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FOREST SERVICE HANDBOOK
NATIONAL HEADQUARTERS (WO)
WASHINGTON, DC
FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 – RECORDS DISPOSITION
Interim Directive No.: 6209.11-2015-2
Effective Date: November 5, 2015
Duration: This interim directive expires on May 5, 2017.
Approved: ROBERT VELASCO, II
Associate Deputy Chief
Date Approved: 11/02/2015
Posting Instructions: Interim directives are numbered consecutively by handbook number
and calendar year. Post by document at the end of the chapter. Retain this transmittal as the first
page(s) of this document. The last interim directive was 6209.11-2015-1 to chapter 40.
New Document
id_6209.11-2015-2
12 Pages
Superseded Document(s)
(Interim Directive Number
and Effective Date)
id_6209.11-2014-2, 05/19/2014
12 Pages
Digest:
This interim directive (ID) reissues without change, the direction previously issued in
id_6209.11-2014-2.
37 - Revises policy on processing destruction notices for records stored at Federal Records
Centers.
38 - Revises policy on transferring records from Federal Records Centers and direct
Offers of Permanent Records to National Archives.
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
id_6209.11-2015-2
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
Table of Contents
30.1 - Authority........................................................................................................................... 3
30.2 - Objectives ......................................................................................................................... 3
30.3 - Policy ................................................................................................................................ 3
30.4 - Responsibility ................................................................................................................... 3
30.5 - Definitions ........................................................................................................................ 3
37 - DISPOSITION OF TEMPORARY RECORDS STORED AT FRC ........................... 5
38 - DISPOSITION OF PERMANENT RECORDS.......................................................... 9
38.1 - Transferring Records from Federal Records Centers (FRC) to National Archives ......... 9
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
id_6209.11-2015-2
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
30.1 - Authority
Agency authority for the disposition of official Agency records is found in FSM 6230.1,
Authority. Specific authorities for this section are found in 6230.1, item 8.
30.2 - Objectives
See FSM 6230.2.
30.3 - Policy
Agency policy for the disposition of official Agency records is found in FSM 6230.41c,
FSM 6230.43c, and FSH 6209.11, chapter 40.
30.4 - Responsibility
See FSM 6230.4.
30.5 - Definitions
In addition to the definitions found in FSM 6230.5, the following apply to this chapter.
Annual Move is an annual National Archives and Records Administration (NARA) event.
Near the end of each fiscal year, the Agency Records Officer receives notification
(usually via spreadsheet) from NARA of permanent records stored in Federal Records
Centers (FRCs) that are eligible for transfer (also known as accession) to the National
Archives.
Box List (also known as a box content list, records index, or records manifest). A box list
is a detailed list of the folders transferred to an FRC or the National Archives.
Depending on the records to be transferred (temporary and permanent), a more detailed
list identifying specific documents in the transfer may be preferred (particularly if some
of the documents have significant historic value). These lists are useful for future
reference, and the level of detail helps agency staff easily identify the records in a
particular transfer. Always retain a copy of the box listing with FRC and National
Archives transfer documentation.
Disposition means those actions taken regarding records no longer needed to conduct
regular current business of the agency. See FSM 6230.5 for expanded definition.
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
Disposition authority means the legal authorization for the retention and disposal of
records. Unless taken from General Records Schedules (GRS) issued by NARA,
disposition instructions for records must be approved by NARA via a Request for
Disposition Authority, prior to issuance by the Forest Service. The disposition
instructions for non-record materials are established by the Agency and do not require
NARA approval. See records schedule.
FRC Freeze. Per 36 CFR (Subchapter B, Part 1228), agencies must request an
extension/freeze of the retention period for records stored in Federal Records Centers
(FRCs). Once a freeze has been applied, it is incumbent upon the agency to notify NARA in
writing requesting that the freeze, or a portion thereof, be lifted. An FRC freeze is different
from an Agency litigation hold. Litigation hold refers to internal holds on Agency
documentation, in the Agency’s physical custody, associated with pending or current legal
action involving the Agency. When received, the Records Officer suspends the normal
disposition cycle of the records mentioned in the hold notice to prevent their early/premature
disposal. An "FRC freeze" is created when the Agency Records Officer formally asks
NARA to create a freeze to halt premature disposition of records stored at a Federal Records
Center. Upon receiving the request, NARA will issue a freeze code, which all Agency
personnel shall include on transfer documents for records sent to FRC for storage that meet
the parameters of the freeze.
Frozen records. Official Agency records whose scheduled disposition has been temporarily
suspended because of special circumstances that alter the administrative, legal, or fiscal value
of the records. Records may be “frozen” and, therefore, not eligible for destruction, in the
following circumstances:
1. The agency has requested NARA approval of a change in the retention period for the
records.
2. The agency notifies the particular records center that the records are needed beyond
the date they are eligible for disposal; or
3. NARA approves an agency's written request to extend the retention period for a series
or system of records in accordance with 44 U.S.C. 2909, which states: “The Archivist
may empower a Federal agency to retain records for a longer period than that specified in
disposal schedules, and may withdraw disposal authorizations covering records listed in
disposal schedules.”
Litigation Hold. See FSM 6230.5.
Records Schedule (also known as a retention schedule or records disposition schedule).
See definition found in FSM 6230.5. Retention schedules identify records of temporary
and permanent value, and provide guidance for disposition of records. Temporary
records must not be destroyed except as authorized by an approved records schedule.
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
37 - DISPOSITION OF TEMPORARY RECORDS STORED AT FRC
Quarterly, the Federal Records Center (FRC) Disposition Team notifies the Agency of temporary
records stored at Federal Records Centers that are eligible for destruction. This notification is
sent to the Agency Records Officer, who in turn disseminates the information to the applicable
Records Managers and consolidates the Agency’s response to the FRC Team.
Due to the recurring nature of the reporting requirement (quarterly) and in an effort to streamline
the process, a reply due letter will not be issued; rather the Agency Records Officer shall
establish a deadline for response in the notification sent to records personnel. Upon receiving
notification from the Records Officer, Agency Records Managers shall (as applicable) coordinate
with Records Liaisons and follow the procedures in section 37, exhibit 01 to review and reply to
the notifications by the due date.
Agency personnel will track disposition notifications throughout the process using the
Disposition Notice Tracking Form, FS-TEMP-6200-0039, including obtaining concurrence
from unit Line and Staff Officers, or designated Program Manager. As requested, Records
Liaisons shall work with appropriate unit Program Managers to obtain concurrence on
disposition from local Line Officer/Program Staff Director/Manager and provide assigned
Records Manager with updates regarding records status and signed forms.
If it is not possible to complete the procedures for all records eligible for disposition, the Records
Manager shall notify the Agency Records Officer by the due date. The Records Officer will
work with the Records Manager to assign new disposition dates to the records. The Agency
Records Officer will notify the Federal Records Center (FRC) of the new disposition date(s).
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
37 - Exhibit 01
Temporary Records
Step
Action
1
DISPOSITION NOTIFICATIONS – TEMPORARY RECORDS
Upon receiving temporary record disposition notifications from the Federal Records Center Disposition
Team, the Records Officer shall disseminate notifications to Agency records personnel.
2
ARE RECORDS ELIGIBLE FOR DISPOSITION?
The Records Manager determines if the records are eligible for destruction by examining the SF-135 and
any included box list(s) in order to answer the following questions:
1) Is there any uncertainty about the records based on the description provided on the SF-135 and box
list (description, inclusive dates, and so forth)?
2) Are the records covered by more than one records retention schedule?
3) Has the retention period changed?
4) Are the records under litigation hold?
IF ALL ANSWERS ARE NO: GO TO STEP 3 - PROCESSING RECORDS ELIGIBLE FOR DISPOSITION
IF ANY ANSWERS ARE YES : GO TO STEP 4 - PROCESSING RECORDS NOT ELIGIBLE FOR DISPOSITION
3
PROCESSING TEMPORARY RECORDS ELIGIBLE FOR DISPOSITION
(Answered NO to all questions in Step 2)
 Complete separate FS-TEMP-6200-0039, for each transfer number.
 Obtain concurrence from appropriate staff/unit managers.
 Sign form to authorize destruction.
 Email scanned form to Records Officer.
 Attach copy of SF-135 and box list to signed FS-TEMP-6200-0039. File in “6230 – Records Creation,
Maintenance, and Disposition – Disposition–Transfers to FRC.” (See FSH 6209.11, ch. 40 for
additional retention instructions.)
 Records Officer will notify FRC Disposition Team that records are approved for destruction.
 PROCESS COMPLETE – NO FURTHER ACTION NEEDED
4
PROCESSING RECORDS NOT ELIGIBLE FOR DISPOSITION
(Answered YES to ANY question in Step 2)
4A
Questions:
1) Is there any uncertainty about the records based on the description provided on the SF-135 and box
list (description, inclusive dates, etc.)?
2) Are the records covered by more than one records retention schedule?
3) Has the retention period changed?
 No to all the above: Go to Step 4B.
 Yes to any of the above, take the following actions:
o Permanently withdraw records (via ARCIS) from FRC for review.
o Complete form FS-TEMP-6200-0039.
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
Step
Action
o Email signed form to Agency Records Officer.
o Attach copy of SF-135 and box list to signed FS-TEMP-6200-0039. File in “6230 – Records
Creation, Maintenance, and Disposition – Disposition – Transfers to FRC.” (See FSH 6209.11,
ch. 40 for retention instructions.)
o Go to Step 5.
4B
5
5A
Are the records under litigation hold?
If you answered NO to this question and answered NO to all Step 4A questions, go back to Step 3.
 Yes - Records under litigation hold, not permanently withdrawn from FRC in Step 4A:
o Complete FS-TEMP-6200-0039, and provide new disposition date (estimate when hold will be
lifted) for each transfer number.
o Email signed form to Records Officer.
 Retain copy of FS-TEMP-6200-0039 and applicable SF-135 in “6230 – Records Creation,
Maintenance, and Disposition – Disposition – Transfers to FRC.” (See FSH 6209.11, ch. 40 for
retention instructions. Ensure the file is labeled clearly and retained so as to protect all confidential
information.)
 Records Officer will notify FRC Disposition Team of new disposition date.
PROCESSING RECORDS PERMANENTLY WITHDRAWN FROM FRC
The following actions should be taken by the assigned Records Manager for each SF-135 action
permanently withdrawn from FRC storage.
 Sort records according to retention authority.
 Identify records under litigation hold.
 Complete Steps 5A and 5B (as applicable).
PROCESSING TEMPORARY RECORDS WITHDRAWN FROM FRC
5A-1
Temporary records at destruction date that are NOT under litigation hold:
 Complete separate FS-TEMP-6200-0039, for each transfer number.
 Obtain concurrence from appropriate staff/unit managers.
 Sign form to authorize destruction.
 Email scanned form to Records Officer.
 Attach copy of SF-135 and box list to signed FS-TEMP-6200-0039. File in “6230 – Records Creation,
Maintenance, and Disposition – Disposition – Transfers to FRC.” (See FSH 6209.11, ch. 40 for
retention instructions. Ensure the file is labeled clearly and retained so as to protect all confidential
information.)
 DESTROY RECORDS – PROCESS COMPLETE.
5A-2
Temporary records not at destruction date, including those under litigation hold that were
withdrawn from FRC:
 Complete separate FS-TEMP-6200-0039, for each transfer number.
 Email copy of FS-TEMP-6200-0039 and associated SF-135s to Records Officer.
 Group and box by retention authority. Create new file folder labels as needed.
 Create transfer documentation (SF-135) and new box list.
 If records are under litigation hold, indicate by placing case number on box list and estimated date hold
will be lifted in SF-135 item 6i.
(Note: If the records are under an FRC issued freeze, place the FRC issued code on front of SF-135
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
Step
Action
under records description. These records will not be eligible for disposition until the FRC freeze is
formally issued by the Agency Records Officer.)
 Submit new SF-135 and box list to FRC for approval, once approved ship records.
 Attach copies of FS-TEMP-6200-0039, SF-135s (old and new) and box list. File in “6230 – Records
Creation, Maintenance, and Disposition – Disposition – Transfers to FRC.”
 PROCESS COMPLETE
5B
PROCESSING PERMANENT RECORDS WITHDRAWN FROM FRC
 If records withdrawn from FRC are determined to be permanent, process records using instructions in
Section 38, Exhibit 01.
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
38 - DISPOSITION OF PERMANENT RECORDS
The National Archives is the final repository for records that NARA has determined have
sufficient historical value to warrant permanent preservation by the Government. Records
transferred to the National Archives are no longer under Forest Service jurisdiction.
All records scheduled as permanent must be transferred to the National Archives of the United
States when:
1. Eligible for transfer based on the transfer date specified in the NARA-approved
records schedule, or
2. The records have been in existence for more than 30 years.
38.1 - Transferring Records from Federal Records Centers (FRC) to National
Archives
Annually, in the fourth quarter of the fiscal year, NARA notifies the Agency Records Officer
of permanent records stored at FRC that are eligible for transfer to the National Archives.
The Agency Records Officer shall notify affected Agency Records Managers of individual
pending transfers, requesting supporting documentation and concurrence.
Each transfer must be processed separately. Due to the high volume of individual transfers
and in an effort to streamline the process, a reply due letter will not be issued; rather the
Agency Records Officer shall establish a response deadline in the notification sent to records
personnel.
Upon receiving notification from the Records Officer, Agency Records Managers shall
coordinate (as applicable) with records liaisons and use the procedures in section 38,
exhibit 01 to respond to the transfer notification by due dates established by the Agency
Records Officer.
Agency personnel will track disposition notifications throughout the process using the
Disposition Notice Tracking Form (FS-Temp-6200-0039), including obtaining concurrence
from unit Line and Staff Officers, or designated Program Manager. As requested, Records
Liaisons shall work with appropriate unit Program Managers to obtain concurrence on
transfers from local Line Officer/Program Staff Director/Manager and provide assigned
Records Manager with updates regarding records status and signed forms.
If it is not possible to complete the procedures for all records eligible for transfer, the
Records Manager shall notify the Agency Records Officer. The Records Officer will work
with the Records Manager to assign new disposition dates to the records. The Agency
Records Officer will notify the Federal Records Center (FRC) of the new disposition date(s).
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
38 - Exhibit 01
Permanent Records
Step
Action
1
DISPOSITION NOTIFICATIONS – PERMANENT RECORDS
Upon receiving notification of permanent records eligible for transfer to Archives from the Federal Records
Center Disposition Team, the Records Officer shall disseminate notifications to Agency records personnel.
Note that all transfers of permanent records will occur at the beginning of the fiscal year via the NARA
Annual Move transfer requests received by the Records Officer via ERA notification.
2
ARE RECORDS ELIGIBLE FOR DISPOSITION?
The Records Manager determines if the records are eligible for destruction by examining the box lists of the
records in order to answer the following questions:
1) Is there any uncertainty about the records based on the description provided on the SF-135 and box list
(description, inclusive dates, etc.)?
2) Are the records covered by more than one records retention schedule?
3) Has the retention period changed?
4) Are the records under litigation hold?
IF ALL ANSWERS ARE NO: GO TO STEP 3 - PROCESSING RECORDS ELIGIBLE FOR DISPOSITION
IF ANY ANSWERS ARE YES: GO TO STEP 4 - PROCESSING RECORDS NOT ELIGIBLE FOR DISPOSITION
3
PROCESSING PERMANENT RECORDS ELIGIBLE FOR DISPOSITION (Answered NO to all questions in Step 2)
 Complete draft SF-258 (or similar transfer request) for each transfer.
 Complete separate FS-TEMP-6200-0039 for each SF-258 prepared.
 Obtain concurrence from appropriate staff/unit manager(s).
 Sign form to indicate concurrence with accession.
 Email to Records Officer: Scanned FS-Temp-6200-0039, draft SF-258, SF-135, and box list.
 Retain copy of documents in “6230 – Records Creation, Maintenance, and Disposition – Disposition –
Transfers to NARA”. (See FSH 6209.11, ch. 40 for retention instructions. Ensure the file is labeled
clearly and retained so as to protect all confidential information.)
 Records Officer will complete the transfer request via NARA’s Electronic Records Archives (ERA)
system.
 PROCESS COMPLETE – NO FURTHER ACTION NEEDED
4
4A
PROCESSING RECORDS NOT ELIGIBLE FOR DISPOSITION (Answered YES to ANY question in Step 2)
Questions:
1) Is there any uncertainty about the records based on the description provided on the SF-135 and box list
(description, inclusive dates, etc.)?
2) Are the records covered by more than one records retention schedule?
3) Has the retention period changed?
 No to all the above: Go to Step 4B.
 Yes to any of the above:
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
Step
Action
o
o
o
o
Permanently withdraw records (via ARCIS) from FRC for review.
Complete FS-TEMP-6200-0039.
Email signed form to Agency Records Officer.
Attach copy of SF-135 and box list to signed form. File in “6230 – Records Creation, Maintenance,
and Disposition – Disposition – Transfers to FRC”.
(Note: Six (6) years after record is closed, remove from official records and mark as ‘REFERENCE’
and retain on site in reference files. Agency has determined that the data recorded on these documents
is useful in determining status of records subject to litigation hold.)
o Go to Step 5.
4B
Are the records under litigation hold?
If you answered NO to this question and answered NO to all questions in Step 4A, go back to Step 3.
 Records under litigation hold, not permanently withdrawn from FRC in Step 4A:
o Complete FS-TEMP-6200-0039, and provide new disposition date (estimate when hold will be lifted)
for each transfer number.
o Email signed form to Records Officer.
o Retain copy of form and applicable SF-135 in “6230 – Records Creation, Maintenance, and
Disposition – Disposition – Transfers to FRC”. (See FSH 6209.11, ch. 40 for retention instructions.
Ensure the file is labeled clearly and retained so as to protect all confidential information.)
o Records Officer will notify FRC Disposition Team of new disposition date.
5
PROCESSING RECORDS PERMANENTLY WITHDRAWN FROM FRC
The following actions should be taken by the assigned Records Manager for each SF-135 action permanently
withdrawn from FRC storage.
 Sort records according to retention authority.
 Identify records under litigation hold.
 Complete Steps 5A and 5B (as applicable).
5A
PROCESSING TEMPORARY RECORDS WITHDRAWN FROM FRC
If records withdrawn from FRC are determined to be temporary, process records using instructions in
Section 37, Exhibit 01.
5B
PROCESSING PERMANENT RECORDS WITHDRAWN FROM FRC
5B-1
Permanent records NOT at disposition date (including those under litigation hold):
 Complete separate FS-TEMP-6200-0039, for each transfer number.
 Email copy of FS-TEMP-6200-0039 and associated SF-135s to Records Officer.
 Group and box by retention authority. Create new file folder labels as needed.
 Create transfer documentation (SF-135) and new box list. If records are under litigation hold, indicate by
placing case number on box list and estimated date hold will be lifted in SF-135 item 6i.
(Note: If the records are under an FRC-issued freeze, place the FRC-issued code on front of SF-135
under records description. These records will not be eligible for disposition until the FRC freeze is
formally issued by the Agency Records Officer.)
 Submit new SF-135 and box list to FRC for approval, once approved ship records.
 Attach copies of FS-TEMP-6200-0039, SF-135s (old and new) and box list. File in “6230 – Records
Creation, Maintenance, and Disposition – Disposition – Transfers to FRC”. (See FSH 6209.11, ch.40 for
retention instructions. Ensure the file is labeled clearly and retained so as to protect all confidential
WO INTERIM DIRECTIVE
EFFECTIVE DATE: 11/05/2015
DURATION: This interim directive expires on 05/05/2017.
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FSH 6209.11 - RECORDS MANAGEMENT HANDOOK
CHAPTER 30 - RECORDS DISPOSITION
Step
Action
information.)
 Email copy of FS-TEMP-6200-0039 and associated SF-135s to Records Officer.
 PROCESS COMPLETE
5B-2
Permanent records at disposition date and NOT under litigation hold:
 Complete separate FS-TEMP-6200-0039 for each old transfer number as cross-reference between old and
new action.
 Group and box by retention authority. Create new file folder labels as needed.
 Complete SF-258 and box list.
 Submit completed FS-TEMP-6200-0039, SF-258, and box list to FS Records Officer via assigned
Records Manager.
 Records Officer will process Transfer Records via NARA’s Electronic Records Accession (ERA) system.
 Attach copies of FS-TEMP-6200-0039, SF-258 and box list. File in “6230 – Records Creation,
Maintenance, and Disposition – Disposition – Transfers to NARA”. (See FSH 6209.11, ch.
 40 for retention instructions. Ensure the file is labeled clearly and retained so as to protect all
confidential information.)
 PROCESS COMPLETE