs consisting of listings of edit/update transactions on a given
date for timber sale agreements, contracts and permits.
Note: Close file when agreement, contract, or permit ends, apply
retention period.
General correspondence and records regarding symbol numbers,
availability, and use, not otherwise covered in this schedule.
Note: Close file when agreement, contract, or permit ends, apply
retention period.
Allotment records showing status of obligations and allotments
under each authorized appropriation. Includes budget estimates,
work plans, summaries of financial information, reports
summarizing budget information and other records outlining plans
for disbursing appropriations.
Note: Close file at end of fiscal year and apply retention period.
Correspondence or subject files maintained by operating units
responsible for expenditure accounting, pertaining to their internal
operations and administration.
Note: Close file at end of fiscal year and apply retention period.
Allotment records showing status of obligations and allotments
under each authorized appropriation. Only records relating to how
ceiling allocations are used. File other material such as transfer-ofstation under 6120 and other fiscal related functions under 6130.
Note: Close file at end of fiscal year and apply retention period.
Records include accountable officers' accounts maintained in the
Agency for site audit by GAO auditors, consisting of statements of
transactions, statements of accountability, collection schedules,
collection vouchers, disbursement schedules, disbursement vouchers,
and all other schedules and vouchers or documents used as schedules
or vouchers, exclusive of commercial passenger transportation and
freight records and payroll records, EXCLUDING accounts and
supporting documents pertaining to American Indians (see note 1
below). Includes site audit records retained for GAO audits and
equivalent agency forms that document the basic financial transaction
here described.
If an agency is operating under an integrated accounting system
RETENTION
RETENTION
AUTHORITY
Temporary,
10 years (FY)
N1-95-10-10,
item 91
Temoprary,
5 years
(see note)
N1-95-10-10,
item 92
Temporary,
6 years (FY)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
2 years (FY)
GRS 7-1
Temporary,
6 years (FY)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
6 years (FY)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6530
HEADING
Billings and
Collections
SUB-HEADING
Billings and/or
Receipts – Copies
6209.11_42_6000 Series
Page 66 of 140
DESCRIPTION
approved by GAO, certain required documents supporting vouchers
and/or schedules are included in the site audit records. These
records document only the basic financial transaction, money
received and money paid out or deposited in the course of operating
the Agency. All copies except the certified payment or collection
copy; usually the original or ribbon copy, and all additional or
supporting documentation not involved in an integrated system are
covered by succeeding items in this schedule.
Note 1: Segregate all records pertaining to American Indians and
Alaska Natives. Accounts and supporting documents pertaining to
American Indians and Alaska Natives are not authorized for
disposal. Such records must be retained indefinitely since they may
be needed in litigation involving the Federal Government’s role as
trustee of property held by the Federal Government and managed for
the benefit of American Indians. These records include those
created under the Alaska Native Claims Settlement Act of 1971
(Public Law 92-203, 85 Stat. 688). When transferring these records
to a Federal Records Center for storage, include the FRC freeze code
“IND” on the SF-135.
Note 2: Close file at end of fiscal year and apply retention period.
Memorandum or extra copies of accountable officers' returns
including statements of transactions and accountability, all
supporting vouchers, schedules, and related documents not covered
elsewhere in this schedule, excluding freight records covered by
General Records Schedule 9 and payroll records covered by General
Records Schedule 2.
Note 1: Accounts and supporting documents pertaining to American
Indians and Alaska Natives are not authorized for disposal. Such
records must be retained indefinitely since they may be needed in
litigation involving the Federal Government’s role as trustee of
property held by the Federal Government and managed for the
benefit of American Indians. These records include those created
under the Alaska Native claims Settlement Act of 1971 (Public Law
92-203, 85 Stat. 688).
Note 2: Destroy when business use ceases.
RETENTION
Temporary
(see note)
RETENTION
AUTHORITY
GRS 1.1, item
11 (DAA-GRS2013-00030002)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6530
Billings and
Collections
6530
Billings and
Collections
SUB-HEADING
6209.11_42_6000 Series
Page 67 of 140
DESCRIPTION
Collection Officers Records include accountable officers' accounts maintained in the
Agency for site audit by GAO auditors, consisting of statements of
transactions, statements of accountability, collection schedules,
collection vouchers, disbursement schedules, disbursement vouchers,
and all other schedules and vouchers or documents used as schedules
or vouchers, exclusive of commercial passenger transportation and
freight records and payroll records, EXCLUDING accounts and
supporting documents pertaining to American Indians. Includes site
audit records retained for GAO audits and equivalent agency forms
that document the basic financial transaction here described.
If an agency is operating under an integrated accounting system
approved by GAO, certain required documents supporting vouchers
and/or schedules are included in the site audit records. These records
document only the basic financial transaction, money received and
money paid out or deposited in the course of operating the Agency.
All copies except the certified payment or collection copy; usually the
original or ribbon copy, and all additional or supporting documentation
not involved in an integrated system are covered by succeeding items
in this schedule.
Note 1: Segregate all records pertaining to American Indians and
Alaska Natives. Accounts and supporting documents pertaining to
American Indians and Alaska Natives are not authorized for disposal.
Such records must be retained indefinitely since they may be needed in
litigation involving the Federal Government’s role as trustee of
property held by the Federal Government and managed for the benefit
of American Indians. These records include those created under the
Alaska Native Claims Settlement Act of 1971 (Public Law 92-203, 85
Stat. 688).” When transferring records to a Federal Records Center for
storage, include the FRC freeze code IND on the SF-135.
Note 2: Close file after final payment or cancellation and apply
retention period. Longer retention is authorized if required for
business use.
Collection Officers – Memorandum or extra copies of accountable officers' returns
Copies
including statements of transactions and accountability, all
supporting vouchers, schedules, and related documents not covered
elsewhere in this schedule, excluding freight records covered by
RETENTION
RETENTION
AUTHORITY
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary
(see note)
GRS 1.1, item
11 (DAA-GRS2013-00030002)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6530
6540
HEADING
Billings and
Collections
Payments
SUB-HEADING
General
Checks
6209.11_42_6000 Series
Page 68 of 140
DESCRIPTION
General Records Schedule 9 and payroll records covered by General
Records Schedule 2.
Note 1: Accounts and supporting documents pertaining to American
Indians and Alaska Natives are not authorized for disposal. Such
records must be retained indefinitely since they may be needed in
litigation involving the Federal Government’s role as trustee of
property held by the Federal Government and managed for the
benefit of American Indians. These records include those created
under the Alaska Native claims Settlement Act of 1971 (Public Law
92-203, 85 Stat. 688).
Note 2: Destroy when business use ceases.
Includes general correspondence related to billings and collections.
Note : Close file at end of fiscal year and apply retention period.
Records include accounts maintained in the Agency for site audit by
GAO auditors, consisting of statements of transactions, statements of
accountability, collection schedules, collection vouchers,
disbursement schedules, disbursement vouchers, and all other
schedules and vouchers or documents used as schedules or vouchers,
exclusive of commercial passenger transportation and freight records
and payroll records, excluding accounts and supporting documents
pertaining to American Indians. If an agency is operating under an
integrated accounting system approved by GAO, certain required
documents supporting vouchers and/or schedules are included in the
site audit records. These records document only the basic financial
transaction, money received and money paid out or deposited in the
course of operating the Agency. All copies except the certified
payment or collection copy; usually the original or ribbon copy, and
all additional or supporting documentation not involved in an
integrated system are covered by succeeding items in this schedule.
Note 1: Segregate all records pertaining to American Indians and
Alaska Natives. Accounts and supporting documents pertaining to
American Indians and Alaska Natives are not authorized for
disposal. Such records must be retained indefinitely since they may
be needed in litigation involving the Federal Government’s role as
trustee of property held by the Federal Government and managed for
the benefit of American Indians. These records include those
RETENTION
Temporary,
5 years (FY)
Temporary,
6 years, (FY)
RETENTION
AUTHORITY
N1-95-10-9,
item 30
GRS 1.1, item
10 (DAA-GRS2013-00030001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6540
Payments
Checks – Copies
6540
Payments
GAO
6209.11_42_6000 Series
Page 69 of 140
DESCRIPTION
created under the Alaska Native Claims Settlement Act of 1971
(Public Law 92-203, 85 Stat. 688).” When transferring records to a
Federal Records Center for storage, include the FRC freeze code
IND on the SF-135.
Note 2: Close file at end of fiscal year and apply retention period.
Memorandum or extra copies of accountable officers' returns
including statements of transactions and accountability, all
supporting vouchers, schedules, and related documents not covered
elsewhere in this schedule, excluding freight records covered by
General Records Schedule 9 and payroll records covered by General
Records Schedule 2.
Note 1: Accounts and supporting documents pertaining to American
Indians and Alaska Natives are not authorized for disposal. Such
records must be retained indefinitely since they may be needed in
litigation involving the Federal Government’s role as trustee of
property held by the Federal Government and managed for the
benefit of American Indians. These records include those created
under the Alaska Native claims Settlement Act of 1971 (Public Law
92-203, 85 Stat. 688).
Note 2: Destroy when business use ceases.
Includes pre-audit inquiries exceptions, disallowances, and
settlements. Records include accounts maintained in the Agency for
site audit by GAO auditors, consisting of statements of transactions,
statements of accountability, collection schedules, collection
vouchers, disbursement schedules, disbursement vouchers, and all
other schedules and vouchers or documents used as schedules or
vouchers, exclusive of commercial passenger transportation and
freight records and payroll records, excluding accounts and
supporting documents pertaining to American Indians.
If an agency is operating under an integrated accounting system
approved by GAO, certain required documents supporting vouchers
and/or schedules are included in the site audit records. These
records document only the basic financial transaction, money
received and money paid out or deposited in the course of operating
the Agency. All copies except the certified payment or collection
copy; usually the original or ribbon copy, and all additional or
RETENTION
RETENTION
AUTHORITY
Temporary
(see note)
GRS 1.1, item
11 (DAA-GRS2013-00030002)
Temporary,
6 years (FY)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6540
Payments
GAO – Copies
6540
Payments
General
6209.11_42_6000 Series
Page 70 of 140
DESCRIPTION
supporting documentation not involved in an integrated system are
covered by succeeding items in this schedule.
Note 1: Segregate all records pertaining to American Indians and
Alaska Natives. Accounts and supporting documents pertaining to
American Indians and Alaska Natives are not authorized for
disposal. Such records must be retained indefinitely since they may
be needed in litigation involving the Federal Government’s role as
trustee of property held by the Federal Government and managed for
the benefit of American Indians. These records include those
created under the Alaska Native Claims Settlement Act of 1971
(Public Law 92-203, 85 Stat. 688).” When transferring records to a
Federal Records Center for storage, include the FRC freeze code
IND on the SF-135.
Note 2: Close file at end of fiscal year and apply retention period.
Memorandum or extra copies of accountable officers' returns
including statements of transactions and accountability, all
supporting vouchers, schedules, and related documents not covered
elsewhere in this schedule, excluding freight records covered by
General Records Schedule 9 and payroll records covered by General
Records Schedule 2
Note 1: Accounts and supporting documents pertaining to American
Indians and Alaska Natives are not authorized for disposal. Such
records must be retained indefinitely since they may be needed in
litigation involving the Federal Government’s role as trustee of
property held by the Federal Government and managed for the
benefit of American Indians. These records include those created
under the Alaska Native claims Settlement Act of 1971 (Public Law
92-203, 85 Stat. 688).
Note 2: Destroy when business use ceases.
Records, including correspondence, regarding accountable officers'
returns and related records, including records under the cognizance
of the General Accounting Office (GAO). There are several types of
"accountable officers," such as:
 The collecting officer, who receives monies owed to the Federal
Government and ensures that it is credited to the proper account;
RETENTION
RETENTION
AUTHORITY
Temporary
(see note)
GRS 1.1, item
11 (DAA-GRS2013-00030002)
Temporary,
5 years (FY)
N1-95-10-9,
item 31
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6540
HEADING
Payments
SUB-HEADING
6209.11_42_6000 Series
Page 71 of 140
DESCRIPTION
 The disbursing officer who is responsible for providing
documentation to GAO, since he/she accomplishes the actual
payment of public monies to proper Federal creditors; and
 The certifying officer, whose signature on a summary attests to
the authenticity of vouchers listed on the schedule.
Note 1: Accounts and supporting documents pertaining to American
Indians and Alaska Natives are not authorized for disposal. Such
records must be retained indefinitely since they may be needed in
litigation involving the Federal Government’s role as trustee of
property held by the Federal Government and managed for the
benefit of American Indians. These records include those created
under the Alaska Native claims Settlement Act of 1971 (Public Law
92-203, 85 Stat. 688).
Note 2: Close file at end of fiscal year and apply retention period.
Imprest Fund Cashier Records include accounts maintained in the Agency for site audit by
Designations
GAO auditors, consisting of statements of transactions, statements of
accountability, collection schedules, collection vouchers,
disbursement schedules, disbursement vouchers, and all other
schedules and vouchers or documents used as schedules or vouchers,
exclusive of commercial passenger transportation and freight records
and payroll records, excluding accounts and supporting documents
pertaining to American Indians.
If an agency is operating under an integrated accounting system
approved by GAO, certain required documents supporting vouchers
and/or schedules are included in the site audit records. These
records document only the basic financial transaction, money
received and money paid out or deposited in the course of operating
the Agency. All copies except the certified payment or collection
copy (usually the original or ribbon copy), and all additional or
supporting documentation not involved in an integrated system are
covered by succeeding items in this schedule.
Also includes, memorandum or extra copies of accountable
officers' returns including statements of transactions and
accountability, all supporting vouchers, schedules, and related
documents not covered elsewhere in this schedule.
Note 1: Segregate all records pertaining to American Indians and
RETENTION
Temporary,
6 years (FY)
RETENTION
AUTHORITY
GRS 1.1, item
10 (DAA-GRS2013-00030001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6540
Payments
6540
Payments
6540
Payments
SUB-HEADING
6209.11_42_6000 Series
Page 72 of 140
DESCRIPTION
Alaska Natives. Accounts and supporting documents pertaining to
American Indians and Alaska Natives are not authorized for
disposal. Such records must be retained indefinitely since they may
be needed in litigation involving the Federal Government’s role as
trustee of property held by the Federal Government and managed for
the benefit of American Indians. These records include those created
under the Alaska Native Claims Settlement Act of 1971 (Public Law
92-203, 85 Stat. 688).” When transferring records to a Federal
Records Center for storage, include the FRC freeze code IND on the
SF-135
Note 2: Close file at end of fiscal year and apply retention period.
Imprest Fund Cashier Memorandum or extra copies of accountable officers' returns
Designations –
including statements of transactions and accountability, all
Copies
supporting vouchers, schedules, and related documents not covered
elsewhere in this schedule,.
Note 1: Accounts and supporting documents pertaining to American
Indians and Alaska Natives are not authorized for disposal. Such
records must be retained indefinitely since they may be needed in
litigation involving the Federal Government’s role as trustee of
property held by the Federal Government and managed for the
benefit of American Indians. These records include those created
under the Alaska Native claims Settlement Act of 1971 (Public Law
92-203, 85 Stat. 688).
Note 2: Destroy when business use ceases.
Passenger
Obligation copy of commercial passenger transportation vouchers.
Transportation - Note: Retention begins after final payment or cancellation, but longer
Obligations
retention is authorized if required for business use.
Passenger
Transportation Payments
Records covering payment for passenger transportation charges for
services for which:
1) notice of overcharge has been or is expected to be issued, or if a rail
freight overpayment is involved,
2) deduction or collection action has been taken,
3) the voucher contains inbound transit shipment(s),
4) parent voucher has print of paid supplemental bill associated,
RETENTION
RETENTION
AUTHORITY
Temporary
(see note)
GRS 1.1, item
11 (DAA-GRS2013-00030002)
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
6 years
(see note)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6540
Payments
Passenger
Transportation –
Settled Accounts
6540
Payments
Passenger
Transportation –
6209.11_42_6000 Series
Page 73 of 140
DESCRIPTION
5) the voucher has become involved in litigation, or
6) any other condition arises, such as detection of overcharge, which
prevents the settling of the account, requiring the voucher to be
retained beyond the 6 year retention period.
Note 1: Exception - Transportation Records (freight and passenger)
Forward copies of voucher-schedules, together with supporting basic
documents, covering payments to carrier for transportation services,
each month, after the statement of transactions has been accomplished.
Forward to: General Services Administration, FZA Chester A. Arthur
Building, Washington, DC 20406
Note 2: Travel authorizations, vouchers, and related documents must
be maintained in the USDA electronic travel system
Note 3: Retention period begins when case file closed.
Original vouchers and support documents covering passenger
transportation charges of settled fiscal accounts, including registers
and other control documents, but excluding records covering payment
for commercial passenger transportation charges for services for
which:
Notice of overcharge has been or is expected to be issued, or if a rail
freight overpayment is involved, deduction or collection action has
been taken, the voucher contains inbound transit shipment(s), parent
voucher has print of paid supplemental bill associated, the voucher has
become involved in litigation, or any other condition arises, such as
detection of overcharge that prevents the settling of the account,
requiring the voucher to be retained beyond the established retention
period.
Note 1: Exception - Transportation Records (freight and passenger)
Forward copies of voucher-schedules, together with supporting basic
documents, covering payments to carrier for transportation services,
each month, after the statement of transactions has been accomplished.
Forward to: General Services Administration, FZA Chester A. Arthur
Building, Washington, DC 20406
Note 2: Close file after final payment and apply retention period,
longer retention authorized if required for business use.
Records include redemption forms, such as SF 1170.
Note: Retention period begins after the year in which the transaction is
RETENTION
RETENTION
AUTHORITY
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
6 years
GRS 1.1, item
10 (DAA-GRS-
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
Unused Tickets
6540
Payments
6540
Payments
6540
Payments
Passenger
Transportation –
Vouchers, Requests,
Authorizations
6209.11_42_6000 Series
Page 74 of 140
DESCRIPTION
completed. Longer retention authorized if required for business use.
Issuing office copies of commercial passenger transportation vouchers
and transportation requests, travel authorizations, and supporting
documents.
Note 1: Travel authorizations, vouchers, and related documents must
be maintained in the USDA electronic travel system.
Note 2: File supporting documentation associated with employee
transfer of station under “6540 – Payments – Transfer of Station” – the
record copy of the travel voucher is retained in the USDA electronic
travel system.
Note 3: Destroy 6 years after final payment or cancellation, but longer
retention is authorized if required for business use...
Transfer of Station Records include documentation associated with individual employee
transfer of station. Records include statements of transactions,
statements of accountability, collection schedules, collection vouchers,
disbursement schedules, disbursement vouchers, and all other
schedules and vouchers or documents used as schedules or vouchers
associated with an individual employee’s transfer of station.
Note 1: Create individual employee case files.
Note 2: Retain documentation associated with employee Temporary,
duty travel not associated with transfer of station (including travel
authorizations and vouchers) under “6540-Payments- Passenger
Transportation Vouchers, Requests, Authorizations”.
Note 3: Official record copy of travel voucher associated with
transfer of station is retained in the USDA electronic travel system).
Copy may be maintained in transfer of station file (as applicable).
Note 4: Retention period begins after final payment or cancellation,
but longer retention authorized if required for business use.
Uniform Allowance Purchase orders, correspondences and related papers pertaining to
award, administration, receipt, and payments associated with the
Forest Service Uniform program. Include procurement or purchase
organization copies (and related papers) relating to FS Uniform
Allowance transactions at or below the simplified acquisition
threshold.
RETENTION
(see note)
Temporary,
6 years
(see note)
RETENTION
AUTHORITY
2013-00030001)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
6 years
(see note)
GRS 1-1, item
10 (DAA-GRS2013-00030001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6540
HEADING
Payments
SUB-HEADING
6209.11_42_6000 Series
Page 75 of 140
DESCRIPTION
Note 1: Retention period begins after final payment, but longer
retention authorized if required for business use.
Note 2: Includes all existing records regarding the FS Uniform
Program previously retained under file code 6150-3-4 (FSH 6209.11,
chapter 40) and/or filed under 6150-Classification, Pay, Uniforms –
General (ID 6209.11-2010-6).
Vouchers and
Includes SF 1081, SF 1097, time slips, expense accounts
Related Documents adjustments, contracts; and related records of Certifying and
Disbursing Officers. Records include accounts maintained in the
Agency for site audit by GAO auditors, consisting of statements of
transactions, statements of accountability, collection schedules,
collection vouchers, disbursement schedules, disbursement vouchers,
and all other schedules and vouchers or documents used as schedules
or vouchers, exclusive of commercial passenger transportation and
freight records and payroll records, excluding accounts and
supporting documents pertaining to American Indians. If an agency
is operating under an integrated accounting system approved by
GAO, certain required documents supporting vouchers and/or
schedules are included in the site audit records. These records
document only the basic financial transaction, money received and
money paid out or deposited in the course of operating the Agency.
All copies except the certified payment or collection copy; usually
the original or ribbon copy, and all additional or supporting
documentation not involved in an integrated system are covered by
succeeding items in this schedule.
Note 1: Segregate all records pertaining to American Indians and
Alaska Natives. Accounts and supporting documents pertaining to
American Indians and Alaska Natives are not authorized for disposal.
Such records must be retained indefinitely since they may be needed in
litigation involving the Federal Government’s role as trustee of
property held by the Federal Government and managed for the benefit
of American Indians. These records include those created under the
Alaska Native Claims Settlement Act of 1971 (Public Law 92-203, 85
Stat. 688).” When transferring records to a Federal Records Center for
storage, include the FRC freeze code IND on the SF-135.
Note 2: File documentation associated with individual employee
RETENTION
Temporary,
6 years
(see note)
RETENTION
AUTHORITY
GRS 1.1, item
10 (DAA-GRS2013-00030001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6540
Payments
6550
Accounting
6550
Accounting
6550
Accounting
SUB-HEADING
6209.11_42_6000 Series
Page 76 of 140
DESCRIPTION
transfer of station under “6540 – Payments – Transfer of Station”
Note 3: File documentation associated with employee
Temporary,duty travel not associated with transfers of station
(including travel authorizations and vouchers) under “6540Payments- Passenger Transportation –Vouchers, Requests,
Authorizations”.
Note 4: Close file after payment or cancellation and apply retenton.
Longer retention is authorized for business use.
Vouchers and
Memorandum or extra copies of accountable officers' returns
Related Documents – including statements of transactions and accountability, all
Copies
supporting vouchers, schedules, and related documents not covered
elsewhere in this schedule, excluding freight records covered by
General Records Schedule 9 and payroll records covered by General
Records Schedule 2.
Note 1: Accounts and supporting documents pertaining to American
Indians and Alaska Natives are not authorized for disposal. Such
records must be retained indefinitely since they may be needed in
litigation involving the Federal Government’s role as trustee of
property held by the Federal Government and managed for the
benefit of American Indians. These records include those created
under the Alaska Native claims Settlement Act of 1971 (Public Law
92-203, 85 Stat. 688).
Note 2: Destroy when business use ceases.
Air Tanker Cost Includes working papers and cost analysis of flying planes and
Analysis
keeping them up to date.
Note 1: Retention period begins when contract terminated.
Note 2: NARA concurs exempt from GRS retention schedule.
Appropriation
Allotment records showing status of obligations and allotments
Allotments
under each authorized appropriation, includes monthly and quarterly
fund control reports for regions and units showing the status of
obligations and allotments under each authorized appropriations.
Note: Close file at end of fiscal year and apply retention period.
Budget Reports
Monthly and quarterly reports on the status of appropriation accounts
and apportionment
Note: Close file at end of fiscal year and apply retention period.
RETENTION
RETENTION
AUTHORITY
Temporary
(see note)
GRS 1.1, item
11 (DAA-GRS2013-00030002)
Temporary,
10 years (see
note)
N1-95-10-10,
item 93
Temporary,
6 years (FY)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
3 years (FY)
GRS 5-3b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6550
Accounting
6550
Accounting
6550
Accounting
6550
Accounting
6550
Accounting
6550
Accounting
6550
Accounting
6550
Accounting
SUB-HEADING
6209.11_42_6000 Series
Page 77 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
Financial Analysis Case files and related reports for timber sale bidders, permittees, and
Temporary,
N1-95-10-10,
for Non-Successful regular contractors who were not awarded the sale or permit. Financial
10 years
item 94
Bidders
analyses and related work papers for approved bidders are filed with
(see note)
the case file for Timber Sale Contracts, Special Use Permits, and
Contracts.
Note 1: Retention period begins when case file closed.
Note 2: NARA has concurred with determination that records are
exempt from GRS retention schedule.
Financial Status Records used as posting and control media, subsidiary to the general
Temporary,
GRS 1.1, item
Reports
and allotment ledgers, and not covered elsewhere in this schedule.
6 years (FY) 10 (DAA-GRSRecords include monthly and quarterly financial status reports such
2013-0003as financial statements and project manager's statements.
0001)
Note: Close file at end of fiscal year and apply retention period.
General
Correspondence and other general records regarding accounting,
Temporary,
N1-95-10-10,
revenue, obligations, costs, financial analysis, and so forth., not
10 years (FY)
item 95
covered elsewhere in this schedule.
Note: Close file at end of fiscal year and apply retention schedule
General Ledger General accounts ledgers, showing debit and credit entries, and
Temporary,
GRS 1.1, item
reflecting expenditures in summary.
6 years (FY) 10 (DAA-GRSNote: Close file at end of fiscal year and apply retention period.
2013-00030001)
Obligations
Source documents
Temporary,
N1-95-10-10,
Note: Close file at end of fiscal year and apply retention period.
10 years (FY)
item 96
Reports
Includes Statement of Obligations Year-End Reports, National
Temporary,
N1-95-10-10,
Appropriation (Fund) Control Year-End Report, Report of Budget
10 years (see
item 97
Execution Year-End Report, and other reports related to final yearnote)
end financial status of Forest Service programs.
Note: Retention period begins when data no longer needed and
reference use ceases.
Revenue
Records pertaining to inflows of resources of revenue.
Temporary,
N1-95-10-10,
Note: Close file at end of fiscal year and apply retention period.
10 years (FY)
item 98
Special
Includes backup records to the General Ledger Account pertaining to
Temporary,
N1-95-10-10,
road development costs for timber.
10 years (FY)
item 99
Note: Close file at end of fiscal year and apply retention period.
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6550
Accounting
6550
Accounting
Timber Cost
Analysis
Timber Operator
Survey
6560
Bonding
Administration
6560
Bonding
Administration
6560
Bonding
Administration
6560
Bonding
Administration
6560
Bonding
Administration
6209.11_42_6000 Series
Page 78 of 140
DESCRIPTION
Includes operator cost analysis working papers.
Note: Close file at end of fiscal year and apply retention period.
Includes working papers and cost analysis reports.
Note 1: This information is current while timber operator remains in
sample.
Note 2: Retention period begins after mill is sold or transferred or
data are no longer included in appraisal schedule.
Bond and Surety Bond and surety records, including correspondence and related papers
Records – At or pertaining to award, administration, receipt, inspection and payment
Below Simplified (other than real property and tax exemption records); includes
Acquisition
procurement or purchase organization copy, and related papers for
Threshold
transactions that are at or below exceed the simplified acquisition
threshold and all construction contracts at or below $2,000.
Note: Apply retention period when final payment received.
Bond and Surety Includes correspondence and related papers pertaining to award,
Records – Exceeding administration, receipt, inspection, and payment (other than real
Simplified
property and tax exemption records); procurement or purchase
Acquisition
organization copy, and related papers for transactions that exceed the
Threshold
simplified acquisition threshold and all construction contracts
exceeding $2,000.
Note: Apply retention period when final payment received.
Bond and Surety Data Submitted to the Federal Procurement Data System (FPDS).
Records - FDPDS Electronic data file maintained by FY, containing unclassified
records of all procurements, other than small purchases, and
consisting of information required under 48 CFR 4.601 for transfer
to the FPDS.
Note: Close file at end of fiscal year and apply retention period.
Bond and Surety Includes correspondence and related papers pertaining to award,
Records – Obligation administration, receipt, inspection, and payment (other than real
Copy
property and tax exemption records).
Note: Destroy when business use ceases
Bond and Surety Includes correspondence and related papers pertaining to award,
Records – Other administration, receipt, inspection, and payment (other than real
Copies
property and tax exempt records).
Note: Destroy when business use ceases.
RETENTION
RETENTION
AUTHORITY
Temporary,
10 years (FY)
Temporary,
10 years
(see note)
N1-95-10-10,
item 100
N1-95-10-10,
item 101
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
6 years
(see note)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary,
6 years (FY)
GRS 1.1, item
10 (DAA-GRS2013-00030001)
Temporary
(see note)
GRS 1.1, item
11 (DAA-GRS2013-00030002)
GRS 1.1, item
11 (DAA-GRS2013-00030002)
Temporary
(see note)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6570
Claims
6570
Claims
6570
Claims
6570
Claims
6570
Claims
6570
Claims
6580
Working Capital Fund
General
6590
Property, Plant, and
Equipment
General
SUB-HEADING
6209.11_42_6000 Series
Page 79 of 140
DESCRIPTION
Claims against the Records relate to claims against the United States for moneys that
United States
have been administratively (1) disallowed in full or (2) allowed in
full or in part, and final payment of the amount awarded, excluding
claims files that are affected by a court order or that are subject to
litigation proceedings.
Note: Retention period begins when case closed.
Claims for the United Claims by the United States subject to the Federal Claims Collection
States
Standards and 28 U.S.C. 2415 or 31 U.S.C. 3716(c)(1). Includes
records relating to claims for money or property that were
administratively determined to be due and owing to the United
States and that are subject to the Federal Claims Collection
Standards (4 CFR Chapter II), excluding claims files that are
affected by a court order or that are subject to litigation proceedings.
Note: Retention period begins when case closed.
Claims Not Owed Claims which the Agency administratively determines are not owed
to the United States after collection action was initiated.
Note: Close file at end of fiscal year and apply retention period.
Claims Subject to Claims that are affected by a court order or that are subject to
Litigation
litigation proceedings.
Note: Destroy when the court order is lifted, litigation is concluded,
or when 6 years, 3 months old, whichever is later.
Collection Action Claims for which the Government is entitled (per 28 U.S.C. 2415) to
Not Terminated additional time to initiate legal action.
Note: Retention period begins after the end of the extended period.
Collection Action Claims for which the Government's right to collect was not extended.
Terminated
Note: Retention period begins after the year in which the
Government's right to collect first accrued.
Includes general correspondence, budget reports, and rate
computation worksheets.
Note: Close file at end of fiscal year and apply retention period.
Correspondence and general files of units responsible for property,
plant, and equipment accounting operations.
Note: Close file when no longer needed for administrative use and
RETENTION
RETENTION
AUTHORITY
Temporary,
6 years,
3 months
(see note)
GRS 6-10a
Temporary,
6 years,
3 months
(see note)
GRS 6-10b(1)
Temporary,
6 years,
3 months FY)
Temporary
(see note)
GRS 6-10b(3)
Temporary,
3 months
GRS 610b(2)(b)
Temporary,
10 years, 3
months
(see note)
Temporary,
5 years (FY)
GRS 610b(2)(a)
Temporary, 2
years (see note)
GRS 6-10c
N1-95-10-9,
item 32
GRS 8-1
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6600
Systems Management
6600
Systems Management
6600
Systems Management
6600
Systems Management
6600
Systems Management
6600
Systems Management
6600
Systems Management
SUB-HEADING
6209.11_42_6000 Series
Page 80 of 140
DESCRIPTION
apply retention period.
Correspondence relating to USDA and FS overall ADP plans and
submissions for OMB A-11 reports, approvals, and justifications.
Includes long-range plans for computer applications and data base
systems, and planning records relative to coordinating council
activities and workload forecasting.
Note: Close file at end of fiscal year and apply retention period.
Application Systems Includes correspondence relating to security and privacy in computer
design and review.
Note: Close file at end of fiscal year and apply retention period.
Coordination and Includes general correspondence relating to systems coordination,
Plans
long- and short-range plans and budget estimates.
Note: Close file at end of fiscal year and apply retention period.
Backup –
Incremental system backups and library tape records - Backup files
Incremental System maintained for potential system restoration in the event of a system
failure or other unintentional loss of data.
Note: Destroy when superseded by a full backup, or when no longer
needed for system restoration, whichever is later.
Backup - Full
Full system backups and library tape records - Backup files
System
maintained for potential system restoration in the event of a system
failure or other unintentional loss of data.
Note: Destroy when superseded by a full backup, or when no longer
needed for system restoration, whichever is later.
Backup – Master Electronic copy, considered by the agency to be a Federal record, of
Files and Databases – the master copy of an electronic record or file and retained in case
Permanent Records the masterfile or database is damaged or inadvertenly erased.
Note 1: File identical to permanent records scheduled for transfer to
National Archives: Destroy immediately after the identical records
have been captured in a subsequent backup file or at any time after
the transfer equest has been signed by the National Archives, but
longer retention is authorized if required for business use.
Backup – Master Electronic copy, considered by the agency to be a Federal record, of
Files and Databases – the master copy of an electronic record or file and retained in case
Temporary Records the masterfile or database is damaged or inadvertenly erased.
ADP Plans
RETENTION
RETENTION
AUTHORITY
Temporary,
7 Years (FY)
GRS 27-1
Temporary,
7 years
(see note)
Temporary,
7 years
(see note)
Temporary
(see notes)
GRS 27-1
GRS 27-3
GRS 3.2, item 40
(DAA-GRS2013-0006-0005)
Temporary
(see notes)
GRS 3.2, item 41
(DAA-GRS2013-0006-0005)
Temporary
(see notes)
GRS 3.2, item
50 (DAA-GRS2013-00060007)
Temporary
(see notes)
GRS 3.2, item
51 (DAA-GRS2013-0006-
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6600
Systems Management
6600
Systems Management
6600
Systems Management
6600
Systems Management
6600
Systems Management
6600
Systems Management
6600
Systems Management
SUB-HEADING
6209.11_42_6000 Series
Page 81 of 140
DESCRIPTION
Note 1: File identical to temporary records authorized for
destruction by a NARA approved records schedule: Destroy
immediately after the identical records have been deleted or replaced
by a subsequent backup file, but longer retention is authorized if
required for business use.
Data Base Systems Includes documentation, including correspondence, relating to
general programmatic security and privacy in data base systems.
Note: Close file at end of fiscal year and apply retention period.
General
Includes general correspondence, budget reports, and rate
computation worksheets.
Note: Close file at end of fiscal year and apply retention period.
National and
Correspondence with other agencies and the Department about the
Departmental
Federal Processing Standards (FIPS), American National Standards
Standards
Institute (ANSI), International Standards Organization (ISO),
Departmental Information Processing Standards (DIPS), or other
standards programs.
Note 1: Retain in office.
Note 2: Close file at end of fiscal year and apply retention period.
Obsolete
Obsolete – file records undert 6680 – Security of Information,
Security and Privacy Information Systems, and Information Technology Policy.
Program
Management
Standards Program Correspondence relating to FS standards program. Includes plans,
Management
reviews, approvals.
Note 1: Standards are incorporated into the Forest Service Directive
System and retained permanently in the 1100-Directives file.
Note 2: Close file when no longer needed for administrative use and
apply retention period.
Obsolete
Obsolete. Retain all recordsunder “6600 – Systems Management –
Systems
General”
Coordinating Council
Systems Facilities Includes correspondence relating to ADP and telecommunications
security facilities, including physical factors; that is, access control,
power, fire, and the actual facilities; that is, computer hardware,
RETENTION
RETENTION
AUTHORITY
0008)
Temporary,
10 years (see
note)
Temporary,
5 years (FY)
N1-95-10-10,
item 104
Temporary,
5 years (FY)
N1-95-10-10,
item 106
Obsolete
Obsolete
Temporary,
5 years
(see note)
GRS 3.1, item
040 (DAAGRS-20130005-0010)
Obsolete
Obsolete
Temporary,
3 years
(see note)
GRS 3.1, item
020 (DAAGRS-2013-
GRS 27-6
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6600
6610
6610
6610
6610
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 82 of 140
DESCRIPTION
software, telecommunication lines, and other equipment.
Note: Close file when no longer needed for administrative use and
apply retention period.
Systems Management
Tapes – A-11
A-11 Reports – transfer tapes to FRC when 3-years old, for proper
Reports
storage under controlled environmental conditions. A-11 reports
document the budget process.
Note 1: WO maintains official record.
Note 2: Apply retention period at end of fiscal year during which
tapes created.
Computer Technology Commercial Services General correspondence, agreements, and related records.
Management
Note: Close file at end of fiscal year or when agreement ends (as
applicable) and apply retention period.
Computer Technology
Computer
Documentation relating to technical plansfor computing activities,
Management
Management Plans including information technology records associated with basic
systems and services used to supply the agency and its staff with
access to computers.
Note: Close file at end of fiscal year and apply retention period.
Computer Technology
Computer
General programmatic records, including correspondence, relating to
Management
Technology
equipment, data communication, programming languages, ADP
Standards
security and privacy and review and approval of Service-wide
computer technology standards.
Note 1: Standards are incorporated into the Forest Service Directive
System and retained permanently in the 1100-Directives file.
Note 2: Close file at end of fiscal year and apply retention period.
Computer Technology Facilities Technology Includes correspondence, studies and other materials relating to
Management
computer technology other than telecommunications systems; that is,
computer hardware, operating systems, general purpose software,
utility programs, programming languages, such as JAVA. See 6240
for telecommunications systems.
Note 1: Close files (except for studies) at end of fiscal year and
apply retention period.
Note 2: Retention period for studies begins when study closed or
completed.
RETENTION
RETENTION
AUTHORITY
0005-0004)
Temporary,
7 years (FY)
GRS 27-3
Temporary,
6 years (FY)
GRS 1.1, item
010 (DAAGRS-20130003-0001)
GRS 3.1, item
010 (DAAGRS-20130005-0006)
Temporary,
5 years
(see note)
Temporary,
5 years (FY)
GRS 27-6
Temporary,
7 years
(see note)
GRS 27-1
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6610
HEADING
SUB-HEADING
Computer Technology
Management
General
6209.11_42_6000 Series
Page 83 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
Correspondence relating to overall policies for computer technology
management.
Note: Close file at end of fiscal year and apply retention period.
Computer Technology Institutional Services General correspondence, agreements, and related records.
Management
Note: Close file at end of fiscal year or when agreement ends (as
applicable) and apply retention period.
Temporary,
5 years (FY)
GRS 27-6
Temporary,
6 years (FY)
6610
Computer Technology
Management
Management and
Administration
Temporary,
10 years (FY)
6610
Computer Technology
Management
Planning
6610
Computer Technology
Management
Reports - General
General correspondence relating to computer science administration
and management.
Note: Close file at end of fiscal year and apply retention period.
General correspondence relating to computer activity plans, long and
short-range facilities plans, and workload forecasting.
Note: Close file and apply retentin period after agreement, control
measures, procedures, project activity, or transaction is obsolete,
completed, terminated, or superseded. Longer reention is authorized
if required for business use.
Includes reports required by GSA, OMB and USDA. Set-up
separate folders by report name and number.
Note: Close files at end of fiscal year and apply retention period.
GRS 1.1, item
010 (DAAGRS-20130003-0001)
GRS 27-6
6610
Computer Technology
Management
Selection and
Acquisition
Temporary,
3 years (FY)
6610
Computer Technology
Management
Sharing Programs
6610
Computer Technology
Management
Studies - General
Correspondence, requests, and approvals for hardware, software,
data communications, ADP services and supplies.
Note: Close file and apply retention period after agreement control
measures, procedures, project activity, or transaction is obsolete,
completed, terminated, or superseded. Longer retention authorized if
required for busienss use.
Includes records on availability and use of equipment, services, and
other products other than by lease or purchase. Also includes
Federal Government sharing programs and GSA Sharing
Coordination--Form 2068.
Note: Close file and apply retention period after final action is taken
or at end of fiscal year, as appropriate.
General studies relating to ADP management and administration, and
related correspondence. Set up case folders for individual studies as
6610
Temporary,
5 years (FY)
GRS 3.1, Item
040 (DAAGRS-20130005-0004)
Temporary,
5 years (FY)
GRS 3.1, item
040 (DAAGRS-20130005-0010)
GRS 3.1, Item
20 (DAA-GRS2013-00050004)
Temporary,
10 years (FY)
GRS 1.2, Item
020 (DAAGRS-20130008-0001)
Temporary,
5 years
GRS 27-6
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6610
Computer Technology
Management
6610
Computer Technology
Management
6610
Computer Technology
Management
Computer Technology
Management
6610
6610
Computer Technology
Management
6610
Computer Technology
Management
6610
Computer Technology
Management
SUB-HEADING
6209.11_42_6000 Series
Page 84 of 140
DESCRIPTION
needed.
Note: Apply retention period upon completion of study.
Study Reports – Final study report only.
Final Report
Note 1: WO maintains official record.
Note 2: Close file at end of study.
Study Reports – Supporting documentation, copy of final report.
Supporting
Note 1: Apply retention period upon completion of study.
Documentation
Note 2: Send final study reports (including summaries) to WO.
Support Services for Correspondence regarding production furnished to functional users.
WO
Note: Close file at end of fiscal year and apply retention period.
Technical
Includes general correspondence relating to the administration of
Authorization
ADP and data communications equipment, software, and services
acquisition. Includes all material not maintained in the procurement
file under 6310 or 6320.
Note: Close file and apply retention period after transaction is
completed, but longer retention is authorized if requied for business
use..
Technical Services Includes correspondence relating to services obtained from outside
sources or provided within the FS, including material on
coordination, cooperative agreements, meetings, user relations and
problems, and workload.
Note: Retention period begins upon expiration or termination of
agreement.
Training and
Includes training plans, programs, and correspondence relating to
Information Services general ADP and computer technology training. Does not include
reference aids.
Note: Close file after superseded or terminated and apply retention
period.
USDA Services General correspondence, agreements, computer printouts and
microfiche related to the cost and workload reporting for
Departmental Computer Centers and other related records. Includes
and may require case folders for NITC, Beltsville, or St. Louis.
Note: Close file at end of fiscal year or when agreement ends
(whichever longer) and apply retention period.
RETENTION
RETENTION
AUTHORITY
(see note
Temporary,
5 years
(see note)
Temporary,
5 years
(see note)
Temporary,
5 years (FY)
Temporary,
3 years (FY)
GRS 27-6
GRS 27-6
GRS 27-6
GRS 3.1, item
20 (DAA-GRS2013-00050004)
Temporary,
10 years (FY)
GRS 1.2, Item
020 (DAAGRS-20130008-0001)
Temporary,
5 years
(see note)
GRS 3.1, Item
11 (DAA-GRS2013-00050007)
Temporary,
10 years
(see note)
GRS 1.2, Iem
020 (DAAGRS-20130008-0001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6610
Computer Technology
Management
Workload
Forecasting
6620
Computer Software
Management
Application
Migration
Determinations
6620
Computer Software
Management
6620
Computer Software
Management
6620
Computer Software
Management
6620
Computer Software
Management
6620
Computer Software
Management
6209.11_42_6000 Series
Page 85 of 140
DESCRIPTION
Reviews and analysis of future demands for computing resources,
departmental studies, and related correspondence.
Note: Close file at end of fiscal year and apply retention period.
Includes correspondence relating to determination of system
categorization, type of application and subsequent security actions
for all applications migrated from local servers to FS data centers.
Note: Retention period begins after system is superseded by a new
iteration or is terminated, defunded, or no longr needed for
agency/IT administrative purposes, but longer retention is authorized
if required for business use.
Computer
Programmic documentation and policies relating to application
Applications
development standards, national application development strategies
Standards
and practices, including Regions, Experiment Stations, and the Area
Office development programs.
Note 1: Standards are incorporated into the Forest Service Directive
System and retained permanently in the 1100-Directives file.
Note 2: Close file and apply retention period after superseded by
new iteration or no longer needed for agency/IT administrative
purpose.
Correspondence – General documentation relating to the management of the review
Review and
and evaluation process.
Evaluation Process Note: Close file and apply retention period after system is
superseded by a new iteration, or is terminated, defunded, or no
longer needed for agency/IT administrative purposes, but longer
retention is authorized if required for business use.
General
Includes documentation relating to broad policy issues involved in
the management of computer programming and systems activities.
Note: Close file at end of fiscal year and apply retention period.
Planning
General documentation relating to computer application plans and
workload forecasting.
Note: Close file at end of fiscal year and apply retention period.
Project Case Folders Case folders organized by project number and name. Includes only
projects which have gone to feasibility study point or beyond.
Note: Retention period begins after system is superseded by a new
RETENTION
Temporary,
3 years (FY)
Temporary,
5 years
(see note)
RETENTION
AUTHORITY
GRS 3.1, item
020 (DAAGRS-20130005-0004)
GRS 3.1, Item
030 (DAAGRS-20130005-0005)
Temporary,
5 years (FY)
GRS 3.1, Item
011 (DAA-GRS
2013-00050007)
Temporary,
5 years (FY)
GRS 3.1, Item
011 (DAAGRS-20130005-0007)
Temporary,
5 years (FY)
N1-95-10-10,
item 131
Temporary,
5 years (FY)
N1-95-10-10,
item 132
Temporary,
5 years
(see note)
GRS 3.1, Item
011 (DAAGRS-2013-
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
6620
Computer Software
Management
6620
Computer Software
Management
6630
Data Management
6630
Data Management
6630
Data Management
6630
Data Management
SUB-HEADING
6209.11_42_6000 Series
Page 86 of 140
DESCRIPTION
iteration, or is terminated, defunded, or no longer needed for Agency
IT adminstrative purposes, but longer retention is authorized if
required for business use.
Reviews and
Records relating to reviews and evaluation of proposed and existing
Evaluation
computer applications, including disapproved systems.
Note 1: If the review and evaluation results in approval of project,
place records in a case folder and file under 6620-Project Case
Folders.
Note 2: Apply retention period to disapproved system records after
final determination.
Systems Support and Correspondence and documentation relating to specific projects for
Training
which applications support activities are assigned to Computer
Science and Tele- communications Staff. Includes correspondence
relating to training needs and sources.
Note: Close file at end of project and apply retention period.
Data Base
Correspondence on multi-unit inputs and establishment of data
Coordination
bases.
Note: Close file at end of fiscal year and apply retention period.
Data Base Design
Correspondence and documentation relating to the specification,
design, review and evaluation of data base systems.
Note 1: If the review and evaluation results in approval of project,
place records in a case folder and file under 6630-Project Case
Folders.
Note 2: Apply retention period to disapproved system records after
final determination.
Data Base
General documentation (including correspondence) regarding
Operations and
operating guides for using national and chief and Staff database
Support
systems. Records retention instructions for documentation
necessary for preservation of data base electronic records will be
included in system records retention instructions.
Note: Close file at end of fiscal year or when system discontinued
(as applicable) and apply retention period.
Data Base Project Case folder by project number and name. Includes only projects
Cases
which have gone to feasibility study point or beyond.
RETENTION
RETENTION
AUTHORITY
0005-0007)
Temporary,
5 years
(see note)
GRS 3.1, Item
011 (DAAGRS-20130005-0007)
Temporary,
5 years
(see note)
GRS 27-6
Temporary,
5 years (FY)
GRS 3.1, Item
011 (DAAGRS-20130005-0010)
GRS 3.1, Item
011 (DAAGRS-20130005-0007)
Temporary,
5 years
(see note)
Temporary,
5 years
(see note)
GRS 27-6
Temporary,
5 years
GRS 3.1, Item
11 (DAA-GRS-
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 87 of 140
DESCRIPTION
Note: Retention period begins upon discontinuance of system.
6630
Data Management
6630
Data Management
6630
Data Management
6630
Data Management
6630
Data Management
6640
Telecommunications
6640
Telecommunications
6640
Telecommunications
Data Management Correspondence relating to data base development, management and
Standards
operation standards, and review and approval of Service-wide data
standards.
Note 1: Standards are incorporated into the Forest Service Directive
System and retained permanently in the 1100-Directives file.
Note 2: Close file at end of fiscal year and apply retention period.
General
Documentation (including correspondence) relating to broad policy
issues involved in the management of data management activities.
Note: Close file at end of fiscal year and apply retention period.
Planning
Documentation (including correspondence) relating to data
management plans and workload forecasting.
Note: Close file at end of fiscal year and apply retention period.
Technology
Documentation (including correspondence) relating to software and
hardware support for data base design and operations. Includes
reviews and evaluations of existing and proposed data base
management software.
Note: Close file at end of fiscal year or when system discontinued
(as applicable) and apply retention period.
Training
Correspondence, training plans, programs, and evaluations.
Note: Close file at end of fiscal year or when system discontinued
(as applicable) and apply retention period.
Data
Includes general documentation related to the administration of
Communications local, metropolitan, and wide-area networks.
Note: Close file at end of fiscal year or use of network discontinued
(as applicable) and apply retention period.
General
Includes telecommunications general files, including plans, reports,
and other records pertaining to equipment requests, telephone
service, and like matters.
Note: Close file at end of fiscal year or when adminsitrative use
ceases, and apply retention period.
Plans
Strategic plans addressing long term telecommunication
requirements and tactical/operational plans that ensure reliable and
RETENTION
(see note)
Temporary,
5 years (FY)
RETENTION
AUTHORITY
2-013-00050007)
GRS 27-6
Temporary,
5 years (FY)
GRS 27-6
Temporary,
5 years (FY)
GRS 27-6
Temporary,
5 years
(see note)
GRS 3.1, Item
010 (DAAGRS-20130005-0006)
Temporary,
5 years
(see note)
Temporary,
3 years
(see note)
GRS 27-6
GRS 12-2b
Temporary,
3 years
(see note)
GRS 12-2b
Temporary,
3 years
GRS 12-2b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6640
Telecommunications
Radio
Communications
6640
Telecommunications
Radio Frequency
Management
6640
Telecommunications
6640
6640
6640
6209.11_42_6000 Series
Page 88 of 140
DESCRIPTION
effective operations.
Note: Retention period begins when plan is replaced.
Includes general correspondence and other records not covered
elsewhere.
Note: Close file at end of fiscal year and apply retention period.
Includes correspondence not directly related to a specific case file.
Note: Close file at end of fiscal year and apply retention period.
Radio Procurement Includes records related to the procurement process such as general
correspondence, awards, waivers, unsatisfactory equipment reports,
contract orders from non-FS organizations, and so forth.
Note 1: Establish subject folders as needed.
Note 2: Close file at end of fiscal year or when case file closed (as
applciable) and apply retention period.
Telecommunications Radio System File File that documents the authorization process for radio frequencies
and tracks the long-term management of a FS radio system. The file
contains background material such as forest maps, system diagrams,
site-specific data, approval letters, current radio frequency
authorizations, and other records that characterize the radio system.
The Washington Office System file also contains documentation for
other USDA agencies.
Note 1: Retain on site. Retention period begins when radio system
is updated.
Note 2: Washington Office Only – Retention period for USDA and
external agencies radio system files begins when radio systems are
updated. Retain on site.
Telecommunications
Radio Tests and Includes test and evaluation reports and related correspondence.
Evaluations
Washington Office file by manufacturer and test number.
Note: Apply retention period when equipment is obsolete or
replaced.
Telecommunications Technical Approvals Includes a description of the LAN according to Department
– Data
regulation 3300-1
Communications Note: Retention period begins when revised, cancelled, or
terminated.
RETENTION
RETENTION
AUTHORITY
(see note)
Temporary,
3 years
(see note)
Temporary,
3 years
(see note)
Temporary,
3 years
(see note)
GRS 12-2b
Temporary,
3 years
(see note)
N1-95-10-10,
item 140
Temporary,
3 years
(see note)
N1-95-10-10,
item 141
Temporary,
3 years
(see note)
GRS 12-2b
GRS 12-2b
GRS 12-2b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6640
6640
6680
6680
6680
6680
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 89 of 140
DESCRIPTION
Telecommunications Technical Approvals File contains GSA Required Information Sheet, Cost Summary
- Telephones
Sheet, Justification Statement, Geographical Location Map,
correspondence, and other records that authorize the purchase of
telephone equipment.
Note: Retain in office. Retention period begins when revised,
cancelled, or terminated.
Telecommunications
Telephone
Includes general correspondence and the Annual Survey Reports.
Communications Note: Close file at end of fiscal year and apply retention period.
Security of
Access Restrictions Documentation of actions taken to harden operating systems to the
Information,
for Change
maximum extent and configurations to prevent circumvention of
Information Systems,
information technology security controls. Includes records
and Information
regarding system administrator access to application configurations;
Technology
documention associated with storage and control of software code
contents; system technical documentation regarding system software
repository; and assignment of repository administrators.
Note: Retention period begins when system superseded or
terminated.
Security of
Agency IT Security Obsolete. File all records under ‘6680 – Security of Information,
Information,
Plan
Information Systems, and Informatiion Technology - IT
Information Systems,
Accreditation and Authorization’.
and Information
Technology
Security of
Configuration
Configuration management records associated with information
Information,
Management
systems reported under the Federal Information Security
Information Systems,
Management Act (FISM) inventory requirements. Includes
and Information
documentation of baseline configuration and configuration change
Technology
control.
Note 1: Retention period begins when system terminated.
Note 2: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Security of
Critical Infrastructure Obsolete. File all records under ‘6680 – Security of Information,
Information,
Plan
Information Systems, and Informatiion Technology - IT
Information Systems,
Accreditation and Authorization’.
and Information
RETENTION
RETENTION
AUTHORITY
Temporary,
3 years
(see note)
GRS 12-2b
Temporary,
3 years (FY)
Temporary,
1 year
(see note)
GRS 12-2b
GRS 3.2, item
010 (DAAGRS-20130006-0001)
Obsolete
Obsolete
Temporary,
5 years
(see note)
Temporary,
1 year
(see note)
GRS 3.1, item
030 (DAAGRS-20130005-0005)
Obsolete
Obsolete
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6680
HEADING
Technology
Security of
Information,
Information Systems,
and Information
Technology
SUB-HEADING
Records include the actual Enterprise Architecture (EA) and
Enterprise Architecture Repository (EAR), as well as records
associated with development and maintenance of the EA and the
EAR. Includes documentation of considerations of information
security and resulting analysis and risks to Forest Service operations,
assets, individuals, other organizations, and the Nation, and
documentation associated with alignment of the FS enterprise
architecture with the Federal Enterprise Architecture.
Note 1: Close file when superseded by a new iteration of the
enterprise architecture. Destroy/delete when 7 years old or when no
longer needed, whichever is later.
Note 2: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
General
General records regarding security of information, information
systems, and information technology, including mission-related
briefings, reports, presentations, studies, and correspondence not
covered by any other category under 6680.
Note 1: Close file at end of fiscal year and apply retention period.
Note 2: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Individual System Obsolete. File all records under ‘6680 – Security of Information,
Security Plans and Information Systems, and Informatiion Technology - IT
Authorizations
Accreditation and Authorization’.
Security of
Information,
Information Systems,
and Information
Technology
6680
Security of
Information,
Information Systems,
and Information
Technology
Security of
Information Security
Information,
Program Plans
Information Systems,
and Information
Technology
Security of
Information System
Information,
Connections/
6680
DESCRIPTION
Enterprise
Architecture
6680
6680
6209.11_42_6000 Series
Page 90 of 140
RETENTION
RETENTION
AUTHORITY
Temporary
(see note)
GRS 27-2
Temporary,
5 years (FY)
GRS 27-6
Obsolete
Obsolete
Obsolete. File all records under ‘6680 – Security of Information,
Information Systems, and Informatiion Technology - IT
Accreditation and Authorization’.
Obsolete
Obsolete
Obsolete. File all records under ‘6680 – Security of Information,
Information Systems, and Informatiion Technology – Systems and
Obsolete
Obsolete
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6680
6680
HEADING
SUB-HEADING
Information Systems,
Interconnections
and Information
Technology
Security of
Information System
Information,
Documentation
Information Systems,
and Information
Technology
6209.11_42_6000 Series
Page 91 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY
Data Security Records’.
Documentation of information systems describing:
 Secure configuration, installation, and operation of the information
system; effective use and maintenance of security
features/functions;
 User-accessible security features/functions and use;
 Methods for secure user interaction with information system;
 User responsibilities for mantaining security of information and
system; and
 Tracking of changes to the information system’s documentation
such as System Security Plan (SSP), Risk Assessment (RA),
Security Control Assessment Reports, Privacy Threshold Analysis
(PTA), Privacy Impact Assessment (PIA)-System of Records Notice
(SORN), Contingency Plan (CP), Configuration Management Plan
(CMP), and POA&M under configuration management (CM).
Also includes vendor/manufacturer documentation that describes:
 Functional properties of the security controls used within the
system; and
 High-level design of the information system in terms of subsystems
and implementation details of security controls used within the
system.
Additionally, records may include documentation of unsuccessful
attempts to obtain information.
Note 1: Retention period begins upon termination of system.
Note 2: Retention of information stored within the system is not
covered by this item. Retention period for information stored within
an information system is scheduled separately.
Note 3: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Security of
Information System Records include inventory of agency information systems, as well as
Information,
Inventory
reports associated with development and monitoring of systems.
Information Systems,
Note 1: Retention period begins upon completion of next inventory.
and Information
Note 2: This records retention schedule applies to textual
Temporary,
5 years
(see note)
GRS 3.1, item
030 (DAAGRS-20130005-0005)
Temporary,
3 year
(see note)
GRS 3.1, item
020 (DAAGRS-20130005-0004)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 92 of 140
DESCRIPTION
RETENTION
Technology
6680
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Security of
IT Accreditation and Records documenting agency compliance with Federal IRM laws and
Temporary,
Information,
Authorization
regulations, including systems and reports created to support
5 years (FY)
Information Systems,
compliance with the mandates of OMB, GAO, and other Federal IRM
and Information
and IT oversight agencies. Records include:
Technology
 Agency IT Security Plans: Plans will be reviewed, updated, and
approved annually. Plans will address the purpose, scope, roles,
responsibilies, management commitment, coordination among
organizational entities, and compliance with agency policy.
 Critical Infrastructure Plans: Records regarding information
security issues addressed in the development, documentation, and
updating of the critical infrastructure and key resource protection
plan.
 Information Security Program Plans: Records include overview of
the requirements for the security program, description of program
management controls, and enterprise common controls in place or
planned for meeting requirements. Also includes records regarding
Senior Information Security Officer (SISO), information security
resources, action plans, and information security performance
measure reports.
 Policy: Records associated with development and adoption of
policy regarding security of information, information systems,and
information technology.
 Risk Managaement Strategy: Records regarding the
comprehensive strategy to manage risk to Foest Service operations
and assets, individuals, other organizations, and the Nationa
associatedwith the operation and use of information systems.
Includes documentation of implementation and management of
records management strategies across the Forest Service.
Note 1: Close file at end of fiscal year and apply retention period.
Note 2: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO official records
repository (such as CSAM – Cyber Security Assessment and
Management).
Note 3: Includes records previously retained under:
RETENTION
AUTHORITY
GRS 4.2, item
080 (DAAGRS-20130007-0022)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 93 of 140
DESCRIPTION
RETENTION
RETENTION
AUTHORITY




6680
6680
6680
Agency IT Security Plan
Critical Infrastructure Plan
Information Security Program Plans
Policy
Risk Management Strategy
Security of
Mission/Business Records include documentation of mission/business processes
Information,
Process Definition associated with information security and risks to Forest Service
Information Systems,
operations, assets, individuals, other organizations, and the Nation.
and Information
Additionally, includes records documenting information protection
Technology
needs including revisions to business processes to achieve protection.
Note 1: Destroy 5 years after the project/activity/ transaction is
completed or superseded, but longer retention is authorized if required
for business use.
Note 2: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Security of
Personally
Records include logs that track the use of PII extracts by authorized
Information,
Identifiable
users, containing some or all of the following:
Information Systems, Information Extract
Date and time of extract
and Information
Logs
 Name and component of information system from which data is
Technology
extracted
 User extracting data
 Data elements involved
 Business purpose for which the data will be used
 Length of time extracted information will be used
Also includes, if appropriate, justification and supervisory
authorization for retaining extract longer than 90 days
 Anticipated disposition date
Note 1: Destroy when business use ceases.
Security of
Personally
Records include system-generated or hardcopy printouts generated for
Information,
Identifiable
business purposes that contain Personally Identifiable Information.
Information Systems, Information Extracts Note 1: Legal citation: OMB M-07-16 (May 22, 2007), Attachment 1,
and Information
Section, bullet “Log and Verify.”
Technology
Note 2: Destroy when 90 days old or no longer needed pursuant to
supervisory authorization, whichever is appropriate.
Temporary,
5 years
(see note)
GRS 3.1, item
040 (DAAGRS-20130005-0010)
Temporary
(see note)
GRS 4.2, item
140 (DAAGRS-013-00070013)
Temporary
(see note)
GRS 4.2, item
130 (DAAGRS-20130007-0012)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6680
HEADING
SUB-HEADING
Security of
PKI Administration
Information,
Information Systems,
and Information
Technology
6209.11_42_6000 Series
Page 94 of 140
DESCRIPTION
RETENTION
Public Key Infrastructure (PKI) unique administrative records that
establish or support authentication by tying the user to a valid
electronic credential or other administrative non-PKI records that are
retained to attest to the reliability of the PKI transaction process.
Included are policies and procedures planning records; stand-up
configuration and validation records; operation records; audit and
monitor records and termination, consolidation, or reorganizing
records. Policies and procedures planning records relate to defining
and establishing PKI systems. Records relate to such activities as
determining that a PKI should be established; crating project
implementation plans; crating the certificate policy (CP), certification
practice statement (CPS), and other key operating documents;
developing procedures in accordance with the CP and CPS; conducting
risk analyses; developing records management policies (including
migration strategies); and selectin the entity that will serve as
registration authority (RA). Stand-up configuration and validation
records relate to installing and validating both the Certification
Authority (CA) and Registration Authority (RA), obtaining final
approval or rejection from the agency's oversight or authorizing body,
creating and generating a CA signature key, testing security procedures
for the CA and RA, validating certification revocation procedures, and
establishing back-up and storage for the PKI system. Operation records
relate to the certification application; certificate issuance and key
generation (including key pair generation and private key loading and
storage of private keys and components of private keys); certificate
acceptance, validation, revocation, suspension, replacement, and
renewal; creating and maintaining an event log; and installing and
validating software updates. Audit and monitor records relate to
conducting periodic internal and external reviews of auditable events
specified in the Federal Bridge Certification Authority (FBCA) X.509
Certificate Policy and other Entity CA policies, monitoring compliance
with security requirements specified in the CPS and other operating
procedures, investigating internal fraud or misconduct, and conducting
internal and external audits of software and systems security.
Termination, consolidation, or reorganization records relate to
terminating, consolidating, or reorganizing a PKI; notifying
Temporary
(see notes)
RETENTION
AUTHORITY
N1-GRS-07-3,
item 13a1 and
N1-gRS-07-3,
item 13a2
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6680
HEADING
Security of
Information,
Information Systems,
and Information
Technology
SUB-HEADING
PKI Transactions
6209.11_42_6000 Series
Page 95 of 140
DESCRIPTION
subscribers of decisions, transferring inactive keys and revocation
certificate lists to storage repositories, transferring consenting
subscribers' and certificates and related materials to a new Certificate
Authority, destroying sensitive records involving privacy (in
accordance with an authorized records schedule), and shutting down
and disposing of RA hardware and CA software.
Note 1: Select PKI administrative records serve as transaction records
that must be retained as part of the trust documentation set with
transaction-specific records. Agencies must determine which PKI
administrative records are embedded with transaction-specific records
as transaction records. These administrative records may vary from
transaction-to-transaction.
Note 2: Retain FBCA CAs basedon the maximum level of operation o
the CA (7 years, 6 months; 10 years, 6 months; or 20 years, 6 months)
or when no longer needed for business, which ever is later. (N1-GRS07-3, item 13a1).
Note 3: Retain other (non-FBCA) CAs based on the maximum leve of
operation of the CA (7 years, 6 months to 20 years, 6 months) or when
no loner needed for business, whichever is later. (N1-GRS-07-3, item
13a2).
Note 4: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Public Key Infrastructure (PKI) transaction-specific records that are
generated for each transaction using PKI digital signature technology.
Records are embedded or referenced within the transaction stream and
may be appended to the transaction content or information record.
Along with PKI administrative and other administrative records,
transaction-specific records are part of the PKI trust documentation set
that establish or support the trusworthiness of a transaction. They may
vary from transaction-to-transaction and agency-to-agency. When
retained to support the authentication of an electronic transaction
content record (information record), PKI digital signature transaction
records are proram records.
Note 1: Extreme care must be taken when applying this records
retention schedule. Destruction of transaction-specific and
RETENTION
RETENTION
AUTHORITY
Temporary
(see note)
N1-GRS-07-3,
item 13b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6680
6680
6680
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 96 of 140
DESCRIPTION
administrative records embedded in the transaction stream prior to the
authorized retention of the information record that they access/protect
will render the PKI incapabile of perorming what it is designed to do
(protect and provide access to the information record). Due to the
relative newness of PKI technology, both from an implementation and
a litigatin perspective, it is recommeneded that programs identify all
PKI transaction records (including PKI select administrative records
embedded in the transaction stream and transaction-specific records) to
be retianed as part of the trus documentation for the records the PKI is
designed to protect and or access and link the retention of the
transaction records with that of the information record it
protects/accesses. Transaction records must be retained as trust
documentation set records together with the content/information
record.
Note 2: Destroy/delete when 7 years, 6 months to 20 years, 6 months
old, based on the maximum level of operatin of the appropriate CA
and after the information record the PKI is designed to protect and/or
access is destroyed according to an authorized schedule, or in the case
of permanent records, when the record is transferred to NARA legal
custody. Long retention is authorized if the agency determines that
transaction-specific PKI records ar needed for a longer period.
Note 3: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Security of
Plan of Action - Obsolete. File all records under ‘6680 – Security of Information,
Information,
Security Deficiencies Information Systems, and Informatiion Technology – Systems and
Information Systems,
Data Security Records’.
and Information
Technology
Security of
Policy
Obsolete. File all records under ‘6680 – Security of Information,
Information,
Information Systems, and Informatiion Technology - IT
Information Systems,
Accreditation and Authorization’.
and Information
Technology
Security of
Privacy Impact
Records include information system Privacy Threshold Analysis
Information,
Assessment
(PTA) and Privacy Impact Assessment (PIA), and all associated
RETENTION
RETENTION
AUTHORITY
Obsolete
Obsolete
Obsolete
Obsolete
Temporary,
1 year
GRS 3.2, item
010 (DAA-
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
Information Systems,
and Information
Technology
6680
6680
6680
Security of
Protection of
Information,
Personally
Information Systems,
Identifiable
and Information
Information
Technology
Security of
Reports - Computer
Information,
Security Incident
Information Systems,
and Information
Technology
6209.11_42_6000 Series
Page 97 of 140
DESCRIPTION
documentation.
Note 1: Retention period begins when system superseded.
Note 2: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Obsolete. File all records under ‘6680 – Security of Information,
Information Systems, and Informatiion Technology – Systems and
Data Security Records’.
Documentation related to computer security incident handling,
reporting, and follow up. A computer incident within the Federal
government is a violation or imminent threat of violation of computer
security policies, acceptable use policies, or standard computer
security practices. This item covers records related to attempted or
actual system security breaches, including break-ins (‘hacks’ –
including virus attacks), improper staff usage, flailure of security
provisions or procedures, and potentially compromised information
assets. It also includes agency reporting of such incidents
bothinternally and extrnally. Computer Security Incident Handling,
Report, and Follow-up Reports including reporting forms, reporting
tools, narrative reports,and any background documentation.
Note 1: Close file and apply retention period once all necessary
follow-up actions have been completed.
Note 2: This item does not include any “significant incidents” such as
a major system failure or compromise of critical government data.
Note 3: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Security of
Reports – Regulatory Annual legal and regulstory compliance reporting records prepared by
Information,
Compliance (Annual) Agency CIO, Inspector General, or Senior Agency Official for
Information Systems,
Privacy. Includes reports prepared in compliance with Federal laws
and Information
and regulations, such as the E-Government Act (Public Law 107-347),
Technology
Title III (Federal Information Security Management Act), and Title V
(Confidential Information Protection and Statistical Efficiency Act), as
codiried in 44 U.S.C Section 101.
RETENTION
RETENTION
AUTHORITY
(see note)
GRS-201300060001)GRS 245b
Obsolete
Obsolete
Temporary,
3 years
(see notes)
GRS 3.2, item
020 (DAAGRS-20130006-0002)
Temporary,
5 years (FY)
GRS 4.2, item
080 (DAAGRS-20130007-0022)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6680
Security of
Reports – Regulatory
Information,
Compliance (Other)
Information Systems,
and Information
Technology
6680
Security of
Risk Management
Information,
Strategy
Information Systems,
and Information
Technology
Security of
Security Assessment
Information,
and Authorization
Information Systems,
and Information
Technology
Security of
Security
Information,
Authorization
Information Systems,
Process
and Information
Technology
Security of
Security Impact
Information,
Analysis
Information Systems,
and Information
Technology
Security of
Security
Information,
Management
Information Systems,
Controls
and Information
Technology
6680
6680
6680
6680
6209.11_42_6000 Series
Page 98 of 140
DESCRIPTION
Note: Close file at end of fiscal year and apply retention period.
All other legal and regulatory compliance reporting records prepared
for Senior Agency Official for Privacy by individual system owners..
Includes reports prepared in compliance with Federal laws and
regulations, such as the E-Government Act (Public Law 107-347),
Title III (Federal Information Security Management Act), and Title V
(Confidential Information Protection and Statistical Efficiency Act), as
codiried in 44 U.S.C Section 101.
Note: Close file at end of fiscal year and apply retention period.
Obsolete. File all records under ‘6680 – Security of Information,
Information Systems, and Informatiion Technology - IT
Accreditation and Authorization’.
RETENTION
RETENTION
AUTHORITY
Temporary,
5 years (FY)
GRS 4.2, item
081 (DAAGRS-20130007-0023)
Obsolete
Obsolete
Obsolete. File all records under ‘6680 – Security of Information,
Information Systems, and Informatiion Technology – Systems and
Data Security Records’.
Obsolete
Obsolete
Obsolete. File all records under ‘6680 – Security of Information,
Information Systems, and Informatiion Technology – Systems and
Data Security Records’.
Obsolete
Obsolete
Obsolete. File all records under ‘6680 – Security of Information,
Information Systems, and Informatiion Technology – Systems and
Data Security Records’.
Obsolete
Obsolete
Records document security requirements and controls incorporated
into the system development life cycle (SDLC) of all Forest Service
information systems.
Note 1: Retention period begins when all follow-up actions have
been completed.
Note 2: This records retention schedule applies to textual
Temporary,
3 years
(see note)
GRS 3.2, item
020 (DAAGRS-20130006-0002)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6680
6680
6680
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 99 of 140
DESCRIPTION
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Security of
Security Related Records include documentation of planning, coordination, and
Information,
Activities
approval of security-related activities affecting the confidentiality,
Information Systems,
integrity, availability, and performance of information systems.
and Information
Includes documentation of mechanisms and guidelines for sharing
Technology
information with appropriate entities.
Note 1: Cut off file annually.
Note 2: Destroy/delete when 7 years old or when no longer needed,
whichever is later.
Note 3: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Security of
System Access
These records are created as part of the user identification and
Information,
Records – No Special authorization process to gain access to systems. Records are used to
Information Systems, Access Accountibilty monitor inappropriate system access by users. User identification
and Information
records generated according to preset requirements, typically system
Technology
generated. A system may, for example, prompt users for new
passwords every 90 days for all users. Includes records such as:
 User profiles
 Log-in files
 Password files
 Audit trail files and extracts
 System usage files
 Cost-back files used to assess charges for system use
Note 1: Excludes records relating to electronic signatures
Note 2: Does not include monitoring for agency mission activities
such as law enforcement.
Note 3: Destroy when business use ceases
Note 4: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Security of
System Access
These records are created as part of the user identification and
Information,
Records – Special authorization process to gain access to systems. Records are used to
Information Systems, Access Accountibilty monitor inappropriate system access by users. User identification
RETENTION
RETENTION
AUTHORITY
Temporary
(see note)
GRS 27-1
Temporary
(see note)
GRS 3.2, Item
030 (DAAGRS-20130006-0003)
Temporary
(see note)
GRS 3.2, Item
031 (DAAGRS-2013-
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
and Information
Technology
6680
Security of
Information,
Information Systems,
and Information
Technology
Systems and Data
Security Records
6209.11_42_6000 Series
Page 100 of 140
DESCRIPTION
records associated with systems which are highly sensitive and
potentially vulnerable. Includes records such as:
 User profiles
 Log-in files
 Password files
 Audit trail files and extracts
 System usage files
 Cost-back files used to assess charges for system use
Note 1: Excludes records relating to electronic signatures
Note 2: Does not include monitoring for agency mission activities
such as law enforcement.
Note 3: Destroy 6 years after password is altered or user account is
teriminated, but longer retention is authorized if required for
business use.
Note 4: This records retention schedule applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
These are records related to maintaining the secuity of information
technology (IT) systems and data. Records outline official
procedures for securing and maintaining IT infrastructure and relate
to the specific systems for which they were written. This series also
includes analysis of security policies, processes, and guidelines, as
well as system risk management and vulnerability analyses.
Includes records such as:
 System Security Plans
 Disaster Recovery Plans
 Continuity of Operations Plans
 Published computer technical manuals and guides
 Examples and references used to produce guidelines covering
security issues related to specific systems and equipment.
 Records on disaster exercises and resulting evaluations
 Network vulnerability assessments
 Risk surveys
 Service test plans
 Test files and data
RETENTION
RETENTION
AUTHORITY
0006-0004)
Temporary,
1 year
(see note)
GRS 3.2, item
010 (DAAGRS-20130006-0001)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6700
6700
6710
6710
6720
6730
HEADING
SUB-HEADING
6209.11_42_6000 Series
Page 101 of 140
DESCRIPTION
Note 1: Retention begins after system is superseded by a new
iteration or when no longer needed for agency/IT administrative
purposes to ensure a continuity of security controls throughout the
life of the system.
Note 2: This records retention schedules applies to textual
(unstructured) records not retained in a USDA CIO repository (such
as CSAM).
Safety and
General
Includes correspondence and records regarding program
Occupational Health
management, safety training and eduction, safety and health
promotions, and related matters not covered elsewhere in this
schedule.
Note: Close file at end of fiscal year and apply retention period.
Safety and
Safety Reporting and Includes records and correspondence regarding safety reporting and
Occupational Health Accomplishments accomplishments.
Note: Close file at end of fiscal year and apply retention period.
Safety and Health
General
Includes records and correspondence regarding SHIPS, Program
Program
Evaluations, and the National Safety and Health Council.
Administration
Note 1: The SHIPS database system/application repository
scheduled separately.
Note 2: Close file at end of fiscal year and apply retention period.
Safety and Health
Violence in the
Records and correspondence associated with prevention of violence
Program
Workplace
in the workplace.
Administration
Prevention
Note: Close file at end of fiscal year and apply retention period.
Occupational Health
General
Includes records pertaining to bloodborne pathogens, hearing
Program
conservation, respritatory and environmental protection, medical
survillance, and ergonomics.
Note: Close file at end of fiscal year and apply retention period.
Accident Reporting
Accident
Case folders. Includes investigator's notes, accident brief, analysis,
and Investigation
Investigations
appendix material, description of the investigation, and related
correspondence. Correspondence and operating guides for using
national and Chief and Staff data base systems.
Note 1: Retention period begins after case file closed.
Note 2: Files may contain PII, store in secure area, control access.
RETENTION
RETENTION
AUTHORITY
Temporary,
5 years (FY)
N1-95-10-10,
item 143
Temporary,
5 years (FY)
N1-95-10-8,
Item 24
Temporary,
5 years (FY)
N1-95-10-10,
item 144
Temporary,
5 years (FY)
N1-95-10-8,
Item 25
Temporary,
5 years (FY)
N1-95-10-10,
item 145
Temporary,
5 years
(see note)
N1-95-10-10,
item 146
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
6730
6730
6740
6760
6800
HEADING
SUB-HEADING
Accident Reporting
and Investigation
General
6209.11_42_6000 Series
Page 102 of 140
DESCRIPTION
Correspondence and records related to accident reporting and
investigations, operating guides for using National, Chief, and Staff
database systems.
Note 1: Files may contain PII, store in secure area, control access.
Note 2: Close file at end of fiscal year and apply retention period.
Accident Reporting
Historically
Records include case records, investigator's notes, accident brief,
and Investigation
Significant Accident analysis, appendix material, description of the investigation, and
Investigations
related correspondence associated with investigations of Forest
Service accidents deemed historically significant to the Agency or
the Federal government.
Note 1: Retention period begins after case file closed.
Note 2: Files may contain PII, store in secure area, control access.
Note 3: Retain on site, transfer to NARA when 15 years old.
Note 4: Agency Records Officer authorization via a NARA
approved transfer form [for example, ERA Transfer Request (TR)]
required prior to transferring permanent records to custody and
ownership of NARA.
Note 5: As electronic retention of official records is approved for
this file code category, pre-accession of electronic records is
authorized by mutual consent of both NARA and Forest Service.
Hazardous Materials
General
Records and correspondence regarding radiation, respiratory
inventories, explosives, and related matters not covered elsewhere in
this schedule.
Note 1: File any records pertaining to Personal Protective
Equipment and Clothing under 6710.
Note 2: Close file at end of fiscal year and apply retention period.
Employee Health and
General
Records pertain to child care and elder/adult dependent care
Work/Life Programs
Note 1: Files may contain PII, store in secure area, control access.
Note 2: 6760 - Blasting and Explosives has been discontinued,
previously filed under 6760, with 3-5 year retention period.
Maintain all Blasting and Explosives safety records under 6700.
Note 3: File telework records under 6160.
Note 4: Close file at end of fiscal year and apply retention period.
Information
General
Correspondence and general records associated with information
Management
management not covered elsewhere in this schedule, including but
RETENTION
RETENTION
AUTHORITY
Temporary,
5 years (FY)
N1-95-10-10,
item 147
PERMANENT
(see note)
N1-95-10-7,
item 4
Temporary,
5 years (FY)
N1-95-10-10,
item 148
Temporary,
5 years (FY)
N1-95-10-8,
Item 26
Temporary,
5 years (FY)
GRS 27-6
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS
FILE
CODE
HEADING
SUB-HEADING
6810
Information
Management
Standards
General
6810
Information
Management
Standards
Plans and Studies
6820
Section 508
Compliance
General
6820
Section 508
Compliance
Oversight and
Compliance
6209.11_42_6000 Series
Page 103 of 140
DESCRIPTION
not limited to correspondence; planning documents; inventory and
performance data; designs, diagrams, and other business system
artifacts.
Note: Close file at end of fiscal year and apply retention period.
Correspondence, forms, National Information Requirements
proposals, directives processing requests used to modify or proposed
national information requirements.
Note: Close file at end of fiscal year and apply retention period.
Includes the final report of the Information Resource Management
Plans, special studies, and other reports leading to information
planning and policy making.
Note: Close file when plan/study completed and apply retention
period.
General records associated with information technology associated
with Section 508 compliance not covered elsewhere in this schedule.
Note: Close file at end of fiscal year and apply retention period.
Oversight and compliance records relate to compliance with IT
policies, directives, and plans associated internal and external reporting
for compliance requirements. Records include documentation relating
to electronic and Information technology accessibility under Section
508 of the Rehabilitation Act.
Note 1: Close file after the project/activity/transaction is completed
or superseded, whichever is appropriate, and apply retention period.
Note 2: Create project files as needed..
RETENTION
RETENTION
AUTHORITY
Temporary,
5 years (FY)
GRS 27-6
Temporary,
7 years
(see note)
GRS 27-1
Temporary
5 years (FY)
GRS 3.1, item
040 (DAAGRS-20130005-0010)
GRS 3.1, item
040 (DAAGRS-20130005-0010)
Temporary,
5 years
(see note)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 104 of 140
6000 Series – Exhibit 01
Reference - Superseded file coding system, headings, sub-headings, retention authorities
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
FS FILE
CODE
HEADING
SUB-HEADINGS
6000
6100
6100
6100
Administration
Personnel
Personnel
Personnel
Reference
6100-1; 6100; 6100-2
6100-3, 6100-1
New
6100
Personnel
6100
Personnel
Reference
General
Inquiries
Institutional and Specialized
Knowledge Records
Obsolete – Do Not Use:
6100 - Service Cards
6100 - Employee Record Cards
6100 - Civilian Personnel
Records;
6100 - Payroll
OPF - Duplicate Documentation
6100
Personnel
6100-4
6100
6100
Personnel
Personnel
Personnel Operations Statistical
Reports
Reference
Statistical Summaries
GRS 1-18b;
N1-95-88-2
GRS 1-16
Reference
6100-6
Reference
GRS 1-22
6100
Personnel
Supervisor’s Personnel Files
6100-5-1
GRS 1-18a
6120
Programs, Standards, Actions,
and Documents
Programs, Standards, Actions,
and Documents
Programs, Standards, Actions,
and Documents
Programs, Standards, Actions,
and Documents
Applicant Case Files
6120-2-1; 6170-3-1
GRS 18-22a
General
6120; 6120-2
GRS 1-18; GRS 1-3
Indexes
6120-2-3; 6170-3-2
Investigative Reports
6120-2-2; 6170-3-1
GRS 18-22c; GRS 1823
GRS 18-22b; GRS 1822a
6120
6120
6120
N/A
6100-5-2
Reference
GRS 1-3; N1-95-88-2
GRS 14-1
New
Obsolete
N/A
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6120
6130
6130
6130
6130
6130
6130
6130
6130
6130
6130
HEADING
SUB-HEADINGS
Programs, Standards, Actions,
and Documents
Employment and Status
Changes
Employment and Status
Changes
Secruity Clearance
Administrative Subject Files
Alternative Worksites –
Approved Requests
Alternative Worksites Generated by Agency or
Employee
Alternative Worksites Unapproved Requests
Applications-Unsolicited –
Flagged for Destruction
Certificate Files
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
6130
Employment and Status
Changes
6130
Employment and Status
Changes
Employment Actions
General
Handicapped Individuals
Appointments
Interagency Placement Program
Medical - EMF Long-Term
Medical Records – Separated
Employees
Medical - EMF Long-Term
Medical Records – Transferred
Employees
Medical – EMF Temporary,or
Short-Term Records
6209.11_42_6000 Series
Page 105 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
6170-3
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
6130-12, 6130-12-1
GRS 18-21; GRS 1822a
GRS 1-42a
6130-12, 6130-12-3
GRS 1-42c
6130-12, 6130-12-2
GRS 1-42b
6130-5-2
GRS 1-14b
6130-10-16, 6130-2
GRS 1-33p, N1-95-882
GRS 1-4, 1-4a, 1-4b,
1-5, 1-8, 1-14, 1-14a,
1-14b, N1-95-88-2
6130-2; 6130-2-1,
6130-2-2, 6130-3,
6130-4, 6130-5,
6130-5-1, 6130-5-2,
6130-2, 6130-2-1,
6130-2-2
6130, 6130-1
N1-95-88-2, GRS 1-3
6130-11
GRS 1-40
6130-10-18, 6130-8
6130-8, 6130-8-1
GRS 1-33r, N1-95-882
GRS 1-21a
6130-8, 6130-8-1
GRS 1-21a
6130-8, 6130-8-2
GRS 1-21b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6130
6130
6130
6130
6130
6130
6130
6209.11_42_6000 Series
Page 106 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
HEADING
SUB-HEADINGS
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Medical - Pre-EMF Employee
Health Case Files
Merit Promotions
6130-8, 6130-8-3
GRS 1-21c
6140-6, 6130-2
GRS 1-32, N1-95-88-2
Non-OPF Correspondence and
Forms
Non-OPF - Other
Correspondence and Forms
Non-OPF Pending Personnel
Actions
Obsolete - Non-OPF Retention
Registers and Related Records –
RIF Action Taken
6130-6
GRS 1-17
6130-6-3
GRS 1-17c
6130-6-1, 6130-2
GRS 1-17a,
N1-95-88-2
GRS 1-17b, N1-95-882, GRS 1-17b(1)
Personnel
Obsolete – Do Not Use:
6130 - Application Record Card
6130 - Cancelled and Ineligible
Applications for Position Filled
From a Register or Inventory
6130 - Certification Request
Control Index
6130 - Correspondence –
Applications, Certification of
Eligibles, Examination and
Recruiting Operations
6130 - Correspondences/Notices
– Change in Name, Address, or
Availability
6130 - DEP Control Cards
6130 - Eligible Applications for
Position Filled
6130-6-2, 6130-7,
6130-7-1
Obsolete. Retain
existing records under
‘6130 – Employment
and Status Changes –
Separation Program
Management –
Agency Specific’
N/A
OBSOLETE
N/A
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6130
6130
6130
6130
6130
HEADING
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
SUB-HEADINGS
6130 - Eligible Applications for
Positions Filled From a Register
or Inventory
6130 - Examination
Announcement Case
Documentation
6130 - Examination and
Certification
6130 - Ineligible or Incomplete
Applications for Position Filled
6130 - Letter to Applicants
Denying Transfer of Eligibility
6130 - Lost or Exposed Test
Material
6130 - Register or Inventory of
Eligibles
6130 - Reports of Audits of
Delegated Examining
Operations
6130 - Request for Prior
Approval of Personnel Actions
6130 - Test Answer Sheets
6130 – Test Material Stock
Control
Official Personnel File (OPF)
6209.11_42_6000 Series
Page 107 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
Various
SUPERSEDED
RETENTION
AUTHORITY
Various
OPF - Separated Employee
Records
6130-1-2, 6120-2-1
OPF - Transferred Employees
6130-1-1, 6120-2-1
GRS 1-1a, GRS 1-1b
OPM – Employee Temporary
OPF Records
Reasonable Accommodation Employee Case Files
6130-7, 6130-7-1
GRS 1-10a
6130-8, 6130-9-2
Previous subheading:
‘OPF – Separated
Employees’
DISCONTINUED
File records under
GRS 1-1b, GRS 1-1b
GRS 1-24b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6209.11_42_6000 Series
Page 108 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
(Discontinued)
SUPERSEDED
HEADINGS AND
SUBHEADINGS
1760 – Equal
Employment
Opportunity –
Reasonable
Accommodation
Employee Case File
DISCONTINUED
File records under
1760 – Equal
Employment
Opportunity –
Reasonable
Accommodation
DISCONTINUED
File records under
1760 – Equal
Employment
Opportunity –
Reasonable
Accommodation
Supplemental Files
DISCONTINUED
File records under
1760 – Equal
Employment
Opportunity –
Reasonable
Accommodation
Tracking System
SUPERSEDED
RETENTION
AUTHORITY
6130
Employment and Status
Changes
Reasonable Accommodation –
General
(Discontinued)
6130-9, 6130-9-1
6130
Employment and Status
Changes
Reasonable Accommodation Supplemental Files
(Discontinued)
6130-9-3
6130
Employment and Status
Changes
Reasonable Accommodation Tracking System
(Discontinued)
6130-9-3
6130
Employment and Status
Changes
Employment and Status
Changes
Employment and Status
Changes
Reasonable Accommodation
Requests – Reference
SES – General
6130-7
GRS 1-10
6130-9-1
N1-95-88-2
Separation Program
Management – Agency Specific.
6130-6-2, 6130-7,
6130-7-1
6130
6130
Previous subheading
‘Non-OPF Retention
GRS 1-24a
GRS 1-24c
GRS 1-24d
GRS 1-17b, GRS 117b(2), GRS 1-3,
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
6130
Employment and Status
Changes
6130
Employment and Status
Changes
Employment and Status
Changes
6130
6140
6140
6140
6140
6140
6140
6140
Employee Development,
Performance, Awards
Employee Development,
Performance, Awards
Employee Development,
Performance, Awards
Employee Development,
Performance, Awards
Employee Development,
Performance, Awards
Employee Development,
Performance, Awards
Employee Development,
Performance, Awards
6140
Employee Development,
Performance, Awards
6140
Employee Development,
Performance, Awards
SUB-HEADINGS
Separation Program
Management – Not Agency
Specific.
SES Candidates - Unassigned
Temporary,Individual Employee
Records - Immigration and
Naturalization Service Form I-9
Awards - Employee General
Awards – Agency Sponsored
Awards - Employee General
Awards – Other Federal
Agencies
Awards - Employee Length of
Service, Sick Leave Awards
Awards - Employee Letters of
Commendation
Awards - Employee Lists of/or
Indexes to Agency Award
Nominations
Awards - Incentive Program
Reports
EPFS - Non-SES Appointees –
Appraisals of Unacceptable
Performance
EPFS - Non-SES Appointees –
Former Employees – Latest
Rating of Record
EPFS - Non-SES Appointees –
Former Employees – Other
6209.11_42_6000 Series
Page 109 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
Registers and Related
Records – No RIF
Action Taken’
N1-95-88-2
New
New
6130-9-2
GRS 1-3
6130-7, 6130-7-2
GRS 1-10b
6140-2-1, 6140-5
GRS 1-12a, N1-95-882
GRS 1-12a, N1-95-882
6140-2-1, 6140-5
6140-2-2, 6140-5
6140-2-3, 6140-5
6140-2-4, 6140-5
GRS 1-12b, N1-95-882
GRS 1-12c, N1-95-882
GRS 1-12d, N1-95-882
6140-3, 6140
GRS 1-13, N1-95-88-2
6140, 6140-4-1,
6140-3, 140-3-1
GRS 1-23a, N1-95-882
6140-4-1, 6140-3,
6140-3-1
GRS 1-23a,
GRS 1-23a(4),
GRS 1-23a(5)
GRS 1-23a,
GRS 1-23a(4),
6140-4-1, 6140-3,
6140-3-1
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
6140
Employee Development,
Performance, Awards
6140
Employee Development,
Performance, Awards
6140
Employee Development,
Performance, Awards
6140
Employee Development,
Performance, Awards
Employee Development,
Performance, Awards
6140
6140
Employee Development,
Performance, Awards
6140
Employee Development,
Performance, Awards
6140
SUB-HEADINGS
Performance Plans and Ratings
EPFS - Non-SES Appointees –
Former Employees – Other
Summary Performance
Appraisal Records
EPFS - Non-SES Appointees –
Superseded Performance
Records
EPFS - Non-SES Appointees –
Supporting Documents
Performance Rating Board
Cases
SES Appointees - Other
Performance Appraisals, Job
Elements, and Standards
SES Appointees – Other Ratings
and Plans
6209.11_42_6000 Series
Page 110 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
6140-4-1, 6140-3,
6140-3-1
6140-4-1, 6140-3,
6140-3-1
GRS 1-23a(5)
GRS 1-23a,
GRS 1-23a(4),
GRS 1-23a(5)
6140-4-1, 6140-3,
6140-3-1, 6140-4
6140-1
GRS 1-9
6140-4-2, 6140-3-2
GRS 1-23b, N1-95-882
6140-4-2, 6140-3-2
GRS 1-23b,
GRS 1-23b(3),
GRS 1-23b(4)
GRS 1-23b,
GRS 1-23b(3),
GRS 1-23b(4)
GRS 1-23b,
GRS 1-23b(3),
GRS 1-23b(4)
GRS 1-23b,
GRS 1-23b(3),
GRS 1-23b(4)
GRS 1-29, GRS 1-29a,
GRS 1-29a(1)
GRS 1-29, 1-29a,
GRS 1-29a(1)
GRS 1-29b,
6140-4-2, 6140-3-2
Employee Development,
Performance, Awards
6140
Employee Development,
Performance, Awards
SES Appointees – Supporting
Documents
6140-4-2, 6140-3-2
6140
Employee Development,
Performance, Awards
Employee Development,
Performance, Awards
Employee Development,
Training – Agency Sponsored
6140-5, 6140-1
Training – Agency Sponsored Background and Working Files
Training - Employee Training
6140-5-1, 6140-1
6140
SUPERSEDED
RETENTION
AUTHORITY
GRS 1-23a,
GRS 1-23a(4),
GRS 1-23a(5)
GRS 1-23a, N1-95-882
SES Appointees – Performance
Records for Former SES
Employees
SES Appointees – Superseded
Performance Records
6140
SUPERSEDED
HEADINGS AND
SUBHEADINGS
6140-4-2, 6140-3-2
6140-5-2, 6140-1
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6209.11_42_6000 Series
Page 111 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
6150
Performance, Awards
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
CFC - Authorization for
Individual Allotment
CFC - Other Authorizations
6150
Classification and Pay
Direct Deposit Sign-up Form
6150, 6150-1, 6150-14,
6150-1-6
6150-9, 6150-9-1,
6150-3-6
6150-9, 6150-9-2,
6150-3-6
6150-11, 6150-3-6
6150
Classification and Pay
General
6150
GRS 2-15a, N1-95-882
GRS 2-15b, GRS 23a(1)
GRS 2-17, GRS 23a(1)
N1-95-88-2
6150
6150
Classification and Pay
Classification and Pay
6150-12, 6150-3-7
6150
GRS 2-18, N1-95-88-2
N/A
6150
6150
Classification and Pay
Classification and Pay
Levy and Garnishments
OBSOLETE
Position Identification Strips
Pay – Electronic Database
Pay - Individual Pay Record
6150-5-1
6150-5-2, 6160-2,
6160-2-1
6150
6150
Classification and Pay
Classification and Pay
Pay - Noncurrent Payroll Files
Pay Comparability
6150-6
6150-4, 6150-3-6
6150
Classification and Pay
6150-14-1
6150
Classification and Pay
6150-14-1
GRS 2-23a
6150
Classification and Pay
Payroll Change Files - All Other
Copies
Payroll Change Files - GAO
Audit Records
Payroll Correspondence
GRS 2-1a
GRS 2-1b, GRS 1-3,
GRS 2-3a(1)
NC1-16-78-1
GRS 2-2
GRS 1-41, GRS 23a(1)
GRS 2-23b
6150-15, 6150-3-6
6150
Classification and Pay
GRS 1-24, GRS 23a(1)
GRS 2-22c
Appeals Files – Certificate of
Classification
Appeals Files – Classification
Appeals
Payroll System - Agency Fiscal
Reports
6150-1-4
6150-13, 6150-13-3
GRS 1-29a(1)
GRS 1-7d
GRS 1-7d
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
6150
Classification and Pay
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
6150
Classification and Pay
Payroll System – Error Reports,
Ticklers, System Operation
Reports
Payroll System - Reports and
Data – Agency Workload
Position Classification
Standards – Development –
Case File
Position Classification
Standards – Development –
Review File
Position Descriptions
Savings Bond Purchases Authorization
Savings Bond Purchases Receipt and Transmittal
Savings Bond Purchases Registration
Survey Files – Classification
Survey Results
Survey Files – Inspection,
Audit, and Survey
Taxes - Agency Copy of
Employee Wages and Tax
Statements
Taxes - Agency Copy of
Employer Reports of
Withholdings
Taxes - Employee Withholding
Allowance Certificate
Thrift Savings Plan Election
Forms
Wages - Allowances
6209.11_42_6000 Series
Page 112 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
6150-13, 6150-13-1
GRS 2-22a
6150-13, 6150-13-2
GRS 2-22b
6150, 6150-1-1,
6150-1-2, 6150-1-3,
6150-1-6
6150-1, 6150-1-1,
6150-1-2, 6150-1-3,
6150-1-6
6150-1-2, 6150-1-4
6150-8-1
GRS 1-7a, GRS 1-7d
6150-8-3
GRS 2-14c
6150-8-2
GRS 2-14b
6150-1-3, 6150-1-5
GRS 1-7c, N1-95-88-2
6150-1-3, 6150-1-5
GRS 1-7c, N1-95-88-2
6150-7-2
GRS 2-13b
6150-7-3
GRS 2-13c
6150-7-1
GRS 2-13a
6150-10, 6150-3-6
GRS 2-16, GRS 23a(1)
GRS 1-3
6150-3-4
GRS 1-7a, GRS 1-7d
GRS 1-7b
GRS 2-14a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 113 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
FS FILE
CODE
HEADING
SUB-HEADINGS
6150
Classification and Pay
6150
Classification and Pay
Wages - Fair Labor Standards
Act
Wages - Wage Surveys
6150
6160
Classification and Pay
Attendance, Leave, and
Telework
Wages - Waiver of Claims Files
Alternative Workplace
(Telework) Program Evaluations
6160
Attendance, Leave, and
Telework
Alternative Workplace
(Telework) Requests and
Agreements
New
6160
Attendance, Leave, and
Telework
Donated Leave Program
6160, 6160-1
6160
Attendance, Leave, and
Telework
General
6160
6160
Attendance, Leave, and
Telework
Leave Applications – Time Card
Initialed
6160-2
6160
Attendance, Leave, and
Telework
Leave Applications – Time Card
Not Initialed
6160-2
6160
Attendance, Leave, and
Telework
Leave Record - Creating
Agency Copy (Obsolete)
Obsolete
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
6150-3-1, 6150-3-2
GRS 1-3
6150-2; 6150-2-1;
6150-2-2; 6150-2-3,
6150-3
6150-3-5
New
GRS 1-38, N1-95-882, GRS 1-3
Heading changed,
previously titled
“Attendance and
Leave”.
Heading changed,
previously titled
“Attendance and
Leave”.
Heading changed,
previously titled
“Attendance and
Leave”.
Heading changed,
previously titled
“Attendance and
Leave”.
Heading changed,
previously titled
“Attendance and
Leave”.
Heading changed,
previously titled
“Attendance and
Leave”.
Obsolete: Retain
existing records under
‘6130 – Employment
and Status Changes –
N1-95-88-2
New
New
GRS 1-37, N1-95-88-2
N1-95-88-2
GRS 2-6, N1-95-88-2
GRS 2-6, N1-95-88-2
GRS 2-9, GRS 2-9b,
N1-95-88-2
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6209.11_42_6000 Series
Page 114 of 140
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(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
OPF Separated
Employee Records’
6160
Attendance, Leave, and
Telework
Leave Restoration Case Files
6160
Heading changed,
previously titled
“Attendance and
Leave”.
N1-95-88-2
6160
Attendance, Leave, and
Telework
Record of Employee Leave
(obsolete)
Obsolete
Obsolete: Retain
existing records under
‘6130 – Employment
and Status Changes –
OPF Separated
Employee Records’
GRS 2-9, 2-9a, N1-9588-2
6160
Attendance, Leave, and
Telework
Time and Attendance Input
Records
6160-1,
6160-1-1,
6160-1-2, 6160-4
GRS 2-8, N1-95-88-2,
GRS 1-3
6160
Attendance, Leave, and
Telework
Time and Attendance Source
Records
6160-2, 6160-3
6160
Attendance, Leave, and
Telework
Time Card - Initialed
6160, 6160-2-1
6160
Attendance, Leave, and
Telework
Time Card – Non-Initialed
6160-2
Heading changed,
previously titled
“Attendance and
Leave”.
Heading changed,
previously titled
“Attendance and
Leave”.
Heading changed,
previously titled
“Attendance and
Leave”.
Heading changed,
previously titled
“Attendance and
Leave”.
6170
Personnel Relations and
Services
Personnel Relations and
Services
Personnel Relations and
Administrative Grievances
6170-3, 6170-3-1,
6170-5
6170-3, 6170-3-2,
6170-5-1
6170, 6170-2, 6170-2-
6170
6170
Adverse Actions and
Performance-Based Actions
Alternative Dispute Resolution
GRS 2-7, GRS 2-3a(1)
GRS 2-6B, GRS 23a(1)
GRS 2-6b, GRS 23a(1)
GRS 1-30, GRS 1-30a,
GRS 1-30b
GRS 1-30, GRS 1-30b
GRS 1-27, GRS 1-27a,
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6170
6170
6170
6170
6170
6170
6209.11_42_6000 Series
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(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
HEADING
SUB-HEADINGS
Services
Personnel Relations and
Services
Personnel Relations and
Services
Personnel Relations and
Services
Personnel Relations and
Services
(ADR) - General
Alternative Dispute Resolution
(ADR) Proceedings
Alternative Dispute Resolution
(ADR) - REFERENCE
Conduct
1
6170-2, 6170-2-2
N1-95-88-2
GRS 1-27, GRS 1-27b
Reference
Reference
6170-3-3
Conflict of Interest and Outside
Employment (Obsolete)
6170-3-4
NC1-95-82-7, GRS 127, GRS 25-1b
NC1-95-82-7, GRS 124b
Federal Workplace Drug
Testing Program
Federal Workplace Drug
Testing Program Collection/Handling of
Specimens – Chain of Custody
Federal Workplace Drug
Testing Program Collection/Handling of
Specimens – Record Books
Federal Workplace Drug
Testing Program - Drug Test
Plans and Procedures
Federal Workplace Drug
Testing Program - Employee
Acknowledgment of Notice
Federal Workplace Drug
Testing Program – Selection &
Scheduling
Federal Workplace Drug
Testing Program - Test Results Negative
N/A
N/A
6170-5-4, 6170-3
GRS 1-36, GRS 136d, GRS 18-21
6170-3, 6170-5-4
GRS 1-36, GRS 136d, GRS 18-21
6170-3, 6170-5-1
GRS 1-36, GRS 1-36a,
GRS 18-21
6170-5-2, 6170-3
GRS 1-36, GRS 136b, GRS 18-21
6170-5-2, 6170-3
GRS 1-36, GRS 1-36c,
GRS 18-21
6170-5-5, 6170-3
GRS 1-36, GRS 1-36e,
GRS 18-21
Personnel Relations and
Services
Personnel Relations and
Services
6170
Personnel Relations and
Services
6170
Personnel Relations and
Services
6170
Personnel Relations and
Services
6170
Personnel Relations and
Services
6170
Personnel Relations and
Services
Obsolete. New
records retained within
USDA electronic
system.
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6170
Personnel Relations and
Services
6170
Personnel Relations and
Services
6170
Personnel Relations and
Services
Federal Workplace Drug
Testing Program - Test Results
– Positive - Employees
Federal Workplace Drug
Testing Program - Test Results
– Positive – Applicants not
accepted for employment
Financial Disclosure - Senior
Executive Service Employees
(obsolete)
6170
6180
Personnel Relations and
Services
Personnel Relations and
Services
Personnel Relations and
Services
Personnel Relations and
Services
Insurance and Annuities
6180
Insurance and Annuities
6180
Insurance and Annuities
6180
Insurance and Annuities
6180
Insurance and Annuities
6180
Insurance and Annuities
6170
6170
6170
6209.11_42_6000 Series
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GRS 1-36, GRS 1-36e,
GRS 18-21
6170-5-5, 6170-3
GRS 1-36, GRS 1-36e,
GRS 18-21
6170-3-4
6170-1, 6170-4-2
Labor Management Relations –
General and Case Files
Personnel Counseling
6170-1, 6170-4-1
Health Benefits Denied,
Appealed to OPM - Successful
Health Benefits Denied,
Appealed to OPM Unsuccessfull
Health Benefits Request Under
Spouse Equity – Denied – Not
Appealed
Health Unit Control Files Statistical Report - NonSummarized
Health Unit Control Files -
SUPERSEDED
RETENTION
AUTHORITY
6170-5-5,
6170-3
Labor Arbitration
Personnel Counseling - Alcohol
and Drug Abuse Program
General
SUPERSEDED
HEADINGS AND
SUBHEADINGS
6140-6, 6170-1, 61701-1
6140-6, 6170-1, 61701-2
6180
6180-5-2, 6180-9
Obsolete. New
records retained within
USDA electronic
system.
GRS 1-24b
GRS 1-28b, N1-95-882
GRS 1-28a, N1-95-882
GRS 1-26, GRS 1-26a,
GRS 1-26b
GRS 1-26, GRS 1-26b
New, previously
unscheduled
GRS 1-35b, GRS 2-20
6180-5-2, 6180-9
GRS 1-35, GRS 135b, GRS 2-20
6180-5-1, 6180-9
GRS 1-35, GRS 1-35a,
GRS 2-20
6180-2, 6180-2-2
GRS 1-20, GRS 1-20b
6180-2, 6180-2-1
GRS 1-20, GRS 1-20a
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 117 of 140
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(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
FS FILE
CODE
HEADING
6180
Insurance and Annuities
6180
Insurance and Annuities
6180
Insurance and Annuities
6180
6180
6180
6180
Insurance and Annuities
Insurance and Annuities
Insurance and Annuities
Insurance and Annuities
Injury/Illness - Occpational
Injury and Disease Files
Insurance
Insurance - Air Travelers
Insurance - Life
Employee Separation Case Files
6180
Insurance and Annuities
Retirement Files (Obsolete)
6180-3, 6180-7
6200
6200
6220
Office Management
Office Management
Correspondence
6200
6200-1
6220-3
N1-95-88-2
GRS 14-1
N1-095-05-3
6220
6220
Correspondence
Correspondence
General
Inquiries
Controlled Correspondence
Reports
General
Routine Controlled
Correspondence
6220-1
6220-2
N1-095-05-3
N1-095-05-3
SUB-HEADINGS
Statistical Report - Summarized
Individual Non-Occupational
Health Record
Injury - Personal Injuries
6180-1
GRS 1-19
6180-1; 6180-1-1,
6180-3
6180-1, 6180-4
GRS 1-31
GRS 1-31, GRS 1-34
6180-2
6180-2-1
6180-7
6180-3, 6180-6
N1-95-88-2
N1-95-88-2
N1-95-88-2
GRS 1-39, N1-95-88-2
Previous subheading:
‘Retirement
assistance’
Obsolete. Retain
records as appropriate
under ‘6130 –
Employment and
Status Changes –
Separation Program
Management –
Agency Specific’ or
‘6130 – Employment
and Status Changes –
Separation Program
Management – Not
Agency Specific’.
GRS 2-28, N1-95-88-2
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6220
Correspondence
6230
Records Creation, Maintenance,
and Disposition
6230
Records Creation, Maintenance,
and Disposition
6230
Records Creation, Maintenance,
and Disposition
6230
Records Creation, Maintenance,
and Disposition
Records Creation, Maintenance,
and Disposition
Significant Controlled
Correspondence
Classified Document Container
Security Files – Access Control
Records
Classified Document Container
Security Files – Document
Containers
Classified Document Container
Security Files – General
Administrative Records
Classified Records Security
6230
6209.11_42_6000 Series
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FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
6220-2
N1-095-05-3
6230-4-1
GRS 18-7a
New
New
6230-4-1
GRS 18-7
6230-4
GRS 18-1
Disposition - Records Schedules
(Obsolete)
6230-1
6230
Records Creation, Maintenance,
and Disposition
Disposition – Transfers to
Federal Records Centers
(Obsolete)
6230-1
6230
Records Creation, Maintenance,
and Disposition
Disposition – Transfers to
National Archives (NARA)
(Obsolete)
6230-1
Obsolete. Do not use.
Retain records under
“6230 – Records
Creating,
Maintenance, and
Disposition - Records
Management
Program”
Obsolete. Do not use.
Retain records under
“6230 – Records
Creating,
Maintenance, and
Disposition - Records
Management
Program”
Obsolete. Do not use.
Retain records under
“6230 – Records
Creating,
Maintenance, and
GRS16-2a
GRS16-2a,
GRS 16-2a(2)
GRS16-2a,
GRS 16-2a(2)
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6209.11_42_6000 Series
Page 119 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
Disposition - Records
Management
Program”
6230
6230
6230
6230
Records Creation, Maintenance,
and Disposition
Records Creation, Maintenance,
and Disposition
Fundamental Classification
Guidance Review Files
General (Obsolete)
New
New
6230
Records Creation, Maintenance,
and Disposition
Records Creation, Maintenance,
and Disposition
Legal Hold Cases
New
New
Records of Daily Activities of
Federal Employees
FSH 6209.11, Chapter
40, Section 44.1
GRS 23-2a
GRS 23-2a
Obsolete. Do not use.
Retain records under
“6230 – Records
Creating,
Maintenance, and
Disposition - Records
Management
Program”
N1-95-88-2, GRS 162b
6230
Records Creation, Maintenance,
and Disposition
Records of High-Level Officials
FSH 6209.11, Chapter
40, Section 44.1
GRS 23-2a
GRS 23-2a
6230
Records Creation, Maintenance,
and Disposition
Records Management Program
New
6230
Records Creation, Maintenance,
and Disposition
Records Creation, Maintenance,
and Disposition
Records Creation, Maintenance,
and Disposition
Records Creation, Maintenance,
Tracking and Control –
Permanent Records
Tracking and Control –
Temporary Records
Vital (Essential) Records
New
GRS 16-2a1,
GRS 16-2a2, GRS 162b, GRS 16-7, GRS
16-10a, GRS 16-10b
New
New
New
6230-2
N1-95-88-2, GRS 16-7
Vital (Essential) Records -
6230-2
N1-95-88-2, GRS 16-7
6230
6230
6230
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6250
6250
and Disposition
Mail Management
Mail Management
6250
6250
6250
6250
6250
6250
Mail Management
Mail Management
Mail Management
Mail Management
Mail Management
Mail Management
6250
6250
6250
6270
Mail Management
Mail Management
Mail Management
Availability of Records
Copies
General
Mail and Delivery Service
Control Files
Mail Receipts
Mail Volume Reports
Messenger Service Files
Metered Mail
Monetary Mail
Post Office and Private Mail
Company Records
Reports
Routing Guides
Stamps
Erroneous Release Records
(including released records)
6270
Availability of Records
6270
Availability of Records
6270
6209.11_42_6000 Series
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FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
6250
New
N1-95-88-2
New
New
New
New
New
New
New
New
New
New
New
New
New
New
New
New
New
New
New
New
New
Erroneous Release Records
(without released records)
FOIA Access and Disclosure
Files
New
New
6270-1, 6270-1-1,
6270-1-2
GRS 14-11a(1), GRS
14-11a(3a), GRS 1412a
Availability of Records
FOIA Appeals (Obsolete)
6270-1-2
6270
Availability of Records
FOIA Control Files
6270-1-3
6270
Availability of Records
FOIA External Reports
(Obsolete)
6270-1
Obsolete. Retain
records under “6270 –
Availability of
Records – FOIA
Access and Disclosure
Files”
GRS 14-12a
GRS 14-13a
Obsolete. Retain
records under “6270 –
Availability of
GRS 14-11a[1]
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6209.11_42_6000 Series
Page 121 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
6270
Availability of Records
FOIA General
6270-1
6270
Availability of Records
FOIA Internal Reports
(Obsolete)
6270-1
6270
Availability of Records
FOIA Reports
6270-1
6270
Availability of Records
FOIA Request – Denials
(Obsolete)
6270-1-1
6270
Availability of Records
FOIA Requests – Access
Granted (Obsolete)
6270-1
6270
Availability of Records
6270-2-2
6270
Availability of Records
6270
Availability of Records
Privacy Act Access and
Disclosure Files
Privacy Act Accounting of
Disclosure
Privacy Act Amendment
Requests
6270
Availability of Records
Privacy Act Amendment
Requests – Refused by Agency
(Obsolete)
6270-2-2
SUPERSEDED
HEADINGS AND
SUBHEADINGS
Records – FOIA
Reports”
Previously titled
“Availability of
Records – FOIA
Administrative Files”.
Obsolete. Retain
records under “6270 –
Availability of
Records – FOIA
Reports”
SUPERSEDED
RETENTION
AUTHORITY
GRS 14-11a[1]
GRS 14-11a[1]
GRS 14-11a(1), GRS
14-14
Obsolete. Retain
records under “6270 –
Availability of
Records – FOIA
Access and Disclosure
Files”
Obsolete. Retain
records under “6270 –
Availability of
Records – FOIA
Access and Disclosure
Files”
GRS 14-11a[3a]
GRS 14-11a[1]
GRS 14-22a,
GRS 14-22b
GRS 14-21a[1],
GRS 14-23
6270-2
6270-2-2
GRS 14-22a, GRS 1422b
Obsolete. Retain
records under “6270 –
Availability of
GRS 14-22a, GRS 1422b
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6209.11_42_6000 Series
Page 122 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
6270
Availability of Records
Privacy Act Amendment
Requests – Approved (Obsolete)
6270-2-2
6270
Availability of Records
Privacy Act Amendment
Requests – Refused by Agency
– Appeals (Obsolete)
Obsolete
6270
Availability of Records
Privacy Act Control Files
6270-2-3
6270
Availability of Records
Privacy Act General
6270-2
6270
Availability of Records
Privacy Act Reports
6270-2
6270
Availability of Records
Privacy Act Requests – Access
Granted (Obsolete)
6270-2
6270
Availability of Records
Privacy Act Requests – Denials
(Obsolete)
6270-2-1
6300
6300
6300
Procurement Management
Procurement Management
Procurement Management
GAO/OGC Opinion
General
Inquiries
6300-5
6300
6300-1
SUPERSEDED
HEADINGS AND
SUBHEADINGS
Records – Privacy Act
Amendment Requests”
Obsolete. Retain
records under “6270 –
Availability of
Records – Privacy Act
Amendment Requests”
Retain records under
“6270 – Availability
of Records – Privacy
Act Amendment
Requests”
Previously titled
“Availability of
Records – PA General
Administration”.
Obsolete. Retain
records under “6270 –
Availability of
Records – PA Access
and Disclosure Files”
Obsolete. Retain
records under “6270 –
Availability of
Records – PA Access
and Disclosure Files”
SUPERSEDED
RETENTION
AUTHORITY
GRS 14-22b, GRS 1422a
GRS 14-22c
GRS 14-24a, GRS 1424
GRS 14-21a[1]
GRS 14-21a[1],
GRS 14-25
GRS 14-21a[1)
GRS 14-21a-3-a
N1-95-88-2
N1-95-88-2
GRS 14-1
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 123 of 140
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(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
FS FILE
CODE
HEADING
SUB-HEADINGS
6300
Procurement Management
6300-4
N1-95-88-2
6300
6310
Procurement Management
Small Purchases
Procurement Preference
Programs
Reports
Purchase Orders
6300-2
6310-3
6310
6310
6320
6320
Small Purchases
Small Purchases
Contracting
Contracting
Purchasing
Tax Exemption Certificates
Bidders List
Bids, Proposals, and Contracts
6310
Not previously used
6320-1-2
6320-1
6320
Contracting
Contracting Officer Warrants
6320
6320
6320
Contracting
Contracting
General
Solicited and Unsolicited Bids
and Proposals – Canceled
6320
6320-1-1
6320
Contracting
Solicited and Unsolicited Bids
and Proposals – Canceled –
Unopened Bids
6320-1-1
6320
Contracting
Solicited and Unsolicited Bids
and Proposals – Small Purchase
6320-1-1
6320
Contracting
Solicited and Unsolicited Bids
and Proposals - Successful
6320-1-1
6330
General
6330
6340
Specifications, Standards, and
Qualified Products Lists
Shipments
N1-95-88-2
GRS 3-3a[2],
GRS 3-3a(1)(b)
GRS 3-2
GRS 3-12
GRS 3-5d
GRS 3-3a[1),
GRS 3-3a(1)(a)
GRS 3-2, GRS 33a(1)(a)
GRS 3-2
GRS 3-5b[1], GRS 35b[2a, GRS 3-5b[2b],
GRS 3-5c(1)
GRS 3-5b[1],
GRS 3-5b[2a]
GRS 3-5b[2b]
GRS 3-5c(2)
GRS 3-5b[1], GRS 35b[2a], GRS 3-5b[2b],
GRS 3-5b
GRS 3-5b[1],
GRS 3-5b[2a],
GRS 3-5b[2b],
GRS 3-5a
GRS 3-2
General
6340
6350
Transportation of Things
General
6350
GRS 9-1a[2], GRS 91a
GRS 9-1a[2]
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6350
Transportation of Things
6350
Transportation of Things
6350
6350
6360
6400
6400
6410
6410
6410
6410
6410
Transportation of Things
Transportation of Things
Printing
Property Management
Property Management
Personal Property Management
Personal Property Management
Personal Property Management
Personal Property Management
Personal Property Management
6410
6410
Personal Property Management
Personal Property Management
6410
Personal Property Management
6410
6420
Personal Property Management
Stores and Cupboard Stock
Management
Stores and Cupboard Stock
Management
Stores and Cupboard Stock
Management
Stores and Cupboard Stock
Management
Fleet Equipment Management
Government Bills of Lading –
Domestic
Government Bills of Lading –
International
Lost or Damaged Shipments
Unsettled Accounts
General
General
Inquiries
Excess Personal Property
General
Records and Inventory
Registers
Registers for Items of Tangible
and Other Value
Reports
Surplus Personal Property $5,000 - $24,999
Surplus Personal Property –
$25,000 or Greater
Transfer in and/or Receipt
General
6420
6420
6420
6430
6209.11_42_6000 Series
Page 124 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
6350-1
SUPERSEDED
RETENTION
AUTHORITY
6350-2
GRS 9-1a[2],
GRS 9-1c
GRS 9-1b, GRS 9-1c
New
New
6360
6400
6400-1
6410-3
6410
6410-4
6410-4-1
6410-4-2
New
GRS 9-1b
N1-95-88-2
N1-95-88-2
GRS 14-1
N1-95-88-2
N1-95-88-2
N1-95-88-2
N1-95-88-2
N1-95-88-2
6410-7
6410-2-1
N1-95-88-2, GRS 4-2
N1-95-88-2
6410-2
6410-2-1
6410-6
6420
N1-95-88-2
Materials Accounting
6420-2
GRS 8-3
Materials Accounting
Background
Materials Invoice
6420-3
GRS 8-4
6420-1
GRS 8-2
Acquisitions, Identification, and
Classification (Obsolete)
7130-1
N1-95-88-2
N1-95-88-2
Obsolete – file records
under ‘7130 – Fleet
N1-95-88-2,
N1-95-10-10, item 76
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6209.11_42_6000 Series
Page 125 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
6430
Fleet Equipment Management
Annual Motor Vehicle and
Equipment Reports (Obsolete)
7130-9
6430
Fleet Equipment Management
Disposal of Fleet Equipment
(Obsolete)
7130-5
6430
Fleet Equipment Management
Fleet Assignment and
Utilization (Obsolete)
7130-2
6430
Fleet Equipment Management
General (Obsolete)
N/A
6430
Fleet Equipment Management
Use and Storage (Obsolete)
7130-3
6440
Real Property Management
Excess Real Property
6440-1
SUPERSEDED
HEADINGS AND
SUBHEADINGS
Equipment
Management –
Acquisitions,
Identification, and
Classification
Obsolete – file records
under ‘7130 – Fleet
Equipment
Management – Annual
Motor Vehicle and
Equipment Reports
Obsolete – file records
under ‘7130 – Fleet
Equipment
Management –
Disposal of Fleet
Equipment
Obsolete – file records
under ‘7130 – Fleet
Equipment
Management – Fleet
Assignment and
Utilization
Obsolete – file records
under ‘7130 – Fleet
Equipment
Management –
General
Obsolete – file records
under ‘7130 – Fleet
Equipment
Management – Use
and Storage
SUPERSEDED
RETENTION
AUTHORITY
N1-95-88-2,
GRS 10-4
N1-95-88-2,
N1-95-10-10, item 77
N1-95-88-2,
N1-95-10-10, item 78
N1-95-10-8, item 8
N1-95-88-2,
N1-95-10-10, 79
N1-95-88-2
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 126 of 140
FS FILE
CODE
HEADING
SUB-HEADINGS
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
6440
6440
Real Property Management
Real Property management
General
Leases < $25,000
6440
6440-3-1
6440
Real Property Management
Leases >$25,000
6440-3-1
6440
6440
Real Property Management
Real Property Management
6440-2
New
6440
Real Property Management
New
New
6440
Real Property Management
New
New
6440
Real Property Management
New
New
6440
Real Property Management
New
New
6440
Real Property Management
New
New
6440
Real Property Management
New
New
6440
Real Property Management
New
New
6440
Real Property Management
6440-2-2
N1-95-88-2
6440
6440
6440
6440
6440
Real Property Management
Real Property Management
Real Property Management
Real Property Management
Real Property Management
Quarters Management
Quarters/Housing Applications
– All Others
Quarters/Housing Applications
– Rejected
Quarters/Housing Assignment
and Vacancy Card Files –
Individual Tenant Cards
Quarters/Housing Assignment
and Vacancy Card Files –
Individual Unit Cards
Quarters/Housing Maintenance
and Repair
Quarters/Housing Maintenance
and Repair - Work Orders
Quarters/Housing Management
Reports
Quarters/Housing Rental
Agreements
Quarters Inventory and Rate
Setting
Real Property Acquisition
Real Property Disposition
Rental Rates
Reports
Space Management
N1-95-88-2
N1-95-88-2, GRS 33a[2], GRS 3-3a(1)(b)
N1-95-88-2, GRS 33a(1)(a)
N1-95-88-2
New
6440-1-2
6440-1-1
6440-2-1
6440-4
6440-3
GRS 3-1
N1-95-88-2
N1-95-88-2
N1-95-88-2
N1-95-88-2
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6450
6450
6450
6450
6450
6460
6460
6460
6460
6460
6460
6460
6470
6470
6470
6470
6209.11_42_6000 Series
Page 127 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
HEADING
SUB-HEADINGS
Management Accountability and
Survey Boards
Management Accountability and
Survey Boards
Management Accountability and
Survey Boards
Management Accountability and
Survey Boards
Management Accountability and
Survey Boards
Waste Prevention, Recycling,
and Acquisition
Waste Prevention, Recycling,
and Acquisition
Waste Prevention, Recycling,
and Acquisition
Waste Prevention, Recycling,
and Acquisition
Waste Prevention, Recycling,
and Acquisition
Waste Prevention, Recycling,
and Acquisition
Waste Prevention, Recycling,
and Acquisition
Commuter Choices Subsidy
Benefits Programs
Commuter Choices Subsidy
Benefits Programs
Commuter Choices Subsidy
Benefits Programs
Commuter Choices Subsidy
Benefits Programs
Findings of Financial Liability Appeals
Fiscal Liability
Recommendations - Lists
General
New
New
New
New
New
New
Survey Boards or Officers Assignments
Survey Boards or Officers Findings
General
New
New
New
New
6460
Green Purchasing Information
New
Previously
unscheduled
New
Green Team Activities
New
New
Pollution Prevention (P2)
Activities
Recycling Campaigns
New
New
New
New
Recycling Reports
New
New
Reduce, Reuse, Recycle – 3Rs
Activities
Annual Passes in Limited
Locations
Commuter Bicycle
Reimbursement Program
Commuter Highway Vehicle
Program for Vanpools
General
New
New
New
New
New
New
New
New
New
New
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 128 of 140
HEADING
SUB-HEADINGS
PREVIOUS
(SUPERSEDED)
FILE CODE
Parking Benefits Program
New
New
New
New
6500-4
6500-4-1
6500
6500-2
6500-3
6500-6
6500-7
6500-5
New
N1-95-90-2
N1-95-90-2
N1-95-88-2
N1-95-88-2
N1-95-88-2
N1-95-90-2
N1-95-90-2
N1-95-90-2
6510
6520
6520
6520
6530
6530
Appropriations and Funds
Financial Management
Financial Management
Financial Management
Billings and Collections
Billings and Collections
6510
6520-1
6520
6520-2
6530-1
6530-1
N1-95-88-2
GRS 7-3
GRS 7-1
GRS 7-3
GRS 6-1, GRS 6-1a
GRS 6-1, GRS 6-1b
6530
6530
6530
6540
6540
6540
6540
6540
6540
Billings and Collections
Billings and Collections
Billings and Collections
Payments
Payments
Payments
Payments
Payments
Payments
Rideshare Incentive Program for
Carpools
General
Batch Control Records
Batch Transmittal Record File
General
Irregularities
Membership Certificates
Reports
Reports - Administrative
Reports - Edit/Update
Transactions
General
Financial Plans
General
Manpower Allocations
Billings and/or Receipts
Billings and/or Receipts –
Copies
Collection Officers
Collection Officers – Copies
General
Checks
Checks – Copies
GAO
GAO – Copies
General
Imprest Fund Cashier
New
6480
6500
6500
6500
6500
6500
6500
6500
6500
Commuter Choices Subsidy
Benefits Programs
Commuter Choices Subsidy
Benefits Programs
Asset Management Inspection
Finance and Accounting
Finance and Accounting
Finance and Accounting
Finance and Accounting
Finance and Accounting
Finance and Accounting
Finance and Accounting
Finance and Accounting
6530-2
6530-2
6530
6540-4
6540-4
6540-5
6540-5
6540
6540-6
GRS 6-1a
GRS 6-1b
N1-95-88-2
GRS 6-1a
GRS 6-1b,
GRS 6-1a
GRS 6-1b
N1-95-88-2
GRS 6-1a
FS FILE
CODE
6470
6470
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
6540
Payments
6540
Payments
6540
Payments
6540
Payments
6540
Payments
6540
Payments
6540
6540
Payments
Payments
6540
Payments
6540
Payments
6550
6550
6550
6550
Accounting
Accounting
Accounting
Accounting
6550
6550
6550
6550
6550
Accounting
Accounting
Accounting
Accounting
Accounting
SUB-HEADINGS
Designations
Imprest Fund Cashier
Designations – Copies
Passenger Transportation Obligations
Passenger Transportation Payments
Passenger Transportation –
Settled Accounts
Passenger Transportation –
Unused Tickets
Passenger Transportation –
Vouchers, Requests,
Authorizations
Transfer of Station
Uniform Allowance
Vouchers and Related
Documents
Vouchers and Related
Documents – Copies
Air Tanker Cost Analysis
Appropriation Allotments
Budget Reports
Financial Analysis for NonSuccessful Bidders
Financial Status Reports
General
General Ledger
Obligations
Reports
6209.11_42_6000 Series
Page 129 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
6540-6
GRS 6-1b
6540-8
GRS 9-1b, GRS 9-1d
6540-8
GRS 9-1b
6540-8
GRS 9-1a, GRS 9-1b
6540-8
GRS 9-1b, GRS 9-1e
6540-8
GRS 9-1b, GRS 9-1c.
6540-7
6150-3-4
6540-7
GRS 6-1a
GRS 3-1,
GRS 3-3a(1)(b)
GRS 6-1a
6540-7
GRS 6-1b
6550-4-3
6550-6-2
6550-6-1
6550-5
N1-95-88-2
GRS 7-3
GRS 5-3b
N1-95-90-1
6550-6-3
6550
6550-2
6550-1
6550-6
GRS 7-4a
N1-95-88-2
GRS 7-2
N1-95-88-2
N1-95-88-3
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 130 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
FS FILE
CODE
HEADING
SUB-HEADINGS
6550
6550
6550
6550
6560
Accounting
Accounting
Accounting
Accounting
Bonding Administration
6550-3
6550-4
6550-4-1
6550-4-2
6560
N1-95-88-2
N1-95-88-2
N1-95-88-2
N1-95-88-2
GRS 3-3, GRS 33a(1)(b)
6560
Bonding Administration
6560
GRS 3-3, GRS 33a(1)(a)
6560
Bonding Administration
6560
6560
Bonding Administration
6560
GRS 3-3,
GRS 3-3d
GRS 3-3, GRS 3-3b.
6560
Bonding Administration
6560
GRS 3-3, GRS 3-3c
6570
6570
6570
6570
6570
Claims
Claims
Claims
Claims
Claims
6570
6570-1
6570-2
6570-3
6570-1-2
GRS 6-10a
GRS 6-10b[1]
GRS 6-10b[3]
GRS 6-10c
GRS 6-10b[2b]
6570
6580
6590
6600
Claims
Working Capital Fund
Property, Plant, and Equipment
Systems Management
Revenue
Special
Timber Cost Analysis
Timber Operator Survey
Bond and Surety Records – At
or Below Simplified Acquisition
Threshold
Bond and Surety Records –
Exceeding Simplified
Acquisition Threshold
Bond and Surety Records FDPDS
Bond and Surety Records –
Obligation Copy
Bond and Surety Records –
Other Copies
Claims against the United States
Claims for the United States
Claims Not Owed
Claims Subject to Litigation
Collection Action Not
Terminated
Collection Action Terminated
General
General
ADP Plans
6570-1-1
6580
New
6600-1-2
6600
Systems Management
Application Systems
6600-2-2
6600
Systems Management
Coordination and Plans
6600-1
GRS 6-10b[2a]
N1-95-88-2
New
N1-95-88-2,
N1-95-10-9, item 33
N1-95-88-2,
N1-95-10-10, item 102
N1-95-88-2,
N1-95-10-10, item 103
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6600
6600
6600
Systems Management
Systems Management
Systems Management
6600
Systems Management
6600
6600
Systems Management
Systems Management
Backup – Incremental System
Backup - Full System
Backup – Master Files and
Databases – Permanent Records
Backup – Master Files and
Databases – Temporary Records
Data Base Systems
General
6600
Systems Management
6600
Systems Management
6600
6209.11_42_6000 Series
Page 131 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
New
New
New
New
New
6600-2-3
6600
N1-95-88-2
N1-95-88-2,
N1-95-10-10, item 105
N1-95-88-2
6600-3-1
Systems Management
Standards Program Management
6600-3
6600
Systems Management
Systems Coordinating Council
(Obsolete)
6600-1-1
6600
Systems Management
Systems Facilities
6600-2-1
6600
Systems Management
Tapes – A-11 Reports
6600-1-2
6610
Computer Technology
Management
Computer Technology
Management
Computer Technology
Commercial Services
6610-6-2
Computer Management Plans
6610-1-1
Computer Technology
6610-3
6610
SUPERSEDED
RETENTION
AUTHORITY
New
New
New
National and Departmental
Standards
Security and Privacy Program
Management (Obsolete)
6610
SUPERSEDED
HEADINGS AND
SUBHEADINGS
6600-2
Obsolete, retain
records under 6680 –
Security of
Information,
Information Systems,
and Information
Technology - Policy
Obsolete. Retain all
records under “6600 –
Systems Management
– General”
N1-95-88-2,
N1-95-10-10, item 107
N1-95-88-2,
N1-95-10-10, item 108
N1-95-88-2,
N1-95-10-10, item 109
N1-95-88-2,
N1-95-10-10, item 110
N1-95-88-2,
N1-95-10-9, item 34
N1-95-88-2,
N1-95-10-10, item 111
N1-95-88-2,
N1-95-10-10, item 112
N1-95-88-2,
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6610
6610
6610
6610
6610
6610
6610
6610
6610
6610
6610
6610
6610
6610
6610
6209.11_42_6000 Series
Page 132 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
HEADING
SUB-HEADINGS
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Standards
Facilities Technology
6610-6-7
General
6610
Institutional Services
6610-6-3
Management and
Administration
6600-2
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Computer Technology
Management
Planning
6610-1
Reports - General
6600-2-1
Selection and Acquisition
6610-5-1
Sharing Programs
6610-5-2
Studies - General
6600-2-2
Study Reports – Final Report
6610-2-3
Study Reports – Supporting
Documentation
Support Services for WO
6600-2-3
Technical Authorization
6610-5
Technical Services
6610-5-6
Training and Information
Services
6610-4
6610-6-4
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
N1-95-10-10, item 113
N1-95-88-2,
N1-95-10-10, item 114
N1-95-88-2,
N1-95-10-10, item 115
N1-95-88-2,
N1-95-10-10, item 116
N1-95-88-2,
N1-95-10-10, Item
117
N1-95-88-2,
N1-95-10-10, item 118
N1-95-88-2,
N1-95-10-10, item 119
N1-95-88-2,
N1-95-10-10, item 120
N1-95-88-2,
N1-95-10-10, item 121
N1-95-88-2,
N1-95-10-10
N1-95-88-2,
N1-95-10-9, item 35
N1-95-88-2,
N1-95-10-10
N1-95-88-2,
N1-95-10-10, item 124
N1-95-88-2,
N1-95-10-10, item 125
N1-95-88-2,
N1-95-10-10, item 126
N1-95-88-2,
N1-95-10-10, item 127
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 133 of 140
HEADING
SUB-HEADINGS
PREVIOUS
(SUPERSEDED)
FILE CODE
USDA Services
6610-6-1
N1-95-88-2
Workload Forecasting
6600-1-2
Application Migration
Determinations
Computer Applications
Standards
Correspondence – Review and
Evaluation Process
General
New
N1-95-88-2,
N1-95-10-10, item 128
N1-95-10-8, Item 21
6630
Computer Technology
Management
Computer Technology
Management
Computer Software
Management
Computer Software
Management
Computer Software
Management
Computer Software
Management
Computer Software
Management
Computer Software
Management
Computer Software
Management
Computer Software
Management
Data Management
6630
FS FILE
CODE
6610
6610
6620
6620
SUPERSEDED
RETENTION
AUTHORITY
6620
N1-95-88-2,
N1-95-10-10, item 129
N1-95-88-2,
N1-95-10-10, item 130
N1-95-88-2
Planning
6620-1
N1-95-88-2
Project Case Folders
6620-2-2
Reviews and Evaluation
6620-2
Systems Support and Training
6620-3
Data Base Coordination
6630-5
Data Management
Data Base Design
6630-4
6630
Data Management
6630-6
6630
Data Management
Data Base Operations and
Support
Data Base Project Cases
6630-4-1
6630
Data Management
Data Management Standards
6630-3
6630
Data Management
General
6630
N1-95-88-2,
N1-95-10-9, item 36
N1-95-88-2,
N1-95-10-9, item 37
N1-95-88-2,
N1-95-10-10, item 133
N1-95-88-2,
N1-95-10-10, item 134
N1-95-88-2,
N1-95-10-9, item 38
N1-95-88-2,
N1-95-10-10, item 135
N1-95-88-2,
N1-95-10-9, item 39
N1-95-88-2
N1-95-10-10, item 136
N1-95-88-2,
N1-95-10-10, item 137
6620
6620
6620
6620
6620
6620
6620-4
SUPERSEDED
HEADINGS AND
SUBHEADINGS
6620-2-1
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
6209.11_42_6000 Series
Page 134 of 140
FS FILE
CODE
HEADING
SUB-HEADINGS
PREVIOUS
(SUPERSEDED)
FILE CODE
6630
Data Management
Planning
6630-1
6630
Data Management
Technology
6630-2
6630
Data Management
Training
6630-7
6640
6640
6640
Telecommunications
Telecommunications
Telecommunications
Data Communications
General
Plans
6640-4
6640
6640-1
6640
6640
6640
6640
6640
6640
Telecommunications
Telecommunications
Telecommunications
Telecommunications
Telecommunications
Telecommunications
6640-2
6640-2-3
6640-2-1
6640-2-4
6640-2-2
6640-4-1
6640
Telecommunications
6640
6680
Telecommunications
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Radio Communications
Radio Frequency Management
Radio Procurement
Radio System File
Radio Tests and Evaluations
Technical Approvals – Data
Communications
Technical Approvals Telephones
Telephone Communications
Access Restrictions for Change
6680
Agency IT Security Plan
(Obsolete)
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
N1-95-88-2,
N1-95-10-10, item 138
N1-95-88-2,
N1-95-10-9, item 40
N1-95-88-2,
N1-95-10-10, item 139
N1-95-10-8, Item 22
GRS 12-2b
N1-95-91-2,
N1-95-10-9, item 41
GRS 12-2b
GRS 12-2b
GRS 12-2b
N1-95-91-2
N1-95-91-2
N1-95-10-8, Item 23
6640-3-1
N1-95-91-2,
N1-95-10-10, item 142
GRS 12-2b
GRS 24-5b
6640-3
Unscheduled
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology - IT
Accreditation and
Authorization’
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6680
6680
6680
6680
6680
6680
6209.11_42_6000 Series
Page 135 of 140
HEADING
SUB-HEADINGS
PREVIOUS
(SUPERSEDED)
FILE CODE
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Configuration Management
New
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Enterprise Architecture
Previously unscheduled
New
General
Previously Unscheduled
New
Security of Information,
Information Systems, and
Information Technology
Critical Infrastructure Plan
(Obsolete)
Individual System Security Plans
and Authorizations (Obsolete)
Information Security Program
Plans (Obsolete)
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
GRS 24-3b(1)
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology - IT
Accreditation and
Authorization’.
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology - IT
Accreditation and
Authorization’.
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology - IT
Accreditation and
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6209.11_42_6000 Series
Page 136 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
HEADING
SUB-HEADINGS
6680
Security of Information,
Information Systems, and
Information Technology
Information System Connections /
Interconnections (Obsolete)
6680
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Information System
Documentation
Previously Unscheduled
GRS 24-3b(1)
Information System Inventory
Previously Unscheduled
GRS 24-3a
IT Accreditation and
Authorization
New
New
Mission/Business Process
Definition
Previously Unscheduled
GRS 24-1b
Personally Identifiable
Information Extract Logs
New
New
Personally Identifiable
Information Extracts
New
New
PKI Administration
New
New
PKI Transactions
New
New
6680
6680
6680
6680
6680
6680
6680
Authorization’.
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology – Systems
and Data Security
Records’.
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
Plan of Action - Security
Deficiencies (Obsolete)
N/A
N/A
Security of Information,
Information Systems, and
Information Technology
Obsolete
Policy
N/A
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology – Systems
and Data Security
Records’.
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology - IT
Accreditation and
Authorization’.
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Privacy Impact Assessment
New
Protection of Personally
Identifiable Information
(Obsolete)
N/A
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Reports - Computer Security
Incident
New
New
Reports – Regulatory Compliance
(Annual)
New
New
HEADING
SUB-HEADINGS
6680
Security of Information,
Information Systems, and
Information Technology
6680
6680
6680
6680
6680
6209.11_42_6000 Series
Page 137 of 140
N/A
GRS 24-5b
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology – Systems
and Data Security
Records’.
N/A
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6680
6680
HEADING
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
6209.11_42_6000 Series
Page 138 of 140
SUB-HEADINGS
PREVIOUS
(SUPERSEDED)
FILE CODE
Reports – Regulatory Compliance
(Other)
New
Risk Management Strategy
(Obsolete)
N/A
6680
Security of Information,
Information Systems, and
Information Technology
Security Assessment and
Authorization (Obsolete)
N/A
6680
Security of Information,
Information Systems, and
Information Technology
Security Authorization Process
(Obsolete)
N/A
6680
Security of Information,
Information Systems, and
Information Technology
Security Impact Analysis
(Obsolete)
N/A
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
New
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology - IT
Accreditation and
Authorization’.
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology – Systems
and Data Security
Records’.
Obsolete. File all
records under ‘6680 –
Security of
Information,
Information Systems,
and Informatiion
Technology – Systems
and Data Security
Records’.
Obsolete. File all
records under ‘6680 –
Security of
Information,
N/A
N/A
N/A
N/A
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
HEADING
SUB-HEADINGS
6209.11_42_6000 Series
Page 139 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
Information Systems,
and Informatiion
Technology – Systems
and Data Security
Records’.
6680
6680
6680
6680
6680
6700
6700
6710
6710
6720
6730
6730
6730
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Security of Information,
Information Systems, and
Information Technology
Safety and Occupational Health
Safety and Occupational Health
Safety and Health Program
Administration
Safety and Health Program
Administration
Occupational Health Program
Accident Reporting and
Investigation
Accident Reporting and
Investigation
Accident Reporting and
Security Management Controls
New
GRS 24-7
Security Related Activities
New
New
System Access Records – No
Special Access Accountibilty
New
New
System Access Records –
Special Access Accountibilty
New
New
Systems and Data Security
Records
New
GRS 24-5b
General
Safety Reporting and
Accomplishments
General
6700
New
N1-95-88-2
New
6710
N1-95-88-2
Violence in the Workplace
Prevention
General
Accident Investigations
New
New
6720
6730-1
N1-95-88-2
N1-95-88-2
General
6730
N1-95-88-2
Historically Significant
6370-1
N1-95-88-2
WO AMENDMENT 6209.11-2016-4
EFFECTIVE DATE: 02/04/2016
DURATION: This amendment is effective until superseded or removed.
FS FILE
CODE
6209.11_42_6000 Series
Page 140 of 140
PREVIOUS
(SUPERSEDED)
FILE CODE
SUPERSEDED
HEADINGS AND
SUBHEADINGS
SUPERSEDED
RETENTION
AUTHORITY
HEADING
SUB-HEADINGS
Accident Investigations
General
General
6740
New
N1-95-88-2
New
General
General
New
1390
Plans and Studies
1390-1
6820
Investigation
Hazardous Materials
Employee Health and Work/Life
Programs
Information Management
Information Management
Standards
Information Management
Standards
Section 508 Compliance
General
New
N1-95-10-8, Item 27
N1-95-88-2;
N1-95-10-9, item 42
N1-95-88-2,
N1-95-10-9, item 43
GRS 24, item 1
6820
Section 508 Compliance
Oversight and Compliance
New
GRS 24, item 1
6740
6760
6800
6810
6810