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fsH 6209.11 – Records management handbook

CHAPTER 40 – FILE DESIGNATIONS AND DISPOSITION

AMENDMENT NO.: 6209.11-2013-1

Effective Date: September 18, 2013

Duration: This amendment is effective until superseded or removed.

|Approved: william h. helin |Date Approved: 09/16/2013 |

|Acting, Associate Deputy Chief | |

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 6209.11-2010-1 to 6209.11_70.

|New Document |6209.11_40-41 |6 Pages |

|Superseded Document(s) by Issuance Number and |!6209.11,40 Contents |1 Page |

|Effective Date |(Amendment 6209.11-96-1, 7/19/96) | |

| |6209.11,40-41-Part 01 |30 Pages |

| |(Amendment 6209.11-96-1, 7/19/96) | |

| |6209.11,41-Part 02 |28 Pages |

| |(Amendment 6209.11-96-1, 7/19/96) | |

Digest:

40.5 - Revises definitions of terminology used in chapter 40.

41 - Revises direction previously found in sections 42, 44, and 45.

Table of Contents

40.5 – Definitions and Acronyms 3

41 - SPECIAL RECORDS 3

41.1 - Records Associated With American Indians and Alaska Natives 3

41.2 - Records Created Under the Alpha Filing System 4

41.3 - Records Created Under the Consent Decree 5

41.31 - Skills Bank Data Base 5

41.32 - Disposition 6

The retention authorities (file designations and dispositions) cited in chapter 40 hereby supersede all previous NARA approved retention authorities, with the exception of records covered by section 41 below.

40.5 – Definitions and Acronyms

Retention Pending. The retention period for the identified records category is awaiting approval by the Archivist of the United States, National Archives and Records Administration (NARA), per 44 USC 3303. Records created and maintained in categories identified as pending are to be retained on site and may not be (as applicable) transferred to a Federal Record Center, accessioned to the National Archives, or destroyed until retention authority is published in FSH 6209.11, chapter 40.

Electronic Records Archives (ERA). National Archive and Records Administration system that allows Federal agencies to perform records management transactions online. Agency records management staff use ERA to draft and submit new records retention schedules, request transfer of records in any format to the National Archives for accessioning and pre-accessioning, and submit electronic records for storage in the ERA electronic records repository.

FRC. Federal Records Center.

NARA. National Archives and Records Administration.

41 - SPECIAL RECORDS

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 NARA in accordance with the applicable NARA standards in place at the time of transfer.

41.1 - Records Associated With 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).

Additional information regarding Tribal Relations can be found in FSM 1560.

41.2 - Records Created Under the Alpha Filing System

Records retained under the Forest Service Alpha Filing System are to be retained as indicated below.

1. Forest supervisor’s office records (all files) dated June 30, 1946 and earlier, filed under all categories of the FS alpha file plan. These records are designed for permanent retention and are eligible for immediate transfer to the National Archives and Records Administration; cite transfer authority N1-95-92-2, item 1.

2. Forest supervisor’s lands files dated on and after July 1, 1946 filed under the following categories of the FS alpha file plan: L - Land; LU - Land Utilization; and LP - Land Planning. These records are designated for permanent retention and are eligible for immediate transfer to the National Archives and Records Administration; cite transfer authority N1-95-92-2, item 2.

3. Forest supervisor’s office records dated July 1, 1946 through June 30, 1959:

a. All file folders filed under Forest Service alpha file codes: E – Engineering,

F – Fire Control, FP – Flood Prevention, G – Range Management, I – Information and Education, M – Watershed Management, O – Operations, P – State and Private Forestry, S – Timber, U – Recreation and Land, and W – Wildlife (contact the Agency Records Officer to determine disposition. Cite transfer authority N1-95-96-2, item 1.

b. All file folders filed under Forest Service alpha file codes: A- Fiscal Control, C – Chief, D – Regional Forester, and K – Personnel: Destroy immediately per NARA records schedule N1-95-96-2, item 2.

4. Regional office records dated June 30, 1946, and earlier, filed under all categories of the FS alpha file plan. These records are designated for permanent retention and are eligible for immediate transfer to the National Archives and Records Administration; cite transfer authority N1-95-94-1, item 1.

5. Regional office records dated July 1, 1946 through June 30, 1959, filed under all categories of the FS alpha file plan. Retention period for these records dependent upon category; contact the Agency Records Officer to determine disposition (reference NARA records schedule N1-95-94-1, item 2).

41.3 - Records Created Under the Consent Decree

Records disposition schedule N1-95-91-3 authorizes the retention of records created by the Forest Service, Pacific Southwest Region (R-5) and Pacific Southwest Forest Range Experiment Station (PSW), according to the Bernardi V. Madigan, Civil Action No. 73-1110 SC (CW). These records are essential to document the historical record of a class action suit involving the under representation of women in the Forest Service. The records include but are not limited to:

1. General correspondence.

2. Implementation Plans and Consent Decree Implementation Fund files.

3. R-5 and PSW FSH 6109.22, Consent Decree Handbook, supplements, amendments, and interim directives, which are separately maintained as a permanent record under 1100-1, Record Copies. The Resolution Agreement and the Accomplishment Schedule are also contained in the handbook.

4. Quarterly Reports and Summaries.

5. Six Month Monitor's Reports.

6. Regional Consent Decree Committee records.

7. Civil action records, including extension and other legal records, stipulations, hearings, and briefs, which do not include excessive documentation of documents filed with the related District Court case.

8. R-5 Workforce Management Planning Process records and reports.

9. Other records essential to documenting the consent decree activities, including VERSASKILL files, clearinghouse files, consent decree action items, and certificates of candidates.

10. Documentation concerning the Skills Database.

41.31 - Skills Bank Data Base

The Skills Bank Data Base was created pursuant to the Consent Decree for the purpose of assisting the Forest Service in achieving the goal of eliminating under representation of women employees with each General Schedules job series represented within its workforce and at each grade level therein.

The data base contains identifying information, skills, work history, abilities, and education of all permanent employees assigned to Region 5 and Pacific Southwest Forest and Range Research Station (PSW). The records are stored on disk, magnetic tape, or other electronic media. The file is updated when an employee wishes to change their individual record. A Privacy Act system of records exists (USDA/FS-50).

41.32 - Disposition

1. Consent Decree Records. Region 5 and PSW consent decree records are permanent records (as authorized by NARA records retention schedule N1-95-91-003) and must be transferred to the Federal Records Center (FRC) one year after the decision made by the judge to end the Consent Decree (March 26, 1992). The FRC must offer records to the National Archives 25 years after the end of the decree. All other Forest Service units should destroy consent decree records according to the retention periods associated with the file code on the document.

2. Skills Data Base Records. Individual records shall be deleted as employees transfer or retire out of Region 5 or PSW. Input documents and printouts should be destroyed when reference value ceases.

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