FEMA Manual 5400.

2 February 29, 2000

Records Management
Files Maintenance and Records Disposition

Foreword

This manual provides guidance for preserving records of the Federal Emergency Management Agency (FEMA), whether in textual or
electronic form. This manual also provides guidance on ways to best establish and maintain uniform, economical, and efficient
practices for records maintenance and disposition. It provides detailed procedures not only for planning, arranging, and
maintaining files, but also for the disposition of records either by destruction or preservation for future use by historians.

This records management system, as approved by the Archivist of the United States, is the only authorized system for FEMA
records. Moreover, the system prescribed eliminates unnecessary records and reduces handling expenses in terms of personnel
time and the quantity of supplies, equipment, and office space. It also results in uniformity in recordkeeping, which is essential to
ensure retrievability and accessibility of the records regardless of personnel or organizational changes. Whether the office maintains
a few or a large volume of records, they must be maintained efficiently in order to effectively retrieve them.

This manual supersedes FEMA Manual 5400.2, Records Management - Files Maintenance and Disposition, dated December 16,
1991; FEMA Manual 5400.4, Records Management Records Disposition Schedules and Files Plan, dated August 1, 1989; FEMA
Manual 5450.1, and Records Management Electronic Recordkeeping, dated October 11, 1990. This manual updates records
management guidance and record schedules that have been authorized by the Archivist of the United States.

The preservation of official records, whether in textual or electronic form, is extremely important in order to allow future researchers
and historians access to the history of FEMA. These records must be complete, well-documented, easily accessible, protected, and
arranged to best serve present and future needs.

/s/
_____________________________
Bruce J. Campbell
Executive Associate Director
Operations Support Directorate

Distribution: A (DirStaff)
www.fema.gov/library and/or os.fema.gov
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Record of Posted Changes

Issued Change Number Date Changes Signature of Individual

Date of Change Posted Posting Change

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TABLE OF CONTENTS

Chapter 1: Official Records and Personal Papers ............................................. 1

General.............................................................................................................................................................................. 1
Official Records Defined ..................................................................................................................................................... 1
Records Retention .............................................................................................................................................................. 2
Unlawful Removal or Destruction of Records....................................................................................................................... 3
Unsettled Accounts ............................................................................................................................................................ 3
Personal Papers ................................................................................................................................................................. 3
Electronic Records Management ......................................................................................................................................... 4
Access to Classified Materials ............................................................................................................................................. 6

Chapter 2: Planning and Arranging Official Files ............................................. 8

General.............................................................................................................................................................................. 8
Official File Stations ........................................................................................................................................................... 8
Planning Files Location ...................................................................................................................................................... 8
Files Cutoff Standards........................................................................................................................................................ 9
Files Maintenance and Disposition Plan, FEMA Form 52-2 .................................................................................................10

Chapter 3: Files Equipment and Supplies................................................... 14

General.............................................................................................................................................................................14
Standards .........................................................................................................................................................................14
File Equipment Utilization Standards ................................................................................................................................14
Standard Items of File Supplies .........................................................................................................................................15
Shelf Files .........................................................................................................................................................................16
Security Containers...........................................................................................................................................................16
Specialized Files Equipment ..............................................................................................................................................16
Non-Standard Filing Equipment ........................................................................................................................................17
Processing Requests for Equipment and Supplies...............................................................................................................17
Files Space........................................................................................................................................................................17

Chapter 4: Records Retirement, Storage, Transfer, and Emergency Destruction Procedures ....... 21
General.............................................................................................................................................................................21
Records Retirement ...........................................................................................................................................................21
Retirement Deviations .......................................................................................................................................................21
Records Retirement and Destruction Determinations .........................................................................................................21

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Timing of Transfers ...........................................................................................................................................................21

Retirement of Records to an FRC .......................................................................................................................................21
Instructions for Completion of SF 135 and 135-A ...............................................................................................................23
Distribution of the SF 135 .................................................................................................................................................24
Transfer Requiring a Record Group (RG) Number ...............................................................................................................25
Reference Services.............................................................................................................................................................25
Transfer of Records Other Than to FRCs ............................................................................................................................25
Transferring or Offering Records to the National Archives for Permanent Retention.............................................................26
Transfer of OPFs and Payroll Records ................................................................................................................................26
Emergency Destruction of Records ....................................................................................................................................27

Chapter 5: Records Disposition Schedules.................................................. 32

Accounting (ACC) ..............................................................................................................................................................32
Administration (ADM)........................................................................................................................................................40
Audits and Investigations (AUD) ........................................................................................................................................60
Audiovisual (AVL) ..............................................................................................................................................................66
Budget (BUD) ....................................................................................................................................................................73
Cartographic, Aerial Photographic, Architectural, and Engineering Records (CAE)...............................................................77
Comprehensive Cooperative Agreement (CCA) ....................................................................................................................80
Committees, Meetings, and Conferences (CMC) ..................................................................................................................82
Continuity of Government (COG) .......................................................................................................................................87
Civil Defense (CVD) ...........................................................................................................................................................90
Disaster Assistance Programs (DAP)...................................................................................................................................92
Electronic Data Processing (EDP).......................................................................................................................................98
Equal Employment Opportunity (EEO).............................................................................................................................107
Emergency Operations and Mobilization Programs (EOM).................................................................................................111
Federal Insurance Administration Program (FIA) ..............................................................................................................121
Informational Services Records (INF)................................................................................................................................128
Information Processing Systems (IPS) ..............................................................................................................................138
Legal and Legislative (LEG) ..............................................................................................................................................142
Liaison (LIA)....................................................................................................................................................................151
Natural and Technological Hazards (NTH) ........................................................................................................................157
Organization, Planning, and Management (OPM)..............................................................................................................163
Personnel and Payroll (PER).............................................................................................................................................167
Procurement and Contracting (PRC).................................................................................................................................193
Property and Space Management (PRM) ...........................................................................................................................203
Printing and Reproduction (PRP)......................................................................................................................................208
Radiological Defense Files (RAD) ......................................................................................................................................212

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Records Management (REM) ............................................................................................................................................214

Security (SEC).................................................................................................................................................................220
Shelters (SHL) .................................................................................................................................................................237
Telecommunications (TEL)...............................................................................................................................................243
Temporary Housing (THP)................................................................................................................................................247
Training and Education (TNG) .........................................................................................................................................251
Travel and Transportation (TRV) ......................................................................................................................................258
Warning Systems (WNG)..................................................................................................................................................263

Appendix: Relative Subject Index ........................................................ A-1

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Chapter 1: Official Records and Personal Papers

1-1. General. This chapter defines official records and Among those obligations are the legal rights of persons
provides guidance for identifying records. Executive Branch making claims against the Government. The following records
officials and personnel are responsible for safeguarding official have legal value:
records of the Federal Government. These records are of
critical importance in ensuring the Government continues to (1) Legal documents and opinions;
function properly. Unlike many private corporations, the
Federal Government has explicit rules and regulations for (2) Documents involving legal agreements such as
information management. leases, titles, and contracts; and

1-2. Official Records Defined. The Federal Records Act of (3) Evidence of actions on particular cases such as
1950 defines records as ". . . all books, papers, maps, claims papers and legal dockets.
photographs, machine readable materials or other
documentary materials, regardless of physical form or c. Scientific and Technological Value. Records having
characteristics, made or received by an agency of the United scientific and technological value consist of large quantities of
States Government under Federal law or in connection with technical data gathered as a result of pure and applied
the transaction of public business and preserved or research.
appropriate for preservation by that agency or its legitimate
successor as evidence of the organization, functions, policies, d. Historical Value or Having Continuing General or
decisions, procedures, operations, or other activities of the Public Interest Value. Records, including most of the records
Government or because of the informational value of data described in 1-4a through 1-4c, and historical account
contained in them." 5 USC 552(f)(2) clarifies that the term documents, such as diaries and unit histories, have historical
"agency record" includes information stored on computer as value and continuing general or public interest value.
well as traditional paper documents.
e. General Information Value. Some collections of
a. Administrative Value. Records containing the basic documents, which would otherwise be disposable, may be
evidence of the Agency's origin, development, and unique because they cover a particular subject or cannot be
achievements have administrative value and consist of the found elsewhere in as complete and usable form have general
following: information value. This uniqueness may justify their
retention.
(1) Documents that establish policies, procedures,
standards, and requirements; f. Problem Areas. The National Archives and Records
Administration (NARA) has found that documentation
(2) Records of studies and research; and practices are often weakest in the areas of policy and decision
making, particularly oral decisions and commitments; board,
(3) Records of recommendations submitted to higher committee, and important staff meetings; drafts and working
authorities. papers or files; electronic information systems; and contractor
records. The value of these types of files dictates the need for
b. Legal Value. Records have legal value if they contain special attention in those areas.
evidence of legally enforceable rights or Agency obligations.
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(1) Documentation of Policy and Decision Making. All Records Management, for further guidelines.
information supporting agency policy and/or decision making,
regardless of form, is considered to be part of the records of (5) Contractor Records. Contractors performing
that decision or policy. Record materials include agency functions create records essential for effective
documentation of phone conversations, facsimile copies, management and for accurate and complete documentation of
electronic mail printouts, meeting these functions. Unless contract provisions explicitly define
minutes, and textual records, and should all be kept along the documentation to be provided to FEMA, contractors are
with the final record copy of any policy or decision making likely to treat needed documentation as private property.
document. Contract provision should require the submission of program
(2) Documentation of Formal Meetings. Meetings of and administrative documentation, including background and
formal bodies such as boards, commissions, advisory groups, technical documentation, to the FEMA program office. The
committees, and task forces, as well as high-level staff contracts should also specify which records need to be kept by
meetings should be properly documented. At a minimum, the contractor for audit or other administrative purposes and
documentation should include the names and organizational the length of time they are to be maintained.
titles of participants, agenda, list of materials distributed to
participants, a summary of discussion of significant policy or 1-3. Records Retention. Records, including information
procedural matters, decisions reached and actions decided stored in any automated storage media, include those
upon, actions to be taken following adjournment, and documents which the Agency creates or receives, and covers
assignments of responsibility. If the meeting is taped and records which have permanent or temporary files. The
transcription subsequently made and filed, all speakers destruction or other disposition of Government records is
should be identified on the transcript. prohibited by law unless authorized by the Archivist of the
United States. FEMA's records disposal authority is contained
(3) Drafts and Working Files. Support documents in Chapter 6 of this manual.
such as drafts and working files for reports, special studies,
memorandums, and correspondence that support major a. Permanent Records. Permanent records are records
program policy development may be needed to fully appraised as being worthy of preservation in the National
understand the alternatives and options considered for high- Archives of the United States. These records have value for
level program initiatives and the basis for deciding on a course historical or other research purposes, and document the
of action. Some drafts contain unique information in organization, functions, policies, decisions, procedures,
substantive annotations or comments added during operations, or other Agency activities, or contain information
circulation for comment or approval. These drafts and with which the Agency conducts its business. Approximately
working files should be retained with the final document. For 5 to 10 percent of FEMA's records are permanent and are
further evaluation or guidance of these requirements, offices generally categorized as having value.
should contact the Records Management Branch for review of
the materials. b. Temporary Records. Temporary (or more commonly
called housekeeping) records are official records that do not
(4) Electronic Information Systems. Documentary have continuing value. Temporary records are records that
materials in electronic form are subject to the same criteria for will not, at the end of specified time period, have sufficient
determination of record status. See Section 1-10, Electronic administrative, legal, financial, historical, or other value to

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warrant further preservations by the US Government. accounts in which the Government of the United
Disposition of records relating to civilian personnel, fiscal States is concerned, either as debtor or creditor, may
functions, accounting, procurement, communications, not be disposed of by the head of an agency under any
printing, research and development, and other common authorizations granted under sections 3306-3308, of
housekeeping functions (textual and nontextual records) is this title, until the claims, demands, and accounts
mandatory under PL 95-440, Authorization, Appropriations- have been settled and adjusted in the General
General Records Schedules-Documents. In addition to Accounting Office, except upon the written approval of
housekeeping records, certain Agency records having short- the Comptroller General of the United States."
term value can be destroyed after approval from the Archivist
of the United States. Ninety to ninety-five percent of FEMA's 1-9. Personal Papers. Personal papers are documentary
records are temporary. materials or nonrecords belonging to an individual that are
not used to conduct agency business. They are related solely
c. Nonrecord Material. Nonrecord material includes extra to an individual's own affairs or used exclusively for that
copies of documents kept only for convenience of reference, individual's convenience. They must be clearly designated as
stocks of publications and of processed documents, and such and kept separate from the agency's records. Senior-
library or museum materials intended solely for reference or level officials departing FEMA must do the following:
exhibition. This material is useful in daily operations and
may appear to acquire record character because it is involved a. Prepare an inventory of personal papers and
in daily activities, but it does not serve to document Agency nonrecords material proposed for removal using FEMA Form
procedures, practices, or operations. 50-48, Authorization for the Removal of Personal Papers and
Non-Record Materials, sections I and II. The inventory must
1-7. Unlawful Removal or Destruction of Records. All provide a description of the category of documents (e.g.
information received, created, or compiled by Federal resources, copies of speeches, etc.)
Government officials and employees for the use of the
Government is the property of the US Government. No b. Contact the FEMA Records Officer and request a review
Federal official or employee has, by virtue of their position, of the materials proposed for removal.
any personal or property right to official records even though
they may have helped develop or compile them. The unlawful c. The FEMA Records Officer examines the materials to
destruction, alteration, removal from files, and concealment of ensure the removal will not diminish FEMA's official records,
official records is prohibited by The Records Disposal Act of violate national security, privacy, or other restrictions on
1950. The unlawful disclosure of certain information disclosure, or exceed normal administrative costs.
pertaining to national security and confidential business
information is prohibited by The US Criminal Code. d. The FEMA Records Officer completes FEMA Form
50-48, Section III, authorizing removal of materials. A copy of
1-8. Unsettled Accounts. The Records Disposal Act of 1943, the original FEMA Form 50-48 and any attachments is given
as amended, provides in part as follows: to the departing official. The original FEMA Form 50-48 and
any additional sheets are retained by the FEMA Records
"Records pertaining to claims and demands by or Officer.
against the Government of the United States, or to

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1-10. Electronic Records Management. Records management (1) Records that were created in the course of normal
requirements for the creation, maintenance, use, and business;
disposition of electronic records are the same as for records in
paper form; however, additional measures to ensure creation (2) Equipment was operational the day the computer
and maintenance of accurate and complete documentation are record was prepared;
needed for records created or received through office
automation applications. Like paper records, electronic (3) The integrity of data entry is enhanced by having
records can be lost, erased, changed, or otherwise disposed of procedures for verifying data entry;
prematurely or retained for longer than authorized. These
types of situations must be avoided because of the legal (4) Methods used to prevent data loss are provided;
ramifications. Also, it is possible that the electronic record
contains more information than its hardcopy, such as (5) The reliability of computer programs;
electronic mail. Electronic mail maintains as part of the
"record" information such as who read the message, when it (6) The time, method, and completeness of preparing
was read, comments made regarding the message, and who printouts.
made the comments, and when the comments were made.
Therefore, electronic records such as these must be b. Disposition. The disposition of electronic records does
safeguarded even more closely. not vary greatly from hardcopy records. If an electronic
record is a duplicate only of hardcopy records, the record can
a. Use of Electronic Records. Properly created and be treated as a nonrecord duplicate copy. However, it must be
maintained electronic records pose greater legal problems stressed that the custodian of electronic records is responsible
than paper or micrographic records. The Federal Rules of for ensuring that the electronic record form does not contain
Evidence (Rule 803(8)) provide that official records may be more accurate or more complete information than the
admitted as evidence in lieu of the personal appearance of the hardcopy record before its destruction. In that case, the
official responsible for the activity. Because printouts of electronic record would be the official record copy and the
electronic records may not contain necessary transmission hardcopy would be the duplicate nonrecord copy. To ensure
and receipt information, recent court appeals held that to reliability of electronic records disposition, the following
comply with the Federal Records Act, certain transmission guidelines should be used:
and receipt information must also be preserved (such is the
case with e-mail messages). Electronic records are accepted (1) Permanent electronic records must be transferred
by the courts. The key to admissibility of evidence depends on to NARA in an acceptable medium, such as magnetic tape,
the trustworthiness of the information. When proper paper, microfilm, or other medium approved by the Archivist
procedures are followed and meticulously documented, the of the United States.
courts feel comfortable accepting this technology. If these
procedures are not used, even microfilm, which otherwise (2) Records authorized for destruction must be
would be admissible under existing laws, can be excluded as destroyed promptly when they become eligible for destruction.
evidence. The standard for trustworthiness of computer Prompt destruction is important because the provisions of the
records includes: Freedom of Information Act (FOIA) apply to ALL records still in
existence, regardless of physical form or eligibility for

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destruction. A FOIA request for records maintained beyond

their authorized destruction date would bar the disposal of (a) Data Base Management System (data-oriented)
such records. and

(3) To effectively destroy electronic records, the tapes (b) Full Text Retrieval System (text-oriented).
or disks must be erased. FEMA elements must protect
themselves against unauthorized access to records which If off-the-shelf software does not meet the system needs, a
have been approved for destruction using total erasure or a custom package will have to be developed.
program that completely overwrites the data.
d. Maintenance of Magnetic Tape. If users are creating or
c. Labeling and Indexing. When an electronic record is maintaining records on magnetic tape, the user(s) is
initially created, the indexing and filing of that record must be responsible for ensuring the following standards are met:
in a format accessible to other users.
(1) Tapes used to store permanent or unscheduled
(1) Labeling. Each magnetic tape, disk, or diskette records will be:
must include sufficient information to ensure the records can
be retrieved by persons other than the creator. (a) Maintained at a constant 62Ε- 68Ε Fahrenheit
and 35-45 percent relative humidity;
(a) Disk and diskette labels must include the file
code, date (if appropriate), software dependency, and (b) Rewound under controlled tension every 32
disposition instructions. years;

(b) Tape labels must include the originating (c) Copied to new verified and tested tapes before
organization, file codes, appropriate dates, recording density, 9 years; and
type of internal labels, number of tracks and track
assignments, software/hardware dependency, record length, (d) Stored or tested in areas free of smoke and food
block size (fixed, variable, or mixed), disposition instructions, or drink consumption.
and reel sequence (if the reel is part of a set).

(2) Indexing. Index electronic records in the same (2) Tapes will be sampled annually to identify and
manner as paper records--subjectively and easily retrievable correct any data loss as follows:
by other members of the organization. The same
subject/numeric system used for textual records should be (a) In tape libraries with 1,800 or fewer reels: 50
applied to electronic records. Storage media, such as hard reels or 20 percent of the library; and
disks, should have subdirectories to file electronic documents
in the same manner as a five-drawer file cabinet would be (b) In tape libraries with more than 1,800 reels:
structured to file textual records. Two types of off-the-shelf 384 tapes.
software that can electronically assist in indexing, retrieving,
and modifying electronic information are:

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e. Maintaining Long-Term Electronic Records. Records ensures a person's right to know the use and purpose of
requiring long-term retention, such as permanent records or information assembled regarding such person. In order to
records which are kept for more than 5 years, should not be implement the provisions of the Privacy Act pertaining to
retained on floppy disks. These records should be converted electronic records, system designers and administrators must
to another storage medium, such as magnetic tape, to ensure ensure:
their continued use and readability.
(1) Information provided to the public by FEMA can be
f. Backup Procedures. When the electronic record is the easily stored, maintained, and retrieved when requested;
official record copy, care must be taken to ensure official
information is not lost, erased, or deleted. Supervisors of (2) Access to personal data is properly screened;
electronic recordkeeping systems--both mainframe and PC--
including local area networks, should determine file backup (3) Protection is provided against intentional or
procedures. In developing a regular backup schedule, the accidental disclosure, modification, or destruction of
frequency of backups, number of backups, and off-site storage electronic records; and
should be considered. Off-site storage is required to provide a
fall-back point for system start-up for critical data. (4) Magnetic media, such as disks and tapes, that
contain sensitive or Privacy Act data are not discarded in
g. Electronic Mail (E-Mail). Recordkeeping requirements regular waste containers. They should be cleared by
for electronic mail have been the subject of recent major degaussing and revising or made useless by shredding or
litigation against the National Archives and Records burning.
Administration (NARA). For this reason, a new item has been
added to each of the file series that are common to most 1-11. Access to Classified Materials. No FEMA employee,
government agencies (items indicating disposition authority including the most senior officials, may remove classified
under the General Records Schedule (GRS)) along with the information, including copies of classified documents. An
changes issued to the Electronic Data Processing file schedule official may request the declassification of specified
of this manual. If offices have questions about documents, but the documents must not be removed until
implementation of these guidelines, they should contact the they have been declassified and their removal as nonrecord
FEMA Records Officer. copies is authorized. Senior officials appointed by the
President and confirmed by the Senate who wish after their
h. Emergency Procedures. System administrators must departure to have access to classified documents they
develop procedures to protect official information in the event originated, reviewed, or signed only while serving as a
of an emergency. It is impossible to develop procedures for Presidential appointee, may apply for access in accordance
each type of emergency; however, procedures should be with Title 22 CFR part 171.25. Former Presidential
geared to the types of emergencies most likely to occur. appointees must submit in writing a request providing a
Further guidance for emergency procedures can be found in general description of the records and the time period covered
FEMA Manual 5400.3, Records Management - Vital Records. by the request. FEMA may grant access to a former
Presidential appointee under the following conditions:
i. Privacy Act. The Privacy Act of 1974 requires Federal
agencies to prevent the misuse of data about individuals and a. Access to material is consistent with the interest of

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national security. consent.

b. The former Presidential appointee agrees in writing to e. If the former Presidential appointee plans to use a
safeguard the information from unauthorized disclosure. research assistant, the research assistant must meet the
same requirements as the former Presidential appointee.
c. The former Presidential appointee submits a statement
authorizing FEMA to review any notes or manuscripts to f. Fees for requested materials may be charged pursuant
ensure they do not contain classified information. to Title 5 of the Independent Offices Appropriations Act, 65
Statute 290, 13 USC 4836 (1976). The requestor must be
d. The former Presidential appointee agrees in writing not notified in advance of the fees imposed.
to further disseminate the information without FEMA's written

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Chapter 2: Planning and Arranging Official Files

2-1. General. This chapter provides guidance for planning

and arranging official files. Records are created in performing (2) Central files include general policy and overall
and documenting the performance of functions, processes, administrative records used jointly by several offices.
and transactions. The FEMA files maintenance and Decentralized or office files include material used almost
disposition program was devised on the premise that these exclusively by one office and are not duplicate material
functions, processes, and transactions can best serve as the maintained centrally.
basis for identifying, arranging, and disposing of files.
(3) Records are placed in a centralized file if more than
2-2. Official File Stations. The principal method agency one work unit needs the same record, units are located near
records are maintained and preserved until eligible for the central file for prompt service, or security for classified
retirement or destruction is the establishment of an OFFICIAL material can be better provided by central files.
FILE STATION. The FEMA Records Officers and Records
Liaison Officers are responsible for proper placement and (4) Records are placed in a decentralized file if the
efficient management of file stations. Keep file stations to a records are of interest to only one work unit, if the centralized
minimum consistent with operational needs. filing is too distant for prompt service, the information must
be immediately available, if constant reference is made to the
2-3. Planning Files Location. Planning the proper file location records by a particular organizational unit.
and arranging files to facilitate use and disposition are the
first steps in effective file planning and maintenance. d. File Space. File space includes all floor space occupied
by files equipment and personnel involved in maintaining and
a. Location. Files must be properly located to provide servicing files.
maximum utilization with a minimum of duplication and to
ensure the preservation of permanent records and the (1) Maintain only current records to keep space
disposal of temporary records. requirements to a minimum. Retire or destroy inactive
records in accordance with disposition schedules contained in
b. Access. Locate records in an area that provides this manual.
convenient access and is close to users. Individuals should
not maintain separate records collections at their work (2) Transfer inactive files (files not referred to more
stations. than once a month) to the nearest FRC for economical and
secure storage. Headquarters records are sent to the FEMA
c. Centralization and Decentralization. RHA or the Washington National Records Center (WNRC).

(1) All organizational unit records are maintained at (3) Maintain only officially approved files in FEMA
one location to be completely centralized. To have completely filing equipment because of the expense and shortage of office
decentralized files, all records are kept in organization units space.
immediately responsible for the function to which the records
are related. (4) Select space suitable for file operation

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requirements. The following rules are applicable to file cause misfiled documents.
equipment maintained in individual offices as well as files
located in formal file rooms: (2) Segregate classified records from unclassified
records to facilitate access control. Control over access to
(a) Ventilation and heating should be comparable records bearing security classifications is mandatory. The
to that utilized in space where other administrative operations exception to this rule in some cases is if there is a high
are performed. proportion of classified to unclassified records. Interfiling and
protection of all records at the level required for the highest
(b) Lighting must be sufficient to allow file classification filed may be the most economical approach.
operations to be performed without excessive eyestrain. The
standard for file room lighting is 25 foot-candles on a 2-4. Files Cutoff Standards. Files cutoff is the segregation of
horizontal surface at desk height. active and inactive files that effectively control record
accumulations and facilitate economical disposition in
(c) File room furniture is arranged to utilize as convenient blocks. Recordkeepers will cut off their files based
much daylight as possible. Place desks near windows. Place on the following criteria for the various types of records:
cabinets at right angles to the windows where practicable.
a. Chronological Sequence Files such as accounting
(d) Aisles between cabinets, placed face-to-face, records are filed by period of account (fiscal year) and lend
should be at least 36 inches; 60 inches is preferable for active themselves to cutoff procedures. These records can be readily
files. Desks should have at least 36 inches between the back cut off and retired in convenient blocks.
of one and the front of another when facing the same
direction. b. Subject Files are cut off at planned intervals. These
files have no natural cutoff point and are usually maintained
(e) Floor load must be considered for the safe on a fiscal year basis.
support of files and equipment.
c. Case or Project Files are often cut off upon the
(f) Work flow should follow straight lines through termination of a transaction or expiration of an event (i.e.,
the receiving, processing, and filing operations with a final contract payment, project completion, separation of
minimum of travel and backtracking. personnel, etc.) Mark the date of closing and place in an
inactive file apart from active files; inactive files can be retired
(g) Sensitive and classified files and containers are or destroyed in fiscal year blocks. Files continuing over a long
placed in secure locations away from windows and doors to span of years can be cut off by setting up new folders each
prevent illegal or unauthorized access to stored information. year and retiring the prior year's folders which have little
reference activity.
e. Access to Files.
d. Technical Reference Materials have no established
(1) Ensure an efficient filing system by limiting access cutoff and are destroyed when superseded, obsolete, or no
to files to regularly assigned files personnel. Do not permit longer needed. Review these files annually to determine if
other individuals to extract or refile material as this could they are current and still useful.

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2-8. Files Maintenance and Disposition Plan, FEMA (4) Column 6C: Enter specific disposition standards
Form 52-2. File custodians prepare a FEMA Form 52-2 from Chapter 6 of this manual including cutoff, destruction,
covering their records. This plan identifies and outlines each and retention criteria for each series. If a standard covering
file an organizational element maintains and brings order and disposition cannot be determined, enter NONE in this column
continuity to every file station. Figure 2-1 illustrates a typical and advise the FEMA Records Officer.
files plan and may be used as guidance. Use the following
guidelines for completing FEMA Form 52-2: b. Distribution. Forward the original and two copies of
the files plan to the Records Management Branch for review
a. Preparation. Prepare the form in triplicate. and approval.

(1) Blocks 1-5: Self explanatory. c. Review and Approval. The FEMA Records Officer
reviews the plan for accuracy, completeness, evidence of
(2) Column 6A: Use the subject-numeric code from maintenance of unnecessary duplicate files, etc., and signs for
the appropriate disposition category (Chapter 6 of this approval. After signature, the FEMA Records Officer will
manual) or a similar three character code that must be retain one copy, send one copy to the appropriate Records
coordinated with the FEMA Records Officer or Records Liaison Liaison Officer, and return the original to the records
Officer. custodian.

(3) Column 6B: Enter a brief, precise description of d. Updating the Files Plan. Review FEMA Form 52-2
each series of records using the title of the applicable annually and amend, if necessary, to ensure all files are
standard from Chapter 6 of this manual when appropriate. accounted for and that cited disposition authorities are
Ensure the filing arrangement of each series is included in the appropriate. Prepare a new plan when the old one is
description. When records are maintained apart from the substantially changed or further correction or additions
majority of files of an official file station, enter their location in cannot be made. Prepare revised plans in the same manner
the series description. as the original files plan.

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FEMA Manual 5400.2 February 29, 2000

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11
FEMA Manual 5400.2 February 29, 2000

Figure 2-1

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FEMA Manual 5400.2 February 29, 2000

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FEMA Manual 5400.2 February 29, 2000

Chapter 3: Files Equipment and Supplies

3-1. General. This chapter provides guidelines for the proper office's decor. If offices choose to purchase new equipment,
selection and standardization of file equipment and supplies. that purchase will still need to be approved by the RO or RLO.
An important factor in the utility and efficiency of filing
records is the file equipment and supplies used. When file b. Existing stock of file supplies is used until depleted.
equipment and supplies are ordered or requested, they must Reuse folders, especially the pressboard type, by affixing
be effective, economically justifiable, and result in file labels, as these folders are costly.
efficiency. Therefore, all file equipment requests must be
reivewed and approved by the FEMA Records Officer (RO) or c. FEMA's policy is not to issue filing cabinets for
the regional Records Liaison Officer (RLO). Review ensures individual use. Cabinets are issued to an office were files can
file equipment meets standard requirements and file be accumulated in one central location and accessible to all
equipment already located in the area is being used properly. office staff. Working papers, etc., can be filed in desk
drawers, destroyed, or sent to storage once the material is
3-2. Standards. The majority of papers and other documents finalized and published.
required to be filed in FEMA organizational elements are
letter-size. Letter-size equipment and supplies are the FEMA d. Filing cabinets are not to be used for large stocks of
standard. Legal-size equipment and supplies are 10 percent supplies, blank forms, or publications. If more than half a
more costly than letter-size and require 20 percent more floor cabinet is required, it is usually more economical to house the
space. A 5-drawer cabinet provides a greater ratio of file material in supply cabinets.
capacity per square foot of space occupied and will be used in
lieu of 2-, 3-, and 4-drawer cabinets. Standardization e. Safety practices must be observed when loading an
promotes efficiency, simplifies files operations, and has the empty cabinet. Commence with the middle drawer, open only
advantages of interchangeability, lower cost, simplified one drawer at a time as cabinets will tip over if two top
purchasing and stocking, and uniform appearance. drawers are opened at the same time. Prevent injury to
personnel and damage to filing equipment by closing all file
3-3. File Equipment Utilization Standards. Records drawers when not in use.
maintained in FEMA files shall be limited to CURRENT
OFFICIAL RECORDS. Remove inactive files (those having f. The FEMA Records Officer (HQ) or the Regional Records
fewer than two references per file drawer per month) from Liaison Officer (RLO) must approve all file equipment
filing cabinets. Transfer noncurrent records to an FRC or (including safes and bookcases) requests concerning records
destroy in accordance with approved records disposition (and special types of folders) creation, disposition, and
schedules contained in this manual. Do not keep unofficial maintenance. Approvals are based on floor load stress,
records in active file space or equipment. availability, collection of material to be housed, and
applications of the records disposition standards. This, in
a. New file equipment is not provided by the Records many instances, obviates the need for new or additional
Management Branch because old equipment fails to meet the equipment.

14
FEMA Manual 5400.2 February 29, 2000

g. Bookcases are used to house sets of publications and

other reference materials, not official files. Letter Size: FSN 7530-00-663-0031
Legal Size: FSN 7530-00-200-4308
h. Records pertaining to the Privacy Act are placed in an Side Tab (Letter Size Only) 7530-00-881-2957
unlocked room in a lockable cabinet.

i. Adequate space in filing equipment is reserved for the

normal growth of files until time for cutoff or disposition.

j. Legal-size papers (if less than 20 percent of material to

be filed) are folded and filed in the standard letter-size
cabinets and files. Convert large size documents by reducing
to the standard 82 by 11 inches.

3-4. Standard Items of File Supplies. The logical framework

of any files system should be such that the files organizational
arrangement be visually clear and obvious. This requires
proper use of such APPROVED file supplies as guide cards,
folders, drawer and shelf labels, and forms in files
maintenance and referencing operations. The following
approved materials and associated Federal Stock Numbers
(FSN's) are available through regular supply channels:

a. Manila Folders are recommended for forwarding

documents for coordination, convenience files, and
recordkeeping of short duration.

Letter Size: FSN 7530-00-291-0096

Legal Size: FSN 7530-00-282-2508

b. Kraft Folders meet the majority of filing requirements

because most records are current for a relatively short period
of time before they are retired or destroyed. The standard
kraft folder is 11 point, vertical, flat type, bottom-scored for
3/4 inch expansion, reinforced top, and square cut. A greater
weight folder may be necessary for very active files or those
receiving heavy usage. For shelf files, use kraft folders with
side tabs.

15
FEMA Manual 5400.2 February 29, 2000

c. Pressboard Folders are authorized only for case and Material filed on a shelf file is always in view and accessible.
project files or when kraft folders will not withstand the added Proper folders, guides, and dividers greatly enhance the
volume or use. Standard pressboard folders are flat-cut, appearance and utility of a file collection maintained on shelf
vertical, 1-inch expansion, with self tabs and square cut. file equipment. Open shelf filing is economical and efficient
for housing active records. Open shelf filing is less expensive
Letter Size: FSN 7530-00-286-6923 to purchase, has more space available for filing material than
Legal Size: FSN 7530-00-286-6924 drawer-type cabinets, and can accommodate letter- or legal-
size files. Side tab folders and guides are required for shelf
d. Wallet Filing Jackets are used for filing oversize or files.
bulky records.
3-6. Security Containers. The standard FEMA container is
Letter Size: FSN 7530-00-285-2917 the Class 6, three-way combination with casters (NSN 7110-
Legal Size: FSN 7530-00-285-2916 01-0156-6100). FEMA Manual 1230.1 specifies the guidelines
for providing protection required for classified material.
e. Suspense or Tickler Files are used as work organizers Requisitions must be routed to the Office of Security for
for transitory type material for later follow-up. review and approval before further evaluation can be initiated.

1-31 Days: FSN 7520-00-286-1723 3-7. Specialized Files Equipment. Many kinds of specialized
Alpha: FSN 7520-00-286-1722 housings have been designed for the storage of various types
of odd-sized records. To ensure selection of equipment best
f. Hanging Folders which are suspended on rods or metal suited to office needs, obtain assistance from the Records
brackets are approved for use only in rare and special cases. Management Branch when considering procurement of
Offices using these folders should phase them out after a specialized file equipment. Requests for specialized equipment
period of time as they cannot be sent to the storage facility, must include a feasibility study containing the following
use 25 percent more space than regular files, and are costly. information:

g. Folder Labels are used to place captions on the folder a. A copy of the manufacturer's brochure, including a
tab in a neat, uniform, and legible manner. Standard photograph or sketch of the equipment and model number;
pressure-sensitive folder labels are packed in a continuous number of shelves and filing inches; dimensions, including file
strip (roll or four-folder). Place the labels on the far left side of width and depth, and the height of the unit; and weight,
straight-cut folders rather than zigged-zagged across the crated weight and weight when loaded with records.
drawer.
b. Power requirements including volts, cycle, single
h. Drawer Labels must be used on all drawers. Indicate phase, or amperes; and determination of special play
requirements and equipment that should be permanently
first and last folder designations and period covered.
wired to a power line.
3-5. Shelf Files. Consider shelf file equipment for use with
record collections totalling 20 or more cubic feet of active files.

16
FEMA Manual 5400.2 February 29, 2000

c. Drawing of proposed file room or area showing location a. Use file equipment for files and records only.
of power file, desk, chairs, etc., and windows, doors, and size
of room. b. Dispose of all records authorized for disposal according
to disposition standards prescribed in this manual.
d. Cost savings on space and equipment released to
surplus. c. Transfer inactive records not needed in daily business
but not eligible for disposal to the FRCs or the FEMA RHA.
e. A certified floor safety report by a structural engineer of Dispose of nonrecord material by destruction, not storage.
Public Buildings Service (PBS), General Services
Administration, in federally-owned buildings, and from private d. Store office supplies in supply cabinets; store
industry in leased buildings. This report determines if the publications in bookcases.
space where the power file is to be placed is strong enough to
hold it. If extra steel supports are required, they must be in e. Periodically screen nonrecord and reference material
place before the equipment may be installed and GSA has and dispose of that no longer needed.
designated the area as special space (for which there is a
higher rental charge). The certified floor safety report should f. Consolidate contents of file drawers less than half full,
include a description of the type of tests made. the usual standard capacity for a drawer is 3/4 full.

f. FEMA must have approval in writing to place power or g. Approval of FEMA Form 60-1, Requisition for Supplies,
other mechanized equipment from the building owner on Equipment, and/or Services, for headquarters staff, is
leased space or PBS on federally-owned space. contingent upon a site review by the Records Management
Branch for utilization of equipment on hand, and records and
g. Arrangements must be made in writing with the maintenance disposition practices, as well as space limitations
building owner or manager to determine if the elevator can be and load stress.
used to transport the equipment when it is received. If it is
determined that the elevator is not large enough or the h. Evaluations are based on cost and budgeting
equipment is too heavy, a crane service must be used. considerations and availability of equipment on hand, in
addition to factors covered previously. See Figure 3-1 for a
3-8. Non-Standard Filing Equipment. Nonstandard filing comparison of filing equipment types.
equipment consists of 2- or 3-drawer legal- or letter-size filing
cabinets and any filing equipment not listed in the GSA stock i. Do not maintain more filing equipment than needed for
catalog. New nonstandard filing cabinets will not be procured current use. Report equipment in excess of current needs to
for internal use. the Records Management Branch.

3-9. Processing Requests for Equipment and Supplies. 3-10. Files Space. Files space includes all floor space in
Requisitions for file equipment are submitted only after the individual offices occupied by filing equipment. Conserve
following procedures have been followed and have not space by transferring or destroying unnecessary records in
produced the needed file space: accordance with approved schedules. Submit requests for

17
FEMA Manual 5400.2 February 29, 2000

additional files space to the Records Management Branch for evaluation and recommendation prior to final action.

18
FEMA Manual 5400.2 February 29, 2000

Figure 3-1
Files Equipment Comparison

The following table compares features of four filing cabinets most commonly ordered. When considering the acquisition of new
equipment, ensure that current cabinets are being used properly. Keep the following questions in mind: Have the inactive records
been transferred to the FEMA Records Holding area or a Federal Records Center? Have eligible records been destroyed? Have
supplies and stocks of publications been removed to less costly storage cabinets?

EQUIPMENT STANDARD COMPUTER MEDIA

FACTOR LATERAL FILES UPRIGHT FILES SHELF FILES FILES

1. Cabinet Roll out drawers or Traditional filing Stationary shelves. Stationary or rollout
description shelves. "Conserv-a- cabinet. shelves.
files."

2. Recommended 4 drawers with rollout 5 drawers. 5 or 6 shelves. 4 shelves.

size. top shelf. Retractable
doors.

3. Best uses. Correspondence and Correspondence and Correspondence and Printouts, tapes, and
any similar size any similar size any similar size mixed media.
material. material. material.

4. Capacity for the 10 cubic feet. 7-8 cubic feet. 13.5 cubic feet. 17 cubic feet (for
recommended printouts and tapes).
use.

5. Relative cost. Moderate cost if GSA Lowest absolute cost, Moderate absolute cost, Moderate absolute cost,
cabinets, otherwise good cubic foot cost. good cubic foot cost. best cubic foot cost for
highest cost cabinets. mixed media.

6. Special features or Hanging folders will not be approved except in rare Uses side tab folders, Uses special binders for
requirements. special cases. not transferable to or printouts and tapes.
from other cabinets.

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FEMA Manual 5400.2 February 29, 2000

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FEMA Manual 5400.2 February 29, 2000

Chapter 4: Records Retirement, Storage, Transfer, and Emergency Destruction Procedures

4-1. General. This chapter establishes guidelines and must approve in writing exceptions to retirement procedures.
procedures for the systematic retirement of records to a NARA Information copies are furnished to the applicable Records
Federal Records Center (FRC). NARA is chartered by the Liaison Officer and Records Custodian.
Federal Records Act of 1950 to establish, maintain, and
operate records centers for storing and servicing Federal 4-4. Records Retirement and Destruction Determinations.
Government noncurrent records. Retiring inactive or Organizational elements must retain, as current records, only
noncurrent records is essential to release high-cost space and the minimum volume of records necessary for efficient
equipment for the maintenance of current files. FRCs save operations. The disposition schedules include specific
space and money; five times as many records can be stored retirement and destruction instructions. General criteria for
per square foot in records center space as in equivalent retirement includes the following:
Agency office space.
a. Destroy official records ONLY according to the
4-2. Records Retirement. Retired records are subject to recall disposition schedules in this manual.
and reuse. Effective controls must be maintained over records
regardless of whether or not they are retired to an FRC. b. Retire inactive records that must be retained more
Records will not be sent to an FRC in lieu of disposal in than 3 years to the appropriate FRC.
accordance with approved records disposal schedules.
Records must have at least 1 year remaining before c. Do not retire records if they are to be destroyed within
destruction eligibility in order to be retired to an FRC. Some 3 years of transfer.
FRC's, because of space restrictions, extended this restriction
to records having at least 3 years remaining. Nonrecords will d. Do not retire less than 1 cubic foot of records as sole
NOT be sent to an FRC. The frequency of references generally transfer actions.
provide a good measure for the timing of transfers or the
establishment of retirement periods. Retire records when e. Destroy nonrecord material when its purpose has been
reference diminishes sufficiently to permit removal without served.
impairing current operations. Small amounts of records (less
than 1 cubic foot) are not retired as a sole transfer action. 4-5. Timing of Transfers. Retire records at annual intervals
Wait until at least two boxes are ready for transfer. Retire except when office retention requires additional filing
records at annual intervals except when the volume involved equipment, file volume warrants more frequent transfers, OR
warrants more frequent transfers. the cutoff period covers more than 1 year of accumulated
records, as in the case of a small or general correspondence
4-3. Retirement Deviations. The FEMA Records Officer is file with a long retention period.
authorized to approve specific deviations from retirement
procedures on an individual basis. Deviations apply only to 4-6. Retirement of Records to an FRC. The National Archives
record retirements. No records will be destroyed sooner than and Records Administration (NARA) provides maintenance and
authorized by approved disposal standards unless the operates records centers for the storage and reference of
standards are officially changed. The FEMA Records Officer noncurrent Federal Government records. Federal Records

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FEMA Manual 5400.2 February 29, 2000

Centers (FRCs) are located throughout the US on a regional box or transfer case. If a box contains records of different
area basis (see Figure 4-2). The National Personnel Records retention periods, the longest expiration date will be used to
Center in St. Louis, Missouri, provides storage for official determine the disposition date. For example, records with
personnel files (OPFs) and payroll records. Records slightly different periods, such as 5 and 6 years, may be
transferred to FRCs remain under the ownership of, and are packed in one container. In this instance, the container and
subject to access restrictions imposed by, the depositing all the contents are held until the expiration of the 6-year
agency. Regions and field establishments will retire eligible period.
records to the nearest center.
a. Initiating Retirement. When records become eligible
for retirement to an FRC, the custodian of the records will, in:

(1) Headquarters. Contact the FEMA Records Officer

with information on the nature and quantity of the records
proposed for retirement. The FEMA Records Officer provides
the necessary forms, boxes, and advice on transfer operations.
The transferring office indexes the records on the form
provided. The FEMA Records Officer arranges the transfer to
the WNRC.

(2) Regions and Field Establishments. The Regional

RLO will contact the FRC Manager in the NARA region in
which the records are to be retired. This notice may be either
in writing or oral. Thereafter, submit the necessary SF 135,
Records Transmittal Receipt, and, if needed, SF 135A, Records
Transmittal and Receipt-Continuation Sheet, for records
review and acceptance.

b. Review Prior to Transfer. Prior to boxing records for

shipment, screen them and remove and destroy documents or
folders from file series no longer needed and having no value.
Remove blank or duplicate pages, pins, pencils, paper clips,
and other nonfile material as these can damage the paper.
Review general transfer to eliminate duplicate or other
nonrecords material, limit reviews to complete folders, binders
or entire subject classification. Do not undertake document-
by-document reviews as it is impractical and uneconomical.

c. Uniformity. Do not pack records of different file series

designations or widely varying retention periods in the same

22
FEMA Manual 5400.2 February 29, 2000

d. Packing Records. e. Shipping Records.

(1) Containers. Each box accommodates 15 linear (1) Transferring records to a records center should be
inches of letter-size or 12 inches of legal size files (1 cubic foot accomplished as soon as possible after the Agency has
capacity). In headquarters, after records transfer approval, received the annotated copies of the SF 135 from the center.
the Records Management Branch furnishes record center A shipping delay of more than 30 days results in the return of
boxes to the requesting office. In regions and field the SF 135, requiring resubmission of the paperwork.
establishments, the Records Liaison Officer provides records
center boxes to the requesting office. (2) The most economical means available is used to
ship files to the records center. If records are to be moved
(2) Packing boxes. When packing records in boxes, only a short distance, records center trucks may be available
retain the normal filing arrangement in which the records to pick them up. Otherwise, records may be transferred by
were maintained within the transferring organization. regular US mail for small shipments (under 70 pounds) or by
commercial motor or rail freight for larger shipments. Enter
(a) Pack records firmly in the box without the following description on bills of lading or other shipping
disturbing the existing file arrangement. Do not pack so documents to obtain the lowest freight rate: Records, Office,
tightly as to hinder withdrawal for future references. Old, "The agreed or declared value of the property is hereby
specifically stated by the shipper not to exceed 32 cents per
(b) Face all folders in the same direction. Do pound."
not pack file guide cards. Place letter-size files facing the end
of the box and legal-size facing the side of the box. (3) Shipping regulations require boxes to be sealed
and addressed. Properly packed containers weigh
(c) Fill each box completely, but do not approximately 25 to 30 pounds each.
overpack boxes to cause bulging.
(4) Headquarters transfers are handled by the FEMA
(d) Pack the remaining space of partially filled Records Officer.
boxes with wadded paper.
4-7. Instructions for Completion of SF 135 and 135-A.
(e) Wrap oversize and undersize records, such Records eligible for retirement to an FRC require the
as ledgers, equivalent to less than one-half box, separately in completion of an SF 135. If needed, an SF 135-A is used.
heavy wrapping paper. Tie or tape the package securely and These forms serve to record the transfer of files to an FRC
label and number each package as if it were a box. providing an inventory sufficiently detailed to assist in the
reference, retrieval, and ultimate disposition of FEMA records.
(3) Numbering Boxes. Number boxes beginning with Both of these forms will be typewritten, prepared in an
number in the space provided on the box. original and four copies, and identify the records being
transferred, the office transferring the records, the volume,
and disposal authority. These forms can be obtained through
the Printing, Publications, and Graphics Branch, Program

23
FEMA Manual 5400.2 February 29, 2000

Services Division, Operations Support Directorate (see (3) Block C, Number. Leave blank.
Figure 4-1).
(4) Block D, Volume. Enter the total number of boxes
a. Block 1, To. Enter the FRC Mailing address in the for this shipment.
GSA region in which the records are located and to be stored
(see Figure 4-2 for a list of FRCs and the areas they serve). (5) Block E, Agency Box Numbers. The office
transferring records enters the individual block numbers,
b. Block 2, Agency Transfer Authorization. Leave beginning with box number 1 for each series.
blank. The FEMA Records Officer or Records Liaison Officer
signs and dates this block. (6) Block F, Series Description. The transferring
office first enters its organizational code, then gives a complete
c. Block 3, Agency Contact. The transferring office description for each box of records to be shipped and the year
enters the name, office, and telephone number of the official the records were created (or cut off if the records are case
familiar with the records to be transferred. files). Describe the contents of each box in sufficient detail to
enable the FRC to retrieve the box for a reference request and
d. Block 4, Records Center Receipt. Leave blank. verify the use of the appropriate disposal authority. Identify
any special status the records may have, such as the Privacy
e. Block 5, From. Headquarters organizational elements Act.
leave blank; regional offices and field establishments follow
the instructions outlined in this particular block and forward (7) Block G, Restrictions. The transferring office
a copy of the completed SF 135 to the FEMA Records Officer. enters the appropriate code for any restrictions for access to
the records. Codes are listed on the back of the SF 135.
f. Block 6, Records Data. Information entered in this
block is based upon individual accessions and their assigned (8) Block H, Disposal Authority. Enter the
numbers. An accession consists of records being retired that appropriate retention schedule authorization contained in this
have one disposal authority and one disposal date. When the manual in the record schedules in the "NARA ITEM" column.
authority or disposal date changes, the accession number
changes. The FRCs will not accept accessions with mixed (9) Block I, Disposal Date. If the preparer has taken
records in them. Do not mix records with varying disposal the Files Improvement and Records Disposition course, this
dates in the same container. Headquarters organizational item is explained during that course. Otherwise, contact the
elements obtain accession numbers from the FEMA Records Records Management Branch for the correct entry for this
Officer. Regional offices are notified of their accession item.
numbers by the appropriate FRC after transmitting the
SF 135. (10) Blocks J, K, L, and M. Leave blank. These items
will completed by the FRC.
(1) Block A, RG. Enter 311.
4-8. Distribution of the SF 135.
(2) Block B, FY. Leave blank.

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FEMA Manual 5400.2 February 29, 2000

a. Headquarters. After the SF 135 has been fully FRC in the same boxes and in the same order as originally
completed and signed in block 3 by the appropriate official, stored. An OF 11, Reference Request-Federal Records Center
forward the original and three copies to the FEMA Records is used when requesting reference service in writing. Also
Officer for review and approval. The FEMA Records Officer available is on-line reference service via the Central
forwards the original and two copies to the FRC and retains Information Processing System (CIPS) at the FRCs. Regional
one copy. A copy is returned to the transferring office upon and Field Records Liaison Officers can contact the local FRC
completion of records transfer. to gain access to this system. At headquarters, this service is
available from the FEMA Records Officer.
b. Regions and Field Establishments. The Regional RLO
will forward the original and two copies to the local FRC, send b. Offices wishing to permanently withdraw records from
one copy to the FEMA Records Officer, and retain one copy. the FRC will notify the FEMA Records Officer in writing, giving
the accession, location, and box numbers, and, as
4-9. Transfer Requiring a Record Group (RG) Number. appropriate, folder titles of particular records to be withdrawn.
Records transferred to an FRC or the National Archives
require an RG number. The FEMA RG number is 311. 4-11. Transfer of Records Other Than to FRCs. While most
Predecessor Agency records consist of records dated prior to records are subject to retirement to an FRC, a lesser amount
April 1, 1979. The following are Predecessor Agency RG may also be moved or assigned to another organization
numbers: outside FEMA.

Agency RG a. Transfers Within FEMA. Records are transferred

Office of Emergency Preparedness 396 within FEMA only when authorized by official directives
Defense Civil Preparedness Agency/ 397 prescribing changes in organization or reassignment of
Office of Civil Defense functions. When this occurs, the FEMA Records Officer must
Office of Civil Mobilization 304 receive notification by memorandum of the volume and
Department of Housing and Urban Development description of records.
207
National Fire Prevention Control Administration b. Transfers to Other Federal Agencies. FEMA records
437 may be transferred to another agency when it is in the best
interest of the Federal Government. Such transfers, however,
4-11. Reference Services. are subject to the prior written approval of NARA. Offices
desiring to transfer records to other agencies (except FRCs
a. Requesting offices supply the accession, box, and shelf and the National Archives) must submit their proposals in
number as sufficient description to permit ready identification writing to the FEMA Records Officer for coordination and
of the desired box. Reference service requests are handled as decision. Include the following information in the proposals:
expeditiously as possible and, as a general rule, 1-day service
is provided. Servicing is for entire boxes, not individual (1) A concise description of the records to be
folders. Once received, requesting offices will maintain boxes transferred, including the volume in cubic feet;
of records withdrawn from the FRC separate from the active
office files. When returned, the records will be returned to the

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FEMA Manual 5400.2 February 29, 2000

(2) A statement of the restrictions imposed on the use through the records scheduling process. This form can be
of the records; initiated by either the FRC or FEMA's Records Officer,
depending on the location of the records to be transferred or
(3) A statement of the number of reference requests offered to the Archives.
per month made on the records, with information as to the
agencies and persons using the records and the purpose of b. Records Over 30 Years Old. Agency records over
such use; 30 years old can be transferred to the National Archives by
action of the Archivist of the United States unless the
(4) A statement of the number of persons, if any, Director, FEMA, notifies the Archivist in writing that the
assigned to the administration of the records; records are still needed for current business.

(5) A statement of the proposed physical and c. Legal Title to Transferred Records. When records are
organizational locations of the records; transferred by using an SF 258 to the National Archives, legal
title to the records passes from FEMA to the Archivist of the
(6) Information as to why the proposed transfer is in US.
the best interests of the government; and
d. Transfers to the Presidential Library. Near the end of a
(7) A justification for the transfer of records more than President's term, a White House representative or the National
5 years old. Archives may request copies of records generated by the
Director, FEMA, and other high officials for inclusion in a
4-12. Transferring or Offering Records to the National Presidential Library. These requests must be coordinated
Archives for Permanent Retention. The NARA is authorized to with the FEMA Records Officer.
accept those records that the Archivist of the United States
determines have sufficient historical or other value to warrant 4-13. Transfer of OPFs and Payroll Records. OPFs and
permanent retention. Permanent records may include related payroll records are retired to the National Personnel
audiovisual records such as motion pictures, still Records Center (NPRC) (see Figure 5-3).
photographs, sound recordings, magnetic tape master files,
and cartographic records such as maps. a. Official Personnel Files (OPFs).

a. Request to Transfer to the National Archives. To (1) The OPFs of employees who are separated from
transfer records to the National Archives, an SF 258, Request FEMA are placed in an inactive file upon their separation.
to Transfer, Approval, and Receipt of Records to the National Thereafter, once each month, these inactive folders are
Archives of the United States, must be prepared. This form is transferred to the National Personnel Records Center.
used to transfer permanent records of FEMA to the National
Archives in accordance with approval FEMA records (2) Loose papers to be included in OPFs previously
disposition schedules. The SF 258 can also be used to make a sent to the NPRC using SF 127, Request for Official Personnel
direct offer to the National Archives. Unscheduled older Folder (separated employee), are forwarded, providing the
records or possibly valuable records no longer being created papers to be added to the individual's folder. Use a separate
can be offered directly to the National Archives without going SF 127 to transmit the papers for each individual. Complete

26
FEMA Manual 5400.2 February 29, 2000

blocks 2, 4, 5 (insert the employee's separation date in this some situations, memorandum copies of payrolls) are
block), and 6c. transferred to the center. Where practical, transfer these
records in the standard boxes used by the FRCs. Forward
(3) Every effort must be made to locate all documents SF 135s and 135-As in duplicate to the center.
required to be in the folder and to file them before the folder
must be thoroughly screened of all temporary material, as 4-14. Emergency Destruction of Records. Records may be
defined in the Federal Personnel Manual (FPM). Retire only destroyed, in certain situations, regardless of schedule
those papers that the FPM specifically designates to be provisions or other authority. Emergency conditions involve
permanently included in the folder in the OPF. Each the following:
document to be interfiled must show the current name of the
employee, the name under which the employee was formerly a. Records whose physical condition makes them a
employed if different from the current name, date of birth, menace to human life and property. They may be infested
social security number (SSN), and date of separation. with vermin or housed under such adverse conditions that
they cannot be used or repaired. Prior approval of NARA must
(4) After termination of employment, remove the be obtained in accordance with National Archives records
employee's OPF from the active files and check carefully for disposition regulations.
completeness. Remove and destroy the temporary material on
the left side of the folder. Retain only those medical records b. Still or motion picture film with a nitrocellulose base
specified for inclusion by the FPM and final leave statement that has deteriorated to the extent that it is a threat to human
(SF 1150, Records of Leave Data, or equivalent). Record the life and property. NARA must be notified within 30 days after
employee's date of birth and SSN on the folder tab. destruction.

(5) The center will not acknowledge receipt of OPFs. c. Records that may fall into the hands of a potential or
actual enemy when a state of war exists. These may be
b. Payroll Records. Because of their value as auxiliary disposed of immediately. Records of temporary value
personnel records, center payroll records (such as individual occupying space urgently needed for military purposes may
earning and service cards, final leave records cards, and, in also be destroyed immediately.

27
FEMA Manual 5400.2 February 29, 2000

Figure 4-1

28
FEMA Manual 5400.2 February 29, 2000

This page intentionally left blank.

29
FEMA Manual 5400.2 February 29, 2000

Figure 4-2
Federal Archives and Records Centers

REGION AREAS SERVED LOCATION

Designated records of the Military Departments and the U.S. Coast National Personnel Records Center
Guard Military Personnel Records, GSA
9700 Page Avenue
St. Louis, MO 63132-5100
Entire Federal Government (for personnel and pay records of National Personnel Records Center
separated civilian employees or other designated records) Civilian Personnel Records, GSA
111 Winnebago Street
St. Louis, MO 63118-4199

1 Maine, Vermont, New Hampshire, Massachusetts, Connecticut, and NARA Records Center
Rhode Island 380 Trapelo Road
Waltham, MA 02154-6399

2 New York, New Jersey, Puerto Rico, and the Virgin Islands NARA Records Center
2312 East Bannister Road
Kansas City, MO 64131-3011

3 Delaware and Pennsylvania NARA Records Center

14700 Townsend Road
Philadelphia, PA 19154-1025
District of Columbia, Maryland, Virginia, and West Virginia Washington National Records Center
4205 Suitland Road
Suitland, MD 20746-8001

4 Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, NARA Records Center
South Carolina, Tennessee 1557 St. Joseph Avenue
East Point, GA 30344-2593

30
FEMA Manual 5400.2 February 29, 2000

Figure 4-2
Federal Archives and Records Centers

REGION AREAS SERVED LOCATION

5 Illinois, Minnesota, and Wisconsin NARA Records Center

7358 South Pulaski Road
Chicago, IL 60629-5898
Indiana, Michigan, and Ohio NARA Records Center
3150 Springboro Road
Dayton, OH 45439-1883

6 Texas, Oklahoma, Arkansas, and Louisiana NARA Records Center

501 West Felix St., Bldg 1
P.O. Box 6216
Fort Worth, TX 76115-3405

7 Kansas, Iowa, Nebraska, and Missouri NARA Records Center

2312 East Bannister Road
Kansas City, MO 64131-3011
8 Colorado, Wyoming, Utah, Montana, North Dakota, South Dakota, NARA Records Center
and New Mexico Bldg 48, Denver Federal Center
P.O. Box 25307
Denver, CO 80225-0307

9 Nevada except Clark County, Northern California, Hawaii, and NARA Records Center
American Samoa 1000 Commodore Drive
San Bruno, CA 94066-2350
Arizona; Clark County, Nevada; and southern California (counties of NARA Records Center
San Luis Obispo, Kern, San Bernandino, Santa Barbara, Ventura, 24000 Avila Road
Orange, Los Angeles, Riverside, Inyo, Imperial, and San Diego) Laguna Niguel, CA 92677-3497

10 Washington, Oregon, Idaho, Alaska, and Pacific Ocean area (except NARA Records Center
American Samoa and Hawaii) 6125 Sand Point Way
Seattle, WA 98115-7999

31
FEMA Manual 5400.2 February 29, 2000

Chapter 5: Records Disposition Schedules

5-1. Accounting (ACC).

a. This schedule includes the following records:

(1) Accountable officer returns and related records, including records under the cognizance of GAO. These include record
copies of all records concerned with the accounting for, availability, and status of public funds.

(2) Expenditure accounting records which include ledgers and related documents maintained to show in summary how
FEMA funds (appropriated and nonappropriated) are spent after allotment by OMB and the sources and nature of any receipts.

(3) Specialized stores, plant and cost accounting records which reflect the net monetary worth of FEMA (and are periodically
reconciled with supply data). They do not include procurement records.

b. When a claim is filed by or against the Government, records related to or associated with the claim must be retained until
said claim is resolved.

NOTE: This schedule does not apply to records involving budgets or the budgeting process. See paragraph 6-5,
Budget Records Schedules.

(ACC schedules begin on the next page)

32
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ACC-1 Accountable Officers' Files.

ACC-1-1 Original or ribbon copy of accountable officers' accounts Destroy 6 years and 3 months after GRS 6, 1a
maintained by FEMA for site audit by GAO auditors period covered by account.
consisting of statements of transactions and accountability,
collection schedules, collection vouchers, disbursement
schedules and vouchers, and all other schedules and
vouchers or documents used as schedules or vouchers
exclusive of freight records and payroll records, EXCLUDING
accounts and supporting documents pertaining to American
Indians. Site audit records include, but are not limited to,
Standard and Optional forms and equivalent FEMA forms
which document the basic financial transaction described
above.

NOTE: Accounts and supporting documents pertaining to American Indians: Disposition not authorized - retain in office until further
notice.

ACC-1-2 Memorandum copies of accountable officers' returns Destroy when 1 year old. GRS 6, 1b
including statements of transactions and accountability, all
supporting vouchers, schedules, and related documents not
covered elsewhere in this schedule, EXCLUDING freight
records and payroll records.

ACC-2 GAO Exceptions Files. General Accounting Office notices of Destroy 1 year after exception has GRS 6, 2
exceptions, such as Standard Form 1100, formal or informal, been reported as cleared by GAO.
and related correspondence.

33
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ACC-3 Certificates Settlement Files. Copies of certificates and

settlements of accounts for accountable officers, statements
of differences, and related records.

ACC-3-1 Certificates covering closed account settlements, Destroy 2 years after date of GRS 6, 3a
supplemental settlements, and final balance settlements. settlement.

ACC-3-2 Certificates covering period statements. Destroy when subsequent certificate GRS 6, 3b
of settlement is received.

ACC-4 General Fund Files. Records relating to availability, Destroy when 3 years old. GRS 6, 4
collections, custody and deposit of funds, including
appropriation warrants and certificates of deposit other than
those records covered by ACC-1 of this schedule.

ACC-5 Accounting Administrative Files. Correspondence, reports

and data relating to vouchers preparation, administrative
audit, and other accounting and disbursing operations.

ACC-5-1 Files used for workload and personnel management Destroy when 2 years old. GRS 6, 5a
purposes.

ACC-5-2 All other files. Destroy when 3 years old. GRS 6, 5b

ACC-6 Federal Personnel Surety Bond Files. Official copies of bond

and attached powers of attorney.

ACC-6-1 Bonds purchased after December 31, 1956. Destroy 15 years after end of bond GRS 6, 6a(2)
premium period.

34
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ACC-6-2 Other bond files including other copies of bond and related Destroy when bond becomes GRS 6, 6b
documents. inactive or after the end of the bond
premium period.

ACC-7 Gasoline Sales Tickets. Hard copies of sales tickets filed in Destroy after GAO audit or when 3 GRS 6, 7
support of paid vouchers for credit card purchases of years old, whichever is sooner.
gasoline.

ACC-8 Telephone Toll Tickets. Originals and copies of toll ticket files Destroy after GAO audit or when 3 GRS 6, 8
in support of telephone toll call payments. years old, whichever is sooner.

ACC-9 Telegrams. Originals and copies of telegram files in support Destroy after GAO audit or when 3 GRS 6, 9
of telegraph bills. years old, whichever is sooner.

ACC-10 Administrative Claims Files.

ACC-10-1 Claims against the United States. Records related to claims Destroy when 6 years, 3 months old. GRS 6, 10a
against the United States for moneys which have been
administratively: (1) disallowed in full, or (2) allowed in full or
in part, and final payment of the amount awarded,
EXCLUDING claims covered by ACC-10-2-2-3.

ACC-10-2 Claims by the United States subject to the Federal Claims

Collection Standards and 28 USC 2415 or 31 USC 3716(c)(1).
Records related to claims for money or property when were
administratively determined to be due and owed to the
United States, and which are subject to the Federal Claims
Collections Standards (4 CFR Chapter II), EXCLUDING
claims covered under ACC-10-2-3.

ACC-10-2-1 Claims which were paid in full or by means of a compromise Destroy when 6 years, 3 months old. GRS 6, 10b(1)
agreement pursuant to 4 CFR Part 103.

35
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ACC-10-2-2 Claims for which collection action has been terminated under
4 CFR Part 104.

ACC-10-2-2-1 Claims for which the Government's right to collection were Destroy 10 years, 3 months after the GRS 6,
not extended. year in which the Government's 10b(2)(a)
right to collect first accrued.

ACC-10-2-2-2 Claims for which the Government is entitled (per Destroy 3 months after the end of GRS 6,
28 USC 2415) to additional time to initiate legal action. the extended period. 10b(2)(b)

ACC-10-2-3 Claims which FEMA administratively determines are not Destroy when 6 years, 3 months old. GRS 6, 10b(3)
owed to the United States after collection action was
initiated.

ACC-10-3 Claims files that are affected by a court order or subject to Destroy when the court order is GRS 6, 10c
litigation proceedings. lifted, litigation is concluded, or
when 6 years, 3 months old,
whichever is later.

ACC-11 Waiver of Claims Files. Records relating to waiver of claims

of the United States against a person, arising out of an
erroneous payment of pay allowances, travel expenses, or
relocation expenses to an employee of FEMA, including bills
of collection, requests for waiver of claims, investigative
reports, decisions by FEMA and/or GAO approving or
denying the waiver, and related records.

ACC-11-1 Approved waivers. FEMA may approve amounts not Destroy 6 years, 3 months after the GRS 6, 11a
aggregating to more than $500 or GAO may approve any close of the fiscal year in which the
amount. waiver was approved.

36
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ACC-11-2 Denied waivers. Destroy with related claims files in GRS 6, 11b
accordance with ACC-10-2 and
ACC-10-3 of this schedule.

EXPENDITURE ACCOUNTING RECORDS

ACC-12 Expenditures Accounting General Correspondence Destroy when 2 years old. GRS 7, 1
and Subject Files. Correspondence or subject files
maintained by organizational elements responsible for
expenditures accounting, pertaining to their internal
operations and administration.

ACC-13 General Accounting Ledgers. General accounting ledgers, Destroy 6 years, 3 months after the GRS 7, 2
showing debit and credit entries, and reflecting expenditures close of the fiscal year involved.
in summary.

ACC-14 Appropriation Allotment Files. Allotment records showing Destroy 6 years, 3 months after the GRS 7, 3
status of obligations and allotments under each authorized close of the fiscal year involved.
appropriation.

ACC-15 Expenditure Accounting Posting and Control Files. Records

used as posting and control media, subsidiary to the general
and allotment ledgers, and not covered elsewhere in this
schedule.
ACC-15-1 Destroy when 3 years old. GRS 7, 4a
Original records.

ACC-15-2 Copies. Destroy when 2 years old. GRS 7, 4b

STORES, PLANT, AND COST ACCOUNTING RECORDS

37
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ACC-16 Plant, Cost, and Stores General Correspondence Files. Destroy when 3 years old. GRS 8, 1
Correspondence files of organizational elements responsible
for plant, cost, and stores accounting operations.

ACC-17 Stores Invoice Files. Invoices or equivalent papers used for Destroy when 3 years old. GRS 8, 2
stores accounting purposes.

ACC-18 Stores Accounting Files. Stores accounting returns and Destroy when 3 years old. GRS 8, 3
reports.

ACC-19 Stores Accounting Background Files. Working files used in Destroy when 2 years old. GRS 8, 4
accumulating stores accounting data.

ACC-20 Plant Accounting Files. Plant account cards and ledgers, Destroy 3 years after item is GRS 8, 5
other than those pertaining to structures. withdrawn from plant account.

ACC-21 Cost Accounting Reports.

ACC-21-1 Copies in units receiving report. Destroy when 3 years old. GRS 8, 6a

ACC-21-2 Copies in reporting units, and related work papers. Destroy when 3 years old. GRS 8, 6b

ACC-22 Cost Report Data Files. Ledgers, forms, and electronic

records used to accumulate data for use in cost reports.

ACC-22-1 Ledgers and forms. Destroy when 3 years old. GRS 8, 7a

ACC-22-2 Automated records.

ACC-22-2-1 Detail Cards. Destroy when 6 months old. GRS 8, 7b(1)

38
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ACC-22-2-2 Summary Cards. Destroy when 6 months old. GRS 8, 7b(2)

ACC-22-2-3 Tabulations. Destroy when 1 year old. GRS 8, 7b(3)

ACC-23 Electronic Mail and Word Processing System Copies of

Accounting Records. Electronic copies of records that are
created on electronic mail and word processing systems and
used solely to generate a recordkeeping copy of the records
covered by the other items in this schedule. Also includes
electronic copies of records created on electronic mail and
word processing systems that are maintained for updating,
revision, or dissemination.

ACC-23-1 Copies that have no further administrative value after the Destroy/delete within 180 days after GRS 6, 12a
recordkeeping copy is made. Includes copies maintained by the recordkeeping copy has been for items
individuals in personal files, personal electronic mail produced. covered under
directories, or other personal directorates on hard disk or GRS 6;
network drives, and copies on shared network drives that are GRS 7, 5a for
used only to produce the recordkeeping copy. items covered
under GRS 7;
GRS 8, 8a for
items covered
under GRS 8

39
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ACC-23-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 6, 12b
maintained in addition to the recordkeeping copy. revision, or updating is completed. for items
covered under
GRS 6;
GRS 7, 5b for
items covered
under GRS 7;
GRS 8, 8b for
items covered
under GRS 8

5-2. Administration (ADM).

This schedule covers records related to administrative functions of FEMA. Included in this schedule are the following:

a. Records common to most office in FEMA that relate to the routine internal administration and housekeeping activities.
They are often copies of documents submitted to other offices for action, such as purchase orders and training requests;

b. Records created in the course of organizational planning, development, and simplification of procedures; records
management activities; and administration of management improvement programs. These records are usually held at division levels
or above;

c. Housing management and maintenance records maintained by the housing managers are the Special Facility and
National Emergency Training Center;

d. Postal records and records related to private delivery service, such as United Parcel Service, Federal Express, and
Airborne Express; and

40
FEMA Manual 5400.2 February 29, 2000

e. Motor vehicle maintenance and operations records.

NOTE: This schedule is not applicable to the record copies of organizational charts, functional statements,
and related records that document the essential organization, staffing and procedures of the office.

(ADM schedules begin on the next page)

41
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-1 Office Administrative Files. Records, accumulated by Destroy when 2 years old, or when GRS 23, 1
individual offices, that relate to the internal administration or no longer needed, whichever is
housekeeping activities of the office rather than the functions sooner.
for which the office exists. In general, these records relate to
the office organization, staffing, procedures, and
communications, including facsimile machine logs; the
expenditure of funds, including budget records; day-to-day
administration of office personnel, including training and
travel; supplies, office services, and equipment requests and
receipts; and the use of office space and utilities. They may
also include copies of internal activity and workload reports
(including work progress, statistical, and narrative reports
prepared in the office and forwarded to higher levels) and
other material that do not serve as unique documentation of
the programs of the office.

NOTE: This schedule is not applicable to the record copies of organizational charts, functional statements, and related records that
document the essential organization, staffing, and procedures of the office, which are scheduled and found in the Agency Historical
Files section of this series.

ADM-2 CATEGORY WITHDRAWN. RESERVED FOR FUTURE USE.

SEE ADM-47.

ADM-3 Official Correspondence Files. All outgoing correspondence PERMANENT. Cut off at end of N1-311-86-1
prepared by the Director, Deputy Director, and heads of all fiscal year. Retire to FRC 3 years 1G1
directorates and offices reporting to the Director, with after cutoff. Transfer to National
attachments. Arrange chronologically. Archives in 5-year blocks 20 years
after cutoff.

42
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-4 General Subject Correspondence Files. Letters, memoranda,

messages, studies, reports, forms, staff position papers, and
other records documenting and/or implementing plans,
policies, procedures, accomplishments, opinions, and
decisions pertaining to FEMA program and staff activities.

ADM-4-1 Program correspondence files maintained at the office level PERMANENT. Cut off at close of N1-311-86-1
and above. These files document policy-making decisions of fiscal year. Retire to FRC 2 years 1K1a
significant FEMA program management functions and are after cutoff. Transfer to National
filed in large central collections in each office or directorate. Archives in 5-year blocks 20 years
after cutoff.

ADM-4-2 Program correspondence files maintained at the Cut off at close of fiscal year. Retire N1-311-86-1
headquarters division level or below and in regional offices. to FRC 2 years after cutoff. Destroy 1K1b
10 years after cutoff.

ADM-4-3 Routine program correspondence files maintained at all Destroy when 2 years old or sooner, N1-311-86-1
organizational levels. Files documenting program if purpose has been served. 1K1c
transactions of a routine or recurring nature the record
content of which is summarized in ADM-4-1 and ADM-4-2
above.

ADM-5 Reading or Chronological Files.

ADM-5-1 Files maintained in the offices of the Director, Deputy PERMANENT. Cut off at end of N1-311-86-1
Director, Regional Directors, Associate Directors, and fiscal year. Retire to FRC 2 years 1K2
Administrators. Arrange chronologically. after cutoff. Transfer to National
Archives in 5-year blocks 20 years
after cutoff. Files not accepted by
National Archives at time of transfer
are disposable without further
agency concurrence.

43
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-5-2 Files maintained at other organizational levels. Arrange Destroy when 2 years old. GRS 23, 1
chronologically.

ADM-6 Administrative Announcement Files. Material such as info- Destroy when superseded, obsolete, N1-311-86-1
grams, Chief Financial Officer Infograms, and similar or no longer needed for reference. 1K3
announcements concerning routine or temporary
administrative matters distributed for informational purposes
to employees, exclusive of announcements covering policies,
authorizations, plans, or procedures.

ADM-7 Weekly Activities Report. Narratives containing items of

internal agency interest or activities submitted by staff to
higher levels of management.

ADM-7-1 Reports held by the Office of the Director containing items of PERMANENT. Cut off at end of N1-311-92-1
significant interest that have unique value. calendar year and retire to FRC. 1
Transfer to National Archives in 5-
year blocks when oldest records are
20 years old.

ADM-7-2 Copies maintained by the Regional Directors, when PERMANENT. Cut off files annually. N1-311-92-1
maintained separately from the regional directors' office Transfer to the FRC in 5-year 2
chronological files covered by ADM-5 of the schedule. blocks when oldest records are
6 years old. Transfer to the National
Archives when oldest records are 20
years old.

ADM-7-3 Copies of Weekly Activity Reports maintained in offices other Destroy when 1 year old. N1-311-99-5
than those of the Director and Regional Directors.

ADM-8 Annual Report Input Files. Feeder reports generated by Destroy when 2 years old. N1-311-86-1
offices as input into the annual report. 1K7

44
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-9 Feeder or Preliminary Reports. Information other than

activity or status reports, usually concerning a single
function or subject, prepared periodically, occasionally, or on
a one-time basis and directed to higher or equal levels of
organizations for summarization or total inclusion in final
reports.
ADM-9-1 Destroy when 1 year old. N1-311-86-1
Weekly and monthly reports. 1K8a

ADM-9-2 Quarterly, semiannual, annual, occasional, and one-time Destroy when 3 years old. N1-311-86-1
reports. 1K8b

ADM-10 Directory Files. Correspondence and other material on Destroy when change has been N1-311-86-1
updating office telephone directories and other listing on made and verified. 1K13
agency organization and similar matters.

ADM-11 Project Files. Records relating to approved projects or task

forces having precedential significance, such as those
mandated by Congress on continuity of government and
firefighter safety.
ADM-11-1 PERMANENT. Cut off at end of N1-311-86-1
Final project reports arranged alphabetically by project project. Retire to FRC 3 years after 1K12a
name. cutoff. Transfer to National Archives
in 5-year blocks 20 years after
cutoff.

ADM-11-2 All other project records. Cut off at end of project. Destroy 5 N1-311-86-1
years after cutoff. 1K12b

ADM-11-3 Files on proposed projects. Destroy when 5 years old, if no N1-311-86-1

further action is taken. 1K12c

45
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-11-4 Working papers and draft reports on projects. Destroy when 3 years old. N1-311-86-1
1K12d

ADM-12 Schedules of Daily Activities. Calendars, appointment books,

schedules, logs, diaries, and other records documenting
meetings, appointments, telephone calls, trips, visits, and
other activities by FEMA employees while serving in an
official capacity, created and maintained in hard copy or
electronic form, EXCLUDING materials determined to be
personal.
ADM-12-1 Destroy or delete when 2 years old. GRS 23, 5a
Records containing substantive information relating to
official activities, the substance of which has not been
incorporated into official files, EXCLUDING records relating
to the official activities of the Director, Deputy Director, and
heads of all offices reporting to the Director.

ADM-12-2 Records documenting routine activities containing Destroy when no longer needed. GRS 23, 5b
substantive information the substance of which has been
incorporated into organized files.

ADM-12-3 Records containing substantive information relating to the PERMANENT. Cut off at end of N1-311-92-4
official activities of the Director, Deputy Director, and heads calendar year. Retire to the FRC at
of directorates and offices reporting to the Director. cutoff. Transfer to National Archives
in 5-year blocks when 20 years old.

ADM-13 Suspense Files. Documents arranged in chronological order

as a reminder that an action is required on a given date or
that a reply to action is expected and, if not received, should
be traced on a given date.

ADM-13-1 A note or other reminder to take action. Destroy after action is taken. GRS 23, 6a

46
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-13-2 The file copy or an extra copy of an outgoing communication, Withdraw documents when reply is GRS 23, 6b
filed by the date on which a reply is expected. received. (1) If suspense copy is an
extra copy, destroy immediately. (2)
If the suspense copy is the file copy,
incorporate it into the official files.

ADM-14 Transitory Files. Documents of short-term interest which Destroy when 3 months old, or GRS 23, 7
have no documentary or evidential value and normally need when no longer needed, whichever is
not be kept more than 90 days. Examples of transitory sooner.
correspondence are:
! Routine requests for information or publications and
copies of replies which require no administrative action, no
policy decision, and no special compilation or research or
reply.
! Originating office copies of letters or transmittal that do
not add any information to that contained in the transmitted
material, and receiving office copy, if filed separately from
transmitted material.
! Quasi-official notices including memoranda and other
records that do not serve as the basis of official actions, such
as notices of holidays or charity and welfare fund appeals,
bond campaigns, and similar records.

ADM-15 Tracking and Control Records. Logs, registers, and other Destroy or delete when no longer GRS 23, 8
records (in hard copy or electronic form) used to control or needed.
document the status of correspondence, reports, or other
records that are authorized for destruction elsewhere in this
manual.

47
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-16 Finding Aides (or Indexes). Indexes, lists, registers, and Destroy or delete with the related GRS 23, 9
other finding aids (in hard copy or electronic forms) used only records, or sooner, if no longer
to provide access to records authorized for destruction, needed.
elsewhere in this manual EXCLUDING records containing
abstracts or other information that can be used as an
information source apart from the related records.

ADM-17 Campaign Records. Records relating to charitable, civic, and Destroy when 3 years old. N1-311-86-1
other campaigns, such as the Combined Federal Campaign, 1K16
March of Dimes, etc.

ADMINISTRATIVE MANAGEMENT RECORDS

ADM-18 Project Control Files. Memoranda, reports, and other records Destroy 1 year after the year in GRS 16, 5
documenting assignments, progress, and completion of which the project is closed.
projects.

ADM-19 Feasibility Studies. Studies conducted before the installation Destroy 5 years after completion or GRS 16, 9
of any technology or equipment associated with information cancellation of study.
management systems, such as word processing, copiers,
micrographics, and communications. Studies and system
analyses for the initial establishment and major changes of
these systems. Such studies typically include a
consideration of the alternatives of the proposed system and
a cost/benefit analysis, including an analysis of the improved
efficiency and effectiveness to be expected from the proposed
system.

48
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-20 IRM Triennial Review Files. Reports required by GSA Destroy when 7 years old. GRS 16, 11
concerning reviews of information resources management
(IRM) practices. Included are associated correspondence,
studies, directives, feeder reports, and monitoring surveys
and reports.

ADM-21 FEMA Advisory Board Administrative Files. Records relating Cut off at end of calendar year. N1-311-86-1
to operating procedures, oversight reports, meeting plans, Destroy 10 years after cutoff. 5A3
and current activities of the board.

ADM-22 Regional Office Correspondence.

ADM-22-1 Regional Review and Coordination Files. Correspondence, Destroy when no longer needed. N1-311-86-1
reports, memoranda, and other records sent to FEMA 1D1
regional offices for action.

ADM-22-2 Management Studies. Correspondence, reports, analyses, Destroy when superseded or N1-311-86-1
and studies on the ten FEMA regional offices relating to obsolete. 1D2
personnel, organizational structure, management, and
delegations of authority.

ADM-22-3 Regional Annual Work Plan Files. Correspondence, reports,

studies, analyses, and other records on the overall
coordination of an agency-aide comprehensive work plan for
delivery of program services through regional offices.

ADM-22-3-1 Headquarters copies. Destroy when 5 years old. N1-311-86-1

1D3a

ADM-22-3-2 Regional office copies. Destroy when superseded or N1-311-86-1

obsolete. 1D3b

49
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-23 Regional Office General Program Subject Files. Files Review every 3 years. Destroy when N1-311-86-1
containing basic statutes, legislative proposals, legal superseded or obsolete. 4C5
opinions, congressional statements, organizational charts,
delegations of authority, policy statements, operating
procedures and instructions, minutes of meetings,
recommendations and decisions, reports, interagency
agreements, memoranda of understanding, and studies.

HOUSING RECORDS

ADM-24 Housing General Correspondence Files. Correspondence files Destroy when 2 years old. GRS 15, 1
pertaining to the maintenance and management of housing
projects.

ADM-25 Housing Maintenance and Repair Files. Maintenance and

repair records for individual units.

ADM-25-1 Summary card or ledger record. Destroy 3 fiscal years following close GRS 15, 2a
of fiscal year in which unit is closed
to tenancy or leaves FEMA control.

ADM-25-2 Work orders, requisitions, and related papers involved in Destroy 3 fiscal years following close GRS 15, 2b
repair and maintenance work. of fiscal year in which work is done.

ADM-26 Housing Management Files. Reports pertaining to housing Destroy when 2 years old. GRS 15, 3
management including expenditure, survey, collection, and
other statistical and narrative data.

50
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-27 Housing Lease Files. Copies of leases, renewal termination Destroy 3 fiscal years following close GRS 15, 4
notices, and related documents. of fiscal year in which (a) lease
termination, lapse, or cancellation
occurs, or (b) litigation is concluded,
whichever is later.

ADM-28 Housing Assignment and Vacancy Card Files.

ADM-28-1 Individual tenant cards. Destroy when tenant vacates unit. GRS 15, 5a

ADM-28-2 Individual housing unit cards. Destroy 3 fiscal years after close of GRS 15, 5b
fiscal year in which unit is closed to
tenancy or leaves FEMA control.

ADM-29 Housing Inventory Files. Furnished inventory files, Destroy 3 fiscal years after close of GRS 15, 6
pertaining to items included in furnished units. fiscal year in which inventory is
superseded.

ADM-30 Housing Applications Files (other than copies in lease files).

ADM-30-1 Rejected application files. Destroy 1 year from date of GRS 15, 7a
rejection.

ADM-30-2 All others. Destroy when 2 years old. GRS 15, 7b

POSTAL RECORDS

51
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-31 Post Office and Private Mail Company Records. Post Office
and private mail company forms and supporting papers,
exclusive of records held by the United States Postal Service.

ADM-31-1 Records relating to incoming or outgoing registered mail Destroy when 1 year old. GRS 12, 5a
pouches, registered, certified, insured, overnight, express,
and special delivery mail including receipts and return
receipts.

ADM-31-2 Application for registration and certification of declared value Destroy when 1 year old. GRS 12, 5b
mail.

ADM-31-3 Report of loss, rifling, delayed or late delivery, wrong delivery, Destroy when 1 year old. GRS 12, 5c
or other improper treatment of mail.

ADM-32 Messenger Service Files. Daily logs, assignment records and Destroy when 2 months old. GRS 12, 1
instructions, dispatch records, delivery receipts, route
schedules, and related records.

ADM-33 Mail and Delivery Service Control Files.

ADM-33-1 Records of receipts and routing of incoming and outgoing Destroy when 1 year old. GRS 12, 6a
mail and items handled by private delivery companies such
as United Parcel Service, excluding both those covered by
ADM-31 and those used as indexes to correspondence files.

ADM-33-2 Statistical reports of postage used on outgoing mail and fees Destroy when 6 months old. GRS 12, 6b
paid for private deliveries (special delivery, foreign, registered,
certified, and parcel post or packages over 4 pounds).

ADM-33-3 Requisition for stamps exclusive of copies used as supporting Destroy when 6 months old. GRS 12, 6c
documents for payment vouchers.

52
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-33-4 Statistical reports and data relating to handling of mail and Destroy when 1 year old. GRS 12, 6d
volume of work performed.

ADM-33-5 Records relating to checks, cash stamps, money orders, or Destroy when 1 year old. GRS 12, 6e
any other valuables remitted to FEMA by mail.

ADM-33-6 Records of, and receipts for, mail and packages received Destroy when 6 months old. GRS 12, 6f
through the official mail and messenger services.

ADM-33-7 General files including correspondence, memoranda, Destroy when 1 year old or when GRS 12, 6g
directives, and guides relating to the administration of mail superseded or obsolete, whichever is
room operations. applicable.

ADM-33-8 Locator cards, directories, indexes, and other cords relating Destroy 5 months after separation GRS 12, 6h
to mail delivery to individuals. or transfer of individual or when
obsolete, whichever is applicable.

ADM-34 Metered Mail Report Files. Official metered mail reports and Destroy when 6 years old. GRS 12, 7
all related papers.

ADM-35 Postal Irregularities Files. Memoranda, correspondence, Destroy 3 years after completion of GRS 12, 8
reports, and other records relating to irregularities in the investigation.
handling of mail, such as loss or shortage of postage stamps
or money orders, or loss or destruction of mail.

MOTOR VEHICLE RECORDS

ADM-36 Motor Vehicle Correspondence Files. Correspondence in the Destroy when 2 years old. GRS 10, 1
operating unit responsible for maintenance and operation of
motor vehicles not otherwise covered in this schedule.

53
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-37 Motor Vehicle Operation and Maintenance Files.

ADM-37-1 Operating records including those relating to gas and oil Destroy when 3 months old. GRS 10, 2a
consumption, dispatching, and scheduling.

ADM-37-2 Maintenance records, including those relating to service and Destroy when 1 year old. GRS 10, 2b
repair.

ADM-38 Motor Vehicle Cost Files. Motor vehicle ledger and work Destroy 3 years after discontinuance GRS 10, 3
sheets providing cost and expense data. of ledger or date of work sheet.

ADM-39 Motor Vehicle Report Files. Reports on motor vehicles (other Destroy 3 years after date of report. GRS 10, 4
than accident, operation, or maintenance reports), including
SF 82, Agency Report of Motor Vehicle Data, and SF 82D,
Agency Report of Sedan Data.

ADM-40 Motor Vehicle Accident Files. Records relating to motor Destroy 6 years after case is closed. GRS 10, 5
vehicle accidents, maintained by transportation offices,
including SF 91, Operator's Report of Motor Vehicle Accident;
SF 91A, Investigation Report of Motor Vehicle Accident; and
SF 94, Statement of Witness.

ADM-41 Motor Vehicle Release Files. Records relating to transfer, Destroy 4 years after vehicle leaves GRS 10, 6
sale, donation, or exchange of vehicles, including SF 97, FEMA's custody.
Agency Record Copy of U.S. Government Certificate of
Release to obtain title to a Motor Vehicle.

54
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-42 Motor Vehicle Operation Files. Records relating to individual Destroy 3 years after separation of GRS 10, 7
employee operations of Government-owned vehicles, employees or 3 years after recision
including driver's tests, authorization to use, safe driving of authorization to operate
awards, and related correspondence. Government-owned vehicle,
whichever is sooner.

ADM-43 Organizational Files. Organizational charts and studies PERMANENT. Cut off at end of N1-311-92-5
which provide a detailed description of the arrangement and fiscal year. Retire to FRC 2 years 2
administrative structure of the Agency. Included are after cut off. Transfer in 5 year
proposals, staff evaluations, final products, maps, and blocks when oldest records are 20
graphs. years old.

ADM-44 History Program Files. Agency histories and selected

background materials including oral histories prepared by
FEMA officials or contractor personnel.

ADM-44-1 Finished agency histories. Published and unpublished PERMANENT. Cut off on completion N1-311-92-5
articles relating to the administration, organization, of the project and place in an 3
programs, and mission of the Agency. inactive file. Cut off the inactive file
when 5 years old. Transfer in 5-
year blocks to the FRC when the
oldest record is 6 years old.
Transfer to the national Archives in
5-year blocks when the oldest record
is 20 years old.

ADM-44-2 Source Materials. Duplicate copies of agency Cut off on completion of project. N1-311-92-1
correspondence, organizational charts, reports, newspaper Destroy when 10 years old. 4
clippings, and other records used in the preparation of
agency histories.

55
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-45 Government Performance Results Act (GPRA) Records. Files

produced in performance of requirements under PL 103-62.

ADM-45-1 Records produced by individual program offices for Cut off at end of fiscal year. Destroy PENDING
submitting material for inclusion in agency-level strategic 3 years after cutoff. FROM NARA
plans and performance reports.
ADM-45-2 Final agency-level Strategic Plans developed for PERMANENT. Cut off when PENDING
establishment of performance goals, final agency level superseded. Retire to FRC 3 years FROM NARA
performance reports, and annual performance plans as after cutoff. Transfer to the National
related to strategic plan goals, which are submitted to OMB Archives in 5-year blocks 20 years
and Congress. Annual performance plans state goals, after cutoff.
objectives, performance indicators, and strategies for
accomplishment.
ADM-45-3 E-mail and word processing records. Delete when recordkeeping copy PENDING
produced. FROM NARA
ADM-46 National Performance Review(NPR). Records produced to
comply with guidelines and recommendations of the National
Performance Review.

ADM-46-1 Records produced by individual program offices for Cut off by fiscal year. Retire to FRC PENDING
submitting material to be included in agency-level reports to 2 years after cutoff. Destroy 5 years FROM NARA
the Office of the President. after cutoff.
ADM-46-2 Internal agency correspondence to task program offices to Cutoff by fiscal year. Retire to FRC PENDING
submit reports. 2 years after cutoff. Destroy 5 years FROM NARA
after cutoff.
ADM-46-3 Final agency reports submitted to the White House reflecting PERMANENT. Cutoff at end of fiscal PENDING
compliance with guidelines of the NPR and changes year in which report is produced. FROM NARA
implemented in FEMA programs as recommended by the Retire to FRC 2 years after cutoff.
NPR. Transfer to the National Archives in
5-year blocks 20 years after cutoff.

56
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-46-4 E-mail and word processing records. Delete when recordkeeping copy PENDING
produced. FROM NARA

ADM-47 Electronic Mail and Word Processing System Copies of

Administration Records. Electronic copies of records that are
created on electronic mail and word processing systems and
used solely to generate a recordkeeping copy of the records
covered by the other items in this schedule. Also includes
electronic copies of records created on electronic mail and
word processing systems that are maintained for updating,
revision, or dissemination. This item does not apply to any
item listed in the Administration file schedule for which
NARA Authority is not identified as a GRS item.

ADM-47-1 Copies that have no further administrative value after the Destroy/delete within 180 days after GRS 10, 8a
recordkeeping copy is made. Includes copies maintained by the recordkeeping copy has been OR
individuals in personal files, personal electronic mail produced. GRS 12, 9a
directories, or other personal directorates on hard disk or OR
network drives, and copies on shared network drives that are GRS 15, 8a
used only to produce the recordkeeping copy. OR
GRS 16, 15a
OR
GRS 23, 10a
whichever is
appropriate

57
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

ADM-47-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 10, 8b
maintained in addition to the recordkeeping copy. revision, or updating is completed. OR
GRS 12, 9b
OR
GRS 15, 8b
OR
GRS 16, 15b
OR
GRS 23, 10b
whichever is
appropriate

58
FEMA Manual 5400.2 February 29, 2000

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59
 FEMA Manual 5400.2 February 29, 2000

5-3. Audits and Investigations (AUD).

This schedule covers the two major series of investigative, audit, and related records created or maintained by the Office of Inspector
General and documents relating to OMB Circular A-123 and other regulations to curb fraud, waste, and abuse.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AUD-1 Investigative Case Files. Case files developed during

investigations of known or alleged fraud and abuse, and
irregularities and violations of laws and regulations,
EXCLUDING those that result in national media attention,
Congressional investigation, or substantive changes in
agency policy or procedure. Cases related to FEMA
personnel and programs and operations administered or
financed by FEMA, including contractors and others having
a relationship with FEMA. This includes investigative files
relating to employee and hotline complaints, and other
miscellaneous complaint files. Files consist of investigative
reports and related documents, such as correspondence,
notes, attachments, and working papers.

AUD-1-1 Files containing information or allegations which are of an Destroy when 5 years old. N1-311-99-6
investigative nature but do not relate to a specific
investigation. They include anonymous vague allegations
not warranting an investigation, matters referred to
constituents or other agencies for handling, and support
files providing general information which may prove useful
in Inspector General investigations.

AUD-1-2 All other investigative case files except those that are Place in inactive files when case is N1-311-99-6
unusually significant for documenting major violations of closed. Cut off inactive file at end of
criminal law or ethical standards by agency officials or fiscal year. Destroy 10 years after
others. cutoff.

60
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AUD-1-3 Significant investigative case files. Investigative case files PERMANENT. Cut off file when case N1-311-99-6
that involve allegations made against senior agency is closed. Retire to FRC 5 years after
officials; attract significant attention in the media, either at cutoff. Transfer to the National
local or national level; attract congressional attention; Archive 20 years after cutoff.
result in substantive changes in agency policies and
procedures; or are cited in the OIG's periodic reports to
Congress.

AUD-1-4 Electronic Mail and Word Processing System Copies of

Investigative Case Files. Electronic copies of records that
are created on electronic mail and word processing systems
and used solely to generate a recordkeeping copy of the
records covered by the other items in this schedule item.
Also includes electronic copies of records created on
electronic mail and work processing systems that are
maintained for updating, revision, or dissemination.

AUD-1-4-1 Copies that have no further administrative value after the Destroy/delete within 180 days after N1-311-99-6
recordkeeping copy is made. Includes copies maintained the recordkeeping copy has been
by individuals in personal files, personal electronic mail produced.
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that
are used only to produce the recordkeeping copy.

AUD-1-4-2 Copies used for dissemination, revision, or updating that Destroy/delete when dissemination, N1-311-99-6
are maintained in addition to the recordkeeping copy. revision, or updating is completed.

61
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AUD-2 Audit Case Files.

AUD-2-1 Working papers files of internal and external audits of Cut off at end of fiscal year in which N1-311-99-6
FEMA programs, operations, and procedures, and of audit report is issued. Destroy 8
external audits of contractors and grantees, containing years after cutoff.
audit reports, correspondence, memoranda, and supporting
working papers.

AUD-2-2 Final reports of internal and external audits of FEMA PERMANENT. Cut off at the end of N1-311-99-6
programs, operations, and procedures. fiscal year in which report is issued.
Retire to the FRC 2 years after cutoff.
Transfer to National Archives 20
years after cutoff.
AUD-2-3 Electronic Mail and Word Processing System Copies of
Audit Case Files. Electronic copies of records that are
created on electronic mail and word processing systems
and used solely to generate a recordkeeping copy of the
records covered by the other items in this schedule. Also
includes electronic copies of records created on electronic
mail and work processing systems that are maintained for
updating, revision, or dissemination.
AUD-2-3-1 Destroy/delete within 180 days after N1-311-99-6
Copies that have no further administrative value after the the recordkeeping coy has been
recordkeeping copy is made. Includes copies maintained produced.
by individuals in personal files, personal electronic mail
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that
are used only to produce the recordkeeping copy.

AUD-2-3-2 Copies used for dissemination, revision, or updating that Destroy/delete when dissemination, N1-311-99-6
are maintained in addition to the recordkeeping copy revision, or updating is completed.
(which is kept under AUD-2-1).

62
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AUD-3 Internal Controls System Files. Records created in

accordance with procedures mandated by OMB Circular
A-123, Internal Controls Systems, and PL 97-255, the
Federal Managers' Financial Integrity Act. Under these
authorities, agencies are required to perform evaluations of
their accounting and administrative controls to prevent
waste, fraud, and mismanagement.
AUD-3-1 Cut off at end of calendar year. N1-311-86-1
Correspondence, memoranda, reports, analyses, and Destroy 5 years after cutoff or after 1A3
submissions to OMB in support of OMB Circular A-123, program office or agency Inspector
inspections, and other regulations to curb fraud, waste, General completes review, whichever
and abuse. is sooner.

AUD-3-2 Policy, procedure, and guidance files. Copies of internal Destroy when superseded. GRS 16, 14a
directives maintained by the agency's internal control staff
(but not those copies maintained in the agency's office file
of internal directives); external directives such as OMB
circular A-123; and correspondence outlining policy and
procedure for performing management reviews.

AUD-3-3 Management Control Plans. Comprehensive plans Destroy when superseded. GRS 16, 14b
documenting the agency's efforts to ensure compliance with
OMB Circular A-123.

AUD-3-4 Risk Analyses. Reports and supporting material used to Cut off closed file annually. Destroy GRS 16, 14c
document review of program areas for susceptibility to loss after next review cycle.
or unauthorized use of resources, errors in reports and
information, and illegal and unethical action.

AUD-3-5 Annual reports and assurance statements created by Cut off closed files annually. Destroy GRS 16, 14d
organizational components below the agency's level, and after next reporting cycle.
compiled by the agency into a single unified report for
direct submission to the President or Congress.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

NOTE: This item does not cover the consolidated final reports submitted directly to the President or Congress. The final reports must be
individually scheduled for disposition. Contact your FEMA Records Officer or Regional Records Liaison Officer, as appropriate.

AUD-3-6 Tracking Files. Files used to ensure the completion and Destroy 1 year after report is GRS 16, 14e
timeliness of submission of feeder reports, including completed.
schedules and evaluations, interim reporting, lists of units
required to reports, and correspondence relating to the
performance of the reviews.

AUD-3-7 Review Files. Correspondence, reports, action copies of (For disposition instructions, see the
audit findings, and other records that identify program subcategories listed on the next page.)
internal control weaknesses, and corrective actions taken
to resolve such problems. Since A-123 provides for
alternative internal control reviews under OMB Circular
A-76, A-127, or A-130, this item also applies to copies of
these reviews, provided they are identified as alternative
reviews in the management control plan.

AUD-3-7-1 Office with responsibility for coordinating Internal Control Cut off when no further corrective GRS 16, 14f(1)
functions. action is necessary. Destroy 5 years
after cut off.

AUD-3-7-2 Copies maintained by other offices as internal reviews. Cut off when no further corrective GRS 16, 14f(2)
action is necessary. Destroy 1 year
after cutoff.

NOTE: Alternative reviews such as computer security reviews and management and consultant studies may need to be kept longer than
provided in item AUD-3-7-2. This item applies only to copies maintained as internal reviews.

64
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AUD-3-8 Electronic Mail and Word Processing System Copies of

Internal Control Records. Electronic copies of records that
are created on electronic mail and word processing systems
and used solely to generate a recordkeeping copy of the
records covered by the other items in this schedule. Also
includes electronic copies of records created on electronic
mail and word processing systems that are maintained for
updating, revision, or dissemination.
AUD-3-8-1 Destroy/delete within 180 days after GRS 16, 15a
Copies that have no further administrative value after the the recordkeeping copy has been
recordkeeping copy is made. Includes copies maintained produced.
by individuals in personal files, personal electronic mail
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that
are used only to produce the recordkeeping copy.

AUD-3-8-2 Copies used for dissemination, revision, or updating that Destroy/delete when dissemination, GRS 16, 15b
are maintained in addition to the recordkeeping copy. revision, or updating is completed.

65
 FEMA Manual 5400.2 February 29, 2000

5-4. Audiovisual (AVL).

This schedule covers audiovisual and related records created by or for FEMA, as well as those acquired in the course of business.
Audiovisual records include still and motion picture photography, graphic materials, and sound and video recordings. Related
documentation includes the following:

a. Production files or other files documenting the creation, justification, ownership, and rights to the records, and

b. Documentation used to identify or access the records.

The word "DESTROY" is used to authorize the destruction of data or information. Erasable media such as audio tapes should be
reused whenever practical. Silver-bearing photographic film must be destroyed in accordance with 41 CFR 45.10, "Recovery of
Precious Metals and Strategic Critical Materials."

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AVL-1 Routine Still Photography. Photographs of routine award Destroy when 1 year old. GRS 21, 1
ceremonies, social events, and activities not related to the
mission of FEMA.

AVL-2 Personal Identification or Passport Photographs. Destroy when 5 years old or when GRS 21, 2
superseded or obsolete, whichever is
later.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AVL-3 Official Portrait Photographs.

AVL-3-1 Portrait photographs of FEMA officials at the Associate PERMANENT. Transfer captioned N1-311-86-1
Director level and above. Arrange alphabetically by photographic print and negative, 1C1a
name. indexed by name and title of
individual and date of photograph,
directly to the National Archives 1
year after each Presidential
Inauguration (January 20). Transfer
all additional information regarding
the photograph, e.g., the name of
photographer or source and any
copyright restrictions, with the
records.

AVL-3-2 Portrait photographs of FEMA Advisory Board members. PERMANENT. Transfer captioned N1-311-86-1
Arrange alphabetically by name. photographic print and negative, 5A2a
indexed by name and title of
individual and date of photograph,
directly to the National Archives 1
year after each Presidential
Inauguration (January 20). Transfer
all additional information regarding
the photograph, e.g., the name of
photographer or source and any
copyright restrictions, with the
records.

67
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AVL-4 Mission Activities Photographs. Black and white, and PERMANENT. Cut off every 5 years. N1-311-86-1
color photographs and slides of FEMA mission activities Transfer captioned photographic or 1C1b
as they relate to shelters, evacuations, protection from slide and negative, indexed by
the effects of radioactive fallout, emergency operating subject and date, directly to the
centers (EOC's), FRC's, training, and nuclear tests, as National Archives after cutoff.
well as publicly released photographs on specific selected Transfer all additional information
atmosphere nuclear tests, i.e. Operations Doorstep, Ivy, regarding the photograph, e.g., the
and Plum, with significant public affairs importance. name of photographer or source and
Arrange alphabetically by subject or emergency any copyright restrictions, with the
management function. records.

AVL-5 Training Activity Photographs. Internal personnel and Destroy 1 year after completion of GRS 21, 3
administrative training filmstrips and slides of programs training program.
that do not reflect the mission of FEMA.

AVL-6 Category withdrawn by NARA December 1998. Reserved

for future use.

GRAPHIC ARTS

AVL-7 Viewgraphs. Destroy 1 year after use. GRS 21, 5

AVL-8 Routine Artwork. Routine artwork for handbills, flyers, Destroy when no longer needed for GRS 21, 6
posters, letterhead, and other graphics. publication or reprinting.

AVL-9 Photo-Mechanical Reproduction Material. Line and half- Destroy when no longer needed for GRS 21, 7
tome negatives, screened paper prints, and offset publication or reprinting.
lithographic plates used for photo-mechanical
reproduction.

68
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AVL-10 Line Copies. Line copies of graphs and charts. Destroy when no longer needed for GRS 21, 8
publication or reprinting.

MOTION PICTURES

AVL-11 Training Films. Films acquired from outside sources for Destroy 1 year after completion of GRS 21, 9
personnel and management training. training program.

AVL-12 Category withdrawn by NARA December 1998. Reserved

for future use.

AVL-13 Routine Surveillance Footage. Destroy when 6 months old. GRS 21, 11

AVL-14 Routine Scientific, Medical, or Engineering Footage. Destroy when 2 years old. GRS 21, 12

AVL-15 Category withdrawn by NARA December 1998. Reserved

for future use.

AVL-16 Motion Pictures for Public Distribution. FEMA-sponsored PERMANENT. Transfer original N1-311-86-1
or acquired motion pictures intended for public preprint (negative, master, and A&B 1C3
distribution. These include public awareness safety rolls, and soundtrack), and a
information titles distributed via the National Audiovisual projection print directly to the
Center and the Army Training and Support Centers. National Archives in 5 year blocks
Arrange chronologically. when 5 years old.

VIDEO RECORDINGS

69
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AVL-17 Video Productions Intended for Public Distribution. PERMANENT. Transfer original or N1-311-86-1
FEMA-sponsored or acquired video productions intended earliest generation and a dub, if one 1C2a
for public distribution. These include public awareness exists, directly to the National
safety information titles distributed via the National Archives in 5 year blocks when 5
Audiovisual Center and the Army Training and Support years old.
Centers. Arrange chronologically.

AVL-18 Official Video Recordings of FEMA Officials. Original PERMANENT. Transfer original or N1-311-86-1
video recordings of speeches, teleconferences, earliest generation and a dub, if one 1C2b
conferences, and testimony of FEMA officials before exists, directly to the National
Congress and other deliberative bodies. Arrange Archives in 5 year blocks when 5
chronologically. years old.

AVL-19 Training Videotapes. Programs acquired from outside Destroy 1 year after completion of GRS 21, 14
sources for personnel and management training. training program.

AVL-20 Category withdrawn by NARA December 1998. Reserved

for future use.

AVL-21 Rehearsal or Practice Videotapes. Destroy immediately. GRS 21, 16

AVL-22 Internal Training Videotapes. Internal personnel and Destroy 1 year after completion of GRS 21, 17
administrative training programs that do not reflect the training program.
mission of the agency (these include role-play sessions,
management, and supervisory instruction, etc.)

AVL-23 Routine Surveillance Video Recordings. Destroy when 6 months old. GRS 21, 18

AVL-24 Routine Scientific, Medical, or Engineering Video Destroy when 2 years old or when GRS 21, 19
Recordings. no longer needed.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AVL-25 Routine Event Video Recordings. Records that document Destroy when 2 years old. GRS 21, 20
routine meetings and award presentations.

AVL-26 Category withdrawn by NARA December 1998. Reserved

for future use.

AUDIO RECORDINGS

AVL-27 Official FEMA Audio Recordings. Audio cassettes of PERMANENT. Transfer original or N1-311-86-1
FEMA activities including speeches, press conferences, earliest generation and a dub, if one 1C4
broadcast spots, and special emergency management exists, directly to National Archives
feeds to broadcasters. Arrange chronologically. in 5 year blocks when 5 years old.

AVL-28 Audio Recordings of Meetings. Recordings of meetings Destroy immediately after use. GRS 21, 22
made exclusively for note taking or transcription,
EXCLUDING recordings of proceedings of Presidential
commissions and other executive commissions.

AVL-29 Dictation Belts or Tapes. Destroy immediately after use. GRS 21, 23

AVL-30 Premix Sound Elements. Premix sound elements created Destroy immediately after use. GRS 21, 24
during the course of a motion picture, television, or radio
production.

AVL-31 Category withdrawn by NARA December 1998. Reserved

for future use.

AVL-32 News Recordings. Daily or spot news recordings available Destroy when 6 months old. GRS 21, 26
to local radio stations on a call-in basis.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

AVL-33 Category withdrawn by NARA December 1998. Reserved

for future use.

RELATED DOCUMENTATION

AVL-34 Production Files. Production files or similar files that Dispose of according to the GRS 21, 28
document origin, development, acquisition, use, and instructions covering the related
ownership of temporary audiovisual records. audiovisual records.

AVL-35 Finding Aids. Finding aids for identification, retrieval, or Dispose of according to the GRS 21, 29
use of temporary audiovisual records. instructions covering the related
audiovisual records.

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5-5. Budget (BUD).

a. This schedule covers budget and apportionment records and includes the various files accumulated in FEMA in the course of
formulating its budget for submission to OMB and to the Congress; in defending its requests for both bodies; and after enactment of
an appropriation bill, in ensuring that the funds are used in such a way as to suffice for the appropriate period of time.

b. FEMA budget records are normally created at all levels of the organization. They contain proposals from all operating levels
as well as agency-wide coordinating work done by the Financial Planning and Analysis Division, Office of Financial Management
(FM-PA).

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

BUD-1 Budget Correspondence Files. Correspondence files in FM-PA Destroy when 2 years old. GRS 5, 1
pertaining to routine administration, internal procedures,
and other matters not covered elsewhere in this schedule,
EXCLUDING files relating to FEMA policy and procedure
maintained in FM-PA.

BUD-2 Budget Background Records. Cost statements, rough data, Destroy 1 year after the close of the GRS 5, 2
and similar materials accumulated in the preparation of fiscal year covered by the budget.
annual budget estimates, including duplicates of budget
estimates and justifications and related appropriation
language sheets, narrative statements, and related
schedules; and originating offices' copies of reports submitted
to the Chief Financial Officer.

BUD-3 Budget Reports Files. Periodic reports on the status of

appropriation accounts and apportionment.

BUD-3-1 Annual report (end of fiscal year). Destroy when 5 years old. GRS 5, 3a

BUD-3-2 All other reports. Destroy 3 years after the end of the GRS 5, 3b
fiscal year.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

BUD-4 Budget Apportionment Files. Apportionment and Destroy 2 years after the close of the GRS 5, 4
reapportionment schedules, proposing quarterly obligations fiscal year.
under each authorized appropriation.

BUD-5 Budget Policy Files. Correspondence or subject files in FM- PERMANENT. Cut off at close of PENDING
PA documenting FEMA policy and procedures governing fiscal year. Retire to FRC 2 years FROM NARA
budget administration, and reflecting policy decisions after cutoff. Transfer to National
affecting expenditures for FEMA programs. Archives in 5-year blocks 20 years
after cutoff.

BUD-6 Budget Estimates and Justification Files. Copies of budget PERMANENT. Cut off at close of PENDING
estimates and justification prepared by the Chief Financial fiscal year. Retire to FRC 2 years FROM NARA
Officer. Included are appropriation language sheets, after cutoff. Transfer to National
narrative statements, and related schedules and data. Archives in 5-year blocks 20 years
after cutoff.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

BUD-7 Electronic Mail and Word Processing System Copies of

Budget Records. Electronic copies of records that are created
on electronic mail and word processing systems and used
solely to generate a recordkeeping copy of the records covered
by the other items in this schedule. Also includes electronic
copies of records created on electronic mail and word
processing systems that are maintained for updating,
revision, or dissemination.
BUD-7-1 Destroy/delete within 180 days after GRS 5, 5a for
Copies that have no further administrative value after the the recordkeeping copy has been those items
recordkeeping copy is made. Includes copies maintained by produced. covered by
individuals in personal files, personal electronic mail GRS 5;
directories, or other personal directorates on hard disk or disposition
network drives, and copies on shared network drives that are PENDING
used only to produce the recordkeeping copy. APPROVAL
FROM NARA
for BUD-5 and
BUD-6

BUD-7-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 5, 5b for
maintained in addition to the recordkeeping copy. revision, or updating is completed. those items
covered by
GRS 5;
disposition
PENDING
APPROVAL
FROM NARA
for BUD-5 and
BUD-6

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 FEMA Manual 5400.2 February 29, 2000

5-6. Cartographic, Aerial Photographic, Architectural, and Engineering Records (CAE).

This schedule relates to cartographic records prepared during intermediate stages of publication, unannotated aerial photographic
negatives and prints, and architectural and engineering drawings.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CAE-1 Cartographic Records Prepared During Intermediate Stages Destroy when no longer needed for GRS 17, 1
of Publication. Scribed plastic sheets; color separation revision.
sheets; composites prepared as a step in the making of color
separation sheets; photographic negatives; glass plate
negatives; enlargements or reductions; color pulls, proof
copies subject to final revision, correction file maps
annotated to shoe corrections to be incorporated in the next
edition of the published map; and similar items whose
informational content is duplicated by the final published
map.

CAE-2 Category withdrawn by NARA December 1998. Reserved for

future use.

CAE-3 Architectural Drawings of Temporary Structures and Destroy when superseded or after GRS 17, 3
Buildings or of Buildings not Critical to the Mission of FEMA. the structure or object has been
Drawings of structures and buildings such as telephone and retired from service.
electric lines, storage sheds, parking lots, and comfort
stations.

CAE-4 Drawings of Electrical, Plumbing, Heating, or Air Destroy when superseded or after GRS 17, 4
Conditioning Systems. the structure or object has been
retired from service.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CAE-5 Contract Negotiation Drawings. Drawings prepared during Destroy when the final working/as- GRS 17, 5
contract negotiation for buildings or objects lacking built drawings have been produced.
historical, architectural, or technological significance;
drawings related to electrical, plumbing, heating, air
conditioning projects; or drawings superseded by final
working/as built drawings.

CAE-6 Space Assignment Plans. Outline floor plans indicating Destroy when superseded or after GRS 17, 6
occupancy of a building. the structure or object has been
retired from service.

CAE-7 Category withdrawn by NARA December 1998. Reserved for

future use.

CAE-8 Engineering Drawings of Routine Minor Parts. Drawings of Destroy when superseded or after GRS 17, 8
such objects as fasteners, nuts, bolts, wires, screws, nails, the structure or object has been
pipe fittings, brackets, struts, plates, and beams, if retired from service.
maintained separately or if segregatable from a larger file.

CAE-9 Drawings Reflecting Minor Modifications. Repetitive Destroy when superseded or after GRS 17, 9
engineering drawings showing minor modifications made the structure or object has been
during research and development, and superseded by final retired from service.
drawings, if filed separately or if readily segregatable from a
larger file.

CAE-10 Paint Plans and Samples. Plans and paint samples for Destroy when superseded or after GRS 17, 10
painting all areas of buildings lacking historical, the structure or object has been
architectural, or technological significance, and plans and retired from service.
samples for paintings appliances, elevators, and other
mechanical parts of all buildings.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

NOTE: Paint plans and samples for the interior and exterior walls of buildings that are significant for historical, architectural, or
technological reasons, are NOT authorized for disposal under CAE-10, and must be scheduled for disposition on a case-by-case
basis. Contact the Records Management Branch for assistance.

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 FEMA Manual 5400.2 February 29, 2000

5-7. Comprehensive Cooperative Agreement (CCA).

FEMA assistance to the states for emergency preparedness purposes is provided through CCA's. A CCA is a single application,
reporting, and funding procedure whereby this agreement can include all assistance for a state program upon eligibility. FEMA-
supported preparedness activities in the states are therefore accounted for and funded through the CCA. All CCA's are awarded and
administered through FEMA regional offices. Even though some CCA's have remained in place, the CCA Program was replaced by
the Performance Partnership Agreements (PPA's) and the Cooperative Agreements (CA's) in 1993. File categories for those will be
found in the Liaison (LIA) file schedule after proper internal FEMA coordination.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CCA-1 Master Copies of CCA's. Arrange alphabetically by PERMANENT. Cut off when CCA is N1-311-86-1
State. superseded. Retire to FRC 3 years after 4B19a
cutoff. Transfer to National Archives in
5-year blocks 20 years after cutoff.

CCA-2 CCA Correspondence Files. Correspondence and/or Destroy when no longer needed. N1-311-86-1
subject files including memoranda, studies, reports, 1B19b
and other records relating to the development and
establishment of the program, its policies and basic
procedures, and the management and evaluation of
the CCA program records maintained in
headquarters.

CCA-3 CCA Financial Records. Financial records, Destroy 6 years 3 months after date of final N1-311-86-1
supporting documents, statistical records, settlement or of submission of final financial 4B19c
applications, general correspondence, and all other status report, whichever is applicable.
records pertinent to an assistance program EXCEPT
those covered by CCA-4 and CCA-5.

CCA-4 CCA Nonexpendable Property. Records for Destroy 6 years 3 months after final N1-311-86-1
nonexpendable property acquired with assistance distribution of property or after audit funding 4B19d
funds. has been resolved, whichever is later.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CCA-5 CCA Legal Files. Records relating to appeals, Destroy when case is resolved. N1-311-86-1
litigation, claims, or exceptions. 4B19e

CCA-6 Computerized Activities Results Lists (CARL) Files.

For each program supported by the CCA, the states
develop a Computerized Activities Results List (CARL)
using a personal computer. States transmit the
floppy diskette containing the information to the
regional office to be used for CCA negotiations.

CCA-6-1 Regional office copy. Transfer to FEMA headquarters after N1-311-88-1

approval.

CCA-6-2 Headquarters copy. Delete/destroy when 6 years and 3 months N1-311-88-1

old.

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5-8. Committees, Meetings, and Conferences (CMC).

This schedule covers:

a. Minutes of internal board meetings, meeting arrangements, NDER conferences, and committee records.

b. Records created to comply with the provisions of the Government in regard to the Sunshine Act, including transcriptions and
minutes of closed meetings, electronic recordings for which verbatim transcripts do not exist, and annual reports to Congress
describing FEMA's compliance with the Act, are permanent records.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CMC-1 Minutes of the FEMA Advisory Board.

CMC-1-1 Official minutes of the Board. Verbatim transcripts and PERMANENT. Cut off at end of N1-311-86-1
synopses for FEMA advisory Board meetings. Arranged calendar year. Transfer directly to 5A1a
chronologically. National Archives in 5 year blocks
20 years after cutoff.

CMC-1-2 Minutes of Board Panels. Verbatim transcripts and synopses PERMANENT. Cut off at end of N1-311-86-1
of meeting of FEMA Advisory Board panels (consisting of calendar year. Transfer directly to 5A1b
three to five members each) on continuity of government, National Archives in 5 year blocks
consequences of terrorism, industrial preparedness, civil 20 years after cutoff.
defense, and other emergency management topics. Arrange
chronologically.

CMC-2 Board of Visitor (BOV) Files. National Fire Academy and

Emergency Management Institute BOV files consisting of (For disposition instructions, see
approved minutes of officially scheduled meetings (usually sub-categories.)
quarterly), notes, drafts, and working papers.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CMC-2-1 Minutes of meetings. PERMANENT. Cut off at end of N1-311-90-1

calendar year. Retire to FRC in 5-
year blocks when 5 years old.
Transfer to National Archives in 5-
year blocks when 20 years old.

CMC-2-2 Working papers. Cut off at end of calendar year. N1-311-90-1

Destroy 5 years after cutoff.

CMC-3 Arrangement Files. Records relating to meetings, Destroy when 1 year old. N1-311-86-1
arrangements, invitations, accommodations, authority to 1K10
attend, workpapers, acceptances, and regrets.

CMC-4 Committee and Conference Files.

CMC-4-1 Records relating to establishment, organization, membership, Destroy 2 years after termination of GRS 16, 8a
and policy of internal committees. committee.

CMC-4-2 Records created by internal committees.

CMC-4-2-1 Agenda, minutes, final reports, and related records Destroy when 3 years old or when GRS 16, 8b(1)
documenting the accomplishments of official boards and no longer needed for reference,
committees, EXCLUDING those maintained by the sponsor, whichever is sooner.
or Secretariat.

NOTE: Records maintained by the sponsor or Secretariat are

potentially permanent and must be scheduled separately.
Contact the Records Management Branch for assistance.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CMC-4-2-2 All other internal committee records. Destroy when 3 years old or when GRS 16, 8b(2)
no longer needed for reference,
whichever is sooner.

CMC-4-3 Records maintained by agency committee management Destroy 5 years after termination of GRS 16, 8c
officers for committees established under the Federal committee.
Advisory Committee Act, including copies of charters,
membership lists, agendas, policy statements, and material
required to be available for public information.

NOTE: Records created to comply with the provisions of the

Government in the Sunshine Act, including
transcriptions and minutes of closed meetings, electronic
recordings for which verbatim transcripts do not exist,
and annual reports to Congress describing the agency's
compliance with the Act, are permanent records.
Contact the Records Management Branch for assistance.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CMC-4-4 Electronic Mail and Word Processing System Copies of

Internal Committee Records. Electronic copies of records
that are created on electronic mail and word processing
systems and used solely to generate a recordkeeping copy of
the records covered by the other items in this schedule. Also
includes electronic copies of records created on electronic
mail and word processing systems that are maintained for
updating, revision, or dissemination.
Destroy/delete within 180 days after
CMC-4-4-1 Copies that have no further administrative value after the the recordkeeping copy has been GRS 16, 15a
recordkeeping copy is made. Includes copies maintained by produced.
individuals in personal files, personal electronic mail
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that are
used only to produce the recordkeeping copy.

CMC-4-4-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 16, 15b
maintained in addition to the recordkeeping copy. revision, or updating is completed.

CMC-5 External Committees and Conference Files.

CMC-5-1 Records relating to establishment, organization, membership, PERMANENT. Cut off at N1-311-97-2
and policy of external committees. These committees are termination of committee. Transfer
sponsored by FEMA, but have a membership including to FRC 2 years after cutoff. Transfer
representatives from other Federal agencies, States, local to the National Archives 20 years
governments, and/or public citizens. Organize by committee. after cutoff.

CMC-5-2 Agenda, minutes, final reports, and related records PERMANENT. Cut off at end of N1-311-97-2
documenting the accomplishments of FEMA-sponsored calendar year. Transfer to FRC 2
committees and conferences. years after cutoff. Transfer to
National Archives in 5-year blocks
20 years after cutoff.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CMC-5-3 Records of external committees and conferences that FEMA Cut off at end of calendar year. N1-311-97-2
does not sponsor, but does have membership and voting Destroy 10 years after cutoff.
rights/responsibilities.

CMC-5-4 Records of external committees and conferences that FEMA Cut off at end of calendar year. N1-311-97-2
does not sponsor, but sends representatives for information Destroy when 3 years old.
gathering purposes only (no voting rights/responsibilities).

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5-9. Continuity of Government (COG) Program.

This schedule covers the broad spectrum of Continuity of Government (COG) records.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

COG-1 Development and Planning Files. Documents relating to the PERMANENT. Cut off at end of N1-311-86-1
development and planning of concepts and programs relating calendar year. Transfer directly to 5D1
to the policies and systems design and operation of National Archives 20 years after
Continuity of Government systems. Arrange by subject. cutoff.

COG-2 Project and Policy Files. Correspondence containing basic PERMANENT. Cut off at end of N1-311-86-1
documentation on systems requirements, standard operating calendar year. Transfer directly to 5F9
procedures, operations plans, and plans related to the COG National Archives 20 years after
program. Arrange alphabetically by subject. cutoff.

COG-3 Continuity Of Government Operation and Briefing Files. Destroy when superseded, obsolete, N1-311-86-1
Charts, slides, viewgraph, and videotapes for briefing the 15 or when no longer needed. 5E6
incoming successors to the President of the United States as
listed in the 25th Amendment and 3 USC 19.

COG-4 Coordination Files. Documents relating to the coordination Destroy when superseded or N1-311-86-1
of COG plans and programs with other Federal departments obsolete. 5D2
and agencies.

COG-5 Interagency, Working Group, and Task Force Files. Destroy when no longer needed. N1-311-86-1
Correspondence, memoranda, and reports prepared in 5F2
association with Continuity of Government interest in such
activities (previously the National Preparedness Directorate).

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

COG-6 Operational Response Procedures (ORP) Files. Interagency Destroy when superseded or N1-311-86-1
working papers and formal documents with NRC and other obsolete. 5F4
Federal departments and agencies on civil emergency
response activities between each agency.

COG-7 Federal Response Plan Files. Working papers which pertain Destroy when superseded or N1-311-86-1
to special event activities in coordination with other Federal obsolete. 5F5
agencies.

COG-8 Federal Preparedness Guidance Document Files. Destroy when no longer needed. N1-311-86-1
Background papers on department/agency comments on the 5D3
development of Federal preparedness guidance documents.

COG-9 Federal Agency Emergency Plan Files. Documents created in Destroy when superseded, obsolete, N1-311-86-1
coordinating the review of other Federal agencies and their or no longer needed. 1K17
field establishments in conforming with national and regional
emergency operating plans, guidance operations, and
programs including relocation space requirements.

COG-10 Federal Resource Assessment System (FRAS) Files.

COG-10-1 Files consisting of minutes of meetings or correspondence Destroy when superseded or N1-311-86-1
among participating agencies and interested parties to review obsolete. 5D6a
Federal preparedness programs.

COG-10-2 FRAS technical information. Destroy when superseded or N1-311-86-1

obsolete. 5D6b

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

COG-11 Executive Order 12656 Files. Files consisting of Destroy when superseded or N1-311-86-1
departmental and agency comments on proposed draft of obsolete. 5D4
amendments to Federal emergency management executive
orders.

COG-12 National Security Document Files. Reference documents Destroy when superseded, obsolete, N1-311-86-1
produced by FEMA or the Joint Chiefs of Staff. or no longer needed for reference. 5F12

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 FEMA Manual 5400.2 February 29, 2000

6-10. Civil Defense (CVD).

This schedule covers those records relating to Civil Defense matters not included elsewhere in this manual.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CVD-1 Civil Defense Systems Files. Documents relating to various Destroy when superseded or N1-311-86-1
systems used in support of civil defense. obsolete. 4B2

CVD-2 Population Protection Data Files. Engineering data gathered Destroy when superseded or N1-311-86-1
by FEMA regional staff, contractors, or State preparedness obsolete. 4B17
staff providing information pertaining to the suitability of a
particular geographical area.

CVD-3 Emergency Management Assistance (EMA) Program Files. Cut off at end of fiscal year. Retire N1-311-86-1
Documents related to State eligibility and applications for to FRC 3 years after cutoff. Destroy 4B25
funds: staffing patterns, annual submissions, statements of 6 years after cutoff.
work, reporting documents on State and local expenditures,
and fourth-quarter performance reports.

CVD-4 State and Local Government Emergency Plan Files. Destroy when superseded or N1-311-86-1
Documents created in coordinating the review of State and obsolete. 4B26
local government emergency operating plans including the
plans themselves.

CVD-5 FEMA Multiyear Civil Defense Working Files. Files Destroy when no longer needed. N1-311-86-1
containing background and current information on the 5B1
multiyear plan.

CVD-6 National Security Council Studies. Copies of classified Destroy when no longer needed. N1-311-86-1
studies and research reports conducted and prepared by the 5B2
National Security Council on civil defense.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CVD-7 Research Reports Indexes. Bibliographies, lists, and indexes Destroy when superseded or N1-311-86-1
of other agencies or contractor reports on civil defense. obsolete. 5B3

CVD-8 Capability and Hazard Identification Program (CHIP). A

database which contains information on the hazards
jurisdictions are susceptible to, the estimated frequency of
occurrence, and capabilities jurisdictions have to deal with
emergencies.
CVD-8-1 PERMANENT. Transfer annual N1-311-92-6
Annual database update. database update with 1
documentation and electronic data
dictionary to the National Archives.

CVD-8-2 Outputs (excluding CVD-8-1) including both textual and Destroy when no longer needed. N1-311-92-6
electronic. 2

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5-11. Disaster Assistance Programs (DAP).

This schedule covers records pertaining to disaster assistance under provisions of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act, Public Law 93-288, as amended.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

DAP-1 Presidentially Declared Major Disaster and Emergency Files.

DAP-1-1 Headquarters Disaster Files. Presidential declarations, with PERMANENT. Cut off when N1-311-86-1
supplements, designating major disasters and emergencies termination memorandum is 4C1a
authorizing the expenditure of disaster relief funds, approved. Retire to FRC 1 year after
FEMA/State agreements, citations for publications in the cutoff. Transfer to National Archives
Federal Register, correspondence, memoranda, and in 5-year blocks 20 years after cutoff.
termination memoranda. Arrange chronologically by date of
declaration and thereunder alphabetically by State.

NOTE: The final update of FEMA disaster funding list is

maintained by the Chief Financial Officer.

DAP-1-2 Regional Disaster Files. Copies of Presidential declarations Destroy when termination N1-311-86-1
with supplements, FEMA/State agreements, and related memorandum is approved. 4C1b
records.

DAP-2 Undeclared Natural Disaster Case Files. Requests for

assistance, turndown correspondence, and related records
on natural disasters in which assistance was requested by a
disaster was not declared under Public Law.

DAP-2-1 Headquarters files. Cut off when request is turned down. N1-311-86-1
Retire to FRC 2 years after cutoff. 4C2a
Destroy 6 years after cutoff.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

DAP-2-2 Regional office files. Cut off when request is turned down. N1-311-86-1
Destroy 2 years after cutoff. 4C2b

DAP-3 Incident Case Files. Case files on incidents in which no Destroy 2 years after close of case. N1-311-86-1
assistance was requested and no declaration was made 4C3
under PL 93-288, including correspondence, memoranda,
and related records.

DAP-4 Public Assistance Files. Project Application (PA) files (PL 93-
288 and FEMA regulations and handbooks).

DAP-4-1 Headquarters and Regional Files. Individual PA's (original Cut off when final audit and applicant N1-311-89-5
copy of PA form and applicant funding documents appeals are resolved and completed.
maintained by the Chief Financial Officer) identified by Retire to FRC 1 year after cutoff.
major disaster number and applicant identification number. Destroy 6 years 3 months after cutoff.
Files include project applications, original damage survey
reports, mission assignments, funding documents, project
time extensions, applicant appeals, eligibility
determinations, documents on insurance requirements,
floodplain management, hazard mitigation, policies and
procedures, and related records.

DAP-4-2 Fire Suppression Assistance (FSA) files (PL 93-288,

Section 417; 44 CFR 205, Section G; and FEMA Handbook
DR&R-4).
DAP-4-2-1 Cut off when termination N1-311-86-1
Headquarters Files. Individual FSA's, original copy of PA memorandum is approved. Retire to 4C4b(1)
form, and funding documents maintained by the Chief FRC 1 year after cutoff. Destroy
Financial Officer including continuing FEMA-State fire 6 years 3 months after cutoff.
suppression agreement, FEMA determinations authorizing
or denying FSA assistance, and general fire suppression
assistant correspondence.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

DAP-4-2-2 Regional Office Files. Original copy of DSR with backup Cut off when termination N1-311-86-1
records. memorandum is approved. Retire to 4C4b(2)
FRC 1 year after cutoff. Destroy
6 years 3 months after cutoff.

DAP-4-3 Community Disaster Loan (CDL) files (PL 93-288), Cut off when termination N1-311-86-1
Section 414; 44 CFR 205, Subpart F; and FEMA Handbook memorandum is approved. Retire to 4C4c
(CR&R-5). Individual CDL's (original copies of CDP FRC 1 year after cutoff. Destroy
promissory notes and funding documents maintained by the 6 years 3 months after cutoff.
Chief Financial Officer) identified by major disaster and
applicant ID number. Files include approved community
disaster loans, denials of loan applications requests, Federal
Community disaster loan correspondence, and applications
for loan cancellation.

DAP-4-4 Mitigation Assistance Files (PL 93-288, Section 406). Files Cutoff when termination N1-311-86-1
include hazard mitigation procedures, reports, and related memorandum is approved. Retire to 4C4d
records. FRC 1 year after cutoff. Destroy 6
years 3 months after cutoff.

DAP-5 State Assistance Program Files. Applications, appraisals, Cut off at end of calendar year. Retire N1-311-86-1
statements of work, and other project-related documents to to FRC 5 years after cutoff. Destroy 4B20
stimulate State flood plain management activities. 10 years after cutoff.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

DAP-6 Disaster Field Office (DFO) Individual Assistance (IA)

Program Files.

DAP-6-1 General Files. Files maintained in the IA program office Consolidate files at appropriate N1-311-86-1
cover overall administrative management, program, and regional office upon close of DFO. 4C6a
information functions. These files include such items as Retire to FRC 1 year after closeout.
mission assignments and correspondence with State and Destroy 3 years after closeout.
local officials. IA programs include, but are not limited to,
the Disaster Unemployment Assistance Program, Crisis
Counseling Assistance and Training Program, legal services
for low-income disaster victims (through the Young Lawyers
Division of the American Bar Association), the flood plain
management administration.

DAP-6-2 Insurance Coordination Files. Correspondence with Consolidate files at appropriate N1-311-86-1
insurance carriers who hold policies on disaster victims' regional office upon termination of 4C6b
residences (e.g., claims, proofs of loss, and proofs of disaster contract (when all families
purchase). have been relocated to permanent
housing; the audit, if one is made, has
been accepted by both FEMA and the
State; and all monies due have been
received). Retire to FRC 1 year after
termination. Destroy 3 years after
termination.

DAP-6-3 Duplication of Benefits Files. Miscellaneous correspondence Consolidate files at appropriate N1-311-86-1
related to duplicate benefits. regional office upon closeout of DFO. 4C6c
Retire to FRC 1 year after closeout.
Destroy 3 years after closeout.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

DAP-7 Individual and Family Grant (IFG) Program Files. FEMA- Closeout when disaster contract is N1-311-86-1
State agreements, State administrative plan, terminated. Retire to FRC 1 year after 4C7
correspondence, extensions, advances, and other IFG closeout. Destroy 3 years after
program records. closeout.

DAP-8 Headquarters Activity (Disaster Assistance Program -

Individual Assistance (IA) Division) Files.

DAP-8-1 IA Program Files. All IA program files EXCEPT those Retire to inactive storage when 2 years N1-311-86-1
relating to temporary housing and IFG programs. They old. Destroy when 6 years 3 months 4C10a
include other programs such as Disaster Unemployment old.
Assistance (DUA), Crisis Counseling and Training, Legal
Services, Superfund, Flood Plain Management, Duplication
of Benefits, and the Cora Brown Fund.

DAP-8-2 Temporary Housing Files. Copies of computer printouts Destroy 3 years after close of the N1-311-86-1
scoreboards, Federal Coordinating Officer's digests, operation (when database elements 4C10b
correspondence, and related records. have been defined).

DAP-8-3 Mobile Home and Travel Trailer Program Files. Copies of Cut off at end of calendar year. N1-311-86-1
correspondence and procedures, e.g., acquisitions, technical Destroy 6 years and 3 months after 4C10c
standards, and guides; specimen contracts and cutoff.
procurement documents; data on mobile home programs at
disaster sites; and working papers on manuals,
instructions, and other issuances.

DAP-8-4 Files relating to permanent relocations under Superfund PERMANENT. Cut off at conclusion of N1-311-86-1
and purchases of properties under Section 1362. Includes project. Retire to FRC 3 years after 4C10d
headquarters files relating to individual property owners, cutoff. Transfer to National Archives
background data, addresses, value of property, negotiation in 5-year blocks 20 years after cutoff.
records, and related records. Arrange alphabetically by
subject.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

DAP-9 Emergency Management. Emergency Food and Shelter Cut off at end of fiscal year. Destroy GRS 6, 1a
Program Financial Documentation Files. These files, from 6 years and 3 months after cutoff.
participating agencies across the country, document the
basic financial transactions of money received and money
paid in the operation of the program. The records include
invoices, receipts, food and lodging vouchers, internal
schedules, per diem rate schedules, cash register tapes,
utility bills, eviction notices, and canceled checks
EXCLUDING accounts and supporting documents
pertaining to American Indians (see NOTE under ACC-1-1).

DAP-10 Cora Brown Trust Management Fund. These files are kept Cut off when disaster contract is N1-311-86-1
at the regional office and consist of applicant requests, terminated. Retire to FRC 1 year after 4C9
certifications, recommendations, and approvals/denials. cutoff. Destroy 3 years after cutoff.

DAP-11 Federal Coordinating Officer (FCO) Digests. Daily digests for Cut off files at the end of calendar N1-311-86-1
the FEMA Director and other agency officials describing year. Retire to FEMA records holding 5E1
major disaster declaration, accidents, incidents, and other area 1 year after cutoff. Destroy
emergency/crisis situations. 5 years after cutoff.

DAP-12 Situation Summaries. Consecutively numbered notices Destroy when 3 years old. N1-311-86-1
providing dates, locations, contract numbers, and counties 5E3
involved in State major disaster declarations.

DAP-13 Items of Interest Notices. Status summary notices detailing Destroy when 3 years old. N1-311-86-1
the various requests by each State for a major disaster 5E4
declaration as well as other information on major accident
and weather information.

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FEMA Manual 5400.2 February 29, 2000

5-12. Electronic Data Processing (EDP).

This schedule applies to electronic records routinely stored on magnetic media in central data processing facilities or personal
computers, including ones operated for FEMA by contractors. It covers records created by computer operators, programmers,
analysts, and systems administrators in order to store and maintain computer files in such facilities; certain master files, including
some that are components of database management systems; and certain files created from master files for specific purposes. This
schedule also provides disposal authorization for certain electronic records and specified hard-copy (paper) or microform records
that are integrally related to the electronic records.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION ITEM

EDP-1 Files/Records Created in Central ADP Facilities to Create,

Use, and Maintain Master Files.

EDP-1-1 Electronic files or records created solely to test system Delete/destroy when no longer needed GRS 20, 1a
performance such as test records as well as hard copy for administrative, legal, audit, or
printouts of related documentation for the electronic other operational purposes.
files/records.

EDP-1-2 Electronic files or records used to create or update a master Delete after information has been GRS 20, 1b
file, including but not limited to work files, valid transaction transferred to the master file and
files, and intermediate input/output records. verified.

EDP-1-3 Electronic files and hard copy printouts created to monitor Delete/destroy when no longer needed GRS 20, 1c
system usage, including but not limited to log-in files, for administrative, legal, audit, or
password files, system usage files, and cost-back files used other operational purposes.
to access charges for system use.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION ITEM

EDP-2 Input/Source Records.

EDP-2-1 Nonelectronic documents or forms designed and used solely Destroy after the information has been GRS 20, 2a
to create, update, or modify the records in an electronic converted to an electronic medium
medium and not required for audit or legal purposes (such and verified, or when no longer needed
as need for signatures) and not previously scheduled for to support the reconstruction of, or
permanent retention. serve as the back-up to, the master
file, whichever is later.

EDP-2-2 Electronic records, except as noted in EDP-2-3, entered into Delete when data has been entered GRS 20, 2b
the system during an update process, and not required for into the master file or database and
audit and legal purposes. verified, or when no longer required to
support reconstruction of, or serve as
back-up to, a master file or database,
whichever is later.

EDP-2-3 Electronic records received from another agency and used as Delete when data has been entered GRS 20, 2c
input/source records EXCLUDING records produced by into the master file or database and
another agency under the terms of an interagency certified, or when no longer needed to
agreement, or records created by another agency in support reconstruction of, or serve as
response to the specific information needs of FEMA. back-up to, the master file or
database, whichever is later.

EDP-2-4 Computer files or records containing uncalibrated and Delete after the necessary data has GRS 20, 2d
invalidated digital or analog data collected during been incorporated into a master file.
observation or measurement activities or research and
development programs and used as input for a digital
master file or database.

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FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION ITEM

EDP-3 Electronic Versions of Records Scheduled for Disposal.

EDP-3-1 Electronic versions of records that are scheduled for Delete after the expiration of the GRS 20, 3a
disposal under one or more items in ADM, AUD, PER, or retention period authorized for the
SEC, EXCLUDING those that replace or duplicate the disposable hard copy file or when no
following items: PER-23, PER-24, EEO-6, TEL-2, or SEC-6. longer needed, whichever is later.

EDP-3-2 Electronic records that support administrative housekeeping

functions when the records are derived from or replace hard
copy records authorized by NARA for destruction in an
agency-specific records schedule.

EDP-3-2-1 When hard copy records are retained to meet recordkeeping Delete electronic versions when no GRS 20,
requirements. longer needed for administrative, legal, 3b(1)
audit, or other operational purposes.

EDP-3-2-2 When the electronic record replaces hard copy records that Delete after the expiration of the GRS 20,
support administrative housekeeping functions. retention period authorized for the 3b(2)
hard copy file, or when no longer
needed, whichever is later.

EDP-3-2-3 Hardcopy printouts created for short-term administrative Destroy when no longer needed for GRS 20,
purposes. administrative, legal, audit, or other 3b(3)
operational purposes.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION ITEM

EDP-4 Data Files Consisting of Summarized Information. Records Delete when no longer needed for GRS 20, 4
that contain summarized or aggregated information created administrative, legal, audit, or other
by combining data elements or individual observations from operational purposes.
a single master file or data base that is disposable under
this manual, EXCLUDING data files that are created as
disclosure-free files to allow public access to the data; or
created from a master file or database that is unscheduled,
that was scheduled as permanent but no longer exists, or
can no longer be accessed.

EDP-5 Records Consisting of Extracted Information. Electronic Delete when no longer needed for GRS 20, 5
files consisting solely of records extracted from a single administrative, legal, audit, or other
master file or data base that is disposable under this operational purposes.
schedule, EXCLUDING extracts that are produced as
disclosure-free files to allow public access to the data; or
produced from a master file or database that is
unscheduled, or that was scheduled as permanent but no
longer exists, or can no longer be accessed; or produced by
an extraction process which changes the informational
content of the source master file or data base.

EDP-6 Print File. Electronic file extracted from a master file or Delete when no longer needed for GRS 20, 6
database without changing it and used solely to produce administrative, legal, audit, or other
hard copy publications and/or printouts of tabulations, operational purposes.
ledgers, registers, and statistical reports.

EDP-7 Technical Reformat File. Electronic file consisting of data Delete when no longer needed for GRS 20, 7
copied from a complete or partial master file or database for administrative, legal, audit, or other
the specific purpose of information interchange and written operational purposes.
with varying technical specifications, EXCLUDING files
created for transfer to the National Archives.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION ITEM

EDP-8 Backups of Files. Electronic copy (record copy) of the

master copy of an electronic record or file and retained in
case the master file or database is damaged or inadvertently
erased.
EDP-8-1 Delete when the identical records have GRS 20, 8a
File identical to records scheduled for transfer to the been captured in a subsequent
National Archives. backup file or when the identical
records have been transferred to the
National Archives and successfully
copied.

EDP-8-2 File identical to records authorized for disposal in this Delete when the identical records have GRS 20, 8b
manual. been deleted, or when replaced by a
subsequent backup file.

EDP-9 Finding Aids (or Indexes). Electronic indexes, lists, Delete with related records or when no GRS 20, 9
registers, and other finding aids used only to provide access longer needed for administrative, legal,
to records authorized for destruction in this manual, audit, or other operational purposes,
EXCLUDING records containing abstracts or other whichever is later.
information that can be used as an information source apart
from the related records.

EDP-10 File category no longer in use as per NARA August 1995.

Reserved.

EDP-11 Electronic Spreadsheets. Electronic spreadsheets generated

to support administrative functions or generated by an
individual as background materials or feeder reports.

EDP-11-1 When used to produce hard copy that is maintained in Delete when no longer needed to GRS 20, 15a
organized files. update or produce hard copy.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION ITEM

EDP-11-2 When maintained only in electronic form. Delete after the expiration of the GRS 20, 15b
retention period authorized for the
hard copy elsewhere in this schedule.
If the electronic version replaces hard
copy records with differing retention
periods and agency software does not
readily permit selective deletion, delete
after the longest retention period has
expired.

EDP-12 Special Purpose Programs. Application software necessary Delete when related master file or GRS 20, 10
solely to use or maintain master file or database authorized database has been deleted.
for disposal elsewhere in this manual, EXCLUDING special
purpose software necessary to use or maintain any
unscheduled master file or database scheduled for transfer
to the National Archives.

EDP-13 Documentation.

EDP-13-1 Data systems specifications, file specifications, codebooks, Destroy or delete when superseded or GRS 20, 11a
record layouts, user guides, output specifications, and final obsolete, or upon authorized deletion
reports (regardless of medium) relating to a master file or of the related master file or data base,
database that has been authorized for disposal elsewhere in or upon the destruction of the output
this manual. system if the output is needed to
protect legal rights, whichever is
latest.
EDP-13-2 GRS 20, 11b
Copies of records relating to system security, including Destroy or delete when superseded or
records documenting periodic audits or review and obsolete.
recertification of sensitive applications, disaster and
continuity plans, and risk analyses, as described in OMB
Circular A130.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION ITEM

NOTE: (1) Documentation that relates to permanent or unscheduled master files and databases is not authorized for destruction under
this series. (2) See EDP-1-1 of this series for documentation relating to system testing.

EDP-14 Downloaded and Copied Data. Derived data and data files
that are copied, extracted, merged, and/or calculated from
other data generated within the agency, when the original
data is retained.
EDP-14-1 Delete when no longer needed for GRS 20, 12a
Derived data used for ad hoc or one-time inspection, administrative, legal, audit, or other
analysis, or review, if the derived data is not needed to operational purposes.
support the results of the inspection, analysis, or review.

EDP-14-2 Derived data that provide user access in lieu of hardcopy Delete when no longer needed for GRS 20, 12b
reports that are authorized for disposal. administrative, legal, audit, or other
operational purposes.

EDP-14-3 Metadata or reference data, such as format, range, or Delete from the receiving system or GRS 20, 12c
domain specifications, which is transferred from a host device when no longer needed for
computer or server to another computer or server to another processing.
computer for input, updating, or transaction processing
operations.

NOTE: See EDP-5 for other extracted data.

EDP-15 Electronic Mail Records. Senders' and recipients' versions of Delete from the e-mail system (or GRS 20, 14
e-mail messages that meet the definition or Federal records, electronically archive to local hard
and any attachments to the record messages after they have drive or floppy diskette for future
been printed and filed in paper files appropriately. personal use) after printing and filing
appropriately.

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FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION ITEM

NOTE: Along with the message text, the recordkeeping system must capture the names of sender and recipients and date (transmission
data for recordkeeping purposes) and any receipt data when required.)

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 FEMA Manual 5400.2 February 29, 2000

5-13. Equal Employment Opportunity (EEO).

This schedule covers records related to EEO complaints, compliance, and affirmative action plans.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EEO-1 Official Discrimination Complaint Case Files. Originating Destroy 4 years after resolution of GRS 1, 25a
agency's file containing complaints with related case.
correspondence, reports, exhibits, withdrawal notices,
copies of decisions, records of hearings and meetings, and
other records as described in 29 CFR 1613.222. Cases
resolved within FEMA, by EEOC, or by a United States
Court.

EEO-2 Copies of Complaint Files. Duplicate case files or Destroy 1 year after resolution of case. GRS 1, 25b
documents pertaining to case files retained in Official File
Discrimination Complaint Case Files.

EEO-3 Preliminary and Background Files.

EEO-3-1 Background records not filed in the Official Discrimination Destroy 2 years after final resolution GRS 1, 25c(1)
Complaint Case File. of case.

EEO-3-2 Records documenting complaints that do not develop into Destroy when 2 years old. GRS 1, 25c(2)
official discrimination complaint cases.

EEO-4 Compliance Records.

EEO-4-1 Compliance Review Files. Reviews, background Destroy when 7 years old. GRS 1, 25d(1)
documents, and correspondence relating to contractor
employment practices.

EEO-4-2 EEO Compliance reports. Destroy when 3 years old. GRS 1, 25d(2)

107
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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EEO-5 Employee Housing Requests. Forms requesting FEMA Destroy when 1 year old. GRS 1, 25e
assistance in housing matters, such as rental or purchase.

EEO-6 Employment Statistics Files. Employment statistics Destroy when 5 years old. GRS 1, 25f
relating to race and sex.

NOTE: Master files and databases created in central data processing facilities to supplement or replace the records covered by this
subitem are not authorized for disposal under this item. Such files must be scheduled and approved by NARA. Contact the Records
Management Branch for assistance.

EEO-7 EEO General Files. General correspondence and copies of Destroy when 3 years old or when GRS 1, 25g
regulations with related records pertaining to the Civil superseded or obsolete, whichever is
Rights Act of 1964, the EEO Act of 1972, and any pertinent applicable.
later legislation; and FEMA EEO Committee meeting
records including minutes and reports.

EEO-8 EEO Affirmative Action Plans (AAP).

EEO-8-1 FEMA's copy of consolidated AAP(s). Destroy 5 years from date of plan. GRS 1, 25h(1)

EEO-8-2 FEMA's feeder plan to consolidated AAP(s). Destroy 5 years from date of feeder GRS 1, 25h(2)
plan or when administrative purposes
have been served, whichever is
sooner.

EEO-8-3 Report of on-site reviews of Affirmative Action Programs. Destroy 5 years from date of report. GRS 1, 25h(3)

EEO-8-4 FEMA's copy of annual report of Affirmative Action Destroy 5 years from date of report. GRS 1, 25h(4)
accomplishments.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EEO-9 Electronic Mail and Word Processing System Copies of

Printing and Reproduction Records. Electronic copies of
records that are created on electronic mail and word
processing systems and used solely to generate a
recordkeeping copy of the records covered by the other
items in this schedule. Also includes electronic copies of
records created on electronic mail and word processing
systems that are maintained for updating, revision, or
EEO-9-1 dissemination. Destroy/delete within 180 days after GRS 1, 43a
the recordkeeping copy has been
Copies that have no further administrative value after the produced.
recordkeeping copy is made. Includes copies maintained
by individuals in personal files, personal electronic mail
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that
are used only to produce the recordkeeping copy.

EEO-9-2 Copies used for dissemination, revision, or updating that Destroy/delete when dissemination, GRS 1, 43b
are maintained in addition to the recordkeeping copy. revision, or updating is completed.

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 FEMA Manual 5400.2 February 29, 2000

5-14. Emergency Operations and Mobilization Programs (EOM).

a. This schedule covers records relating to emergency operations and mobilization preparedness functions.

b. Emergency operations and mobilization records involved with the Continuity of Government programs are in Chapter 4-2
(COG).

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-1 Emergency Action Officer (EAO) Logs. Logs used for Destroy when 5 years old. N1-311-86-1
recording each event and action taken by the EAO. 5E2

EOM-2 Emergency Mobilization Preparedness Planning Document

Files.
EOM-2-1 Destroy when superseded or obsolete. N1-311-86-1
Documents on the development of plans, including 5B6a
background information and department/agency comments
on proposed drafts.

EOM-2-2 Final plan documents, including lists of possible emergency PERMANENT. Cut off at end of N1-311-86-1
measures, authorities, implementing documents, lists of calendar year. Retire to FRC 3 years 5B6b
responsible agencies, and checklists of emergency-related after cutoff. Transfer to National
actions. Arrange chronologically. Archives in 5-year blocks 20 years
after cutoff.

EOM-2-3 Presidential Emergency Action Documents (PEAD). Final PERMANENT. Cut off when N1-311-86-1
drafts of Presidential messages, proposed legislation superseded or obsolete. Transfer 5B6c
proclamations, and other formal documents, including DOJ- directly to National Archives in 5-year
issued cover sheets addressed to the President, to be issued blocks 20 years after cutoff.
in event of a Presidentially-declared national emergency.
Arrange alphabetically by type of emergency.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-3 Emergency Planning Case Files. Case files accumulated by Destroy 3 years after issuance of new GRS 18, 27
offices responsible for the preparation and issuance of plans plan or directive.
and directives, consisting of a copy of each plan or directive
issued, with related background documents, EXCLUDING
one record copy of each plan or directive issued, if not
included in the FEMA permanent set of master directive files
(REM-1).

EOM-4 Emergency Planning Administrative Correspondence Files. Destroy when 2 years old. GRS 18, 26
Correspondence files relating to administration and operation
of the emergency planning program, not covered elsewhere in
this schedule.

EOM-5 Exercise Files.

EOM-5-1 Concept and Objectives Paper, Final Exercise Plan (EXPLAN), PERMANENT. Cut off at end of N1-311-86-1
final pre-exercise evaluation plan, Control Staff Instructions calendar year. Retire to FRC 3 years 5F11
(COSIN)/Master Scenario Events Lists, and Final Evaluation after cutoff. Transfer to National
Report on each Federal preparedness exercise performed by Archives in 5-year blocks 20 years
FEMA in conjunction with State and local governments and after cutoff.
US military services and NATO forces. Arrange
chronologically and thereunder alphabetically by name of
exercise.

EOM-5-2 Documentation on each FEMA exercise, including plans,

evaluations, and related comments, submitted by
participating agencies.

EOM-5-2-1 Plans, with scenarios, and evaluation reports. Arrange by PERMANENT. Transfer directly to N1-311-86-1
exercise. National Archives when 30 years old. 5E5a

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-5-2-2 TTY (teletype) messages and supporting material. Destroy when no longer needed. N1-311-86-1
5E5b

EOM-5-3 Exercise case files which include reports, messages, Destroy when 10 years old EXCEPT N1-311-86-1
memoranda, and related records pertaining to each exercise for information that has been 5F7
performed by FEMA. incorporated into an exercise file
(EOM-5-1 or EOM-5-2-1).

EOM-6 Emergency Operations Test Files. Files accumulating from Destroy when 3 years old. GRS 18, 28
tests conducted under agency emergency plans, such as
instructions to members participating in test, staffing
assignments, messages, test of communications and
facilities, and report EXCLUDING consolidated and
comprehensive reports.

EOM-7 Emergency Support Team/Emergency Response Team Files. Destroy when superseded or obsolete. N1-311-86-1
Documents which pertain to FEMA's internal readiness 5F6
response program as outlined in FEMA Manual 8720.1,
Emergency Response Team Planning.

EOM-8 Personnel Roster Files. Records relating to identification of Destroy when superseded or obsolete. N1-311-86-1
personnel and other resource requirements for FEMA's civil 5F3
emergency response activities and a listing of key agency
emergency personnel.

EOM-9 Defense Priorities System (DPS) Files. Correspondence with PERMANENT. Cut off at end of fifth N1-311-86-1
other Federal agencies on the use of the DPS for materials calendar year. Transfer directly to 5B7
and equipment, transport, and energy for national defense. National Archives 20 years after
Arrange alphabetically by subject. cutoff.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-10 Defense Production Act (DPA) Files.

EOM-10-1 Priority and Allocation Files. General correspondence with PERMANENT. Cut off at end of fifth N1-311-86-1
other Federal agencies and private industry officials calendar year. Transfer directly to 5B5
concerning policy guidance on the application of the DPA, National Archives 20 years after
Title I, which includes priority and allocation authorities for cutoff.
national defense and related needs. Arrange alphabetically
by subject.

EOM-10-2 Executive Order 10480 (Administration of Defense PERMANENT. Cut off at end of fifth N1-311-86-1
Mobilization Program) Files. Correspondence with Federal calendar year. Transfer directly to 5B15
official on the administration of the DPA and revisions of National Archives 20 years after
EO 10480. Arrange chronologically. cutoff.

EOM-10-3 Defense Material System Files. Record set of documents on PERMANENT. Cut off at end of fifth N1-311-86-1
DPA Title 101(a) and (b), program determinations, and calendar year. Transfer directly to 5B8
quarterly requirements for materials and related policy National Archives 20 years after
correspondence and memoranda. Arrange chronologically. cutoff.

EOM-10-4 Domestic Energy Supply Maximization Files. Record set of PERMANENT. Cut off at end of fifth N1-311-86-1
documents on the development of the DPA Title 101(c), calendar year. Transfer directly to 5B9
priorities program for energy and related policy guidance. National Archives 20 years after
Arrange alphabetically by subject. cutoff.

EOM-10-5 Industrial Capability Expansion Files. Correspondence with PERMANENT. Cut off at end of fifth N1-311-86-1
other Federal agencies and private industry officials on the calendar year. Transfer directly to 5B10
analysis and development of DPA Title III, projects for National Archives 20 years after
national defense needs. Arrange alphabetically by name of cutoff.
project.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-10-6 Machine Tool Trigger Order Program Files. Policy guidance PERMANENT. Cut off at end of fifth N1-311-86-1
and correspondence with Federal agency officials and calendar year. Transfer directly to 5B11
machine tool makers on the development of and participation National Archives 20 years after
in the DPA Title III program, including standby agreements. cutoff.
Arrange chronologically.

EOM-10-7 Voluntary Agreement Files. Correspondence with other PERMANENT. Cut off at end of fifth N1-311-86-1
Federal agencies and private industry officials concerning calendar year. Transfer directly to 5B12
Section 708, antitrust immunity extended to participants in National Archives 20 years after
such agreements found to be necessary to national defense. cutoff.
Arrange alphabetically by subject.

EOM-10-8 Non-Industrial Facilities Files. Correspondence between US PERMANENT. Cut off at end of fifth N1-311-86-1
Army Corps of Engineers, FEMA headquarters, and regions calendar year. Transfer directly to 5B17
on the used of non-industrial facilities (e.g., hotels, motels, National Archives 20 years after
and resort areas) in case of a declared national defense cutoff.
emergency. Arrange chronologically.

EOM-10-9 Emergency Water Planning Files. Correspondence and PERMANENT. Cut off at end of fifth N1-311-86-1
reports between US Army Corps of Engineers, EPA, USDA, calendar year. Transfer directly to 5B18
DOC, DOI, and DHUD officials and FEMA headquarters and National Archives 20 years after
regional office officials on emergency water planning cutoff.
resources essential to effective mobilization and response.
Arrange chronologically.

EOM-11 National Defense Executive Reserve (NDER) Files.

EOM-11-1 NDER General Files. Working papers relating to the Destroy when no longer needed. N1-311-86-1
administration of the NDER program government-wide., 5F13
including copies of correspondence, Federal Register notices,
and directives.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-11-2 NDER Conference and Training Files. Training files of

sessions, courses, conferences, teleconferences, workshops,
etc., conducted by FEMA and other agencies with NDER
units consisting of conference proceedings, correspondence,
memoranda, evaluations, agendas, student rosters,
instructors' guides, student manuals, and other materials
pertaining to training for NDER participants and Federal
NDER coordinators.
EOM-11-2-1 PERMANENT. Retire to FRC at the N1-311-86-1
Transcripts of proceedings, agendas, and training manuals. conclusion of conference or training 5F14a
Arrange chronologically. session. Transfer to National
Archives 20 years later.

EOM-11-2-2 Training and conference packets and other supporting Destroy when no longer needed. N1-311-86-1
materials. 5F14b
EOM-11-3 Case files for NDER reservists or applicants, maintained by
agencies with major mobilization responsibilities in cases of
national security emergencies, including qualifications
statements, other personnel and administrative records,
skills inventory, training data, and other records relating to
administration of the NDER program.
EOM-11-3-1 Destroy 5 years after termination GRS 18, 29a
Case file on reservists. from NDER program.

EOM-11-3-2 Case files on individuals whose applications were rejected or Destroy when 5 years old. GRS 18, 29b
withdrawn.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-12 Individual Mobilization Augmentee Files. Documents for Destroy 1 year after reservist leaves N1-311-86-1
directing a program of military personnel to augment FEMA program. 4B22
and State and local governments in their emergency
management programs. Included are personnel lists, DoD
directives, program guidance, training requirements, and
statistical information.

EOM-13 Integrated Emergency Management System (IEMS) Files. Destroy when superseded or obsolete. N1-311-86-1
Working papers and reports accumulated in FEMA joint 5B4
activities related to IEMS.

EOM-14 National Urban Search and Rescue (US&R) Response System. (See sub-categories for disposition)
The National US&R Response System is made up of many
task forces from around the continental United Stated and
members are trained and equipped to handle structural
collapse rescue and recovery. They encompass local
emergency services personnel from various states and can be
deployed by FEMA to a major disaster and provide assistance
with structural rescue.
EOM-14-1
US&R Training, to include all aspects of US&R Training.
EOM-14-1-1 Cutoff on discontinuance of specific N1-311-99-1
Documentation on all courses developed, including general training program. Destroy 5 years
training plans, instructor guides, and documents relating to after cutoff.
the identification of training requirements.
Delete when recordkeeping copies are
Word processing files. filed.

Delete when recordkeeping copies are

E-mail records. filed.

117
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-14-1-2 Training Aids. Manuals, syllabi, textbooks, and other Destroy when superseded. N1-311-99-1
training aids on management and technical subjects
developed by FEMA or under contract for FEMA.

Word Processing Files. Delete when recordkeeping copies are

filed.

E-mail records. Delete when recordkeeping copies are

filed.

EOM-14-1-3 Register of individuals trained and certified for a particular Cutoff on termination of particular N1-311-99-1
training program with notation(s) of students used for training program. Destroy 5 years
specific disaster operations. after
cutoff.
Word processing files.
Delete when recordkeeping copies are
filed.
E-mail records.
Delete when recordkeeping copies are
filed.

EOM-14-2 US&R Task Forces Solicitation Process

EOM-14-2-1 Accepted and rostered Task Forces. Cutoff at end of fiscal year in which N1-311-99-1
Task Force is accepted. Retire to
FRC 1 year after cutoff. Destroy
10 years after cutoff.
Word processing files.
Delete when recordkeeping copies are
filed.
E-mail records.
Delete when recordkeeping copies are
filed.

118
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-14-2-2 Declined Task Forces. Cutoff at end of calendar year. N1-311-99-1

Destroy 5 years after cutoff.

Word processing files. Delete when recordkeeping copies are

filed.

E-mail records. Delete when recordkeeping copies are

filed.

EOM-14-3 Disaster and Incident Response

EOM-14-3-1 Disaster specific daily logs, after action reports, activation PERMANENT. Cutoff after N1-311-99-1
and deactivation orders, alerts, incident action plans, publishing the final report. Retire to
advisories, and final reports arranged by disaster. Includes FRC 1 year after cutoff. Transfer to
both National and International events which may also archives 20 years after cutoff.
include mixed media such as photos, slides, videos, etc.

Word processing files. Delete 20 years after publishing final

report.

E-mail records. Delete 20 years after publishing final

report.

EOM-14-3-2 Reimbursement claims for US&R responses. Separated by Cutoff at end of fiscal year. Destroy N1-311-99-1
task force and disaster. 6 years after cutoff.

Word processing files. Delete when recordkeeping copies are

filed.

E-mail records. Delete when recordkeeping copies are

filed.

119
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-14-4 Preparedness.

EOM-14-4-1 Annual grants to Task Forces to maintain Task Force Cutoff at end of fiscal year. Destroy N1-311-99-1
preparedness. 10 years after cutoff.

Word processing records. Delete when recordkeeping copies are

filed.

E-mail records. Delete when recordkeeping copies are

filed.

EOM-14-4-2 Readiness Evaluation Reports. These reports document Cutoff at end of each evaluation. N1-311-99-1
evaluations performed by FEMA to measure task force Retire 2 years after cutoff. Destroy
readiness in terms of cache supplies, training, and personnel. 20 years after cutoff.
These reports are usually comprised of mixed media, to
include videos and other documentation of task force
evaluations.
Delete when recordkeeping copies are
Word processing files. filed.

Delete when recordkeeping copies are

E-mail records. filed.

120
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

EOM-15 Electronic Mail and Word Processing System Copies of

EOM-3, EOM-4, and EOM-11 Records. Electronic copies of
records that are created on electronic mail and word
processing systems and used solely to generate a
recordkeeping copy of the records covered by the other items
in this schedule. Also includes electronic copies of records
created on electronic mail and word processing systems that
are maintained for updating, revision, or dissemination. This
description and follow-on disposition authority applies to
EOM-3, EOM-4, and EOM-11 (and its subcategories) ONLY.

EOM-15-1 Destroy/delete within 180 days after GRS 18, 30a

Copies that have no further administrative value after the the recordkeeping copy has been
recordkeeping copy is made. Includes copies maintained by produced.
individuals in personal files, personal electronic mail
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that are
used only to produce the recordkeeping copy.

EOM-15-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 18, 30b
maintained in addition to the recordkeeping copy. revision, or updating is completed.

5-15. Federal Insurance Administration Program (FIA).

This schedule covers records created or accumulated by the Federal Insurance Administration (FIA) under the following programs:

a. National Flood Insurance Program (Title XIII of the Housing and Urban Development Act of 1968, as amended);

b. Crime Insurance Program (Title VI of the Housing and Urban Development Act of 1970, as amended); and

c. Riot Reinsurance Program (Title XII of the National Housing Act of 1968, as amended).

121
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

FIA-1 Community Case Files. Documentation supporting a (See subcategories)

community's application and participation in the Flood
Insurance Program, including applications, community and
State building codes, building code resolutions, community
resolutions adopting FIA Appendixes A and B, community
base maps, maps identifying areas subject to flooding, copies
of studies or reports prepared by a Federal agency,
summaries of a community's flood history, lists of
incorporated communities, flood hazard maps, flood elevation
determination maps, and correspondence between
community and FIA officials relating to compliance with
requirements specified under the National Flood Insurance
FIA-1-1 Act of 1968.

FIA-1-1-1 Case Files Closed Before 1979.

PERMANENT. After microfiche has N1-311-86-1
Silver master and one diazo copy of microfiche. Arrange been verified, retire to FRC in 1990. 2A1a(1)
alphabetically by State and thereunder alphabetically by Transfer to National Archives in
name of community. 2000.

FIA-1-1-2 Textual records. Destroy after verification that N1-311-86-1

microfiche is adequate substitute for 2A1a(2)
original record. If no microfiche
available, retire textual records to
FRC in 1990. Transfer to National
Archives in 2000.

FIA-1-1-3 Reference copies of microfiche. Retain one diazo copy in agency for N1-311-86-1
ongoing litigation. Destroy after 2A1a(3)
litigation is resolved.

122
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

FIA-1-2 Case Files Closed After 1978.

FIA-1-2-1 Record copy of final report, and any subsequent revisions, on PERMANENT. Retire to FRC when N1-311-86-1
flood hazards maintained by headquarters or regional offices. report is 3 years old. Transfer to 2A1b(1)
Arrange alphabetically name of State and thereunder National Archives in 5-year blocks
alphabetically by name of community. when report is 20 years old.

FIA-1-2-2 All hardcopy case file records maintained by regional offices, Retire to FRC when case file is 3 PENDING
including final reports and any subsequent revisions, maps, years old. Destroy 100 years after FROM NARA
correspondence between FIA and State and local officials, retirement date.
checklists, reference copies of flood hazard reports and
revisions and reports and drafts on a community's request
for FEMA-sponsored study on potential flood hazards.
Arrange alphabetically by name of State and thereunder
alphabetically by name of community.
FIA-1-2-3 Destroy/delete within 180 days after PENDING
recordkeeping copy has been FROM NARA
Word Processing and Electronic Mail records.
produced.

NOTE: Electronic document imaging of these records has been approved only when used for office reference copy only. Therefore,
imaged records may not be manipulated electronically after being imaged. The hardcopy records serve as the official record copy and
the image must not deviate from the originals.

FIA-2 Appeals Files. There are three types of appeals files (See sub-categories FIA-2-1, FIA-2-2,
maintained by FIA headquarters: appeals on proposed and FIA-2-3 for disposition
elevation determinations, from communities for which instructions.)
detailed engineering data have previously been made
available, and from owners or lessees of property who believe
their property has been inadvertently included in a special
flood hazard area on the official FIA map.

123
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

FIA-2-1 Appeals from Proposed Flood Elevation Determinations (44 Cut off file after appealed map N1-311-86-1
CFR 65). The Flood Elevation Determination Docket (FEDD) becomes effective. Retire to FRC 2A2a
file contains information pertaining to appeals from proposed 2 years after cutoff. Destroy 20 years
flood elevation determinations. The docket files contain after cutoff.
information on 11 subjects specified in 44 CFR 67.3. The
subjects generally include appeals documents from private
citizens and community officials, documentation of FEMA
actions to determine flood elevation levels, and a copy of the
final determination with supporting data.

FIA-2-2 Appeals From Communities for which Engineering Data Have Cut off file after appeal is resolved or N1-311-86-1
Previously Been Made Available (44 CFR 65). Data specified after map revision becomes effective, 2A2b
in 44 CFR 65.5 which include technical or scientific whichever is later. Retire to FRC
information submitted by the community's chief executive 2 years after cutoff. Destroy 20 years
officer indicating that the base flood elevations (BFE's) do not after cutoff.
accurately reflect accurate flood risks within the community.

FIA-2-3 Appeals from Owners or Lessees of Property Who Believe Cut off file 2 years after appeal is N1-311-86-1
Their Property has been Inadvertently Included in a Special resolved or after map revisions 2A2c
Flood Area (44 CFR 70). Data specified in 44 CFR 70.3 which become effective. Retire to FRC
include, at a minimum, a copy of the official record plat map, 2 years after cutoff. Destroy 20 years
topographic maps, the location of property on the Flood after cutoff.
Insurance Rate Map, and a certification by a registered
engineer or land surveyor of both the structure type and the
lowest floor elevation (including basement).

FIA-3 Flood Hazard Maps. Preliminary flood maps covering a Destroy 5 years after issuance of N1-311-86-1
specific community, with flood-prone areas with a flood elevation determination (or 2A3
community depicted by shaded areas, which serve FEMA and insurance rate) map.
the community for entrance into the emergency flood
program.

124
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

FIA-4 Flood Elevation Determination Maps. The size of a Flood PERMANENT. Cut off when N1-311-86-1
Insurance Rate Map is 18x12 inches plus A-E size. The superseded. Transfer directly to 2A4
maps are the final products of flood insurance studies National Archives 5 years after cutoff.
conducted by FEMA. Elevations of the land involved are
shown and flood-prone areas within the community are
shaded or in color.

FIA-5 These categories are withdrawn. Reserved for future use. N1-311-98-1
Thru
FIA-10

FIA-11 State Files. Correspondence from insurance commissioners, PERMANENT. Cut off at end of N1-311-86-1
mayors, governors, and other State and local government calendar year. Transfer directly to 2A11
officials regarding a State's need for the Federal Crime National Archives in 5-year blocks
Insurance Program. Arrange alphabetically by State. 20 years after cutoff.

FIA-12 Claim Files. All documents and photographs necessary to

substantiate a claim for flood loss. These files also contain
the reports of the adjusters and examiners as well as the
adjuster's and other expense reports and claims payments
and records of all bills paid by the National Flood Insurance
Administration (NFIA). NFIA acted as a private industry
partner with the FIA until 1978 in providing flood insurance
related services. NFIA was subsequently replaced in 1978 by
the National Flood Insurance Program, a private contractor
which now processes claims documents as described above.

FIA-12-1 Closed NFIA claim files, 1976-77.

FIA-12-1-1 Textual records EXCEPT those on claims pertaining to Destroy after verification that N1-311-86-1
Louisiana. microfiche copies are adequate 2A12a(1)(a)
substitutes for original documents.

125
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

FIA-12-1-2 Textual records on claims pertaining to Louisiana. After verification that microfiche N1-311-86-1
copies are adequate substitutes for 2A12a(1)(b)
original documents, destroy when no
longer needed for legal purposes.

FIA-12-1-3 Microfiche. Destroy film or salvage silver content N1-311-86-1

after alerting Administrator prior to 2A12a(1)(c)
action.

FIA-12-2 Closed NFIA claim files. Files generated by the contractor to Cutoff upon payment or denial of N1-311-86-1
the National Flood Insurance Program and maintained in claim. Destroy 6 years and 3 months 2A12a(2)
paper form. after cutoff.

FIA-12-3 Crime Insurance Program Files. All documents and Cut off upon close of case. Destroy N1-311-86-1
photographs necessary to substantiate a claim for losses due 6 years and 3 months after cutoff. 2A12(2)(b)
to burglary or robbery, reports of adjusters, and adjusters'
bills paid by the program.

FIA-13 Policy Files. All documents created on a flood insurance

policy. The application describes the location of the property,
the building, the contents, and the amount of the premium.
Other documents include renewals, endorsements,
cancellations, and correspondence. Policies generated under
NFIA were maintained by a number of servicing companies
under varying file systems. Policy files generated under
contract for the National Flood Insurance Program are
maintained at one contractor's facility.
FIA-13-1 Destroy files with pending litigation N1-311-86-1
National Flood Insurance Servicing Company Files, 1975-77. after review by General Counsel. 2A13a(1)
Assorted files generated by servicing companies to NFIA.

126
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

FIA-13-2 National flood insurance files. Files generated in processing Cutoff when file becomes inactive. N1-311-86-1
flood insurance policies under the continuing National Flood Destroy 5 years after cutoff. 1A13a(2)
Insurance Program.

FIA-13-3 Crime Insurance Program Files. All documents necessary for

continuation and closure of a crime insurance policy.
Documents include declaration pages, renewal bills,
cancellation, and correspondence.

FIA-13-3-1 Files on policies which are currently subject to litigation or Destroy upon close of litigation or N1-311-86-1
inspector general investigation issued prior to June 1, 1978. investigation. 2A13b(1)(a)

FIA-13-3-2 Files on all other policies issued prior to June 1, 1978. Destroy immediately. N1-311-86-1
2A13b(1)(b)

FIA-13-3-3 Files on policies issued on or after June 1, 1978. Destroy 5 years after policy is issued. N1-311-86-1
2A13b(2)

127
 FEMA Manual 5400.2 February 29, 2000

5-16. Informational Services Records (INF).

a. This schedule covers records pertaining to informational services performed by FEMA staff in their day-to-day affairs and
relations with the public including records created in administering Freedom of Information Act (FOIA) and Privacy Act programs.
Except as otherwise specified in individual items, it applies to copies of these records wherever located in FEMA.

b. These records consist of inquiries, replies, and related correspondence; in the case of FOIA and Privacy Act files, appeals, and
other records; and material for formal information releases. Closely related records such as records related to budget presentation,
printing, duplicating, and distribution are covered by other schedules in this manual.

c. All records described in this series are authorized for disposal in both hardcopy and electronic forms.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

INF-1 Information Request Files. Requests for information and Destroy when 3 months old. GRS 14, 1
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 informational literature.

INF-2 Acknowledgment Files. Acknowledgment and transmittals of Destroy 3 months after GRS 14, 2
inquiries and requests that have been referred elsewhere for acknowledgment and referral.
reply.

INF-3 Press Service Files. Press service teletype news and similar Destroy when 3 months old. GRS 14, 3
materials.

INF-4 Information Project Files. Informational service project case Destroy 1 year after close of file or GRS 14, 4
files maintained in the Office of Public and Inter- 1 year after completion of project.
governmental Affairs, and the office of each Regional
Director, and other formally designated information offices.

128
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

INF-5 Commendation/Complaint Correspondence Files. Destroy when 3 months old. GRS 14, 5
Anonymous letters, letters of commendation, complaint,
criticism and suggestion, and replies thereto, excluding those
the basis of which investigations were made, or
administrative action taken, and those incorporated into
individual personnel records.

INF-6 Indexes and Checklists. Bibliographies, checklists, and Destroy when superseded or obsolete. GRS 14, 6
indexes of FEMA publications and releases EXCLUDING
those related to record sets scheduled as permanent.

INF-7 Public Information Material (PIMR) Board Files. Cut off at end of calendar year. N1-311-86-1
Correspondence, memoranda, reports and analyses Destroy 5 years after cutoff. 1A2
pertaining to the distribution of FEMA publications to the
public.

FREEDOM OF INFORMATION ACT RECORDS

INF-8 Freedom of Information Act (FOIA) Request Files. Files

created in response to requests for information under the (For disposition instructions, see
FOIA consisting of the original request, a copy of the reply sub-categories.)
thereto, and all related supporting files, which may include
the official file copy of requested record, or copy thereof.

INF-8-1 Official file copy of requested records. Dispose in accordance with approved GRS 14, 11b
disposition instructions for the
related records, or with the related
FOIA request, whichever is later.

INF-8-2 Documents granting access to all the requested records. Destroy 2 years after date of reply. GRS 14,
11a(1)

129
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

INF-8-3 Responding to requests for nonexistent records, to requesters

who provide inadequate descriptions, and to those who fail to
pay FEMA reproduction fees.

INF-8-3-1 Request not appealed. Destroy 2 years after date of reply. GRS 14,
11a(2)(a)

INF-8-3-2 Request appealed. Destroy as authorized under INF-9. GRS 14,

11a(2)(b)

INF-8-4 Denying access to all or part of the records requested.

INF-8-4-1 Request not appealed. Destroy 6 years after date of reply. GRS 14,
11a(3)(a)

INF-8-4-2 Request appealed. Destroy as authorized under INF-9. GRS 14,

11a(3)(b)

INF-9 FOIA Appeal Files. Files created in responding to

administrative appeals under the FOIA for release of
information denied by FEMA, consisting of the appellant's
letter, a copy of the reply thereto, and related supporting
documents, which may include the official file copy of records
under appeal of copy thereof.
INF-9-1 Destroy 6 years after final GRS 14, 12a
Correspondence and supporting documents EXCLUDING the determination by FEMA, or 3 years
file copy of the records under appeal, if filed herein. after final adjudication by courts, or
6 years after the time at which a
requester could file suit, whichever is
later.

130
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

INF-9-2 Official file copy of records under appeal. Dispose in accordance with approved GRS 14, 12b
agency disposition instructions for
the related record, or with the related
FOIA request, whichever is later.

INF-10 FOIA Control Files. Files maintained for control purposes in

responding to requests, including registers and similar
records listing date, nature, purpose of request, and name
and address of requester.

INF-10-1 Registers of listings. Destroy 6 years after date of last GRS 14, 13a
entry.

INF-10-2 Other files. Destroy 6 years after final action by GRS 14, 13b
FEMA or final adjudication by courts,
whichever is later.

INF-11 FOIA Request Files. Recurring reports and one-time (For disposition instructions, see
information requirements relating to FEMA's implementation sub-categories INF-11-1 and INF-11-
of the FOIA. 2.)

INF-11-1 Agency annual reports to Congress, relating to PERMANENT. Cut off at end of fiscal N1-311-92-5
implementation of the FOIA. year. Retire to FRC 2 years after cut 1
off. Transfer to NARA in 5-year
blocks when oldest records are 20
years old.

INF-11-2 Other recurring reports and one-time information Destroy when 2 years old. GRS 14, 14
requirements relating to FEMA implementation of the FOIA,
EXCLUDING annual reports to the Congress at the
departmental or agency level.

131
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

INF-12 FOIA Administrative Files. Records relating to FEMA's Destroy when 2 years old. GRS 14, 15
general implementation of the FOIA, including notices,
memoranda, routine correspondence, and related records.

PRIVACY ACT RECORDS

INF-13 Privacy Act Request Files. Files created in response to

requests from individuals to gain access to their records or to (For disposition instructions, see
any information in the records pertaining to them, as sub-categories.)
provided for under 5 USC 552a(d)(1). Files contain original
request, copy of reply thereto, and all related supporting
documents, which may include the official file copy of records
requested or copy thereof.

INF-13-1 Official file copy of requested records. Dispose of in accordance with GRS 14, 21b
approved disposition instructions for
the related records, or with the
related Privacy Act request,
whichever is later.

INF-13-2 Documentation granting access to all the requested records. Destroy 2 years after date of reply. GRS 14,
21a(1)

INF-13-3 Responding to requests for nonexistent records, to requesters

who provide inadequate descriptions, and to those who fail to
pay FEMA's reproduction fees.

INF-13-3-1 Requests not appealed. Destroy 2 years after date of reply. GRS 14,
21a(2)(a)

132
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

INF-13-3-2 Requests appealed. Destroy as authorized under INF-14. GRS 14,

21a(2)(b)

INF-13-4 Denying access to all or part of the records requested.

INF-13-4-1 Requests not appealed. Destroy 5 years after date of reply. GRS 14,
21a(3)(a)

INF-13-4-2 Requests appealed. Destroy as authorized under INF-14. GRS 14,

21a(3)(b)

INF-14 Privacy Act Amendment Case Files. Files relating to an

individual's request to amend a record pertaining to that
individual as provided under 5 USC 552a(d)(2); to the
individual's request for a review of FEMA's refusal of the
individual's request to amend a record as provided under
5 USC 552a(d)(3); and to any civil action brought by the
individual against FEMA as provided under 5 USC 552a(g).

INF-14-1 Requests to amend agreed to by FEMA. Includes individual's Dispose of in accordance with the GRS 14, 22a
requests to amend and/or review refusal to amend, copies of approved disposition instructions for
FEMA's replies thereto, and related material. the related subject, individual's
record, or 4 years after FEMA's
agreement to amend, whichever is
later.

133
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

INF-14-2 Requests to amend refused by FEMA. Includes individual's Dispose of in accordance with the GRS 14, 22b
requests to amend and to review, refusal to amend, copies of approved disposition instructions for
FEMA's replies thereto, statement of disagreement, FEMA's the related subject individual's
justification for refusal to amend a record, and related record, 4 years after final
materials. determination by FEMA, or 3 years
after final adjudication by courts,
whichever is later.

INF-14-3 Appealed requests to amend. Includes all files created in Dispose of in accordance with the GRS 14, 22c
responding to appeals under the Privacy Act for refusal by approved disposition instructions for
FEMA to amend a record. the related subject individual's
record, or 3 years after final
adjudication by the courts, whichever
is later.

INF-15 Privacy Act Accounting of Disclosure Files. Files maintained Dispose of in accordance with the GRS 14, 23
under the provisions of 5 USC 552a8 for an accurate approved disposition instructions for
accounting of the date, nature, and purpose of each the related subject individual's
disclosure of a record to any person or to another agency, records, or 5 years after the
including forms for showing the subject individual's name, disclosure for which the
requester's name and address, purpose and date of accountability was made, whichever
disclosure, and proof of subject individual's consent, when is later.
applicable.

INF-16 Privacy Act Control Files. Files maintained for control

purposes in responding to requests, including registers and
similar records listing date, nature of request, and name and
address of requester.

INF-16-1 Registers or listings. Destroy 5 years after date of last GRS 14, 24a
entry.

134
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

INF-16-2 Other files. Destroy 5 years after final action by GRS 14, 24b
FEMA or final adjudication by courts,
whichever is later.

INF-17 Privacy Act Reports Files. Recurring reports and one-time Destroy when 2 years old. GRS 14 ,25
information requirement relating to FEMA's implementation,
including annual reports to OMB and the report on new
systems at FEMA.

INF-18 Privacy Act General Administrative Files. Records relating to Destroy when 2 years old. GRS 14, 26
FEMA's implementation of the Privacy Act, including notices,
memoranda, routine correspondence, and related records.

INF-19 Erroneous Release Files. Files relating to the inadvertent

release of privileged information to unauthorized parties,
containing information the disclosure of which would
constitute an unwarranted invasion of personal privacy.
Files contain requests for information, copies of replies
thereto, and all related supporting documents, and may
include the official copy of records requested or copies
thereof.
INF-19-1 Follow the disposition instructions GRS 14, 36a
Files that include the official file copy of the released records. approved for the released official file
copy, or destroy 6 years after the
erroneous release, whichever is later.

INF-19-2 Files that do not include the official file copy of the released Destroy 6 years after the erroneous GRS 14, 36b
records. release.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

INF-20 Information Files. Complete set of formal informational PERMANENT. Cut off at end of N1-311-90-2
releases and publications, such as press releases, press calendar year. Retire to FRC in 5- 1
conference transcripts, and indexes thereof. year blocks when 5 years old.
Transfer to National Archives in
5-year blocks when 20 years old.

INF-21 Speeches.

INF-21-1 Official speeches given by the Director, Deputy Director, PERMANENT. Cut off at end of N1-311-90-2
Associate Directors, Administrators, Regional Directors, or calendar year. Retire to FRC when 2 2A
personnel acting in such capacity. years old, or at the close of tenure of
the staff member, whichever is
sooner. Transfer to National Archives
in 5-year blocks when 20 years old.

INF-21-2 Speeches not covered in INF-21-1. Destroy when 3 years old. N1-311-90-2
2B

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5-17. Information Processing Systems (IPS).

This schedule covers textual files relating to the study, selection, control, and maintenance of FEMA IPS and equipment.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

IPS-1 Planning and Program Files. Documents relating to the Destroy when no longer needed. N1-311-86-1
development of plans, policies, and procedures for FEMA 5G1
information systems and programs, including master plans
for FEMA information systems and programs, feasibility
studies, coordinating documents, IPS review and monitoring
files, approvals, disapprovals, charts, diagrams, and similar
documents.

IPS-2 IPS Hardware Selection Case Files. Documents relating to Destroy 2 years after specific N1-311-86-1
the planning and preparation of initial acquisition (including configuration of equipment is 5G2
selection, evaluation, procurement, and installation) of IPS discontinued.
equipment. Records include agency requirements, vendor
specifications for hardware and software, and support
capabilities of vendors of complete installation of major
peripheral equipment. These are selection criteria for
procurements in the establishment or modification of IPS
installations.

IPS-3 Utilization and Maintenance Reporting Files. Documents

containing management data on the cost, resource allocation,
utilization, and maintenance of information systems. These
files include:

IPS-3-1 Reports that operators complete relative to machine use or Destroy when 1 year old. N1-311-86-1
maintenance which are used for daily management of 5G3a
operations and are required by the office responsible for
general management. These reports include Console
Operations Logs, Daily Operations Logs, and related reports.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

IPS-3-2 Monthly summaries of cost and utilization reports, some of Destroy when 2 years old. N1-311-86-1
which may consist of magnetic tape and machine-readable 5G3b
listings.

IPS-4 IPS Documentation Files. Documents containing definitions Destroy 1 year after discontinuation N1-311-86-1
of the system including functional requirements, data of system. 5G4
requirements, system/subsystem specifications, requests for
the system, and authorizing standard operating procedures.

IPS-5 Systems Test Documentation. Descriptive material including Destroy 1 year after discontinuation N1-311-86-1
test plans and test analysis reports. of system. 5G5

IPS-6 User Guides. Handbooks, guides to data availability, and Destroy 1 year after discontinuation N1-311-86-1
procedures for querying files. These files contain information of system. 5G6
which sufficiently describes the system so that users can
determine its applicability.

IPS-7 IPS Test Files. Documents relating to the testing of Destroy 3 years after N1-311-86-1
equipment and/or data processing methods and procedures discontinuation of system. 5G7
and to the trial application of existing or proposed data
processing systems. Included are requests for tests,
approvals or disapprovals, test reports, and communications
relating to the tests.

IPS-8 IPS Management Reporting Files.

IPS-8-1 Documents containing management data costs, equipment, Destroy when 15 years old. N1-311-86-1
staffing workload capacities, and overall effectiveness of ADP 5G8a
operations and documents used to evaluate rental purchase,
operation, and maintenance costs. Included are reports,
briefs, and related information.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

IPS-8-2 Feeder reports. Destroy 2 years after N1-311-86-1

summarization. 5G8b

IPS-9 System Operation Specification and Design Files. Documents Destroy when related ADP records N1-311-86-1
consisting of detailed operating procedures for the produced by the systems have been 5G9
implementation of a specific data system. Included are erased.
policies, instructions, details of computer techniques, flow
charts, logic tables, input/output document flow data, and
similar operating instructions.

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5-18. Legal and Legislative (LEG).

This schedule covers correspondence with members of Congress, material for publication in the Federal Register, docket files,
litigation case files, and delegations of authority records.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LEG-1 Congressional Correspondence Files. Correspondence with Cut off at close of Congress. N1-311-86-1
members of Congress, chairpersons of Congressional Transfer to FRC 2 years after cutoff. 1B1
committees, and members of their staffs relating to FEMA Destroy when 10 years old.
activities and programs.

LEG-2 Senate and House Member Profile Files. Files containing Destroy when no longer needed. N1-311-86-1
biographical information on members of the US Congress. 1B2

LEG-3 Legislative Files. Copies of proposed House and Senate bills Destroy when legislation is passed N1-311-86-1
relating to FEMA operations and related correspondence. or when no longer needed. 1B3

LEG-4 Legislative History Files. Correspondence and reports Cut off at end of fifth calendar year. N1-311-86-1
relating to the preparation and coordination of proposed Retire to FRC 5 years after cutoff. 5B16
legislation submitted to OMB and Congress. Destroy 20 years after cutoff.

LEG-5 Legal Authorities Database. Files consisting of the full range

of legal authorities available to the US Government in
emergencies and relating to the coordination of the
computerization and maintenance of a retrieval system.

LEG-5-1 Textual records. Destroy when information is entered N1-311-86-1

into database. 5D5a

LEG-5-2 Electronic records. Erase and reuse tape when N1-311-86-1

information is no longer needed. 5D5b

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LEG-6 Proposed Defense Production Act (DPA) Legislation Files. Cut off at end of fifth calendar year. N1-311-86-1
Legislative history files relating to the preparation and Retire to FRC 5 years after cutoff. 5B13
coordination of proposed DPA legislation by FEMA, and Destroy 20 years after cutoff.
comments on proposed DPA amendments in Congress.

LEG-7 DPA Congressional Hearing Files. Correspondence with Cut off at end of fifth calendar year. N1-311-86-1
Congress, FEMA testimony, and briefing materials on issues Retire to FRC 5 years after cutoff. 5B14
in the hearings. Destroy 20 years after cutoff.

LEG-8 Documents Published in the Federal Register.

LEG-8-1 Proposed and final rules and notices. Official records copies
of case histories, including drafts showing development of
rule or notice, clearance records, public comments, and
signed documents. Final rules have the effect of law and are
codified in the Code of Federal Regulations (CFR).

LEG-8-1-1 Public Docket Files. Public comments received on proposed Close file after the final rule N1-311-86-1
rules, environmental and inflationary impact findings, and becomes effective and place in 1F1a(1)
signed copies of the proposed and final rules on the same inactive file. Retire to FRC 10 years
form as sent to the Federal Register for publication. after close of file. Destroy 20 years
after close of file.

LEG-8-1-2 Internal Files. Copies of proposed and final rules as sent Close file after final rule becomes N1-311-86-1
through the internal clearance process, clearance records, effective and place in inactive file. 1F1a(2)
internal FEMA comments on the proposed and final rules, Retire to FRC 10 years after close of
and notes from internal FEMA meetings held to discuss the file. Destroy 20 years after close of
proposed or final rules. file.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LEG-8-1-3 General Notice (Docket) Files. Copies of general notices as Close file after notice is published in N1-311-86-1
sent through the clearance process, clearance records, Federal Register and place in 1F1a(3)
internal FEMA comments on general notices, and signed inactive file. Retire to FRC 3 years
copies of general notices on the same form as sent to the after close of file. Destroy 10 years
Federal Register for publication, including notices of after close of file.
delegation of authority.

LEG-8-2 Working papers and background material not incorporated in Destroy 6 months after final N1-311-86-1
case history files described in LEG-8-1 above. regulation or notice is published in 1F1b
Federal Register.

LEG-8-3 Extra copies of the clearance package for the regulation or Destroy when 3 years old or when N1-311-86-1
notice which are distributed for concurrent clearance point no longer needed for reference, 1F1c
for preparation of a consolidated response by not including whichever is sooner.
those parts of the package and responses which become part
of the case history files.

LEG-8-4 Files documenting the processing of notices announcing Destroy when 1 year old. GRS 16, 13a
committee meetings, including meetings open to the public
under the Government in the Sunshine Act
(5 USC 552b(e)(3)); hearings and investigations; filing of
petitions and applications; issuance or revocation of a
license; grant applications deadlines; the availability of
certain environmental impact statements; delegations of
authority; and other matters that are not codified in the CFR.

LEG-8-5 Files documenting the processing of semiannual regulatory Destroy when 2 years old. GRS 16, 13b
agenda.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LEG-9 Official Litigation Case Files. Case files containing all Close file 90 days after entry of final N1-311-86-1
documents and correspondence pertaining to litigation in judgment. Destroy 10 years after 1F2
which a FEMA official or employee is a party or friend of the close of file.
court, from filing of complaint until entry of final judgment.
They are arranged by subject of litigation (e.g., tort claims,
flood plain management, radiological preparedness, etc.)

LEG-10 Administrative Appeals and Hearings Case Files. Files on Close file 90 days after entry of final N1-311-86-1
cases in which appeals are made and administrative hearings order or decision. Destroy 10 years 1F3
are held, including contract appeals from decisions in the after close of file.
areas of equal opportunity and those concerning the
suspension or disqualification of contractors and grantees.

LEG-11 Delegations of Authority.

LEG-11-1 Order of succession and functional or signing delegations. PERMANENT. Cut off when N1-311-86-1
Arrange chronologically. superseded or canceled. Retire to 1K11a
FRC 4 years after cutoff. Transfer to
National Archives in 5-year blocks
20 years after cutoff.

LEG-11-2 Temporary delegations. Designations for one to act for Destroy when 1 year old. N1-311-86-1
another on a temporary basis, such as during leave and 1K11b
illness.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LEG-12 FEMA Legislative Files. Grouped by session of Congress, files

on proposed legislation developed by FEMA and related
correspondence and other documents, as well as reports to
Congress and OMB on legislative proposals affecting FEMA,
background material, drafts, reviews, minutes of meetings,
and position papers.
LEG-12-1 Cut off file at close of Congress in N1-311-86-1
Master files of bills of interest (but that do not directly affect which legislation is enacted or 1F4a
FEMA-enabling legislation) kept by OGC and OCLA (file items dropped. Retire to FRC at close of
kept by each group are unique). second successive Congress.
Destroy 20 years after cutoff.

LEG-12-2 Files kept by other FEMA offices which initiate or review Cut off file at close of Congress in N1-311-86-1
FEMA's legislative proposals. which legislation is enacted or 1F4b
dropped. Destroy 10 years after
cutoff.

LEG-12-3 Master files kept in OGC and OCLA of bills and legislative PERMANENT. Cut off file at close of PENDING
procedures directly affecting FEMA-enabling legislation, as Congress in which legislation is FROM NARA
well as summary reports of this legislation prepared by enacted or dropped. Transfer
FEMA. directly to the National Archives 30
years after cutoff.
NOTE: Bills enacted by Congress may not be printed until after Congress in which enacted. These bills should be filed with the
Congress that voted to enact the legislation, i.e., bills enacted by 103rd Congress are kept in 103rd file, regardless of publishing
date.
LEG-12-4 Word Processing and e-mail files. Delete when recordkeeping copies PENDING
are filed. FROM NARA

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LEG-13 Legal Decision, Opinion, and Interpretation Files.

Documents relating to legal opinions, interpretations,
rulings, and advice on FEMA programs and operations to
FEMA officials, officials of other Federal agencies and states,
members of Congress, and the general public.

LEG-13-1 Formal opinions of the General Counsel. Arrange PERMANENT. Cut off at end of N1-311-86-1
chronologically. calendar year in which opinion is 1F5a
issued. Retire to FRC 3 years after
cutoff. Transfer to National Archives
in 5-year blocks 20 years after
cutoff.

LEG-13-2 Background files relating to the development of legal opinions Cut off at end of calendar year. N1-311-86-1
described in LEG-13-1. Retire to FRC 5 years after cutoff. 1F5b
Destroy 10 years after cutoff.

LEG-14 Legal Activity Report Files. Weekly reports prepared by the Destroy when 3 years old or when N1-311-86-1
General Counsel on the activities of the office to keep no longer needed for reference, 1F6
superiors informed of OGC activities. whichever is later.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LEG-15 Financial Disclosure Reports. Reports and related

documents submitted by individuals as required under the
Ethics in Government Act of 1978 (PL 95-521).

LEG-15-1 Records including SF 278A for individuals filing according to Destroy 1 year after nominee ceases GRS 1, 24a(1)
Section 201b of the Act, and not subsequently confirmed by to be under considerations for
the United States Senate. appointment; EXCEPT that
documents needed in an ongoing
investigation will be retained until
no longer needed in the
investigation.

LEG-15-2 All other records including SF 278. Destroy when 6 years old; EXCEPT GRS 1, 24a(2)
that documents needed in an
ongoing investigation will be
retained until no longer needed in
the investigation.

LEG-15-3 All other statements of employment and financial interests Destroy when 6 years old; EXCEPT GRS 1, 24b
and related records, including confidential statements filed that documents needed in an
under Executive Order 11222. ongoing investigation will be
retained until no longer needed in
the investigation.

NOTE: See TRV-8 for semiannual reports to the Office of Government Ethics on non-Federally funded travel.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LEG-15-4 Electronic Mail and Word Processing System Copies of

Financial Disclosure Records. Electronic copies of records
that are created on electronic mail and word processing
systems and used solely to generate a recordkeeping copy of
the financial disclosure records covered in this schedule.
Also includes electronic copies of records created on
electronic mail and word processing systems that are
maintained for updating, revision, or dissemination.
LEG-15-4-1 Destroy/delete within 180 days after GRS 1, 43a
Copies that have no further administrative value after the the recordkeeping copy has been
recordkeeping copy is made. Includes copies maintained by produced.
individuals in personal files, personal electronic mail
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that are
used only to produce the recordkeeping copy.

LEG-15-4-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 1, 43b
maintained in addition to the recordkeeping copy. revision, or updating is completed.

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5-19. Liaison (LIA).

This schedule covers records relating to correspondence and agreements with State, local, and foreign governments.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LIA-1 State and Local Government Files. Routine correspondence Destroy when no longer needed. N1-311-86-1
with 1B4
Error! No table of contents entries found.governors,
mayors, and other State and local officials as well as private
citizens relating to FEMA programs.

LIA-2 Country Files. Documents accumulated in providing Cut off at end of calendar year. N1-311-86-1
assistance and advice to foreign governments on matters Retire to FRC 5 years after cutoff. 1B5
pertaining to FEMA programs. Included are documents Destroy 10 years after cutoff.
relating to foreign requests for technical assistance, loans of
equipment, and coordination of programs for foreign visitors.

LIA-3 United States-Canada Civil Emergency Planning Committee PERMANENT. Cut off at end of N1-311-86-1
Files. Documents created in planning and making calendar year. Transfer directly to 1B6
arrangements for cooperative and material assistance National Archives in 5-year blocks
between the United States and Canada during civil defense 20 years after cutoff.
emergencies. Included are minutes, agendas, and reports of
the United States-Canada Advisory Committee. Arrange
alphabetically by subject.

LIA-4 United States-Mexico Agreement Files. Documents PERMANENT. Cut off at end of N1-311-86-1
accumulated in planning and making arrangements for calendar year. Transfer directly to 1B7
cooperative and mutual assistance between the United States National Archives in 5-year blocks
and Mexico relating to common border regions. Arrange 20 years after cutoff.
alphabetically by subject.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LIA-5 AID Files. Correspondence dealing specifically with the Destroy when obsolete or no longer N1-311-86-1
Agency for International Development. needed. 1B8

LIA-6 Dignitary Visitor Files. Correspondence and itineraries Destroy when 5 years old. N1-311-91-2
concerning visits by dignitaries, such as: city, State,
municipal, and foreign government officials.

LIA-7 FEMA Preservation Officer Files. Files of historical and art (See sub-categories for disposition)
preservation as it relates to disaster mitigation and recovery.

LIA-7-1 Policy Files. Documents on the formulation, preparation, PERMANENT. Cut off at the end of N1-311-95-3
issuance, and interpretation of FEMA preservation policies, the fiscal year in which policy was
as created or received by the Federal Preservation Officer. issued. Retire to the FRC when
Included are decision and point papers, correspondence, 3 years old. Transfer to the National
action plans, regulatory instructions, background materials, Archives in 5-year blocks when
etc. Files are arranged chronologically. oldest materials are 20 years old.

LIA-7-2 Agreement Files. Files containing agreements between FEMA (See sub-categories for disposition)
and other government and private entities relating to the
provision of Federal financial and technical assistance in
response to disasters.
LIA-7-2-1 PERMANENT. Cut off at end of N1-311-95-3
Nationwide Programmatic Agreements. Agreements signed fiscal year in which agreement is
between FEMA and other Federal, state, and local entities superseded or closed out. Retire to
whereby FEMA agrees to provide broad financial and FRC 1 year after cutoff. Transfer to
technical assistance in the event of a disaster. These the National Archives 20 years after
agreements are arranged by state or region. cutoff.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LIA-7-2-2 Preservation Memorandums of Agreement. Agreements PERMANENT. Cut off at end of N1-311-95-3
signed between FEMA and other Federal, state, local, and fiscal year in which agreement is
private entities whereby FEMA agrees to provide specific superseded or closed out. Retire to
financial and technical assistance to specific buildings and FRC 1 year after cutoff. Transfer to
sites which have been damaged in disasters. These the National Archives 20 years after
agreements are arranged by FEMA Disaster Number. cutoff.

LIA-7-3 Historic Preservation Initiative Files. Case files on specific Cut off at the end of the fiscal year N1-311-95-3
sites and buildings to determine whether a specific site has in which initiative is assessed for
value and how it should be preserved. Files contain copies of Preservation Memorandum of
reports, draft reports, memoranda, correspondence, Agreement or deemed as
photographs, cost estimates, etc. inappropriate. Retire to the FRC
2 years after cutoff. Destroy when
20 years old.

LIA-8 Performance Partnership Agreements (PPAs). Signed (See sub-categories for disposition)
agreements between the President of the United States and
U.S. State Governors or their designated representatives.
The PPAs provide increased flexibility (consolidated funding
streams, elimination of micro-management, reduction of
wasteful paperwork) on how a program is run in exchange for
increased accountability (outcomes/outputs basic measure of
success, creation of funding and other incentives as a result
of Aperformance with results@) for increased accountability
for results.
LIA-8-1 PERMANENT. Cut off at termination N1-311-99-4
Master copies of PPAs. Original signed copies of FEMA PPAs date of PPA. Retire to the FRC
between U.S. President and State Governors, or their 2 years after cutoff. Transfer to the
designated representatives. Arrange alphabetically by State. National Archives when 20 years
No records in electronic mail or word processing forms are old.
created for this category.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LIA-8-2 PPA Correspondence Files. Correspondence and/or other Cut off at end of fiscal year. Retire N1-311-99-4
administrative records relating to the development and to FRC 5 years after cutoff. Destroy
establishment of the PPA process, its policies and basic 20 years after cutoff.
procedures, and management and evaluation of the PPA
process maintained at headquarters.

Word processing records. Delete when recordkeeping copies N1-311-99-4

are filed.

E-mail records. Delete when recordkeeping copies N1-311-99-4

are filed.

LIA-9 Cooperative Agreements (CA). FEMA negotiates a CA with (See sub-categories for disposition)
States to provide Federal assistance--funding and technical
assistance--to each State, or activities that contribute to the
accomplishment of State objectives identified in the PPA. The
CA provides the milestones by which FEMA and the States
chart progress toward achieving partnership objectives. All
State CAs are awarded and administered through FEMA
Regional Offices.
LIA-9-1 PERMANENT. Cut off when CA is N1-311-99-4
Master Copies of CAs. Arrange alphabetically by state. No superseded. Retire to FRC 3 years
records in electronic mail form are created for this category. after cutoff. Transfer to National
Archives 20 years after cutoff.

Delete when recordkeeping copies N1-311-99-4

Word Processing files. are filed.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

LIA-9-2 CA Correspondence Files. Correspondence and/or subject Cut off at the end of the fiscal year. N1-311-99-4
files including memoranda, studies, reports, and other Retire to FRC 5 years after cutoff.
records relating to the development and establishment of the Destroy 20 years after cutoff.
CA process, and basic procedures, and management and
evaluation.
Delete when recordkeeping copies N1-311-99-4
Word processing records. are filed.

Delete when no longer needed for N1-311-99-4

E-mail records. reference.

LIA-9-3 CA Financial Records. Financial records, supporting Destroy 6 years and 3 months after N1-311-99-4
documentation, statistical records, related general date of final settlement or
correspondence, and all financial reports. submission of final financial status
report, whichever is applicable.

Word processing records. Delete when recordkeeping copies N1-311-99-4

are filed.

Delete when recordkeeping copies N1-311-99-4

E-mail records. are filed.

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5-20. Natural and Technological Hazards (NTH).

This schedule covers records pertaining to natural and technological hazards not covered (with the exception of the Hurricane
Awareness Program) under the Disaster Relief Act of 1974. The National Earthquake Hazards Reduction Program is authorized
under Public Law 95-124. Other areas of concern include, but are not limited to, the Dam Safety Program (Executive Order 12148),
the Radiological Emergency Preparedness Program, and the Hurricane Vulnerability Program.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

NTH-1 Radiological Emergency Preparedness (REP) Files.

NTH-1-1 Policy Files. Documents generated on policies for developing, Destroy when policies reflected in N1-311-86-1
implementing, and evaluating Federal State, and local GM's are no longer effective or when 4A1a
government REP programs. The policies are developed in the the contents of GM's are subsumed
form of guidance memoranda (see REM-1) and primarily in another GM.
address accident at commercial power plants.

NTH-1-2 Docket Files (Headquarters). Documents generated in PERMANENT. Cutoff at end of fiscal N1-311-97-1
carrying out FEMA's responsibilities for off-site nuclear year. Retain current fiscal year and 1
power plant planning and preparedness under 44 CFR 350, last 4 years in the HQ office. Retire
including correspondence with governors, NRC, and other records, separated by facility, 5 years
Federal officials; certification of findings; interim findings; after cutoff, to the Washington
status reports to NRC; and Exercise and Interim Reports on National Records Center. Transfer to
Off-site Radiological Emergency Response Plans and the National Archives 20 years after
Preparedness. Arrange alphabetically by name of power the expected date for completion of
plant. decommissioning procedures.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

NTH-1-3 Docket Files (Regional). Documents generated at the regional Cutoff at end of fiscal year. Retain N1-311-97-1
level in carrying out FEMA's responsibilities for off-site current fiscal year and last 4 years in 2
nuclear power plant planning and preparedness under the Regional Office. Retire records,
44 CFR 350. Records include plans and exercise reviews and separated by facility, 5 years after
evaluations; correspondence with FEMA headquarters, cutoff, to the appropriate regional
Federal regional offices of other agencies such as the NRC, Federal Records Center. Destruction
and State and local government plans. Arrange date is 20 years after expected date
alphabetically by name of power plant. for completion of decommissioning
procedures.

NOTE: Regional offices should ensure that copies of the following types of material are included in the HQ (Permanent) files:
- Files that result in judicial decisions or legislation that affect the functions and activities of NRC and/or FEMA, e.g.,
Enrico Fermi No. 1 (Power Reactor Demonstration Co. Reactor);
- Files that result in significant changes in regulatory activities and procedures, e.g., Brown's Ferry; or,
- Files that were the subject of Congressional investigation or were of great public interest, e.g., TMI.

NTH-2 Integrated Emergency Management Information System Delete data when no longer needed. N1-311-86-1
(IEMIS) Files. IEMIS is a comprehensive electronic database 4A2
containing emergency planning, exercise, and response
tracking data for the resolution of deficiencies identified in
emergency preparedness plans for the REP program. The
database consists of 1:2,000,000 scale map of the United
States upon which is entered information on roads,
buildings, and other structures that influence the design of
evacuation plans.

NOTE: The database is used to experiment with various

evacuation scenarios, the final plans for which are filed
in the REP docket files.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

NTH-3 Dam Safety Program Files.

NTH-3-1 Program Development Files. Correspondence, reports, Destroy when no longer needed. N1-311-86-1
working files, studies, evacuation plans, and other staff- 4A3a
generated documents on the Dam Safety Program.

NTH-3-2 Interagency Committee on Dam Safety (ICODS) Files. ICODS

is an interagency committee consisting of representatives of
the Departments of the Army and Energy, NRC, Tennessee
Valley Authority, Mine Safety and Health Administration,
FEMA, and Army Corps of Engineers and chaired by the
FEMA representative.
NTH-3-2-1 PERMANENT. Transfer directly to N1-311-86-1
Verbatim transcripts and abstracts of special and quarterly National Archives when 20 years old. 4A3b(1)
meetings of ICODS and its subcommittees. Arrange
chronologically.

NTH-3-2-2 ICODS working papers. Destroy when no longer needed. N1-311-86-1

4A3b(2)

NTH-3-3 National Inventory of Dams.

NTH-3-3-1 A central electronic database of Federal and non-Federal PERMANENT. Annually, create a N1-311-92-8
dams which includes data regarding ownership, new database from inputs received. 1
characteristics, conditions and hazard classification used to Transfer prior year database with
facilitate supervision of dam safety programs. complete system documentation to
the National Archives.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

NTH-3-3-2 Input records which include National Inventory of Dams Delete or return to sender when data N1-311-92-8
Transmittal Files. has been entered into the database 2
and verified, or when no longer
needed to support reconstruction of,
or serve as back-up to, the database,
whichever is later.

NTH-4 National Earthquake Hazards Reduction Program Files.

NTH-4-1 Correspondence on vulnerability assessments, working files, Destroy when no longer needed. N1-311-86-1
drafts, standards, studies, work plans, and reports to 4A4a
Congress.

NTH-4-2 Verbatim transcripts and abstracts of quarterly meetings of PERMANENT. Transfer directly to N1-311-86-1
the Interagency Coordinating Committee of the National National Archives when 20 years old. 4A4b
Earthquake Hazards Reduction Program and its
subcommittees. This committee consists of representatives
from the US Geological Survey, National Science Foundation,
and National Institute of Standards and Technology and is
chaired by the FEMA representative. Arrange
chronologically.

NTH-5 Hurricane Vulnerability Program Files.

NTH-5-1 Correspondence documenting program development, State Destroy when no longer needed. N1-311-86-1
projects, and evacuation plans. 4A5a

NTH-5-2 Verbatim transcripts and abstracts of quarterly meetings of PERMANENT. Transfer directly to N1-311-86-1
the Interagency Coordinating Committee on Hurricanes and National Archives when 20 years old. 4A5b
its subcommittees. Arrange chronologically.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

NTH-6 Chemical Stockpile Emergency Preparedness Program (see subcategories for disposition)
(CSEPP). The CSEPP involves planning to augment existing
emergency preparedness capabilities for impacted State and
local communities. This program is administered through
the Cooperative Agreement (CA) program (see LIA-9).

NTH-6-1 CSEPP Exercises.

NTH-6-1-1 Final Exercises and Plans, to include the final pre-exercise

evaluation plan, Control Staff instructions, Master Scenario
Events Lists, Implementers, and other ancillary materials for
conducting the exercise, and the Final Evaluation Report on
each CSEPP exercise performed by FEMA in conjunction with
Department of the Army and State and local governments.
Arranged by exercise.
PERMANENT. Cutoff after N1-311-99-2
Hardcopy records. publishing of final report. Retire to 1a(1)
the FRC 6 months after cutoff.
Transfer to the National Archives 20
years after cutoff.
N1-311-99-2
Word processing and e-mail records. Delete when recordkeeping copies are 1a(2)
filed.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

NTH-6-1-2 Notes and material produced and collected while conducting

the exercises that is used as background for the final report.

Hardcopy records. Cutoff after publishing of final report. N1-311-99-2

Destroy when 2 years old, or when 1b(1)
no longer needed, whichever is
sooner.
N1-311-99-2
Word Processing and E-mail records. Destroy when recordkeeping copies 1b(2)
are filed.

NTH-6-2 CSEPP Correspondence. Correspondence with other Federal,

State, and local officials.

Hardcopy records. Cutoff at end of the fiscal year. N1-311-99-2

Retire to the FRC 5 years after cutoff. 2a
Destroy 20 years after cutoff.

Word processing records. Cutoff at end of fiscal year. Delete N1-311-99-2

20 years after cutoff. 2b

E-mail records. Cutoff at end of fiscal year. Maintain N1-311-99-2

electronic copy of any substantive e- 2c
mail message in ASCII format.
Delete 20 years after cutoff.

NOTE: CSEPP financial records are kept with the Cooperative Agreement (CA) files under which the funding is administered (LIA-9).
CSEPP training records are kept under TNG-1-1 of this manual.

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 FEMA Manual 5400.2 February 29, 2000

5-21.Organization, Planning, and Management (OPM).

This schedule covers workforce management studies, evaluation background files, FTE staff year allocations and usage, and
organization management analyses files.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

OPM-1 Evaluation Background Files. Correspondence, working Destroy when final product is N1-311-86-1
papers, and reference files pertaining to the evaluation of approved. 1A1
FEMA staff position papers preparatory to submission of final
product. Records copy of final product is maintained by the
originating program office.

OPM-2 Organization Change Logs. Logs listing detailed information Destroy when superseded or obsolete. N1-311-86-1
regarding the status of organization change actions in the 1E1
current fiscal year.

OPM-3 Organizational Change History. Chronological summaries of Destroy when superseded or obsolete. N1-311-86-1
FEMA organizational changes from June 1981 to date. 1E2

OPM-4 On-Board Employee Count by Budget Activity and Program. Destroy when superseded or obsolete. N1-311-86-1
Summaries of on-board count of all FTE's by program for the 1E3
most recent 5- month period.

OPM-5 Program Strength Reports. Detailed on-board count of all Destroy when superseded or obsolete. N1-311-86-1
FTE's sorted by program code. 1E4

OPM-6 Organizational Strength Reports. Detailed on-board count of Destroy when superseded or obsolete. N1-311-86-1
all FTE's, sorted by organization code. 1E5

163
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

OPM-7 Reports on On-Board Strength of Full-time Employees.

Summaries of on-board count of all FTE's by major
organization.
OPM-7-1
Destroy when superseded or obsolete. N1-311-86-1
End-of-year reports.
1E6a
OPM-7-2
Destroy when superseded or obsolete. N1-311-86-1
All other reports.
1E6b

OPM-8 Duty Stations Strength Reports. Summaries of on-board Destroy when superseded or obsolete. N1-311-86-1
count of all FTE's by duty station. 1E7

OPM-9 FEMA Organization Titles and Codes. Listing of authorized Destroy when superseded or obsolete. N1-311-86-1
combinations of FEMA organization titles, codes, and fixed 1E8
account numbers.

OPM-10 Full-Time Equivalent (FTE) Usage Summary Reports. Destroy when superseded or obsolete. N1-311-86-1
Summaries of FTE usage by major organization. 1E9

OPM-11 Full-Time Equivalent Hours Report. Summaries of FTE Destroy when superseded or obsolete. N1-311-86-1
hours by employee and organization. 1E10

OPM-12 FEMA Program Usage Reports. Summaries of FTE hours by Destroy when superseded or obsolete. N1-311-86-1
budget program. 1E11

OPM-13 Integrated Staff-Year Information System (ISIS) Reporting Destroy when superseded or obsolete. N1-311-86-1
System Reports. Summaries of agency FTE usage and 1E12
projection by major organization budget activity and
program. There are nine different reports detailing various
parameters.

164
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

OPM-14 Average Grade Reports. Listing of average grade and grade Destroy when superseded or obsolete. N1-311-86-1
distribution by major FEMA unit. 1E13

OPM-15 FEMA Personnel Loss Reports. Summaries of agency Destroy when superseded or obsolete. N1-311-86-1
personnel losses. 1E14

OPM-16 Impending Scheduled Loss Reports. Lists of scheduled Destroy when superseded or obsolete. N1-311-86-1
personnel losses. 1E15

OPM-17 Organization/Staffing Profiles. Reports with and without Destroy when superseded or obsolete. N1-311-86-1
SSN, on FTE data to lowest organizational level. 1E16

OPM-18 Administration Transition Files. Materials prepared by the PERMANENT. Retire final transition N1-311-95-2
departing administration to prepare the incoming staff about books/papers to the FRC 2 years 1
FEMA organization and functions, issues, and priorities. after transition. Transfer to the
Arranged by transition. National Archives 20 years after the
transition. Routine and mundane
items will be destroyed by the
National Archives during archival
processing.

165
FEMA Manual 5400.2 February 29, 2000

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166
 FEMA Manual 5400.2 February 29, 2000

5-22. Personnel and Payroll (PER).

This schedule covers the following:

a. Official personnel folders of civilian employees and other records relating to civilian personnel, wherever located in FEMA;

b. Personnel files of the FEMA Advisory Board; and

c. Payroll and leave records.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-1 Official Personnel Folders. Records filed on the right side of

the Official Personnel Folder (OPF). (See PER-12 for
temporary papers on the left side of the OPF.) Folders
covering employment terminated after December 31, 1920,
EXCLUDING those selected by the National Archives and
Records Administration for permanent retention.

PER-1-1 Transferred employees. See Chapter 7 of the Guide to GRS 1, 1a

Personnel Recordkeeping for
instructions relating to folders of
employees transferred to another
agency.

PER-1-2 Separated employees. Transfer folder to National Personnel GRS 1, 1b

Records Center (NPRC), St. Louis,
Missouri, 30 days after latest
separation. NPRC will destroy
65 years after separation from
Federal service.

PER-2 FEMA Advisory Board Member Personnel Files. Records Cut off when member leaves board. N1-311-86-1
pertaining to background of board members with information Destroy 1 year after cutoff. 5A2b
on their activities during their membership on the board.

167
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-3 Public Organization Files. Documents relating to official Destroy when 2 years old or when no N1-311-86-1
participation by FEMA employees in public or private longer needed, whichever is sooner. 1K14
organizations, or dealings with such groups.

PER-4 Category no longer applicable to FEMA and therefore GRS 1, 2b

withdrawn December 23, 1998, GRS Transmittal 8.

PER-5 Personnel Correspondence Files. Correspondence, reports, Destroy when 3 years old. GRS 1, 3
and other records relating to the general administration and
operation of personnel function, but EXCLUDING records
specifically described elsewhere in this schedule and records
maintained at agency staff planning levels.

PER-6 Offers of Employment Files. Correspondence, including

letters and telegrams, offering appointments to potential
employees.
PER-6-1 Destroy when appointment is GRS 1, 4a
Accepted offers. effective.

PER-6-2 Declined offers.

PER-6-2-1 When name is received from certificate of eligibles from OPM. Return to OPM with reply and GRS 1, 4b(1)
application.

PER-6-2-2 Temporary or excepted appointment. File with application (see PER-17). GRS 1, 4b(2)

PER-6-2-3 All others. Destroy immediately. GRS 1, 4b(3)

168
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-7 Certificate of Eligibles Files. Copies obtained from OPM of Destroy when 2 years old. GRS 1, 5
certificates of eligibles with related requests, forms,
correspondence, and statement of reasons for passing over a
preferenced eligible and selecting a nonpreferenced eligible.

PER-8 Employee Records Cards. Employee records cards used for Destroy on separation or transfer of GRS 1, 6
informational purposes outside personnel offices (such as employee.
SF 7-B).

PER-9 Position Classification Files.

PER-9-1 Standards and guidelines issued or reviewed by OPM and Destroy when superseded or GRS 1, 7a(1)
used to classify and evaluate positions within FEMA. obsolete.

PER-9-2 Correspondence and other records relating to the

development of standards for classification of positions
peculiar to FEMA and OPM approval or disapproval.

PER-9-2-1 Case files. Destroy 5 years after position is GRS 1,

abolished or description is 7a(2)(a)
superseded.

PER-9-2-2 Review files. Destroy when 2 years old. GRS 1,

7a(2)(b)

PER-9-3 Position Descriptions. Record copy of position descriptions Destroy 2 years after position is GRS 1, 7b
which include information on title, series, grade, duties, and abolished or description superseded.
responsibilities, and related documents.

169
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-9-4 Survey files.

PER-9-4-1 Classification survey reports on various positions prepared Destroy when 3 years old or 2 years GRS 1, 7c(1)
by classification specialists, including periodic reports. after regular inspection, whichever is
sooner.

PER-9-4-2 Inspection, audit, and survey files including correspondence, Destroy when superseded or GRS 1, 7c(2)
reports, and other records relating to inspections, surveys, obsolete.
desk audits, and evaluations.

PER-9-5 Appeals files.

PER-9-5-1 Case files relating to classification appeals, EXCLUDING OPM Destroy 3 years after case is closed. GRS 1, 7d(1)
classification certificate.

PER-9-5-2 Certificates of classification issued by OPM. Destroy after affected position is GRS 1, 7d(2)
abolished or superseded.

PER-10 Interview Records. Correspondence, reports, and other Destroy 6 months after transfer or GRS 1, 8
records relating to interviews with employees. separation or employee.

PER-11 Performance Rating Board Case Files. Copies of case files Destroy 1 year after case is closed. GRS 1, 9
forwarded to OPM relating to performance rating board
reviews.

170
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-12 Temporary Individual Employee Records.

PER-12-1 All copies of correspondence and forms maintained on the left Destroy upon separation or transfer GRS 1, 10a
side of the Official Personnel Folder in accordance with of employee or when 1 year old,
Chapter 3 of The Guide to Personnel Recordkeeping, whichever is sooner. See PER-25 for
EXCLUDING the Immigration and Naturalization Service disposition of temporary
Form I-9 and performance related records. performance-related records.

PER-12-2 Immigration and Naturalization Service Form I-9. GRS 1, 10b

Destroy 3 years after employee
separates from service or transfers to
another agency.

PER-13 Position Identification Strips. Strips such as SF 7D used to Destroy when superseded or GRS 1, 11
provide summary data on each position occupied. obsolete.

PER-14 Employee Award Files. General awards records, EXCLUDING

those relating the agency-level awards.

PER-14-1 Case files including recommendations, approved Destroy 2 years after approval or GRS 1,
nominations, correspondence, reports, and related disapproval. 12a(1)
handbooks pertaining to FEMA-sponsored case and noncash
awards such as incentive awards, within-grade merit
increases, suggestions, and outstanding performance.

PER-14-2 Correspondence pertaining to awards from other Federal Destroy when 2 years old. GRS 1,
agencies or non-Federal organizations. 12a(2)

PER-14-3 Length of service and sick leave awards, including Destroy when 1 year old. GRS 1, 12b
correspondence, reports, computations or service and sick
leave, and list of awardees.

171
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-14-4 Letters of commendation and appreciation recognizing length Destroy when 2 years old. GRS 1, 12c
of service and retirement and letters of appreciation and
commendation for performance, EXCLUDING copies filed in
the OPF.

PER-14-5 Lists or indexes to FEMA award nominations. Destroy when superseded or GRS 1, 12d
obsolete.

PER-15 Incentive Awards Program Reports. Reports pertaining to the Destroy when 3 years old. GRS 1, 13
operation of the Incentive Awards Program.

PER-16 Notifications of Personnel Actions. Standard Form 50,

documenting all individual personnel actions such as
employment, promotions, transfers, and separation,
EXCLUDING the copy in the OPF.

PER-16-1 Chronological file copies, including fact sheets, maintained in Destroy when 2 years old. GRS 1, 14a
personnel offices.

PER-16-2 All other copies maintained in personnel offices. Destroy when 1 year old. GRS 1, 14b

PER-17 Employment Applications. Applications (including OF 612), Destroy upon receipt of OPM GRS 1, 15
resumes, and any other applications that FEMA may develop inspection report or when 2 years
for unique jobs with specialized requirements, and related old, whichever is earlier.
records, EXCLUDING records relating to appointments
requiring Senatorial confirmation and applications resulting
in appointment which are filed in the OPF.

PER-18 Personnel Operations Statistical Reports. Statistical reports Destroy when 2 years old. GRS 1, 16
in the Offices of Personnel and Equal Opportunity and
regional/field office units relating to personnel.

172
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-19 Correspondence and Form Files. Personnel and Equal

Opportunity Office records relating to individual employees
not maintained in OPF's or provided for elsewhere in this
schedule.
PER-19-1 Destroy when action is completed. GRS 1, 17a
Correspondence and forms relating to pending personnel
actions.

PER-19-2 Retention registers and related records.

PER-19-2-1 Registers and related records used to effect reduction-in-force Destroy when 2 years old. GRS 1,
actions. 17b(1)

PER-19-2-2 Registers and related records from which no reductions-in- Destroy when superseded or GRS 1,
force actions have been taken. obsolete. 17b(2)

PER-19-3 All other correspondence and forms. Destroy when 6 months old. GRS 1, 17c

PER-20 Supervisor's Personnel Files and Duplicate OPF

Documentation.
PER-20-1 Review annually and destroy GRS 1, 18a
Supervisors' Personnel Files. Correspondence, forms, and superseded or obsolete documents;
other records relating to positions, authorizations, pending or destroy files relating to an
actions, copies of position descriptions, requests for individual employee within 1 year
personnel action, and records on individual employees after separation or transfer.
duplicated in or not appropriate for the OPF.

PER-20-2 Duplicate Documentation. Other copies of documents Destroy when 6 months old. GRS 1, 18b
duplicated in OPF's not provided for elsewhere in this
schedule.

173
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-21 Individual Non-Occupational Health Record Files. Forms, Destroy 6 years after date of last GRS 1, 19
correspondence, and other records, including summary entry.
records, documenting an individual employee's medical
history, physical condition, and visits to Government health
facilities for non-work related purposes, EXCLUDING records
covered by PER-23.

PER-22 Health Unit Control Files. Logs or registers reflecting daily

number of visits to dispensaries, first aid rooms, and health
units.
PER-22-1 Destroy 3 months after last entry. GRS 1, 20a
If information is summarized on statistical report.

PER-22-2 If information is not summarized. Destroy 2 years after last entry. GRS 1, 20b

PER-23 Employee Medical Folder (EMF). Long-term medical records (See subcategories and note, next
as defined in 5 CFR Part 293, subpart E. page)

PER-23-1 Transferred employees. GRS 1,

See 5 CFR part 293, subpart E for 21a(1)
instructions.

PER-23-2 Separated employees. Transfer to NPRC 30 days after GRS 1,

separation. NPRC will destroy 21a(2)
75 years after birth date of employee,
60 years after date of the earliest
document in the folder if the birth
cannot be ascertained, or 30 years
after latest separation, whichever is
later.

174
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-23-3 Temporary or short-term records as defined in the FPM. Destroy 1 year after separation or GRS 1, 21b
transfer of employee.

Individual employee health case files created prior to Destroy 60 years after retirement to
PER-23-4 GRS 1, 21c
establishment of the EMF system that have been retired to FRC.
an FRC.

PER-24 Statistical Summaries. Copies of statistical summaries and Destroy 2 years after date of GRS 1, 22
reports with related papers pertaining to employee health, summary or report.
retained by the reporting unit.

NOTE: Master files and databases created in central data processing facilities to supplement or replace the records covered by PER-23
and its subcategories and PER-24 are not authorized for disposal under PER-23 or PER-24. Such files must be scheduled for
disposal. Contact the Records Management Branch for further assistance.

PER-25 Employee Performance File System Records.

PER-25-1 Non-SES appointees (as defined in 5 USC 4301(2)).

PER-25-1-1 Appraisals of unacceptable performance, where a notice of Destroy after employee completes GRS 1,
proposed demotion or removal is issued by not effected, and 1 year of acceptable performance 23a(1)
all related documents. from the date of the written advance
notice of proposed removal or
reduction in grade notice.

PER-25-1-2 Performance records superseded through an administrative, Destroy upon supersession. GRS 1,
judicial, or quasi-judicial procedure. 23a(2)

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-25-1-3 Performance-related records pertaining to a former employee.

Latest rating of record 3 years old or less and performance Place records on left side of OPF and GRS 1,
PER-25-1-3-1 plan upon which it is based and any summary rating. forward to gaining Federal agency 23a(3)(a)
upon transfer, or to NPRC if
employee separates (see PER-1-2).
After retrieving an OPF from NPRC,
dispose of these documents in
accordance with PER-25-1-3-2.

PER-25-1-3-2 All other performance plans and ratings. Destroy when 4 years old. GRS 1,
23a(3)(b)

PER-25-1-4 All other summary performance appraisal records, including Destroy 4 years after date of GRS 1,
performance appraisals and job elements and standards appraisal. 23a(4)
upon which they are based.

PER-25-1-5 Supporting documents. Destroy 4 years after date of GRS 1,

appraisal. 23a(5)

PER-25-2 SES appointees (as defined in 5 USC 3132a(2)).

PER-25-2-1 Performance records superseded through an administrative, Destroy when superseded. GRS 1,
judicial, or quasi-judicial procedure. 23b(1)

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-25-2-2 Performance-related records pertaining to a former SES

appointee.
PER-25-2-2-1 Place records on left side of the OPF GRS 1,
Latest rating of record that is less than 5 years old, and forward to gaining Federal 23b(2)(a)
performance plan upon which it is based, and any summary agency upon transfer, or to NPRC if
rating. employee leaves Federal service (see
PER-1-2). After retrieving and OPF
from NPRC, dispose of those
documents in accordance with
PER-25-2-2-2.

PER-25-2-2-2 All other performance plans and ratings. Destroy when 5 years old. GRS 1,
23b(2)(b)

PER-25-2-3 All other performance appraisals, along with job elements Destroy 5 years after date of GRS 1,
and standards (job expectations) upon which they are based, appraisal. 23b(3)
EXCLUDING those for SES appointees serving on a
Presidential appointment (5 CFR 214).

PER-25-2-4 Supporting documents. Destroy 5 years after date of GRS 1,

appraisal. 23b(4)

NOTE: Performance records pertaining to Presidential appointees are not covered by this schedule item. Contact the Records
Management Branch for assistance.

PER-26 Personnel Counseling Records.

PER-26-1 Counseling Files. Reports of interviews, analyses, and Destroy 3 years after termination of GRS 1, 26a
related records. counseling.

177
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-26-2 Alcohol and Drug Abuse Program. Records created in Destroy when 3 years old. GRS 1, 26b
planning, coordination, and directing an alcohol and drug
abuse program.

PER-27 Standards of Conduct Files. Correspondence, memoranda, Destroy when superseded or GRS 1, 27
and other records relating to codes of ethics and standards of obsolete.
conduct.

PER-28 Labor Management Relations Board.

PER-28-1 Labor Management Relations Board general and case files,

including correspondence, memoranda, reports, and other
records relating to the relationship between management and
employee unions or other groups.

PER-28-1-1 Office negotiating agreement. Destroy 5 years after expiration of GRS 1,

agreement. 28a(1)

PER-28-1-2 Other offices. Destroy when superseded or GRS 1,

obsolete. 28a(2)

PER-28-2 Labor arbitration general and case files, including Destroy 5 years after final resolution GRS 1, 28b
correspondence, forms, and background papers, relating to of case.
labor arbitration cases.

178
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-29 Grievance, Disciplinary, and Adverse Action Files.

PER-29-1 Administrative Grievance Files (5 CFR 771). Records relating Destroy 7 years after case is closed. GRS 1, 30a
to grievances raised by FEMA employees, except EEO
complaints. These case files include statements of witnesses,
reports or interviews and hearings, examiner's findings and
recommendations, a copy of the original decision, related
correspondence and exhibits, and records relating to a
reconsideration request.

PER-29-2 Adverse Action Files (5 CFR 752) and Performance-Based Destroy 7 years after case is closed. GRS 1, 30b
Actions (5 CFR 432). Case files and records related to
adverse actions and performance-based actions (removal,
suspension, reduction-in-grade, furlough) against employees.
The file includes a copy of the proposed adverse action with
supporting documents; statements of witnesses; employee's
reply; hearing notices, reports, and decisions; reversal of
action; and appeal records, EXCLUDING letters of reprimand
which are filed in the OPF.

PER-30 Personal Injury Files. Forms, reports, correspondence, and Cut off on termination of GRS 1, 31
related medical and investigatory records relating to on-the- compensation or when deadline for
job injuries, whether or not a claim for compensation was filing a claim has passed. Destroy 3
made, EXCLUDING copies filed in the Employee Medical years after cutoff.
Folder and copies submitted to the Department of Labor.

PER-31 Merit Promotion Case Files. Records relating to the Destroy after OPM audit or 2 years GRS 1, 32
promotion of an individual that document qualification after the personnel action is
standards, evaluation methods, selection procedures, and completed, whichever is sooner.
evaluations of candidates, EXCLUDING any records that
duplicate information in the promotion plan, in the OPF, or
in any other personnel records.

179
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-32 Examining and Certification Records. Delegated agreements

and related records created under the authority of
5 USC 1104 between the Office of Personnel Management
and agencies allowing for the examination and certification of
applicants for employment.
PER-32-1 Destroy 3 years after termination of GRS 1, 33a
Delegated agreements. agreement.

PER-32-2 Correspondence concerning applications, eligibles Cut off annually. Destroy 1 year GRS 1, 33b
certification, and all other examining and recruiting after cutoff.
operations including but not limited to correspondence from
the Congress, White House, and general public; and
correspondence regarding accommodations for holding
examinations and shipments of test materials.

PER-32-3 Test Material Stock Control. Stock control records of Destroy when test is superseded or GRS 1, 33c
examination test material including running inventory of test obsolete.
material in stock.

PER-32-4 Application Record Card (OPM Form 5000A, or equivalent). Cut off after examination. Destroy GRS 1, 33d
no later than 90 days after cutoff.

PER-32-5 Examination Announcement Case Files. Correspondence Destroy 5 years after termination of GRS 1, 33e
regarding examination requirements, original drafts of related register.
examination, and announcements issued EXCLUDING
records concerning qualification standards, job
specifications, and their developments.

180
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-32-6 Register of eligibles (OPM Form 5001C or equivalent, Cut off records on individuals with GRS 1, 33f
documenting eligibility or an individual for Federal jobs). terminated eligibility annually.
Destroy 5 years after cutoff. When
entire register is terminated, destroy
5 years after termination date.
(Registers established under case
examination: destroy after audit by
local OPM area office or 90 days after
final action is taken on the
certificate, whichever is sooner.)

PER-32-7 Letters to applicants denying transfer of eligibility Cut off annually. Destroy 1 year GRS 1, 33g
OPM Form 4896 or equivalent. after cut off.

PER-32-8 Canceled and ineligible applications, supplemental forms, Ineligible applications may be GRS 1, 33h
and attachments. returned to the applicant with the
notice or ineligibility, unless
otherwise directed by the local OPM
office. Destroy ineligible applications
not returned and canceled
applications 90 days after date of
action or when register is terminated,
whichever is sooner.

PER-32-9 Test Answer Sheets. Written test answer sheets for both Destroy when 6 months old. GRS 1, 33i
eligibles and ineligibles. Filed by date of processing.

PER-32-10 Lost or Exposed Test Material Case Files. Records showing Cut off annually. Destroy 5 years GRS 1, 33j
the circumstances of loss, nature of the recovery action, and after cutoff.
corrective action required.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-32-11 Eligible Applications.

PER-32-11-1 On Active register. Destroy upon termination of the GRS 1,

register (except applications that may 33k(1)
be brought forward to new register, if
any).

PER-32-11-2 On inactive register. Destroy 1-12 months after eligibles GRS 1,

are placed on inactive register, 33k(2)
depending on space availability and
difficulty of replacing the application
for restoration.

PER-32-12 Request for prior approval of personnel actions taken by Cut off annually. Destroy 1 year GRS 1, 33l
FEMA on such matters as promotion, transfer, after cutoff.
reinstatement, or change in status submitted by SF 59, or
equivalent form.

PER-32-13 Certificate Files. SF 39, SF 39A, or equivalent and all papers Cut off annually. Destroy 5 years GRS 1, 33m
upon which the certification was based; detailed rating after cutoff.
schedule, record of selective and quality ranking factors
used, lists of eligibles screened for the vacancies, rating
assigned, availability statements, and other documentation
material designated by the examiner of retention. It is
recommended that both the file copy and the audited report
copy of the certificate be kept in this file. Files should be
arranged to permit reconstruction or validation of actions
taken in the event of appeal or legal action.

PER-32-14 Certification request control index. Cut off annually. Destroy 1 year GRS 1, 33n
after cutoff.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-32-15 Interagency Placement Program (IPP) application and Destroy upon expiration of GRS 1, 33o
registration sheet. employee's DEP eligibility.

PER-32-16 DEP control cards, if maintained. Cut off annually. Destroy 2 years GRS 1, 33p
after cutoff.

PER-32-17 Reports of audits of delegated examining operations. Destroy 3 years after date of the GRS 1, 33q
report.

PER-33 Occupational Injury and Illness Files. Reports and logs Destroy when 5 years old. GRS 1, 34
(including OSHA Forms 100, 101, 102, and 200, or
equivalents) maintained as prescribed in 29 CFR 1960 and
OSHA pamphlet 2014 to document all recordable
occupational injuries and illnesses for each establishment.

PER-34 Denied Health Benefits Claims. Denied eligibility files

consisting of applications, court orders, denial letters, appeal
letters, and related papers. (Also see the NOTE on the next
page.)
PER-34-1 Destroy 3 years after denial. GRS 1, 35a
Health benefits denied, not appealed.

PER-34-2 Health benefits denied, appealed to OPM for reconsideration.

PER-34-2-1 Appeal successful - benefits granted. Create enrollment file in accordance GRS 1,
with subchapter S17 of the FEHB 35b(1)
Handbook.

PER-34-2-2 Appeal unsuccessful - benefits denied. Destroy 3 years after denial. GRS 1,
35b(2)

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

NOTE: Pursuant to subchapter S17 of the FEHB Handbook, enrollment files of spouses eligible for benefits are transferred to OPM when
former spouse cancels the enrollment, when enrollment is terminated by FEMA, or when former spouse begins receiving an annuity
payment.

PAYROLL RECORDS

PER-35 Individual Employee Pay Records.

PER-35-1 Pay record for each employee as maintained in an electronic Update elements and/or entire GRS 2, 1a
database. This database may be a stand-alone payroll record as required.
system or part of a combined personnel/payroll system.

PER-35-2 Individual Pay Record, containing pay data on each employee Transfer to NPRC. Destroy when GRS 2, 1b
within an agency. This record may be in paper or microform 56 years old.
but not in machine readable.

PER-36 Payroll Correspondence Files. Correspondence between Destroy when 2 years old. GRS 2, 24
agency and payroll processor regarding general, routine
administrative issues that do not relate to individual
payments.

PER-37 Time and Attendance Source Records. All hardcopy time and Destroy after GAO audit or when GRS 2, 7
attendance records upon which leave input data is based, 6 years old, whichever is sooner.
such as time or sign-in sheets; time cards (such as OF 1130);
flexitime 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.

184
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-38 Time and Attendance Input Records.

PER-38-1 Records in machine readable form used to input time and Destroy after GAO audit or when GRS 2, 8
attendance data into the payroll system, as maintained in 6 years old, whichever is sooner.
HR-WP.

PER-38-2 Diskette copies of payroll preparation and processing as Delete or overwrite when 90 days old. N1-311-99-3
maintained by individual timekeepers.

PER-39 Direct Deposit Sign-up Form (SF 1199A). Destroy when superseded or after GRS 2, 17
separation of employee.

PER-40 Savings Bond Purchase Files.

PER-40-1 US Savings Bond Authorization, SF 1192 or equivalent Destroy when superseded or after GRS 2, 14a
separation of employee.

PER-40-2 Bond registration files: issuing agent's copies of bond Destroy 4 months after date of GRS 2, 14b
registration stubs. issuance of bond.

PER-40-3 Bond receipt and transmittal files: receipts for and Destroy 4 months after date of GRS 2, 14c
transmittals of US Savings Bonds. issuance of bond.

PER-41 Combined Federal Campaign and Other Allotment

Authorizations.
PER-41-1 Destroy after GAO audit or when GRS 2, 15a
Authorization for individual allotment to the Combined 3 years old, whichever is sooner.
Federal Campaign.

PER-41-2 Other authorizations, such as union dues and savings. Destroy after GAO audit or when GRS 2, 15b
3 years old, whichever is sooner.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-42 Leave Application Files. Application for leave (SF 71 or

equivalent) and supporting documents relating to requests
for and approval of taking leave.

PER-42-1 If timecard has been initialed by employee. Destroy at end of the following pay GRS 2, 6a
period.

PER-42-2 If timecard has not been initialed by employee. Destroy after GAO audit or when GRS 2, 6b
3 years old, whichever is sooner.

PER-43 Leave Record.

PER-43-1 Record of employee leave, such as SF 1150, prepared upon File on right side of OPF. See PER-1. GRS 2, 9a
transfer or separation.

PER-43-2 Agency copy, when maintained. Destroy when 3 years old. GRS 2, 10b

PER-44 Thrift Savings Plan Election Form. Form TSP-1 authorizing Destroy when superseded or after GRS 2, 16
deduction of employee contribution to the Thrift Savings separation of employee.
Plan.

PER-45 Categories withdrawn by NARA August 1995. Reserved.

through
PER-50

186
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-51 Payroll System Reports.

PER-51-1 Error reports, ticklers, systems operation reports. Destroy when related actions are GRS 2, 22a
completed or when no longer needed,
not to exceed 2 years.

PER-51-2 Reports and data used for workload and personnel Destroy when 2 years old. GRS 2, 22b
management purposes.

PER-51-3 Reports providing fiscal information on agency payroll. Destroy after GAO audit or when GRS 2, 22c
3 years old, whichever is sooner.

PER-52 Tax Files.

PER-52-1 Withholding tax exemption certificates, such as IRS Form W- Destroy 4 years after form is GRS 2, 13a
4, and similar state tax exemption forms. superseded or obsolete, or upon
separation of employee.

PER-52-2 Agency copy of employee wages and tax statements, such as Destroy when 4 years old. GRS 2, 13b
IRS Form W-2 and state equivalents.

PER-52-3 Reports of withheld Federal taxes, such as IRS Form W-3, Destroy when 4 years old. GRS 2, 13c
with related papers, including reports relating to income and
social security taxes, and state equivalents.

PER-53 Retirement Assistance Files. Correspondence, memoranda, Destroy when 1 year old. GRS 1, 39
annuity estimates, and other records used to assist retiring
employees or survivors claim insurance or retirement
benefits.

187
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-54 Alternate Worksite Records.

PER-54-1 Approved requests or applications to participate in alternate Destroy 1 year after end of GRS 1, 42a
worksite program; agreements between the agency and the employee's participation in the
employee; and records relating to the safety of the worksite, program.
the installation and use of equipment, hardware, and
software, and the use of secure, classified information or data
subject to the Privacy Act.

PER-54-2 Unapproved requests. Destroy 1 year after request is GRS 1, 42b

rejected.

PER-54-3 Forms and other records generated by the agency or the Destroy when 1 year old, or when no GRS 1, 42c
participating employee evaluating the alternate worksite longer needed, whichever is later.
program.

PER-55 Levy and Garnishment Files. Official Notice of Levy or Destroy 3 years after garnishment is GRS 2, 18
Garnishment (IRS Form 668A or equivalent), change slip, terminated.
workpapers, correspondence, release and other forms, and
other records relating to charge against retirement funds or
attachment of salary for payment of back income taxes or
other debts of Federal employees.

PER-56 Wage Survey Files. Wage survey reports and data, Destroy after completion of second GRS 1, 38
background documents and correspondence pertaining to succeeding wage survey.
area wages paid for each employee class; 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
recapitalization sheets).

188
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-57 Federal Workplace Drug Testing Program Files. Drug testing

program records created under Executive Order 12564 and
PL 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 PL 100-71, Section 503(f).

PER-57-1 Drug test plans and procedures, with related drafts, Destroy when 3 years old or when GRS 1, 36a
correspondence, memoranda, and other records pertaining to superseded, obsolete (see note 2 at
the development of procedures for drug testing programs, the end of this section).
including the determination of testing incumbents in
designated positions, EXCLUDING documents that are filed
in record sets of formal issuances (directives, procedures
handbooks, operating manuals, and the like.)

PER-57-2 Employee Acknowledgment of Notice Forms. Forms Destroy when employee separates GRS 1, 36b
completed by employees whose positions are designated from testing-designated position (see
sensitive for drug testing purposes acknowledging that they note 2 at the end of this section).
have received notice that they may be tested.

PER-57-3 Selection/Scheduling Records. Records relating to the Destroy when 3 years old (see note 2 GRS 1, 36c
selection of specific employees/applicants for testing and the at the end of this section).
scheduling of tests. Included are lists of selectees,
notification letters, and testing schedules.

PER-57-4 Records relating to the collection and handling of specimens.

PER-57-4-1 "Permanent" Record Books. Bound books containing Destroy 3 years after date of last GRS 1,
identifying data on each specimen, recorded at each entry (see note 2 at the end of this 36d(1)
collection site in the order in which the specimens were section).
collected.

189
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-57-4-2 Chain of Custody Records. Forms and other records used to Destroy when 3 years old (see note 2 GRS 1,
maintain control and accountability of specimens from the at the end of this section). 36d(2)
point of collection to the final disposition of the specimen.

PER-57-5 Test results. Records documenting individual test results,

including reports of testing, notifications of
employees/applicants and employing offices, and documents
relating to follow-up testing.
PER-57-5-1
Positive results.
PER-57-5-1-1 Destroy when employee leaves the GRS 1,
Employees. agency or when 3 years old, 36e(1)(a)
whichever is later.
PER-57-5-1-2 GRS 1,
Applicants not accepted for employment. Destroy when 3 years old (see note 2 36e(1)(b)
at the end of this section).

PER-57-5-2 Negative results. Destroy when 3 years old. GRS 1, 36e(2)

NOTES: (1) Disciplinary action case files pertaining to action taken against employees for drug use, drug possession, failure to comply
with drug testing procedures, and similar matters are covered by PER-29-2 which provides for the destruction of records between
4 and 7 years after the case is closed.

(2) Any records covered by PER-57 that are relevant to litigation or disciplinary actions should be disposed of no earlier than
the related litigation or adverse action case file(s).

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-58 Donated Leave Program Case Files. Case files documenting Beginning in January 1994, destroy GRS 1, 37
the receipt and donation of leave for medical emergencies, 1 year after the end of the year in
including recipient applications, agency approvals or denials, which the file is closed.
medical or physician certifications, leave donation records or
OF 630A, supervisor/timekeeper approvals, leave transfer
records, payroll notification records, and leave program
termination records.

PER-59 Handicapped Individuals Appointment Case Files. Case files Destroy 5 years following the date of GRS 1, 40
containing position description; fully executed SF 171; approval or disapproval of each case.
medical examiner's report; a brief statement explaining
accommodation or impairment; and other documents related
to previous employment, certification, and/or acceptance or
refusal, created in accordance with FPM Chapter 306-11,
subchapter 4-2.

PER-60 Pay Comparability Records. Records created under Destroy 3 years following the date of GRS 1, 41
implementation of the Federal Employees Pay Comparability approval or upon completion of the
Act including written narratives and computerized relevant service agreement or
transaction registers documenting use of retention, allowance, whichever is later.
relocation and recruitment bonuses, allowances, and
supervisory differentials, and case files consisting of requests
for and approval of recruitment and relocation bonuses and
retention allowances.

191
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PER-61 Electronic Mail and Word Processing System Copies of

Personnel Records. Electronic copies of records that are
created on electronic mail and word processing systems and
used solely to generate a recordkeeping copy of the records
covered by the other items in this schedule. Also includes
electronic copies of records created on electronic mail and
word processing systems that are maintained for updating,
revision, or dissemination.
PER-61-1 Destroy/delete within 180 days after GRS 1, 43a
Copies that have no further administrative value after the the record keeping copy has been for items
recordkeeping copy is made. Includes copies maintained by produced. covered by
individuals in personal files, personal electronic mail GRS 1;
directories, or other personal directorates on hard disk or GRS 2, 31a
network drives, and copies on shared network drives that are for items
used only to produce the recordkeeping copy. covered
under GRS 2

PER-61-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 1, 43b
maintained in addition to the recordkeeping copy. revision, or updating is completed. for items
covered by
GRS 1;
GRS 2, 31b
for items
covered
under GRS 2

192
FEMA Manual 5400.2 February 29, 2000

5-23. Procurement and Contracting (PRC).

a. FEMA procurement and supply records document the acquisition of goods and nonpersonal services, control the volume
of stock on hand, reporting procurement needs, and related supply matters which are part of daily procurement operations. The
basic procurement files reflect a considerable range of procedure, from simple, small purchases to complicated prime contractor and
subcontractor operations.

b. The General Accounting Office (GAO) no longer requires agencies to maintain a separate file of contracts for site audit.
The agency contract files maintained in the contracting officer's office are accessible to GAO auditors and have generally been used
by them in the past.

c. When a claim is filed by or against the Government, records relating to the claim should be retained without regard to the
other applicable records retention schedules which would have authorized destruction of the records prior to the time when the
claim is finally resolved unless FEMA has received written approval from GAO (44 USC Section 3309 and 62 Comptroller General 42
(1982)). A claim is finally resolved: (1) when it is disallowed and the time for appealing the denial or instituting suit on the claim
has expired; or (2) when it is allowed and paid or the amount offered in compromise if accepted and paid; or (3) when the amount
found due and owing proves uncollectible because time limits for collecting the indebtedness through legal proceedings or by way of
setoff have expired.

d. The key procurement file is the transaction case file containing the formal contract or informal purchase order or lease
instruments and all related papers. The documents flowing into the transaction file differ in detail, but they include, in addition to
the purchase document, specifications, bids, schedules of delivery, the initiating requisition, invoices, and correspondence. Other
copies of these documents, made for expediting and other administrative purposes, are scattered throughout the inspection,
shipping, expediting, and other units of the agency procurement organization.

e. Other records related to the procurement and supply function include reports used for supply management purposes by
FEMA as well as the staff involved in Governmentwide programs. They also include local requisition and stock inventory files and
other minor supply papers. Of a specialized character in the procurement field are the title papers documenting the acquisition of
real property (by purchase, condemnation, donation, exchange, or otherwise.) These papers are required by the Government as long
as the property remains in Government hands or if it has been sold or released--conditionally or with recapture clauses. When
properties are disposed of by quitclaim deeds, this fact should be confirmed prior to the disposal of title papers, since the title
evidence might be needed by the Government to defend the title in the event the properties were disposed of by deeds contained
general or special warranties.

f. It should also be ascertained that the title evidence relates only to the properties which were sold by the Government. In
many instances, lands acquired by the Government are disposed of in different size parcels, and if the Government retains the title
to any portion the title evidence should be retained.

193
 FEMA Manual 5400.2 February 29, 2000

g. This series includes some of the common agency records relating to grant programs. Since FEMA conducts some grant
programs which document projects contracted between FEMA and an outside party, these records are included as an adjunct to the
procurement and supply records.

h. All records in this schedule are authorized for disposal in both hardcopy and electronic forms, as provided by the EDP
series.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRC-1 Real Property Files. Title papers documenting the acquisition

of real property (by purchase, condemnation, donation,
exchange, or otherwise), excluding records relating to
property acquired prior to January 1, 1921.

PRC-1-1 Records relating to property acquired after December 31, Dispose 10 years after unconditional GRS 3, 1a
1920, other than abstract or certificate of title. sale or release by the Government of
conditions, restrictions, mortgages,
or other liens.

PRC-1-2 Abstract or certificate of title. Transfer to purchaser after GRS 3, 1b

unconditional sale or release by the
Government or conditions,
restrictions, mortgages, or other
liens.

PRC-2 General Correspondence Files. Correspondence files of Destroy when 2 years old. GRS 3, 2
operating procurement units concerning internal operations
and administration matters not covered elsewhere in this
schedule.

194
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRC-3 Routine Procurement Files. Contract, requisition, purchase,

order, lease, and bond and surety records, including
correspondence and related papers pertaining to award,
administration, receipts, inspection, and payment (other than
those covered in PRC-1 and PRC-11.

PRC-3-1 Transaction dated on or after July 3, 1995 (the effective date

of the Federal Acquisition Regulations (FAR) rule defining
"simplified acquisition threshold").

PRC-3-1-1 Transactions that exceed the simplified acquisition threshold Destroy 6 years and 3 months after GRS 3,
and all construction contracts exceeding $2,000. final payment. 3a(1)(a)

PRC-3-1-2 Transactions at or below the simplified acquisition threshold Destroy 3 years after final payment. GRS 3,
and all construction contracts at or below $2,000. 3a(1)(b)

PRC-3-2 Transactions dated earlier than July 3, 1995

PRC-3-2-1 Transactions that utilize other than small purchase Destroy 6 years and 3 months after GRS 3,
procedures and all construction contracts exceeding $2,000. final payment. 3a(2)(a)

PRC-3-2-2 Transactions of $25,000 or less and construction contracts Destroy 3 years after final payment. GRS 3,
under $2,000, and related papers. 3a(2)(b)

NOTE: Given the complexities of the rules on procurement, agencies should involve procurement officials when deciding which of the
above listed subitems of PRC-3 to apply to a particular series of records.

PRC-3-3 Obligation copy. Destroy when funds are obligated. GRS 3, 3b

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRC-3-4 Other copies of records described above used by component Destroy upon termination or GRS 3, 3c
elements of a procurement office for administrative purposes. completion.

PRC-3-5 Data submitted to the Federal Procurement Data System Destroy or delete when 5 years old. GRS 3, 3d
(FPDS). Electronic data files maintained by fiscal year,
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.

PRC-4 Supply Management Files. Files of reports on supply

requirements and procurement matters submitted for supply
management purposes (other than those incorporated in case
files or other files of a general nature).

PRC-4-1 Copies received from other units for internal purposes or for Destroy when 2 years old. GRS 3, 4a
transmission to staff agencies.

PRC-4-2 Copies in other reporting units, and related working Destroy when 1 year old. GRS 3, 4b
documents.

PRC-5 Solicited and Unsolicited Bids and Proposals.

PRC-5-1 Successful bids and proposals. Destroy with related contract case GRS 3, 5a
files (PRC-3).

PRC-5-2 Solicited and unsolicited unsuccessful bids and proposals.

PRC-5-2-1 Relating to small purchases as defined in the Federal Destroy 1 year after date of award or GRS 3, 5b
Acquisition Regulation, 48 CFR Part 13. final payment, whichever is later.

196
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRC-5-2-2 Relating to transactions above the small purchase limitations Destroy when related contract is GRS 3,
in 48 CFR Part 13 when filed separately from contract case completed. 5b(2)(a)
files.

PRC-5-2-3 Relating to transactions above the small purchase limitations Destroy with related contract case file GRS 3,
in 48 CFR Part 13 when filed with contract case files. (PRC-3). 5b(2)(b)

PRC-5-3 Canceled Solicitation Files.

PRC-5-3-1 Formal solicitation of offers to provide products or services Destroy 5 years after date of GRS 3, 5c(1)
(e.g., Invitations for Bids, Requests for Proposals/Quotations) cancellation.
which were canceled prior to award of a contract. Included
are presolicitation documentation on any Government action
up to the time of cancellation, and evidence of the
cancellation.

PRC-5-3-2 Unopened bids. Return to bidder. GRS 3, 5c(2)

PRC-5-4 Lists or card files of acceptable bidders. Destroy when superseded or GRS 3, 5d
obsolete.

PRC-6 Reimbursable Agreement Contract Files. All contractual and Destroy 6 years and 3 months after N1-311-86-1
reimbursable agreements (under Memoranda of final action or reimbursement. 1K15
Understanding (MOU's) pertaining to work done for FEMA by
other Federal agencies, such as DoD and NSA.)

PRC-7 Nonpersonal Requisition Files. Requisitions for nonpersonal Destroy when 1 year old. GRS 3, 7
services, such as duplicating, laundry, binding, and other
services (excluding records associated with accountable
officers' accounts).

197
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRC-8 Inventory Requisition Files. Requisitions for supplies and

equipment for current inventory.

PRC-8-1 Stockroom copy. Destroy 2 years after completion or GRS 3, 8a

cancellation of requisition.

PRC-8-2 All other copies. Destroy when 6 months old. GRS 3, 8b

PRC-9 Inventory Files.

PRC-9-1 Inventory lists. Destroy 2 years from date of list. GRS 3, 9a

PRC-9-2 Inventory cards. Destroy 2 years after discontinuance GRS 3, 9b

of item or 2 years after stock balance
is transferred to new card or recorded
under a new classification, or 2 years
after equipment is removed from
FEMA's control.

PRC-9-3 Report of survey files and other papers under as evidence for Destroy 2 years after date of survey GRS 3, 9c
adjustment of inventory records, not otherwise covered in action or date of posting action.
this manual.

PRC-10 Contractor's Payroll Files. Contractors' payrolls (construction Destroy 3 years after date of GRS 3, 11
contracts) submitted in accordance with Labor Department completion of contract unless
regulations with related certifications, anti-kickback contract performance is subject of
affidavits, and other related papers. enforcement action on such date.

PRC-11 Tax Exemption Files. Tax exemption certificates and related Destroy 3 years after period covered GRS 3, 12
papers. by related account.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRC-12 Unsuccessful Grant Application Files. Applications, Destroy 3 years after rejection or GRS 3, 13
correspondence, and other records relating to unsuccessful withdrawal.
(rejected or withdrawn) applications.

PRC-13 Grant Files.

PRC-13-1 Grant Administrative Files. Correspondence, and/or subject Destroy when 2 years old. GRS 3, 14
files relating to routine operations and daily activities in
administration of the grant program.

PRC-13-2 USFA Grant and Cooperative Agreement Case Files. Files

created under PL 93-498 (as amended) in establishing,
administering, and evaluating grant programs and
cooperative agreements with individuals, private
organizations, and state and local agencies.
PRC-13-2-1 Cut off at end of fiscal year when N1-311-95-1
Grant Project Files. Files containing correspondence, grant or agreement is finalized.
memoranda and letters, study reports, and other unsolicited Destroy 3 years after cutoff or when
items received for consideration for a grant or cooperative no longer needed, whichever is
agreement that is later approved. sooner.

PRC-13-2-2 Grant and Cooperative Agreement Case Files. Files Cut off at end of fiscal year when N1-311-95-1
containing approved applications, copies of financial records, grant or agreement is completed or
supporting documents, statistical information, and related closed. Destroy 6 years, 3 months
records pertaining to the award, administration, receipt, after cutoff.
inspection, and payments of the grants and cooperative
agreements.

PRC-13-2-3 Final Report. Files containing the original final report or PERMANENT. Cut off at end of fiscal N1-311-95-1
equivalent document, including appendices or attachments, year. Retire to FRC 2 years after
for the grant or cooperative agreement. Arranged cutoff. Transfer to National Archives
chronologically by fiscal year. 20 years after cutoff.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRC-14 Contract Appeals Case Files. Contract appeals case files

arising under the Contracts Dispute Act, consisting of notices
of appeal and acknowledgements thereof; correspondence
between parties; copies of contract, plans, specifications,
exhibits, change orders, and amendments; transcripts of
hearing; document received from parties concerned; final
decisions; and all other related papers.
PRC-14-1 Destroy 6 years, 3 months after final GRS 3, 15a
Records created prior to October 1, 1979. action on decision.

PRC-14-2 Records created after September 30, 1979. Destroy 1 year after final action on GRS 3, 15b
decision.

PRC-15 Performance of Commercial Activities Files. Documentation Cut off at end of fiscal year. Retire to N1-311-86-1
created in the analysis and evaluation of commercial FRC 5 years after cutoff. Destroy 1A4
activities. Included are cost studies, performance work 10 years after cutoff.
statements, and related records as required by OMB
Circular A-76.

PRC-16 Contractor's Statement of Contingent or Other Fees. Destroy when superseded or GRS 3, 16
Standard Form 119, Contractor's Statement of Contingent or obsolete.
Other Fees, or statement in lieu of the form, filed separately
from the contract case file and maintained for enforcement or
report purposes.

PRC-17 Small and Disadvantaged Business Utilization Files. Destroy when 3 years old. GRS 3, 17
Correspondence, reports, studies, goal statements, and other
records relating to the small and disadvantaged business
utilization program, as required by Public Law 95-507.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRC-18 Electronic Mail and Word Processing System Copies of

Procurement Records. Electronic copies of records that are
created on electronic mail and word processing systems and
used solely to generate a recordkeeping copy of the records
covered by the other items in this schedule. Also includes
electronic copies of records created on electronic mail and
word processing systems that are maintained for updating,
revision, or dissemination.
PRC-18-1 Destroy/delete within 180 days after GRS 3, 18a
Copies that have no further administrative value after the the recordkeeping copy has been
recordkeeping copy is made. Includes copies maintained by produced.
individuals in personal files, personal electronic mail
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that are
used only to produce the recordkeeping copy.

PRC-18-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 3, 18b
maintained in addition to the recordkeeping copy. revision, or updating is completed.

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 FEMA Manual 5400.2 February 29, 2000

5-26. Property and Space Management (PRM).

This schedule covers records pertaining to the sale of real and personal property surplus to FEMA and documents created by the
Contributions Project Loan Program, and provides for the disposal of all copies, wherever located in FEMA, or records relating to the
space and maintenance, except the following:

a. Copies of records that are an integral part of accountable officers' accounts (see ACC schedule);

b. Records of procurement and supply (see PRC schedule); and

c. Records which reflect government-wide programs (such as records held by the public building service of the General
Services Administration (GSA)).

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRM-1 Property Disposal Correspondence Files. Correspondence Destroy when 2 years old. GRS 4, 1
files maintained by units responsible for property disposal,
pertaining to their operation and administration, and not
otherwise provided for.

PRM-2 Excess Personal Property Reports. Destroy when 3 years old. GRS 4, 2

PRM-3 Surplus Property Case Files. Case files on sales of surplus

personal property, comprising invitations, bids, acceptances,
lists of material, evidence of sales, and related
correspondence.
PRM-3-1 Destroy 6 years after final payment. GRS 4, 3a
Transactions of more than $25,000.

PRM-3-2 Transactions of $25,000 or less. Destroy 3 years after final payment. GRS 4, 3b

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRM-4 Contributions Project Loan Program (CPLP) Files. Documents Destroy 5 years after final report is N1-311-86-1
created in the acquisition, loan, and disposal of property to completed. 4B24
state and local governments, through the GSA excess and
utilization program, PL 97-380.

PRM-5 Real Property Files. Records necessary or convenient for the Transfer to new custodian upon GRS 4, 4
use of real property sold, donated, or traded to non-Federal completion of sale, trade, or donation
ownership, including, if pertinent as determined by FEMA, proceedings, or acceptance or
site maps and surveys, plot plans, architect's sketches, purchase money mortgage.
working diagrams, preliminary drawings, blueprints, plans,
equipment location plans, specifications, construction
progress photographs, inspection reports, building and
equipment management and maintenance records, allowance
lists as well as duplicate copies of title papers, provided that
(a) the records can be segregated without harm to other
documents of enduring value, (b) no responsibility attaches
to the Government because of disagreement between the
transferred documents and the physical condition of the
property at the time of conveyance, and 8 if the property is
released for historical use or purpose the user agrees to
retain them and return them to the Federal Government
immediately upon the discontinuance of its use for historical
purposes.

NOTE: Case files on the disposal of surplus real and related personal property and excess real property reports are not covered because
some of these files may have long-term legal values. Contact the Records Management Branch for a case-by-case determination.

SPACE MANAGEMENT RECORDS

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRM-6 Space and Maintenance General Correspondence Files. Destroy when 2 years old. GRS 11, 1
Correspondence files of the Operations Support Branch,
Program Services Division, Operations Support Directorate,
pertaining to their own administration and operations, and
related papers.

PRM-7 Agency Space Files. Records relating to the allocation,

utilization, and release of space under FEMA's control, and
related reports to GSA.

PRM-7-1 Building plan files, surveys, and other records utilized in Destroy 2 years after termination of GRS 11, 2a
agency space planning, assignment, and adjustment. assignment, or when lease is
canceled, or when plans are
superseded or obsolete.

PRM-7-2 Correspondence with and reports to staff agencies relating to Destroy when 2 years old. GRS 11,
FEMA space holdings and requirements, and FEMA's reports 2b(1)
to GSA, including SF 81, Request for Space, and related
documents.

PRM-7-3 Copies in subordinate reporting units and related work Destroy when 1 year old. GRS 11,
papers. 2b(2)

PRM-8 Directory Service Files. Correspondence, forms, and other Destroy 2 months after issuance of GRS 11, 3
records relating to the compilation of directory service listing.
listings.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRM-9 Credentials Files. Identification credentials and related

papers.
PRM-9-1 Destroy credentials 3 months after GRS 11, 4a
Identification credentials including cards, badges, parking return to issuing office.
permits, photographs, agency permits to operate motor
vehicles; and property, dining room, and visitors passes; and
other identification credentials.

PRM-9-2 Receipts, indexes, listings, and accountable records. Destroy after all listed credentials are GRS 11, 4b
accounted for.

PRM-10 Building and Equipment Service Files. Requests for building Destroy 3 months after work is GRS 11, 5
and equipment maintenance services, EXCLUDING fiscal performed or requisition is canceled.
copies.

PRM-11 Electronic Mail and Word Processing System Copies of

Property and Space Management Records. Electronic copies
of records that are created on electronic mail and word
processing systems and used solely to generate a
recordkeeping copy of the records covered by the other items
in this schedule. Also includes electronic copies of records
created on electronic mail and word processing systems that
are maintained for updating, revision, or dissemination.
PRM-11-1 Destroy/delete within 180 days after GRS 4, 5a for
Copies that have no further administrative value after the the recordkeeping copy has been items covered
recordkeeping copy is made. Includes copies maintained by produced. by GRS 4;
individuals in personal files, personal electronic mail GRS 11, 6a
directories, or other personal directorates on hard disk or for items
network drives, and copies on shared network drives that are covered
used only to produce the recordkeeping copy. under GRS
11

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRM-11-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 4, 5b for
maintained in addition to the recordkeeping copy. revision, or updating is completed. items covered
by GRS 4;
GRS 11, 6b
for items
covered
under GRS
11

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5-25. Printing and Reproduction (PRP).

This schedule covers printing, binding, duplication, and distribution records.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRP-1 Administrative Correspondence Files. Correspondence files Destroy when 2 years old. GRS 13, 1
pertaining to the administration and operation of the Printing
and Publications Branch, Administrative Services Division,
Office of Operations Support (OS-AS-PP).

PRP-2 Project Files. Job or project records containing information

relating to the planning and execution of printing, binding,
duplications, and distribution jobs.

PRP-2-1 Files pertaining to the accomplishment of the job, containing Destroy 1 year after completion of GRS 13, 2a
requisitions, bills, samples, manuscript clearances, and job.
related documents exclusive of: (1) requisitions on the Public
Printer and related records and (2) records relating to
services obtained outside FEMA.

PRP-2-2 Files pertaining to planning and other technical matters. Destroy when 3 years old. GRS 13, 2b

NOTE: This schedule does not cover the publications themselves. One copy of each publication should be designated as the record copy
and kept under REM-1. Extra copies are nonrecord and may be destroyed when no longer needed.

PRP-3 Control Files. Control registers pertaining to requisitions and Destroy 1 year after close of fiscal GRS 13, 3
work orders. year in which compiled or 1 year
after filling of register, whichever is
applicable.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRP-4 Mailing Lists.

PRP-4-1 Correspondence, request forms, and other records relating to Destroy after appropriate revision of GRS 13, 4a
changes in mailing lists. mailing lists or after 3 months,
whichever is sooner.

PRP-4-2 Card lists. Destroy individual cards when GRS 13, 4b

canceled or revised.

PRP-5 JCP Reports Files. Reports to Congress and related records.

PRP-5-1 FEMA's reports to the Joint Committee on Printing regarding Destroy when 3 years old. GRS 13, 5a
operations of Class A and B plants and inventories of
printing, binding, and related equipment in Class A and B
plants or in storage.

PRP-5-2 Copies in subordinate reporting units and related work Destroy 1 year after date of report. GRS 13, 5b
papers.

PRP-6 Internal Management Files. Records relating to internal Destroy when 2 years old. GRS 13, 6
management and operation of OS-AS-PP.

PRP-7 Public Printer Files. Records relating to requisitions on the

Printer, and all supporting papers.

PRP-7-1 Printing procurement unit copy of requisition, invoice, Destroy 3 years after completion or GRS 3, 6a
specifications, and related papers. cancellation of requisition.

PRP-7-2 Accounting copy of requisition. Destroy 3 years after period covered GRS 3, 6b
by related account.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

PRP-8 Electronic Mail and Word Processing System Copies of

Printing and Reproduction Records. Electronic copies of
records that are created on electronic mail and word
processing systems and used solely to generate a
recordkeeping copy of the records covered by the other items
in this schedule. Also includes electronic copies of records
created on electronic mail and word processing systems that
are maintained for updating, revision, or dissemination.
PRP-8-1 Destroy/delete within 180 days after GRS 3, 18a
Copies that have no further administrative value after the the recordkeeping copy has been for items
recordkeeping copy is made. Includes copies maintained by produced. covered
individuals in personal files, personal electronic mail under GRS 3;
directories, or other personal directorates on hard disk or GRS 13, 7a
network drives, and copies on shared network drives that are for items
used only to produce the recordkeeping copy. covered
under GRS
13

PRP-8-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 3, 18b
maintained in addition to the recordkeeping copy. revision, or updating is completed. for items
covered
under GRS 3;
GRS 13, 7b
for items
covered
under GRS
13

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 FEMA Manual 5400.2 February 29, 2000

5-26. Radiological Defense Files (RAD).

This schedule covers radioactive materials, radiation exposure, and radiological defense files.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

RAD-1 Radioactive Materials Files. Electronic database and

hardcopy reports on all FEMA-owned radioactive, and
sources of, ionizing materials held by the agency and on loan
to other Federal agencies and States. Database includes type
of radioactive material, quantity, present locations,
authorized users, and location of ultimate disposal site of the
materials. Printouts of information are produced
periodically.
RAD-1-1 Erase data when no longer needed for N1-311-86-1
Electronic database. administrative use or to meet legal 4B11a
requirements.

RAD-1-2 Hardcopy records. Destroy when superseded or obsolete. N1-311-86-1

4B11b

RAD-2 Radiation Dose Records. Folders maintained on all Destroy when 75 years old. N1-311-86-1
individuals who may be exposed to ionizing radiation within 4B12
FEMA activities, including periodic reports evaluating degree
of exposure.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

RAD-3 Radiological Defense Files. Correspondence containing

information on State and local government integration of
radiological support plans and guidance concerning
radiological defense instruments and equipment.

RAD-3-1 Design and development plans. Arrange alphabetically by PERMANENT. Cut off at end of N1-311-86-1
State. calendar year. Retire to FRC 3 years 4B23a
after cutoff. Transfer to National
Archives in 5-year blocks 20 years
after cutoff.

RAD-3-2 Correspondence, reports, and other records pertaining to the Destroy when information is N1-311-86-1
routine control of program. superseded or obsolete. 4B23b

RAD-3-3 Radiological Defense Program Database (RADPRO).

Electronic database containing the requirements and status
of personnel and equipment.

RAD-3-3-1 Master database maintained at FEMA headquarters, regions, Erase tape when no longer needed. N1-311-92-7
and States.

RAD-3-3-2 Input records which include data submitted by electronic or Destroy, delete, or erase when N1-311-92-7
textual means. entered into the database and 1
verified.

RAD-3-3-3 Outputs including both textual and electronic. Destroy when no longer needed. N1-311-92-7
2

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 FEMA Manual 5400.2 February 29, 2000

5-27. Records Management (REM).

This schedule covers records disposition, vital records, directives, forms, and information collection records.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

REM-1 Master Publication Files. Official file copy of each FEMA PERMANENT. Cut off when N1-311-86-1
publication such as the annual report, telephone books, publication is superseded, or 1K6
technical reports, booklets, pamphlets, public information canceled, or 3 years after issuance,
leaflets, posters, monographs, or other issuances published whichever is sooner. Transfer
by headquarters or regional offices, including publications directly to the National Archives in
prepared by contractors/grantees and handbooks, circulars, 5-year blocks 5 years after cutoff.
and guides providing information for public distribution. The
Printing and Publications Branch, Administrative Services
Division, will be responsible for maintaining and transferring
to the National Archives the official file copy. Publications in
this file will be distinctly marked "record set" and will not be
charged out. One copy of each publication will also be sent
to the FEMA library. Arrange by FEMA catalog number.

REM-2 FEMA Directives. Record copy of each internal and external

directive issues as instructions, manuals, Director's policy
statements, guides, circulars, guidance memoranda (GM), or
handbooks that establish policy, prescribe procedural
guidance, delegate authority, or define missions. The
directives are signed by the FEMA Director or designated
representative.
REM-2-1 PERMANENT. Cut off when N1-311-86-1
Directives relating to agency policies and procedures. superseded or canceled. Retire to 1K18a
Arrange by directives number. FRC 5 years after cutoff. transfer to
National Archives in 5-year blocks 20
years after cutoff.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

REM-2-2 Background files related to the development of the directives Cut off when directive is superseded N1-311-86-1
described in REM-2-1. or canceled. Destroy 5 years after 1K18b
cutoff.

REM-2-3 Office reference copies. Destroy when superseded or N1-311-86-1

canceled. 1K18c

REM-3 Vital Records Files. FEMA Form 50-33, Inventory of Vital Destroy when 6 years old. N1-311-86-1
Records Files, relating to the identification and protection of 1K19
records vital to the operation of FEMA during emergencies or
which protect the legal or financial rights of individuals or
the Government.

REM-4 Records Disposition Files. Descriptive inventories, disposal,

authorizations, schedules, and reports.

REM-4-1 Basic documentation of records description and disposition

programs, including SF 115, Request for Records Disposition
Authority; SF 135, Records Transmittal and Receipts;
SF 258, Request to Transfer, Approval, and Receipt of
Records to National Archives of the United States; and
related documentation.
REM-4-1-1 Destroy 2 years after supersession. GRS 16,
SF 115s that have been approved by NARA. 2a(1)
REM-4-1-2 Destroy 6 years after the related
Other records. records are destroyed or after the GRS 16,
related records are transferred to the 2a(2)
National Archives, whichever is
applicable.

REM-4-2 Routine correspondence and memoranda. Destroy when 2 years old. GRS 16, 2b

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

REM-5 Forms Files.

REM-5-1 One record copy of each form created with related Destroy 5 years after form is GRS 16, 3a
instructions and documentation showing inception, scope, discontinued, superseded, or
and purpose of the form. canceled.

REM-5-2 Background material, requisitions, specification, processing Destroy when related form is GRS 16, 3b
data, and control records. discontinued, superseded, or
canceled.

REM-6 Records Holding Files. Statistical reports of FEMA holdings,

including feeder reports from all offices and data on the
volume of records disposed of by destruction or transfer.

REM-6-1 Records held by OS-PS-RM. Destroy when 3 years old. GRS 16, 4a

REM-6-2 Records held by other offices. Destroy when 1 year old. GRS 16, 4b

REM-7 Paperwork Reduction Act (PL 96-511) Files. Correspondence, Cut off at end of calendar year. N1-311-86-1
memoranda, reports, and related records pertaining to the Destroy 3 years after cutoff. 1J1
activities of the designated senior official relating to
information resource management.

REM-8 Reports Control Files. Case files maintained for each FEMA Destroy 2 years after the report is GRS 16, 6
report created or proposed, including public use reports. discontinued.
Included are: clearance forms, including SF 83; copies of
pertinent forms or descriptions of format; copies of
authorizing directives; preparation instructions; and
documents relating to the evaluation, continuation, revision,
and discontinuance of reporting requirements.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

REM-9 Records Management Files. Correspondence, reports, Destroy when 6 years old. Earlier GRS 16, 7
authorizations, and other records that relate to the disposal is authorized if records are
management of FEMA records, including such matters as superseded, obsolete, or no longer
forms, correspondence, reports, mail, and files management; needed for reference.
the use of microforms, ADP systems, and word processing;
records management surveys; vital records programs, and all
other aspects of records management not covered elsewhere
in this schedule.

REM-10 Information Collection Budget Files. Reports required by Destroy when 7 years old. GRS 16, 12
OMB under the Paperwork Reduction Act about the number
of hours the public spends fulfilling FEMA reporting
requirements. Included are associated feeder reports, report
exhibits, correspondence, directives, and statistical
compilations.

REM-11 Microform Inspection Records.

REM-11-1 Agency copy of inventories, logs, and reports documenting Destroy 1 year after the records are GRS 16, 10a
the inspection of permanent microform records, as required transferred to the legal custody of the
by 36 CFR Part 1230. National Archives.

NOTES: (1) This item does not cover the copy of logs and reports that are attached to the SF 135 when records are transferred to a
Federal records center or the SF 258 when records are transferred to the National Archives.

(2) Inspection records for unscheduled records that are converted to microform are also unscheduled and may not be
destroyed.

REM-11-2 Agency copy of logs and other records documenting the Destroy when 2 years old or when GRS 16, 10b
inspection of temporary microform records, as recommended superseded, whichever is later.
by 36 CFR Part 1230.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

REM-12 Electronic Mail and Word Processing System Copies of

Records Management Records. Electronic copies of records
that are created on electronic mail and word processing
systems and used solely to generate a recordkeeping copy of
the records covered by the other items in this schedule. Also
includes electronic copies of records created on electronic
mail and word processing systems that are maintained for
updating, revision, or dissemination.

REM-12-1 Copies that have no further administrative value after the Destroy/delete within 180 days after GRS 16, 15a
recordkeeping copy is made. Includes copies maintained by the recordkeeping copy has been for only those
individuals in personal files, personal electronic mail produced. items covered
directories, or other personal directorates on hard disk or by GRS 15
network drives, and copies on shared network drives that are
used only to produce the recordkeeping copy.

REM-12-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 16, 15b
maintained in addition to the recordkeeping copy. revision, or updating is completed. for only those
items covered
by GRS 15

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 FEMA Manual 5400.2 February 29, 2000

5-28. Security (SEC).

This schedule covers records created by FEMA to control and protect classified information; to protect FEMA-owned or controlled
facilities from unauthorized entry, sabotage, or loss; to determine the loyalty and fitness of employees or individuals seeking
employment; and to determine mandatory review for declassification. Included are selected files of the Security Division of the
Operations Support Directorate which has responsibility for security and protective service programs. Also included are file of
security units, guard forces, and other organizational elements documenting the control of classified information, access to facilities,
and like matters.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

CLASSIFIED INFORMATION ACCOUNTING AND CONTROL RECORDS

Records accumulating from measures taken by FEMA to protect classified information from unauthorized disclosure in accordance with
Executive Orders and statutory or regulatory requirements.

SEC-1 Classified Documents Administrative Correspondence Files. Destroy when 2 years old. GRS 18, 1
Correspondence files pertaining to the administration of
security classification, control, and accounting for classified
documents, not covered elsewhere in this schedule.

SEC-2 Document Receipt Files. Records documenting the receipt Destroy when 2 years old. GRS 18, 2
and issuance of classified documents.

SEC-3 NATO Document Receipt Files. Classified document Destroy 10 years after documents N1-311-86-1
accountability receipts relating to the receipt and issuance of shown on forms are downgraded, 1B9
NATO-issued documents. transferred, or destroyed.

SEC-4 Destruction Certificate Files. Certificates relating to the Destroy when 2 years old. GRS 18, 3
destruction of classified documents (see SEC-6 for Top Secret
documents).

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-5 Classified Document Inventory Files. Forms, ledgers, or Destroy when 2 years old. GRS 18, 4
registers used to show identity, internal routing, and final
disposition made of classified documents, but EXCLUDING
classified documents receipts and destruction certificates,
and documents relating to Top Secret material covered
elsewhere in this schedule.

SEC-6 Top Secret Accounting and Control Files.

SEC-6-1 Registers maintained at control points to indicate Destroy 5 years after documents GRS 18, 5a
accountability over Top Secret documents, reflecting the shown on forms are downgraded,
receipts, dispatch, or destruction of the documents. transferred, or destroyed.

SEC-6-2 Forms accompanying documents to ensure continuing Destroy when related documents is GRS 18, 5b
control, showing names of persons handling the documents, downgraded, transferred, or
intra-office routing, and comparable data. destroyed.

SEC-7 Classified Documents from Other Agencies. Classified Destroy when superseded or N1-311-86-1
documents, reports, etc. received from other Federal obsolete. 5F8
agencies.

SEC-8 Access Request Files. Requests and authorizations for Destroy 2 years after authorization GRS 18, 6
individuals to have access to classified files. expires.

SEC-9 Information Request Files. Documents or action taken on Destroy 1 years after completion of N1-311-86-1
requests from other agencies for information. Included are action or when no longer needed, 1H4
requests for information, replies to these requests, and whichever is sooner.
related records.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-10 Classified Document Container Security Files.

SEC-10-1 Forms or lists used to record safe and padlock combinations, Destroy when superseded by a new GRS 18, 7a
names of individuals knowing combinations, and comparable form or lists, or upon turn-in of the
data used to control access into classified document containers.
containers.

SEC-10-2 Forms placed on safes, cabinets, or vaults containing Destroy 3 months following the last GRS 18, 7b
security classified documents that record opening, closing, entry on the form (see note.)
and routine checking of the security of the container, such as
locking doors and windows, and activating alarms. Included
are such forms as SF 701, Activity Security Checklist, and
SF 702, Security Container Check Sheet.

NOTE: Forms involved in investigations will be retained until completion of the investigation.

SEC-11 Security Classification Files. Documents relating to the Destroy 10 years after final N1-311-86-1
security classification or grading system involving the declassification action. 1H6
classification or downgrading of documents. Included are
correspondence or memoranda on downgrading and reports
on security classification.

SEC-12 Security Regrading Case Files. Documents on the review of Destroy when 15 years old. N1-311-86-1
specific classified documents or equipment for the purpose of 1H7
regrading documents or equipment.

SEC-13 Security Information Release Files. Documents on the review Destroy when 20 years old. N1-311-86-1
of classified or potentially classified documents for the 1H8
purpose or disseminating information to sources outside
FEMA. Included are reviews of manuscripts, photographs,
lectures, radio spots, television scripts, and similar records.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-14 Security Information Exchange Files. Documents on the Destroy when 20 years old. N1-311-86-1
exchange of security classified information with other 1H9
agencies, private firms, and foreign governments. Included
are correspondence or the exchange of information, exchange
agreements, and related documents.

SEC-15 COMSEC Files.

SEC-15-1 Correspondence, memoranda, and other related material Destroy when 2 years old. N1-311-86-1
pertaining to the routine supply of COMSEC material. 5G15a

SEC-15-2 Daily Inventory Files. Documents reflecting daily inventories Destroy when 2 years old. N1-311-86-1
of accountable COMSEC material which are conducted at the 5G15b
end of each workday and/or between shifts.

SEC-15-3 COMSEC Accounting Files. Documents reflecting the Destroy 6 years and 3 months after N1-311-86-1
receipts, possession, inventory, transfer, destruction, and documents are downgraded, 5G15c
relief from accountability for accountable COMSEC material. transferred, or destroyed.

SEC-15-4 COMSEC Facility Approval Files. Requests for approval to Destroy 2 years after facility is N1-311-86-1
establish, alter, expand, or relocate a secure communications deactivated or approval for a new 5G15d
center. Included are questionnaires, reports of approval, and facility is granted.
related papers.

SEC-15-5 COMSEC Facility Inspection Reports. Inspection reports and Destroy after receipt of related N1-311-86-1
related correspondence. superseding inspection report or 5G15e
after account is closed.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-15-6 COMSEC Security Investigation Reports. Message reports Destroy when 5 years old or after N1-311-86-1
and related correspondence on violations of physical, case has been adjudicated if a felony 5G15f
cryptographic, and personnel security, and reports of is involved, whichever is later.
investigation concerning the loss or compromise of COMSEC
material.

SEC-15-7 Courier, Mail, and Package Receipts. All receipts for Destroy when 1 year old. N1-311-86-1
COMSEC-related mail and packages. 5G15g

SEC-15-8 COMSEC briefing/debriefing statements. Cut off at end of calendar year. N1-311-86-1
Destroy 15 years after cutoff. 5G15h

SEC-16 Micrographics Inventory and Request Files. Documents Destroy when updated, superseded, N1-311-86-1
relating to the inventorying and creation of security-classified or no longer needed. 5G16
micrographics systems.

SEC-17 Industrial Security Files. Documents on the protection of Destroy when no longer needed. N1-311-86-1
classified information in the possession of industry. 1H11

FACILITIES SECURITY AND PROTECTIVE SERVICES RECORDS

SEC-18 Security and Protective Services Administrative Destroy when 2 years old. GRS 18, 8
Correspondence Files. Correspondence files relating to
administration and operation of the facilities security and
protective services programs, not covered elsewhere in this
schedule.

224
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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-19 Survey and Inspection Files (Government-Owned Facilities). Destroy when 3 years old, or upon GRS 18, 9
Reports of surveys and inspections of Government-owned discontinuance of facility, whichever
facilities conducted to ensure adequacy of protective and is sooner.
preventive measures taken against hazards of fire, explosion,
and accidents, and to safeguard information and facilities
against sabotage and unauthorized entry.

SEC-20 Survey and Inspection Files (Privately-Owned Facilities). Destroy when 4 years old or when GRS 18, 10
Reports of surveys and inspections of privately-owned security cognizance is terminated,
facilities assigned security cognizance by FEMA and related whichever is sooner.
documents.

SEC-21 Staff Visit Files. Document gathered on scheduled or special

visits (other than for inspections, surveys, or audits) to
perform staff or technical supervision or to conduct studies.
This item does not apply to visits in connection with a
specific process or case, which should be filed with
documentation of the case or process. Included are requests
for permission to visit, reports of visits, recommendations,
and other related documents.
SEC-21-1 Destroy 1 year after completion of N1-311-86-1
Files of office performing visit. next visit or on completion of related 1H2a
study, whichever is sooner.

SEC-21-2 Files of office visited. Destroy when 1 year old or on N1-311-86-1

completion of next visit, whichever 1H2b
is sooner.

225
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-22 Technical Security Management Files. Documents on Cut off at end of calendar year. N1-311-86-1
technical security subjects such as long-range planning, Retire to FRC 3 years after cutoff. 1H5
programming, and budgeting of resources, development of Destroy 10 years after cutoff.
policies and procedures, operations functions of the
organization, and ADP, TEMPEST, COMSEC, etc.

SEC-23 Investigative Files. Investigative files accumulating from Destroy when 2 years old. GRS 18, 11
investigations of fires, explosions, and accidents consisting of
retained copies of reports and related documents when the
original reports are submitted for review and filing in other
agencies or organizational elements, and reports and related
papers concerning occurrences of such a minor nature that
they are settled locally without referral to other
organizational elements.

SEC-24 Reference Paper Files. Documents used to facilitate, control, Destroy 1 year after completion of N1-311-86-1
or supervise the performance of a specific function, process, action or when no longer needed for 1H3
or action--as distinguished from those records necessary for current operations, whichever is
documenting performance of a function, process, or action. sooner.
Reference textual files consist of notes, drafts, feeder reports,
news clippings, working papers, and other material gathered
for preparation of a communication, study, investigation,
survey, inspection, or other action and documents received
for general information purposes that call for no action and
are not needed to document specific functions.

SEC-25 Interagency Committee Background Files. Correspondence Destroy when no longer needed. N1-311-86-1
and other records relating to the reports of interagency 1H1
committees, working groups, and task forces associated with
the Office of Security.

226
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-26 Security Identification Accountability Files. Registers and Destroy 3 years after last card or N1-311-86-1
other documents used to keep an account of identification badge numbers entered have been 1H13
cards and badges for access to FEMA facilities. accounted for.

SEC-27 Security Equipment Files. Documents gathered for Destroy when obsolete or N1-311-86-1
determining the uses and types of security equipment for superseded. 1H10
protecting classified documents and materials.

SEC-28 Property Pass Files. Property pass files, authorizing removal Destroy 3 months after expiration or GRS 18, 12
of property or materials. revocation.

SEC-29 Guard Assignment Files. Files relating to guard assignments

and strength.

SEC-29-1 Ledger records. Destroy 3 years after final entry. GRS 18, 13a

SEC-29-2 Requests, analyses, reports, changes notices, and other Destroy when 2 years old. GRS 18, 13b
papers relating to post assignments and strength
requirements.

SEC-30 Police Functions Files. Files relating to exercise of police

functions.
SEC-30-1 Destroy 3 years after final entry. GRS 18, 14a
Ledger records of arrest, cars ticketed, and outside police
contacts.

SEC-30-2 Reports, statement of witnesses, warning notices, and other Destroy when 2 years old. GRS 18, 14b
documents relating to arrest, commitments, and traffic
violations.

SEC-30-3 Reports on contact of outside police with building occupants. Destroy when 1 year old. GRS 18, 14c

227
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-31 Personal Property Accountability Files. Files relating to

accountability for personal property lost or stolen.

SEC-31-1 Ledger files. Destroy 3 years after final entry. GRS 18, 15a

SEC-31-2 Reports, loss statements, receipts, and other documents Destroy when 1 year old. GRS 18, 15b
relating to lost and found articles.

SEC-32 Key Accountability Files. Files relating to accountability for

keys issued.

SEC-32-1 For areas under maximum security. Destroy 3 years after turn-in of key. GRS 18, 16a

SEC-32-2 For other areas. Destroy 6 months after turn-in of GRS 18, 16b
key.

SEC-33 Visitor Control Files. Registers or logs used to record names

of outside contractors, service personnel, visitors, employees
admitted to areas, and reports on automobiles and
passengers.
SEC-33-1 Destroy 5 years after final entry or GRS 18, 17a
For areas under maximum security. 5 years after date of document, as
appropriate.

SEC-33-2 For other areas. Destroy 2 years after final entry or GRS 18, 17b
2 years after date of document, as
appropriate.

228
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-34 Facilities Checks Files. Files relating to periodic guard force

facility checks.

SEC-34-1 Data sheets, door slips summaries, check sheets, and guard Destroy when 1 year old. GRS 18, 18a
reports on security violations (except copies in files of FEMA
security offices covered by SEC-41 or this schedule.

SEC-34-2 Reports of routine after-hours security checks which either Destroy when 1 month old. GRS 18, 18b
do not reflect security violations, or for which the information
contained therein is documented in the files defined in
SEC-41 of this schedule.

SEC-35 Guard Service Control Files.

SEC-35-1 Control center key or code records, emergency call cards, and Destroy when superseded or GRS 18, 19a
building record and employee identification cards. obsolete.

SEC-35-2 Round reports, service reports on interruptions and tests, Destroy when 1 year old. GRS 18, 19b
and punch clock dial sheets.

SEC-35-3 Automatic machine patrol charts and registers of patrol and Destroy when 1 year old. GRS 18, 19c
alarm services.

SEC-35-4 Arms distribution sheets, charge records, and receipts. Destroy 3 months after return of GRS 18, 19d
arms.

SEC-36 Logs and Registers. Guard logs and registers not covered
elsewhere in this schedule.

SEC-36-1 Central guard office master logs. Destroy 2 years after final entry. GRS 18, 20a

229
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-36-2 Individual guard post logs of occurrences entered in master Destroy 1 year after final entry. GRS 18, 20b
logs.

PERSONNEL SECURITY CLEARANCE RECORDS

SEC-37 Security Clearance Administrative Subject Files. Destroy when 2 years old. GRS 18, 21
Correspondence, reports, and other records relating to the
administration and operation of the personnel security
program, not covered elsewhere in this schedule.

SEC-38 Personnel Security Clearance Files. Personnel security case

files created under OPM procedures and regulations and
related indexes maintained by the Office of Security.

SEC-38-1 Case files documenting the processing of investigation on Destroy upon notification of death or GRS 18, 22a
FEMA employees or applicants for FEMA employment, not later than 5 years after
whether or not a security clearance is granted, and other separation or transfer of employee or
persons, such as those performing work for a Federal agency no later than 5 years after contract
under contract, who require an approval before having access relationship expires, whichever is
to Government facilities or to sensitive data. These files applicable.
include questionnaires, summaries of reports prepared by
the investigating agency, and other records reflecting the
processing of the investigation and the status of the
clearance, EXCLUDING copies of investigative reports
furnished by the investigating agency.

230
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-38-2 Personnel security clearance case files created under Office of

Personnel Management Procedures and regulations and
related indexes maintained by the personnel security office.

SEC-38-2-1 Investigative reports and related documents created or Place in inactive files after N1-311-94-1
received by FEMA for use in making security/suitability notification of death, separation, or a
determinations. transfer of employee, or expiration of
contract relationship. Cut off
inactive files semi-annually and
transfer to FRC. Destroy 15 years
after cutoff.

SEC-38-2-2 Investigative reports and related documents created or Place in inactive files after N1-311-94-1
received by FEMA for use in making security/suitability notification of death, separation, or b
determinations, that result in substantially actionable transfer of employee, or expiration of
issue(s), adverse adjudication, or debarment. contract relationship. Cut off
inactive files semi-annually and
transfer to FRC. Destroy 25 years
after cutoff.

SEC-38-3 Index to the Personnel Security Case Files. Destroy with related case file. GRS 18, 22c

SEC-39 Security Briefing and Debriefing Files. Documents on Destroy 2 years after transfer or N1-311-86-1
security briefings and debriefings of personnel with separation of personnel. 1H12
authorized access to classified material.

SEC-40 Personnel Security Clearance Status Files. Lists or rosters Destroy when superseded or GRS 18, 23
showing the current security clearance status of individuals. obsolete.

231
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-41 Security Violations Files. Case files relating to investigations

of alleged violations of Executive Orders, laws, or FEMA
regulations for the safeguarding of national security
information.
SEC-41-1 Destroy 5 years after close of case. GRS 18, 24a
Files relating to alleged violations of a sufficiently serious
nature that they are referred to the Departments of Justice
or Defense (DOJ or DoD) for prosecutive determination,
EXCLUDING files held by DOJ or DoD offices responsible for
making such determinations.

SEC-41-2 All other files, exclusive of documents placed in official Destroy 2 years after completion of GRS 18, 24b
personnel folders. final action.

SEC-42 Classified Information Nondisclosure Agreements. Copies of

nondisclosure agreements, such as SF 312, Classified
Information Nondisclosure Agreement, signed by civilian and
military personnel with access to information that is
classified under standards put forth by Executive Orders
governing security classification. These forms should be
maintained separately from personnel security clearance
files. Agreements for employees working for elements of the
intelligence community must be maintained separately from
the OPF. For all other persons, these forms may be filed on
the right side of the official personnel folder.
SEC-42-1 Destroy when 70 years old. GRS 18, 25a
If maintained separately from the individual's official
personnel folder.

SEC-42-2 If maintained in the individual's official personnel folder. Apply the disposition for the official GRS 18, 25b
personnel folder (see PER-1).

232
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

MANDATORY REVIEW FOR DECLASSIFICATION RECORDS

SEC-43 Mandatory Review for Declassification Control Files. Files

maintained for control purposes in responding to requests,
including registers and similar records listing date, nature,
and purpose of request and name and address of requester.

SEC-43-1 Registers or listing. Destroy 5 years after date. GRS 14, 33a

SEC-43-2 Other files. Destroy 5 years after final action by GRS 14, 33b
FEMA.

SEC-44 Mandatory Review for Declassification Reports Files. Reports Destroy when 2 years old. GRS 14, 34
relating to agency implementation of the mandatory review
provisions of EO 12958, including annual reports submitted
to ISOO.

SEC-45 Mandatory Review for Declassification Administrative Files. Destroy when 2 years old. GRS 14, 35
Records relating to the general agency implementation of the
mandatory review provisions of EO 12958, including notices
memoranda, correspondence, and related records.

233
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-46 Mandatory Review for Declassification Requests Files. Files

created in response to requests for information under the
mandatory review provisions of EO 12958 consisting of the
original request, a copy of the reply thereto, and all related
supporting files, which may include the official file copy of
requested records or a copy thereof.
SEC-46-1
Correspondence and supporting documents (EXCLUDING the
official file copy of the records if filed herein, and sanitizing
instructions, if applicable).
SEC-46-1-1 Destroy 2 years after date of reply. GRS 14,
Granting access to all the requested records. 31a(1)

SEC-46-1-2 Responding to requests for nonexistent records; to requesters

who provide inadequate descriptions; and to those who fail to
pay agency reproduction fees.

SEC-46-1-2-1 Request not appealed. Destroy 2 years after date of reply. GRS 14,
31a(2)(a)

SEC-46-1-2-2 Request appealed. Destroy as authorized under GRS 14,

SEC-47. 31a(2)(b)

SEC-46-1-3 Denying access to all or part of the records requested.

SEC-46-1-3-1 Request not appealed. Destroy 5 years after date of reply. GRS 14,
31a(3)(a)

SEC-46-1-3-2 Request appealed. Destroy as authorized under GRS 14,

SEC-47. 31a(3)(b)

234
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-46-2 Official file copy of requested records. Dispose of in accordance with GRS 14, 31b
approved disposition instructions for
the related records, or with the
related mandatory review request,
whichever is later.

SEC-46-3 Sanitizing instructions. Destroy when superseded, or when GRS 14, 31c
requested documents are
declassified or destroyed.

SEC-47 Mandatory Review for Declassification Appeals Files. Files

created in responding to administrative appeals under the
mandatory review provisions of EO 12958 and its
predecessors for release of information denied by the agency.
Files consist of the appellant's letter, a copy of the reply
thereto, and related supporting documents, which may
include the official file copy of records under appeal or copy
thereof.
SEC-47-1 Destroy 4 years after final GRS 14, 32a
Correspondence and supporting document (EXCLUDING the determination by FEMA.
official file copy or the records under appeal if filed herein.)

SEC-47-2 Official file copy of records under appeal. Dispose in accordance with GRS 14, 32b
disposition instructions for the
related records, or with the related
mandatory review request,
whichever is later.

235
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SEC-48 Electronic Mail and Word Processing System Copies of

Security Records. Electronic copies of records that are
created on electronic mail and word processing systems and
used solely to generate a recordkeeping copy of the records
covered by the other items in this schedule. Also includes
electronic copies of records created on electronic mail and
word processing systems that are maintained for updating,
revision, or dissemination.
SEC-48-1 Destroy/delete within 180 days after GRS 14, 37a
Copies that have no further administrative value after the the record keeping copy has been for those
recordkeeping copy is made. Includes copies maintained by produced. items covered
individuals in personal files, personal electronic mail by GRS 14;
directories, or other personal directorates on hard disk or GRS 16, 15a
network drives, and copies on shared network drives that are for those
used only to produce the recordkeeping copy. items covered
by GRS 16

SEC-48-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 14, 37b
maintained in addition to the recordkeeping copy. revision, or updating is completed. for those
items covered
by GRS 14;
GRS 16, 15b
for those
items covered
by GRS 16

236
 FEMA Manual 5400.2 February 29, 2000

5-29. Shelters (SHL).

This schedule covers files relating to shelter programs, design of shelters, and management of public and private shelters.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SHL-1 National Shelter Survey. Correspondence and microfiche, Cut off when printout or microfilm is N1-311-86-1
showing shelter space by building for all facilities surveyed in updated. Destroy when superseded 4B3
States (including Phase I and II printouts). or obsolete.

SHL-2 Regional Shelter Programming Files. Documents Cut off at end of calendar year. N1-311-86-1
accumulated by regional offices in planning, arranging, Retire to FRC 3 years after cutoff. 4B4
evaluating, and reporting on shelter programs in local Destroy 6 years after cutoff.
planning areas. Files include schedules, region-wide
program and evaluation data, and shelter program summary
reports.

SHL-3 Community Shelter Plan (CSP) Files. Documents relating to

arrangements with and technical and financial assistance
provided to State governments for establishing CSP's
including the identification, scheduling, and coordination of
CSP projects for their political subdivisions. Files include
outlines of briefings to State governors; papers concerning
the hiring, duties, and training of State CSP officers (CSPOS);
advice on funds available for FSP projects; and schedules,
costs, statements, and Army Corps of Engineers reports.

SHL-3-1 FEMA-COE Area Contract Plan Files. Documents Cut off on adoption of plan. Retire N1-311-86-1
accumulated by FEMA in negotiating with the US Army to FRC 3 years after cutoff. Destroy 4B5a
Corps of Engineers for CSP's at the State and local levels, 8 years after cutoff.
including the transfer of funds, allocation documents,
reports, and related records.

237
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SHL-3-2 FEMA-CSPOS Contract Files. Documents relating to CSPOS Cut off after final payment on N1-311-86-1
contracts, including inspection and progress reports, copies contract. Destroy 3 years after 4B5b
of change orders, and related records. cutoff.

SHL-4 Public and Private Shelter Files.

SHL-4-1 Group Shelter Files. Documents created in promoting,

sponsoring, supporting, and evaluating projects concerned
with the design of shelters in schools, shopping centers,
industrial enterprises, public buildings, and other structures
for use by the general public (50 or more persons) in an
emergency. Documents include communications with
architectural firms, associations, and schools; requirement
and design guidelines; design drawings and descriptive data;
analyses; evaluations; and related records.
SHL-4-1-1 Cut off at end of calendar year in N1-311-86-1
Site surveys and studies, including feasibility studies, plans, which documents were prepared. 4B6a(1)
and drawings, including sketches, architectural fact sheets, Destroy 3 years after cutoff.
and layout drawings.

SHL-4-1-2 Construction specifications. Cut off on completion of contract. N1-311-86-1

Destroy 6 years after cutoff. 4B6a(2)

SHL-4-2 Home Shelter (Private Dwelling) Files. Documents created in Cut off at completion of contract. N1-311-86-1
developing protection criteria for shelters in private homes, Destroy 3 years after cutoff. 4B6b
including drawings, specifications, home protection surveys
(HPS), and other records on required protection for individual
families in their homes.

238
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SHL-5 Shelter Supply Monitoring Files. Documents created in Cut off at end of fiscal year. Destroy N1-311-86-1
monitoring and controlling the issuance, maintenance, 3 years after cutoff. 4B7
transfer, shipment, and disposition of supplies and
equipment furnished to State and local governments for
stocking licensed fallout shelters. Files include copies of
requisitions; procurement documents; notifications of
relocation of excess stocks; requests and approvals for
replacement of lost, damaged, or stolen supplies and
equipment; inspection reports; copies of shipping documents;
supply action cancellation requests; and communications
with State and local government officials about shelter
supplies.

SHL-6 Information Retrieval Files. Documents accumulated as a Cut off at end of calendar year. N1-311-86-1
result of liaison and coordination with technical, scientific, Destroy 5 years after cutoff. 4B8
industrial, and government groups to obtain information for
use by other FEMA elements in developing new concepts and
advanced thinking on civil defense technical subjects. Files
include invitations to meetings, conference reports, and
presentations.

SHL-7 Institutional Studies Files. Documents relating to furnishing Destroy when superseded or N1-311-86-1
and obtaining advice and technical information in liaison obsolete, or 3 years after 4B9
with professional organizations, licensing and accrediting preparation, whichever is sooner.
authorities, schools, colleges, departments or architecture
and engineering, committees, research and development
sources, and similar groups. Files include pamphlets,
specifications, statistics, memoranda of understanding, and
functional data.

239
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SHL-8 Professional Development Technical Assistance (Shelter Cut off at close of contract year. N1-311-86-1
Program) Files. Documents created in arranging for contract Destroy 3 years after cutoff. 4B10
consultants to advise and assist architects and engineers in
designing or modifying buildings and structures to obtain or
increase fallout protection at little or no additional cost. Files
include State and local requests for such services, approvals,
and notification to consultants.

SHL-9 Technical Shelter History Files. Records detailing shelter

development, maps, drawings, and correspondence, primarily
relating to construction of Federal Regional Centers (FRC), in
microfiche format.

SHL-9-1 Silver master. Retire microfiche to FRC when N1-311-86-1

5 years old. Destroy when 20 years 4B16a
old.

SHL-9-2 Reference copies of microfiche. Destroy when no longer needed. N1-311-86-1

4B16b

SHL-9-3 Textual records. Destroy when microfiche is verified. N1-311-86-1

4B16c

SHL-10 National Shelter and Crisis Relocation Planning Surveys.

SHL-10-1 Master Files. Advertising material and administrative Destroy when superseded or N1-311-86-1
documents (instructions, forms, etc.) pertaining to the obsolete. 4B18a
conduct of a shelter survey.

SHL-10-2 Survey Files. Engineering analyses and documents Destroy when superseded or N1-311-86-1
generated during the course of a shelter survey. obsolete. 4B18b

240
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

SHL-10-3 Data Input File (FEMA Form 85-5). Used to input the shelter Destroy 6 months after generation of N1-311-86-1
survey data file and population protection data file. new file. 4B18c

SHL-11 Shelter Development Files.

SHL-11-1 Fallout Shelter Analyses. Certification sheets identifying Destroy when superseded or N1-311-86-1
background information for individuals who are certified in obsolete. 4B21a
microfiche format.

SHL-11-2 Shelter Surveys - Technician (SSTs) Files. Certification Destroy when superseded or N1-311-86-1
sheets of college students who have passed the Shelter obsolete. 4B21b
Survey Technician Course.

241
FEMA Manual 5400.2 February 29, 2000

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242
 FEMA Manual 5400.2 February 29, 2000

5-30. Telecommunications (TEL).

This schedule covers records relating to communications, telephones, maintenance, and statistical reports.

NOTE: Telecommunication records maintained on electronic equipment are covered in schedule EDP.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TEL-1 Communication General Files.

TEL-1-1 Correspondence and related records pertaining to internal Destroy when 2 years old. GRS 12, 2a
administration and operation.

TEL-1-2 Telecommunications general files including plans, reports, Destroy when 3 years old. GRS 12, 2b
and other records pertaining to equipment requests,
telephone service, and like matters.

TEL-1-3 Telecommunications statistical reports including cost and Destroy when 1 year old. GRS 12, 2c
volume data.

TEL-1-4 Telecommunications voucher files, including reference copies Destroy when 1 fiscal year old. GRS 12, 2d(1)
of vouchers, bills, invoices, and related records.

TEL-1-5 Records relating to installation, change, removal, and Destroy 1 year after audit or when GRS 12, 2d(2)
servicing of equipment. 3 years old, whichever is sooner.

TEL-1-6 Copies of agreements with background data and other Destroy 2 years after expiration or GRS 12, 2e
records relating to agreements for telecommunications cancellation of agreement.
services.

TEL-2 Telecommunications Operational Files.

TEL-2-1 Message registers, logs, performance reports, daily load Destroy when 6 months old. GRS 12, 3a
reports, and related and similar records.

243
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TEL-2-2 Copies of incoming and original copies of outgoing messages, Destroy when 2 years old. GRS 12, 3b
including SF 14, Telegraphic Message, maintained by
communications offices or centers.

TEL-3 Communications Systems Files. Documents relating to Destroy when superseded or N1-311-86-1
maintenance (engineering), installation, test, and evaluation obsolete. 5G14
activities.

TEL-4 Telephone Toll Tickets. Originals and copies of toll tickets Destroy after GAO audit or when GRS 6, 8
filed in support of telephone toll call payments. 3 years old, whichever is sooner.

TEL-5 Service Request Files. Documents relating to State and local Destroy when no longer needed. N1-311-86-1
requests for communications services or their termination, 4B1
including requests, recommendations, and approvals.

TEL-6 Telephone Use (call Detail) Records. Initial reports of use of Destroy when 3 years old. Initial GRS 12, 4
telephone lines (e.g., telephone calls, facsimile transmissions, reports may be destroyed earlier if
and electronic mail) during a specified period provided by a the information needed to identify
telephone company, GSA, the Defense Information Systems abuse has been captured in other
Agency, or a private sector exchange on an agency's records.
premises, as well as records generated from initial reports
from administrative, technical, or investigative followup.
Included is such information as the originating number,
destination number, destination city, and state, date, and
time of use, duration of the use, and the estimated or actual
cost of the use. EXCLUDED are records accumulated in
connection with Accountable Officers' Accounts Records
(ACC-1-1).

244
 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TEL-7 Electronic Mail and Word Processing System Copies of

Personnel Records. Electronic copies of records that are
created on electronic mail and word processing systems and
used solely to generate a recordkeeping copy of the records
covered by the other items in this schedule. Also includes
electronic copies of records created on electronic mail and
word processing systems that are maintained for updating,
revision, or dissemination. This schedule item does not
apply to TEL-3 or TEL-5.
TEL-7-1 Destroy/delete within 180 days after GRS 6, 12a for
Copies that have no further administrative value after the the record keeping copy has been items covered
recordkeeping copy is made. Includes copies maintained by produced. by GRS 6;
individuals in personal files, personal electronic mail GRS 12, 9a for
directories, or other personal directorates on hard disk or items covered
network drives, and copies on shared network drives that are by GRS 12
used only to produce the recordkeeping copy.

TEL-7-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 6, 12b for
maintained in addition to the recordkeeping copy. revision, or updating is completed. items covered
by GRS 6;
GRS 12, 9b for
items covered
by GRS 12

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6-31. Temporary Housing (THP).

This schedule covers records pertaining to the Temporary Housing Program. Included are assistance, contract, and maintenance
files.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

THP-1 General Files. Files maintained by the Temporary Housing Consolidate at appropriate regional N1-311-86-1
Coordinator cover overall administrative management office at the end of Phase II, when 4C8a
program and information functions. These files include such shelterees are moved to permanent
items as delegations of authority, mission assignments, and housing. Retire to FRC 1 year after
official correspondence with State and local government files are consolidated. Destroy
officials. 3 years after files are consolidated.

THP-2 Temporary Housing Assistance Program Files. These files (See sub-categories THP-2-1 through
cover the entire process of applicant and occupant assistance THP-2-4-4 for disposition
as well as any additional Disaster Housing Office (DHO) instructions.)
mission assignment activity (e.g., mobile home operations,
supplemental assistance, and minimal repair assistance).

THP-2-1 Master Occupant/Applicant Files. These files contain all Consolidate at regional office at end N1-311-86-1
original occupant-related documents (e.g., site requests, of Phase II. Retire to FRC 1 year 4C8b(1)
mobile home sales documents, leases, and contracts). after files are consolidated. Destroy
6 years and 3 months after files are
consolidated.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

THP-2-2 Working Field Applicant/Occupant Files. These files contain Review at end of Phase I operation N1-311-86-1
copies of occupant-related documents. (that is, when all qualified occupants 4C8b(2)
receive temporary housing) to
ensure all occupant-related original
documents are in the master
occupant/ applicant files or Mobile
Home Storage Program files, as
appropriate. Destroy upon
termination of assistance to
occupant.

THP-2-3 Working files for Phase I mobile home operations to minimal Destroy upon termination of N1-311-86-1
repairs containing copies of occupant-related documents. assistance to occupant. 4C8b(3)

THP-2-4 Control records and log relating to temporary housing Forward to appropriate regional N1-311-86-1
assistance program files. office at end of Phase II. Retire to 4C8b(4)
FRC 1 year after end of Phase II.
Destroy 6 years and 3 months after
end of Phase II.

THP-3 Contract Files.

THP-3-1 Mobile Home Contract files containing copies of contract Review at end of Phase I to ensure N1-311-86-1
modifications, site requests, waivers, work orders, and all occupant-related original 4C8c(1)
related records. documents are in the Master File.
Destroy 6 years and 3 months after
review.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

THP-3-2 National Office Standby Contract files containing copies of Review at end of Phase I to ensure N1-311-86-1
work orders, modifications, waivers, and related records. all occupant-related original 4C8c(2)
documents are in the Master File.
Destroy 6 years and 3 months after
closeout of contract.

THP-3-3 Maintenance Contract files containing copies of contract Review at end of Phase II. Destroy N1-311-86-1
modifications. 6 years and 3 months later. 4C8c(3)

THP-3-4 Mobile Home Storage Program Strategic Storage Center (SSC)

Files. These files are found in the SSC and include
correspondence and procedures related to mobile home and
travel trailer units owned by FEMA.

THP-3-4-1 Correspondence on mobile home and travel trailer Cut off at the end of the calendar N1-311-86-1
accountability and inventory, technical standards, year. Retire to inactive storage on 4C8d(1)
management reviews, copies of contracts with research and site 1 year after cutoff. Destroy
development organizations, and miscellaneous housekeeping 3 years after cutoff.
documents.

THP-3-4-2 Mobile Home and Travel Trailer Unit Files. Records relating Cut off when mobile home or travel N1-311-86-1
to the purchase, disposition, contracting, maintenance, bills unit is sold or declared excess 4C8d(2)
of lading, inspection reports, dispatch tickets, requests for property. Destroy 6 years and
shipments, waivers, and permits relating to mobile home and 3 months after cutoff.
travel trailer units.

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5-32. Training and Education (TNG).

This schedule covers all training records, NETC training, and general training material.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TNG-1 Training Records. General files of FEMA-sponsored training

EXCLUDING records of the National Emergency Training
Center (NETC) which trains personnel in specialized program
areas, such as emergency management and fire protection,
and record copy of manuals, syllabuses, textbooks, and other
training aids developed by FEMA, which are permanent
records covered under TNG-7.
TNG-1-1 Destroy when 5 years old or 5 years GRS 1,
Correspondence, memoranda, agreements, authorizations, after completion of a specific 29(a)(1)
reports, requirements reviews, plans, and objectives relating training program.
to the establishment and operation of training courses and
conferences.

TNG-1-2 Background and working files. Destroy when 3 years old. GRS 1, 29a(2)

TNG-2 Employee Training. Correspondence, memoranda, reports, Destroy when 5 years old or when GRS 1, 29b
and other records relating to the availability of training and superseded or obsolete, whichever is
employee participation in training programs sponsored by sooner.
other government agencies or non-government institutions.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TNG-3 Electronic Mail and Word Processing System Copies of

Personnel Records. Electronic copies of records that are
created on electronic mail and word processing systems and
used solely to generate a recordkeeping copy of the records
covered by the other items in this schedule. Also includes
electronic copies of records created on electronic mail and
word processing systems that are maintained for updating,
revision, or dissemination.
TNG-3-1 Destroy/delete within 180 days after GRS 1, 43a for
Copies that have no further administrative value after the the record keeping copy has been items covered
recordkeeping copy is made. Includes copies maintained by produced. by GRS 1 only
individuals in personal files, personal electronic mail
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that are
used only to produce the recordkeeping copy.

TNG-3-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 1, 43b for
maintained in addition to the recordkeeping copy. revision, or updating is completed. items covered
by GRS 1 only

TNG-4 CATEGORY RESERVED FOR FUTURE USE.

TNG-5 Training Aids. Manuals, syllabuses, textbooks, and other Destroy when superseded or N1-311-86-1
training aids on management and technical subjects obsolete. 1L1
developed by FEMA or under control for FEMA, EXCEPT
those maintained by NETC (see TNG-7 of his schedule).

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TNG-6 NETC Program Subject Files. All major documentation PERMANENT. Cut off at end of N1-311-86-1
required to administer NETC programs on a daily basis, fiscal year. Retire to FRC 5 years 3A2
including correspondence, policy statements, management after cutoff. Transfer to National
reports, and statements of objectives and accomplishments Archives in 5-year blocks 20 years
created by the NFA and EMI supervisors. Arrange after cutoff.
alphabetically by subject.

TNG-7 NETC Training Files. Documents created in establishing,

reviewing, approving, and revising courses of instruction and
training packets (courses, workshops, and seminars).
Included are courses of instruction on training programs,
syllabuses, lesson plans, and documents pertaining to
coordinating actions, approvals, revisions, and changes.

TNG-7-1 Training Texts and Instructions. Record copy of each PERMANENT. Cut off when N1-311-86-1
syllabus, course of instruction, and lesson plan. Arrange superseded or obsolete. Retire to 3A3a
alphabetically by name of course. FRC 1 year after cutoff. Transfer to
National Archives 20 years after
cutoff.

TNG-7-2 Drafts, notes, and other working papers. Destroy when superseded or N1-311-86-1
obsolete. 3A3b

TNG-7-3 Programs of instruction. Destroy when superseded or N1-311-86-1

obsolete. 3A3c

TNG-7-4 Course accreditation files. Destroy when superseded or N1-311-86-1

obsolete. 3A3d

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TNG-8 Training Evaluation and Improvement Files. Documents Destroy when superseded or N1-311-86-1
accumulated in planning, developing, and carrying out obsolete. 3A5
projects designed to evaluate ongoing training activities or to
develop new training programs, activities, and techniques.

TNG-9 State and Local Emergency Management Training Files.

TNG-9-1 Project Files. Documents accumulated in monitoring and Cut off on completion of contract. N1-311-86-1
assisting in the administration of Comprehensive Cooperative Destroy 6 years and 3 months after 3A4a
Agreement (CCA) projects conducted under contract with cutoff.
FEMA. Included are recommended approvals or disapprovals
and certifications, CCA's, authorizations to purchase
equipment and similar requests, and lists of contract
employees.

TNG-9-2 Training Conference Files. Documents relating to Cut off at end of fiscal year. Destroy N1-311-86-1
conferences conducted by FEMA for State, county and 6 years after cutoff. 3A4b
municipal officials, community leaders, and leaders of special
organizations and associations. The conferences are
designed to provide information and instructions that will
enable the participants to contribute more effectively to the
emergency management efforts of their communities.
included are requests for and notifications of conferences,
approvals for special conferences, papers relating to
conference arrangements, and conference reports.

TNG-10 Student Locator Cards. Registers, ledgers, or card files Destroy when no longer needed. N1-311-86-1
maintained for ready reference on NETC students. 3A6

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TNG-11 NETC Admission Applications. Record copy of each student's

application for admittance to an NETC course (FEMA
Form 75-5, General Admission Application). Arrange
alphabetically by course title.

TNG-11-1 Applications on students accepted for admission. Cut off at end of fiscal year. Retire N1-311-88-2
to FRC 5 years after cutoff. Destroy 1A
40 years after cutoff.

TNG-11-2 Applications on students NOT accepted for admission. Cut off at end of fiscal year. Destroy N1-311-88-2
1 year after cutoff. 1B

TNG-12 Student Stipend Agreement. Original signed copy of FEMA Cut off at end of fiscal year. Destroy N1-311-88-2
Form 75-3, Financial Aid Agreement. 6 years and 3 months after cutoff. 2

TNG-13 Summer Shelter Survey Program. A correspondence course

for engineering/architecture students.

TNG-13-1 Answer cards for each student on units 1 through 11. Destroy when 2 years old. N1-311-89-1
1a

TNG-13-2 On final examination, Parts A and B. Destroy when 2 years old. N1-311-89-1
1b

TNG-13-3 Grade sheet (summation of all answer cards). Destroy when 2 years old. N1-311-89-1
1c

TNG-13-4 Lists of all qualified students. Destroy when 2 years old. N1-311-89-1
1d

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TNG-14 Hazardous Materials (HAZMAT) Training Records. Records, Cut off on decertification of N1-311-93-1
including refresher training, documenting competency of instructor, or upon termination of
individuals qualified to instruct employees in HAZMAT employment. Destroy 1 year after
according to 29 CFR 1910.120. cutoff.

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5-33. Travel and Transportation (TRV).

This schedule covers records relating to the movement of goods and persons under Government orders. The records include bills of
lading, transportation requests, vouchers, and similar records, including those prescribed by Title 5 of the General Accounting
Office (GAO) Policy and Procedures Manual. Record copies of all travel transportation, and freight records used to support
payments become components of the accountable officers' accounts. Their disposition is covered by ACC-1, ACC-10, ACC-11, or
ACC-15.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TRV-1 Commercial Freight and Passenger Transportation Files.

TRV-1-1 Original vouchers and supporting documents covering Destroy 6 years after the period of GRS 9, 1a
commercial freight and passenger transportation charges of the account.
settled fiscal accounts, including registers and other control
documents, but EXCLUDING those covered by item TRV-1-2.

TRV-1-2 Records covering payment for commercial freight and Destroy when 10 years old. GRS 9, 1b
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) voucher contains
inbound transit shipment(s), (4) parent voucher has print of
paid supplemental bill associated (5) voucher has become
involved in litigation, or (6) any other condition that prevents
the settling of the account, requiring the voucher to be
retained beyond the 6-year retention period, such as
detection of overcharge.

TRV-1-3 Issuing office copies of Government or commercial bills of Destroy 6 years after the period of GRS 9, 1c
lading, commercial passenger transportation vouchers the account.
(SF 1113A) and transportation requests (SF 1169), travel
authorizations, and supporting documents.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TRV-1-4 Obligation copy of commercial passenger transportation Destroy when funds are obligated. GRS 9, 1d
vouchers.

TRV-1-5 Unused ticket redemption forms, such as SF 1170. Destroy 3 years after the year in GRS 9, 1e
which the transaction is completed.

TRV-2 Lost or Damaged Shipments Files. Schedules of valuables Destroy when 6 years old. GRS 9, 2
shipped, correspondence, reports, and other records relating
to the administration of the Government Losses in Shipment
Act.

TRV-3 Noncommercial, Reimbursable Travel Files. Records relating

to reimbursing individuals, such as travel orders, per diem
vouchers, transportation requests, hotel reservations, and all
supporting documents relating to official travel by officers,
employees, dependents, or others authorized by law to travel.

TRV-3-1 Travel administrative office files. Destroy when 6 years old. GRS 9, 3a

TRV-3-2 Obligation copies. Destroy when funds are obligated. GRS 9, 3b

TRV-4 General Travel and Transportation Files.

TRV-4-1 Routine administrative records including correspondence, Destroy when 2 years old. GRS 9, 4a
forms, and related records pertaining to commercial and
noncommercial agency travel and transportation functions,
not covered elsewhere in this schedule.

TRV-4-2 Accountability records documenting the issue or receipt of Destroy 1 year after all entries are GRS 9, 4b
accountable documents. cleared.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TRV-5 Employee Travel Files. Correspondence, requests, travel Destroy when 1 year old or when N1-311-86-1
authorizations and orders, itineraries, and similar records reimbursement has been paid, 1K5
maintained by the Financial Management Officer. whichever is sooner.

TRV-6 Trip Reports. Documents reflecting activities engaged in on Destroy when 3 years old. N1-311-86-1
official travel of employees for the purpose of orientation, 1K9
rendering assistance, or conducting studies, exclusive of
reports regarding management approach.

TRV-7 Official Passport Records.

TRV-7-1 Application Files. Documents relating to the issuance of Destroy when 3 years old or upon GRS 9, 5a
official passports, including requests for passports, separation of the bearer, whichever
transmittal letters, receipts, and copies of travel is sooner.
authorizations.

TRV-7-2 Annual reports to the Department of State concerning the Destroy when 1 year old. GRS 9, 5b
number of official passports issued and related matters.

TRV-7-3 Passport registers and lists of FEMA personnel who have Destroy when superseded or GRS 9, 5c
official passports. obsolete.

NOTE: Official passports should be returned to the Department of State upon expiration or upon the separation of the employee.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TRV-8 Non-Federal Funded Travel.

TRV-8-1 Agency copies of Semiannual Expense Reports for Destroy when 4 years old. GRS 9, 6a
Non-Federally Funded Travel submitted by all Executive
Branch agencies to the Office of Government Ethics. Reports
summarize payments made to the agency from non-Federal
sources for travel, subsistence, and related expenses for an
employee who attends a meeting or similar function relating
to official duties.

TRV-8-2 Statements, forms, and other records used to compile Destroy 1 year after submission of GRS 9, 6b
Semiannual Expense Reports for Non-Federal Funded Travel. report to the Office of Government
Ethics.

TRV-9 Federal Employee Transportation Subsidy Records. Destroy when 3 years old. GRS 9, 7
Documents in either paper or electronic form 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.

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FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

TRV-10 Electronic Mail and Word Processing System Copies of Travel

and Transportation Records. Electronic copies of records
that are created on electronic mail and word processing
systems and used solely to generate a recordkeeping copy of
the records covered by the other items in this schedule. Also
includes electronic copies of records created on electronic
mail and word processing systems that are maintained for
updating, revision, or dissemination. This category does
not apply to TRV-5 or TRV-6.
TRV-10-1 Destroy/delete within 180 days after GRS 9, 8a
Copies that have no further administrative value after the the record keeping copy has been
recordkeeping copy is made. Includes copies maintained by produced.
individuals in personal files, personal electronic mail
directories, or other personal directorates on hard disk or
network drives, and copies on shared network drives that are
used only to produce the recordkeeping copy.

TRV-10-2 Copies used for dissemination, revision, or updating that are Destroy/delete when dissemination, GRS 9, 8b
maintained in addition to the recordkeeping copy. revision, or updating is completed.

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5-34. Warning Systems (WNG).

This schedule covers records relating to the Emergency Alert System (previously known as the Emergency Broadcast System (EBS))
and other emergency warning systems.

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

WNG-1 Emergency Alert System (EAS) Files. Plans, policy guidance PERMANENT. Cut off at end of N1-311-86-1
agreements, and studies mutually conducted by FEMA and calendar year. Retire to FRC 1 year 5G11
the Federal Communications Commission (FCC), including after cutoff. Transfer to National
reports generated such as EAS all-station reports and related Archives in 5-year blocks 20 years
reports. after cutoff.

WNG-2 EAS State Plans. Documents relating to EAS plans and

communications equipment standards and specifications
prepared by State and local industry advisory committees.
These are forwarded through FEMA channels to the FCC for
review, but maintained by FEMA.

WNG-2-1 Approved EAS plans and specifications. Arrange PERMANENT. Cut off when plan is N1-311-86-1
alphabetically by State. superseded or obsolete. Retire to 4B14a
FRC 1 year after cutoff. Transfer to
National Archives in 5-year blocks
20 years after cutoff.

WNG-2-2 Working papers created in developing EAS plans and Destroy when plan is approved. N1-311-86-1
specifications. 4B14b

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

WNG-3 Special EAS Study Files. Documents relating to special

studies conducted in connection with difficult non-recurring
projects in order to provide solutions to missions assigned.
Included are worksheets, records of methodology, charts,
maps, notes, memoranda, records of meetings, and official
studies.
WNG-3-1 PERMANENT. Cut off at end of N1-311-86-1
Final EAS Studies. Arrange alphabetically by State. calendar year of issuance. Retire to 4B15a
FRC 3 years after cutoff. Transfer to
National Archives in 5-year blocks
20 years after cutoff.

WNG-3-2 Working papers created in developing special EAS studies. Cut off when special study is issued. N1-311-86-1
Retire to FRC 3 years after cutoff. 4B15b
Destroy 10 years after cutoff.

WNG-4 Frequency Allocation Files. Computerized list of emergency Erase data when superseded or N1-311-86-1
broadcast radio frequency allocations assigned by the FCC to obsolete. 4B13
State and local governments and emergency services (fire,
police, ambulance) consisting of frequency, location, and type
of service.

WNG-5 Warning Systems Files.

WNG-5-1 Planning and policy guidance documents, correspondence, PERMANENT. Cut off at end of N1-311-86-1
and memoranda relating to the operation of the various calendar year. Retire to FRC 1 year 5G13a
warning systems under FEMA's charter. Arrange by subject. after cutoff. Transfer to National
Archives in 5-year blocks 20 years
after cutoff.

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 FEMA Manual 5400.2 February 29, 2000

FILE AUTHORIZED NARA

NUMBER DESCRIPTION OF RECORDS DISPOSITION AUTHORITY

WNG-5-2 Survey and study papers accumulated to determine warning Destroy when superseded or N1-311-86-1
capability, including names of volunteer wideband radio obsolete. 5G13b
listeners, and lists of custodians of DIDS receivers.

WNG-5-3 Locator maps depicting the location of warning points Destroy when superseded or N1-311-86-1
throughout the United States. obsolete. 5G13c

WNG-5-4 Equipment inventories. Destroy when superseded or N1-311-86-1

obsolete. 5G13d

WNG-6 Radio Amateur Civil Emergency Service (RACES) Files. Destroy when no longer needed. N1-311-86-1
Documents on the management of the RACES system 5G12
including those relating to the NIAC.

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APPENDIX: Relative Subject Index

AID Files ......................................... LIA-5

Activities Report (Weekly) .................ADM-7
Accident, Motor Vehicle Report ........ ADM-40
Administration
Accountability Administrative Announcements ...ADM-6
Classified Documents................... SEC-3, SEC-5, SEC-6 Chronological Files .......................ADM-5
Forms, transportation requests .... TRV-1, TRV-3 Directory Files ..............................ADM-10
Keys, security and protective........ SEC-32 Reading Files ...............................ADM-5
Personal Property, files................. SEC-31 Suspense Files .............................ADM-13
Security Identification .................. SEC-26 Transitory Files ............................ADM-14
Transportation and Travel ............ TRV-4-2, TRV-5
Administrative Announcements........ADM-6
Accountable Officers' Returns .......... ACC-1
Administrative Appeals and Hearings LE
Accounting
Accountable Officers' Returns....... ACC-1, DAP-9 Administrative Claims Files..............ACC-10
Availability of Funds .................... ACC-4
COMSEC ..................................... SEC-15-3 Administrative Files, Office ..............ADM-1
Collection of Funds ...................... ACC-4
Correspondence ........................... ACC-5 Administrative Management
Custody of Funds......................... ACC-4 Committees ..................................CMC-1 thru CMC-4
Deposit of Funds.......................... ACC-4 Feasibility Studies ........................ADM-19
Exception, notices of GAO ............ ACC-2 Forms ..........................................REM-5
Settlement, certificates of ............. ACC-3 Project Control Files .....................ADM-18
Support Documents ..................... ACC-7, ACC-8, ACC-9 Records Management ..................REM-4, REM-6, REM-9
Surety, personnel bond ................ ACC-6 Reports Control ............................REM-8

Accounts Admission Applications, NETC .........TNG-11

Accounts, general ...................... ACC-13
Allotment..................................... ACC-14 Affirmative Action Plans ...................EEO-8
Posting and Control Media ........... ACC-15
Allotment Ledgers ............................ACC-14
Acquisition of Real Property, Titles... PRC-1

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FEMA Manual 5400.2 February 29, 2000

American Indians Accounting ......... ACC-1-1

Documents Bid and Proposal Files ...................PRC-5
Acceptable Bidders ......................PRC-5-4
Annual Report Input ....................... ADM-8 Cancelled .....................................PRC-5-3, PRC-12
Successful....................................PRC-5-1
Applications Unsuccessful ..............................PRC-5-2, PRC-12
Employment ................................ PER-17
Grants ......................................... PRC-12 Bills of Lading..................................TRV-1-3
Housing....................................... ADM-30
Binding .........................................PRP-2
Apportionment/Reapportionment .... BUD-4
Bonds
Architecture Drawings..................... CAE-3 Campaigns ...................................ADM-17
Arrangement Files ........................... CMC-3 Personnel Surety ..........................ACC-6
Savings ........................................PER-40
Arrests............................................ SEC-30 Budget
Apportionment ............................BUD-4
Audiovisual Correspondence Files ...................BUD-1
Finding Aids .............................. AVL-35 Estimates and Justifications ........BUD-6
Graphic Arts .............................. AVL-7 thru AVL-10 Policy Files .................................BUD-5
Motion Picture (FEMA Sponsored). AVL-16 Reports ........................................BUD-3
Motion Pictures............................ AVL-11 thru AVL-16 Work Papers.................................BUD-3-2
Official Portrait Photographs ........ AVL-3
Production files ............................ AVL-34 Building Space and Maintenance
Scripts......................................... AVL-34 Allocation .....................................PRM-7
Sound Recordings ........................ AVL-27 thru AVL-32 Correspondence ...........................PRM-6, PRM-7-2
Still Photography ......................... AVL-1, AVL-5 Credentials...................................PRM-9-1
Surveillance................................. AVL-13 Directory Service .........................PRM-8
Training....................................... AVL-11 Plans ...........................................PRM-7-1
Video recordings .......................... AVL-17 thru AVL-26 Release ........................................PRM-7
Video recordings (FEMA Sponsored) AVL-17
Building Space and Maintenance (continued)
Authority, delegations of.................. LEG-11 Reports ........................................PRM-7-2
Request for Services .....................PRM-10
Automobile Permits ........................ PRM-9 Utilization ....................................PRM-7

Average Grade Reports .................... OPM-14 COMSEC Files

Accounting...................................SEC-15-3
Awards (Personnel) ......................... PER-14, PER-15 Briefing/Debriefing Statements.....SEC-15-8

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FEMA Manual 5400.2 February 29, 2000

Correspondence ........................... SEC-15-1 Security Regrading ......................SEC-12

Courier, Mail, and ....................... SEC-15-7 Surplus Property ..........................PRM-3
Package Receipts Undeclared Natural Disaster .......DAP-2
Daily Inventory Files .................... SEC-15-2
Facility Approval .......................... SEC-15-4 Certificates
Facility Inspection........................ SEC-15-5 Classified Document Destruction ..SEC-4
Security Investigation Report........ SEC-15-6 Eligibles (employment)..................PER-7
Export..........................................TRV-1
Calendars ....................................... ADM-12 Performance Rating .....................PER-25
Settlement ...................................ACC-3
Campaign Records .......................... ADM-17 Tax .............................................PER-52
Tax Exemption ............................PRC-11
Canada - US Civil Emergency Plans LIA-3 Title .............................................PRC-1
Transit .........................................TRV-1
Cartographic
Color Pulls ................................... CAE-1 Charitable Campaign Records ..........ADM-17, PER-41
Color Separation Sheets ............... CAE-1
Cartographic (continued) Charity Appeals ...............................ADM-14
Composites .................................. CAE-1
Data Tapes .................................. CAE-3 Chemical Stockpile Emergency.........NTH-6
Maps (correction) ......................... CAE-1 Preparedness

Case Files Civil Defense

Administrative Appeals/Hearings . LEG-10 Emergency Managment Assistance C
Classification Appeals .................. PER-9-2 Multiyear Working Files................CVD-5
Contract Appeals ......................... PRC-14 National Security Council Studies CVD-6
DAP Incidents ............................. DAP-3 Population Protection Data ...........CVD-2
Emergency Planning ................... EOM-3 Research Reports Indices..............CVD-7
Exercise....................................... EOM-5-3 State/Local Government
Emergency Plans .....................CVD-4
Case Files (continued) System Files ...............................CVD-1
FIA Community ........................... FIA-1
IPS Hardware Selection ................ IPS-2 Claims
Informational Services.................. INF-4 Administrative..............................ACC-10
Litigation ..................................... LEG-9 Health Benefits, former spouse .....PER-34
NDER Reservists.......................... EOM-11-3 Waiver of, Administrative..............ACC-11
Personnel (Incentive awards) ....... PER-14-1, PER-15
Personnel (Security) ..................... SEC-38 Classified Documents
Privacy Act Amendment ............... INF-14 Access Control .............................SEC-8

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Accounting .................................. SEC-6 Operation.....................................TEL-1, TEL-2-1

Administrative Correspondence .... SEC-1 Reports ........................................TEL-1-2,3,4, TEL-2-1
Container Security ...................... SEC-10 Vouchers......................................TEL-1-4
Security Classification Files.......... SEC-11
Security Regrading Case Files ...... SEC-12 Communications Systems Files ........TEL-3

Classified Information and Control Complaints, Discrimination..............EEO-1, EE0-2

Access Control ............................. SEC-8
COMSEC Briefing/Debriefing ....... SEC-15-8 Comprehensive Cooperative Agreement
Container Security ...................... SEC-10 Appeals/Litigation/Claims............CCA-5
Correspondence ........................... SEC-1 CARL Files ...................................CCA-6
Destruction Certificates................ SEC-4 Correspondence ...........................CCA-2
Industrial Information Security .... SEC-17 Financial Records.........................CCA-3
Information Request Files............. SEC-9 Master Copies of CCA's .................CCA-1
Inventory ..................................... SEC-5 Nonexpendable Property ...............CCA-4
Micrographics Inventory/Request . SEC-16
Receipt ........................................ SEC-2, SEC-3 Congressional
Security Briefing/Debriefing ........ SEC-39 Correspondence ...........................LEG-1
Security Equipment Files ............. SEC-27 Defense Production Act Hearings ..LEG-7
Security Identification Accounting SEC-26 Defense Production Act Legislation LE
Top Secret Accounting And Control Legislative
SEC-6 Files ..........................LEG-3
Classified or Classifiable Information Legislative
SEC-42History Files ................LEG-4
Senate/House Profile Files............LEG-2
Clearance........................................ SEC-38 Continuity of Government
Coordination Files .......................COG-4
Commendation Letters .................... PER-14-3 Development and Planning Files ...COG-1
Executive Order 12656 Files .......COG-11
Committees..................................... CMC-1 thru CMC-4 Federal Agency ...........................COG-9
Committee and Conference Files... CMC-4 Emergency Plans
Interagency Committee (Security) SEC-25 Federal Preparedness Guidance ....COG-8
Interagency Committee on Dam Safety . . NTH-3-2 Federal Resource Assessment ......COG-10
Minutes of the FEMA Advisory Board . . CMC-1 System
NFA Board of Directors ................ CMC-2 Federal Response Plan Files ........COG-7
Interagency Task Force Files ........COG-5
Communications National Security Document Files .COG-12
Administrative ............................. TEL-1 Operation and Briefing .................COG-3
Correspondence ........................... TEL-1 Operational Response Procedures .COG-6
Equipment................................... TEL-1-2, TEL-1-5 Project and Policy Files .................COG-2
Messages ..................................... TEL-2-2

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FEMA Manual 5400.2 February 29, 2000

Contract Appeals Case Files............. PRC-14 Grants .........................................PRC-13

Housing .......................................ADM-24
Contractor's Statement of Contingent or other fees . . PRC-16 Informational Services ..................INF-1 thru INF-18
Motor Vehicle ..............................ADM-36, ADM-42
Contractors' Employment Practices, EEO EEO-4-1
Official .........................................ADM-3
Pay .............................................PER-36
Contractors' Payrolls ....................... PRC-10 Personnel .....................................PER-5, PER-6, PER-19
Personnel Security .......................SEC-37
Contracts ........................................ PRC-3 Plant Accounting ..........................ACC-16
Temporary Housing .................... THP-3 Printing, Administrative................PRP-1
Procurement ................................PRC-2
Contributions Project Loan Program PRM-4 Program (office level or above) .......ADM-4-1
Property Disposal .......................PRM-1
Control Files Regional Office .............................ADM-22
Classified Documents................... SEC-6 Security and Protective Service .....SEC-18
FOIA............................................ INF-10 Space and Maintenance................PRM-6
General........................................ ADM-15 Stores Accounting ......................ACC-16
Mandatory Review for Declassification . . SEC-43 Surplus Property ..........................PRM-1
Printing ....................................... PRP-3 Transportation .............................TRV-4
Privacy Act................................... INF-16 Travel...........................................TRV-4

Cora Brown Trust Fund................... DAP-10 Cost Accounting

Correspondence ...........................ACC-16
Ledgers ........................................ACC-22
Reports ........................................ACC-21
Correspondence
Accounting .................................. ACC-5 Credentials ......................................PRM-9
Building and Space Maintenance.. PRM-6, PRM-7-2 Credit Card Purchases .....................ACC-1, ACC-7, ACC-8
CCA's .......................................... CCA-2
COMSEC ..................................... SEC-15-1 Crime Insurance Claims ................FIA-12-3
Communications.......................... TEL-1
Congressional ............................. LEG-1 Chronological Files ..........................ADM-5
Cost Accounting........................... ACC-16
Emergency Planning (Administrative) . . EOM-4 Daily Activities Schedules ................ADM-12
Emergency Planning ................... EOM-4
Expenditure Accounting ............... ACC-12 Dam Safety Program Files ................NTH-3
Facilities, Security ....................... SEC-18
Foreign Country........................... LIA-2 Declassification ...............................SEC-46
General Subject ........................... ADM-4

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FEMA Manual 5400.2 February 29, 2000

Defense Priorities System ................ EOM-9 Situation Summaries....................DAP-12

State Assistance Program .............DAP-5
Defense Production Act Undeclared Natural Disaster Files DAP-2
Congressional Hearings................ LEG-7
Defense Materials System Files .... EOM-10-3 Discrimination Complaints...............EEO-1, EEO-2
Domestic Energy Supply Maximization EOM-10-4
Executive Order 10480................. EOM-10-2 Dispensary Control Files ..................PER-22
Emergency Water Planning .......... EOM-10-9
Industrial Capability Expansion ... EOM-10-5 Donated Leave Program ...................PER-58
Machine Tool Trigger Order .......... EOM-10-6
Nonindustrial Facilities ................ EOM-10-8 Driver Tests .....................................ADM-42
Priority/Allocation Files................ EOM-10-1
Voluntary Agreement Files ........... EOM-10-7 Drug Testing Program ......................PER-57

Delegations of Authority .................. LEG-11 Duty Station Strength Reports .........OPM-8

Design and Construction ................ CAE-3, 4 EBS Planning Files .........................WNG-1, WNG-2

Directives, FEMA............................. REM-2 EBS Special Study Files ..................WNG-3

Directory Files................................. ADM-10 EBS State Plans...............................WNG-2

Disaster Assistance Programs (DAP) Earthquake Hazards Reduction Program N

Community Disaster Loan............ DAP-4-3
Cora Brown Trust Fund ............... DAP-10 Emergency Action Officer Logs .........EOM-1
DFO Individual Assistance ........... DAP-6
Emergency Food/Shelter Financial Emergency
DAP-9Alert System (EAS) .......WNG-1
Emergency Management .............. DAP-9
FCO Digests................................. DAP-11 Emergency Mobilization ..................EOM-2
Disaster Assistance Programs (DAP) Preparedness Plan
Fire Supression Assistance........... DAP-4-2
Incident Case Files....................... DAP-3 Emergency Operations Test Files......EOM-6
Individual Assistance Program Files DAP-8-1
Individual/Family Grant Program. DAP-7 Emergency Personnel Roster Files ..EOM-8
Items of Interest ......................... DAP-13
Major Disaster and Emergencies .. DAP-1 Emergency Planning
Mitigation Assistance ................... MIT series Case Files ....................................EOM-3
Project Application ....................... DAP-4-1 Correspondence ...........................EOM-4
Public Assistance ....................... DAP-4 Operations Tests ..........................EOM-6

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Emergency Planning Case Files ....... EOM-3 Federal Insurance Administration

Annual Statement ........................FIA-5
Emergency Support/Response Teams EOM-7
Appeals Files ................................FIA-2
Claim Files ...................................FIA-12
Employee Performance .................... PER-25 Community Case Files ..................FIA-1
Crime Insurance Program Claim Files FI
Employee Safety .............................. PER-30, SEC-19 Crime Insurance Program Policy ...FIA-13-3
Flood Elevation Determination Maps FI
Employee Training ........................ TNG-2 Flood Hazard Maps.......................FIA-3
Flood Ins. Program Files ...............FIA-13-1
Employee Transfer ........................ PER-16 Insurance Company Lists .............FIA-7
Policy Files .................................FIA-13
Equal Employment Opportunity ..... EEO-1, EEO-2
Complaints Federal Insurance Administration (continued)
Riot Insurance Claims ..................FIA-9
Evaluation Background Files ........... OPM-1 Servicing Company Files...............FIA-10
Standard Reinsurance Contracts ..FIA-8
Executive Order 12656 .................... COG-11 State Files ....................................FIA-11
State Pool Files.............................FIA-6
Exercise Files .................................. EOM-5
FTE Equivalent Hours Report...........OPM-11
Expenditure Accounting
Allotment..................................... ACC-14 FTE Usage Summary Reports...........OPM-10
Correspondence ........................... ACC-12
Ledgers........................................ ACC-13 Facilities, Security
Posting and Control ..................... ACC-15 Correspondence ...........................SEC-18
Inspections and Surveys...............SEC-19, SEC-20
FEMA Advisory Board Investigation ...............................SEC-23
Administrative Files ..................... ADM-21
Meeting Minutes .......................... CMC-1 Feasibility Studies ...........................ADM-19
Member Personnel Files ............... PER-2
Official Portrait Photographs ........ AVL-3-2 Federal Agency Emergency Plans .....COG-9
FEMA Legislative Files ..................... LEG-12
Federal Coordinating Officer Digests.DAP-11
FEMA Mission Activities, ................. AVL-4 Federal Register, Documents Published in LE
Official Photographs
Feeder Reports ................................ADM-9
FEMA Organizational Titles and Codes OPM-9

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FEMA Manual 5400.2 February 29, 2000

Films General Accounting Office

Engineering ................................. AVL-14 Notices of Exception .....................ACC-2
Scientific and Medical .................. AVL-14 Site Audit .....................................ACC-1
Surveillance ............................... AVL-13 Support Documentation ...............ACC-7, ACC-8, ACC-9
Training....................................... AVL-11
General Subject Correspondence......ADM-4
Financial Disclosure Reports ........... LEG-15
Government Losses in Shipment Act TR
Finding Aids
Audiovisual.................................. AVL-35 Grants
General (including electronic) ....... ADM-16 Administration .............................PRC-13-1
Information services..................... INF-6 Individual and Family...................DAP-7
US Fire Administration .................PRC-13-2
Flexitime Attendance Records .......... PER-37
Graphic Arts....................................AVL-7 thru AVL-10
Flood Elevation Determination Maps FIA-4
Guard
Flood Hazard Maps ........................ FIA-3 Assignment ..................................SEC-29
Facility Checks.............................SEC-34
Followup Files ................................. ADM-13 Logs and Registers ......................SEC-36
Foreign Government Correspondence Service
LIA-2Control.............................SEC-35

Forms ............................................. REM-5 Health Benefits Claims ...................PER-34

Fraud, Waste, and Abuse ............... AUD-1 thru AUD-3 Health Programs, Civilian
Dispensary Logs ...........................PER-22
Freedom of Information Act Files Employee Medical Folder ..............PER-23
Administrative ............................. INF-12 Health Record Card .....................PER-21
Appeals........................................ INF-9 Individual Cases...........................PER-23
Control ........................................ INF-10 Reports ........................................PER-24
Reports........................................ INF-11
Requests...................................... INF-8 House Member Profile Files ..............LEG-2

Freight .......................................... TRV-1, TRV-2 Household Effects, shipment of ........TRV-1

Freight and Passenger Transportation Files. . . TRV-1, TRV-3 Housing

Applications ...............................ADM-30
Gasoline Sales Tickets ................... ACC-7 Assignment ..................................ADM-28
Correspondence ...........................ADM-24

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Housing (continued)
Furnishings Inventory.................. ADM-29
Lease ........................................... ADM-27 Information Resources Management
Maintenance and Repair .............. ADM-25 Information Collection Budget ......REM-10
Reports........................................ ADM-24 Systems Studies ...........................ADM-19
Requests (EEO) ............................ EEO-5 Triennial Reviews .......................ADM-20
Tenant......................................... ADM-28-1
Vacancy....................................... ADM-28 Information Retrieval Files ...............SHL-6

Hurricane Vulnerability Program ..... NTH-5 Informational Services

Acknowledgment Files ..................INF-2
IEMIS Files ..................................... NTH-2 Bibliographies ..............................INF-6
Correspondence ...........................INF-5
ISIS Reporting System Reports ........ OPM-13 Freedom of Information ................INF-8 thru INF-12
Press Service Files ........................INF-3
Identification Credentials................. PRM-9, SEC-26 Privacy Act Files .........................INF-13 thru INF-18
Project Case Files ........................INF-4
Impending Scheduled Loss Reports OPM-16 Publications ...............................INF-6
Requests ......................................INF-1
Incentive Award Case Files .............. PER-14
Injury and Illness, occupational .....PER-30, PER-34
Indians, American-accounting documents ACC-1-2
Inspections
Individual Mobilization Augmentee . EOM-12 Government-Owned Facilities .....SEC-19
Microform Logs.............................REM-11
Information Collection Budget ......... REM-10 Privately-Owned Facilities.............SEC-20

Information Processing Systems (IPS) Institutional Studies Files ................SHL-7

IPS Documentation Files .............. IPS-4
IPS Hardware Selection Case Files IPS-2Emergency Management .EOM-13
Integrated
IPS Management Reporting Files .. IPS-8 System
IPS Test Files ............................... IPS-7
Planning and Program Files.......... IPS-1 Internal Controls System Files .........AUD-3
System Operation Specification .... IPS-9
Systems Test Documentation ....... IPS-5 Interview .........................................PER-10
User Guides................................. IPS-6
Utilization and Maintenance ....... IPS-3 Inventory, Equipment, and Supplies.PRC-9

Information Request Files ................ SEC-9 Investigation....................................SEC-23

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FEMA Manual 5400.2 February 29, 2000

Losses in Shipment Act, Government TR

Invitations
Bid ............................................. PRC-5 Mail
Committee Meetings .................... CMC-4-2-2 Administration .............................ADM-33-7
Invoices, stores accounting.............. ACC-17 Certified .......................................ADM-31-1
Control.........................................ADM-33
Items of Interest ............................ DAP-13 Mail (continued)
Delayed Delivery Report................ADM-31-3
Job Descriptions ............................. PER-9 Express........................................ADM-31-1
Insured ........................................ADM-31-1
Key Control, security ....................... SEC-32 Loss Report ..................................ADM-35
Messenger Service …………………ADM-32, ADM-33-6,
Labor Management Relations........... PER-28 ADM-33-8
Overnight .....................................ADM-31-1
Leave .............................................. PER-42, PER-43 Penalty Mail Reports.....................ADM-34
Postal irregularities ......................ADM-35
Ledgers Private Mail Companies ................ADM-31
Allotment..................................... ACC-14 Receipt and Routing .....................ADM-33-1
Cost Report.................................. ACC-22 Receipts .......................................ADM-33-6
General Accounts......................... ACC-16 Registered Mail.............................ADM-31-1, ADM-33-2
Plant Accounting.......................... ACC-20 Stamps ........................................ADM-33-3, ADM-33-5
Subsidiary ................................... ACC-15 Statistical Reports ........................ADM-33-2, ADM-33-4

Legal Activity Report........................ LEG-14 Mailing List .....................................PRP-4

Legal Authorities Data Base............. LEG-5 Maintenance....................................PRM-6, PRM-10

Legal Decision, Opinion, Interpretion LEG-13

Mandatory Review for Declassification
Administrative Files......................SEC-45
Legislative Files ............................. LEG-3 Appeals ........................................SEC-47
Control.........................................SEC-43
Legislative Files, FEMA ................... LEG-12 Reports ........................................SEC-44
Requests ......................................SEC-46
Legislative History Files ................... LEG-4
Maps
Levy and Garnishment .................... PER-55 Flood Elevation.............................FIA-4
Flood Hazard ..............................FIA-3
Litigation Case Files ........................ LEG-9
Master Publications Files .................REM-1

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NFA Board of Directors, meeting minutes C

Medical Records .............................. PER-21, PER-23
National Shelter Planning Surveys ..SHL-10
Merit Promotion Case Files .............. PER-31
Nondisclosure Agreement ................SEC-42
Messenger Service ......................... ADM-32
Notification of Personnel Action ......PER-16
Mexico - US Agreement Files............ LIA-4
Occupational Injury and Illness........PER-30
Microform Inspection....................... REM-11
Official Correspondence ..................ADM-3
Mobile Home Storage Program ......... THP-3-4
Official Personnel Folders.................PER-1, PER-12
Motion Pictures ............................... AVL-11 thru AVL-16
FEMA Sponsored/Acquired .......... AVL-16 Official Photographs
Production Files ........................... AVL-34 Mission Activities ......................AVL-4
Portrait Photographs ...................AVL-3
Motor Vehicle
Accidents..................................... ADM-40 On-Board Employee Count ..............OPM-4
Correspondence ........................... ADM-36, ADM-42
Cost and Expense Data ................ ADM-38 On-Board Strength of FTE's Reports.OPM-7
Maintenance ................................ ADM-37-2
Operation .................................... ADM-37-1 Organizational Change History.........OPM-3, OPM-18
Operators .................................... ADM-42
Releases ...................................... ADM-41 Organizational Change Logs.............OPM-2
Reports........................................ ADM-39
Organizational Files, public..............PER-3
National Defense Executive Reserve (NDER)
Case Files .................................... EOM-11-3 Organizational Strength Reports ......OPM-6
Conference and Training .............. EOM-11-2
General Files ............................... EOM-11-1 Organizational Titles and Code, FEMA O

National Emergency Training Center (NETC) Organizational/Staffing Profiles Reports O

Admission Applications ................ TNG-11
Program Subject Files .................. TNG-6 Paperwork Reduction Act ................REM-7
Student Locator Cards ................. TNG-10
Student Stipend Agreement.......... TNG-12 Parking Permits ...............................PRM-9-1
Training Files............................... TNG-7

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FEMA Manual 5400.2 February 29, 2000

Passes............................................. PRM-9-1 PER-32-11

Audits of Delegated Exam Operations…PER-32-17
Pay Awards ........................................PER-14, PER-15
Allotments ................................... PER-41-1 Certificates of Eligibles.................PER-7, PER-32-13
Applications for Leave .................. PER-42 Certification Request Control Index PE
Bonds Correspondence...........................PER-5, PER-6, PER-19
- Authorization ............................ PER-40-1 Counseling ..................................PER-26
- Purchase................................... PER-40 Discrimination Cases...................EEO-1, EEO-2
- Receipt and Transmittal ............ PER-40-3 Dispensary Logs ..........................PER-22
- Registration ............................. PER-40-2 Displaced Employee Program .......PER-32-15, PER-32-16
Correspondence ........................... PER-36 Driver Tests ...............................ADM-42
Employee Interviews ....................PER-10
Employee Medical Folder..............PER-23
Pay (continued) Employee Record Card.................PER-8
Individual Earnings and Service Cards PER-35
Equal Employment Opportunity ..EEO-1, EEO-8
Leave Record ............................. PER-43 Evaluations .................................PER-9
Personnel Action, notification of .. PER-16 Personnel (civilian)
Examination Announcement Cases PE
Payroll Examinations ............................PER-32
Correspondence ........................... PER-36 Examining and Certification Records PE
Flexitime Attendance.................... PER-37-2 FEMA Advisory Board Personnel Files... PER-2
Levy and Garnishment ................. PER-55 Financial Disclosure Reports .......LEG-15
Reports Grievance ....................................PER-29-1
- Administrative ........................ PER-51 Health Benefits Claims ................PER-34
- Retirement .............................. PER-53 Health Record Cases....................PER-23
- Taxes ...................................... PER-52-3 Health Records, individual ...........PER-21, PER-23
Taxes .......................................... PER-52 Health Unit Control Files .............PER-22
Wage Survey ............................... PER-56 Incentive Awards (Cases)..............PER-14-1
Incentive Awards (Reports)...........PER-15
Performance Rating ........................ PER-11, PER-25 Injury and Illness .......................PER-30
Interviews....................................PER-10
Personal Injury................................ PER-30 Labor Management Relations .......PER-28
Leave...........................................PER-42, PER-43
Personnel (Civilian) Letters of Reference .....................PER-14-4
Delegated Agreements ................. PER-32-1 Motor Vehicle Operation ..............ADM-39
Adverse Action ............................ PER-29-2 Notification of Personnel Action ..PER-16
Affirmative Action Plans .............. EEO-8 Offers of Employment ..................PER-6
Application Record Card .............. PER-32-4 Official Personnel Folder ..............PER-1, PER-12
Applications for Employment …PER-17, PER-32-8, Performance Ratings....................PER-11, PER-25

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FEMA Manual 5400.2 February 29, 2000

Personnel Security Clearance ..... SEC-38 Plant Accounting

Case Files Account Cards ............................ACC-20
Position Survey ........................... PER-9-4 Correspondence...........................ACC-16
Position Classification Appeals..... PER-9-5 Ledgers .......................................ACC-20
Position Classification Standards PER-9-1, PER-9-2
Position Descriptions................... PER-9-3 Police Records .................................SEC-30
Position Identification Strips........ PER-13
Public Organization Files ............. PER-3 Policy Files, Continuity of Government C
Reduction-In-Force (RIF) Records PER-19-2-1, PER-29-2
Registers of Eligibles ................... PER-32-6 Position Descriptions .......................PER-9-2
Reports .......................................
- Audits-Delegated Examining ... PER-32-17 Postal Irregularities..........................ADM-35
Operations
- Statistical ................................ PER-18, PER-22-1, EEO-6 Postal Records .................................ADM-31
- Time and Attendance ............... PER-37
Retention Registers ..................... PER-19-2 Preliminary Reports .........................ADM-9
Retirement .................................. PER-53
Security Clearance ..................... SEC-40 Presidential Emergency Action ........EOM-2-3
Personnel (civilian) Documents
Security Violation ....................... SEC-41
Service Record Card .................... PER-4 Press Service ...................................INF-3
Standards of Conduct.................. PER-27
Statistical Reports ....................... PER-18, PER-24, EEO-6 Printing
Supervisor's Personnel Files ........ PER-20 Correspondence...........................PRP-1
Temporary Records ................... PER-12 Mailing Lists ...............................PRP-4
Test Material Stock Control ....... PER-32-3 Management................................PRP-6
Time and Attendance ................. PER-37, PER-38 Planning......................................PRP-2-2
Training ...................................... TNG-1 Projects .......................................PRP-2-1
Registers .....................................PRP-3
Personnel Loss Reports, FEMA ........ OPM-15 Reports to Congress.....................PRP-5

Personnel Security Privacy Act

Case Files ................................... SEC-38 Administrative .............................INF-18
Correspondence .......................... SEC-37 Amendment Cases .......................INF-14
Status......................................... SEC-40 Control Records...........................INF-16
Violations.................................... SEC-41 Disclosure ...................................INF-15
Reports .......................................INF-17
Photographs.................................... AVL-1 thru AVL-10 Requests .....................................INF-13

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FEMA Manual 5400.2 February 29, 2000

Procurement NETC Program Subject ................TNG-6

Bids and Proposals ..................... PRC-5 Project Files ................................ADM-11
Bond and Surety ......................... PRC-3 REP Policy ...................................NTH-1-1
Contract Appeals......................... PRC-14 Temporary Housing Program........THP-2
Contractors' Payrolls ................... PRC-10
Contracts.................................... PRC-3 Project Files.....................................ADM-11
Correspondence .......................... PRC-2
Federal Procurement Data System PRC-3-5
Promotion-Merit...............................PER-31
Inventories.................................. PRC-9
Performance of Commercial Activity PRC-15
Property Disposal
Purchase Orders ......................... PRC-3 Contributions Project Loan Program PR
Real Property Acquisition............. PRC-1 Correspondence...........................PRM-1
Reimbursable Agreement Contracts Excess
PRC-6Personal Property Reports PR
Requisitions ……………………………PRC-3, PRC-7, PRC-8, Real Property Disposal .................PRM-5
PRP-7 Surplus Property .........................PRM-3
Small and Disadvantaged Business PRC-17
Supply Management .................. PRC-4 Proposals.........................................PRC-5
Survey, reports of ....................... PRC-9-3
Tax Exemption Certificates .......... PRC-11 Public Information Materials ............INF-7
Telephone Statements ................. ACC-8
Production Files .............................. AVL-34 Public Organization Files .................PER-3

Program Correspondence ............... ADM-4 Public and Private Shelter Files ........SHL-4
Program Strength Reports ............... OPM-5
Publications, master ........................REM-1
Program Usage Reports, FEMA ........ OPM-12 Purchase Orders ..............................PRC-3

Program/Policy Radiation Dose Records .................RAD-2

COG Development and Planning . COG-1
COG Project and Policy................ COG-2 Radio, Amateur Civil ......................WNG-6
DFO IA Program .......................... DAP-6 Emergency Service
Dam Safety Program Development NTH-3-1
Earthquake Hazards Reduction .. NTH-4 Radioactive Materials Files ...............RAD-1
Emergency Management Assistance CVD-3
Program Radiological Defense Files ................RAD-3
Emergency Mobilization Prepardness EOM-2
Flood Insurance Policy Files ....... FIA-13 Radiological Emergency Prepardness Files….NTH-1
Hurricane Vulnerability ............... NTH-5
IPS Planning and Program Files ... IPS-1 Reading Files ...................................ADM-5

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ISIS Reporting System .................OPM-13

Recordings Impending Scheduled Loss...........OPM-16
Sound (audio) ............................. AVL-27 thru AVL-32 Joint Committee on Printing ......PRP-5-1
Video .......................................... AVL-17 thru AVL-25 Legal Activity ...............................LEG-14
Losses in Shipment Act, Government TR
Records Disposition Files................. REM-4 Motor vehicle ..............................ADM-41
On-Board Strength of FTE's .........OPM-7
Records Holdings Files .................. REM-6 Organizational Strength...............OPM-6
Organizational/Staffing Profiles .OPM-17
Records Management Files .............. REM-9 Pay .............................................PER-37
Payroll........................................ PER-51, PER-52-3, PER-53
Reference Paper Files ...................... SEC-24 Personnel ....................................PER-18, PER-24, EEO-6
Personnel Loss, FEMA .................OPM-15
Regional Office Correspondence ....... ADM-22 Preliminary..................................ADM-9
Privacy Act ..................................INF-17
Regional Office General Program Subject….ADM-23 Program Strength ........................OPM-5
Program Usage, FEMA .................OPM-12
Reimbursable Agreement Contract Files …PRC-6 Property Disposal ......................PRM-2
Research Indices .........................CVD-7
Reports Space and Maintenance ...............PRM-7
Accident, motor vehicle ............... ADM-40 Statistical Reports .......................TEL-1-3
Activities (Weekly) ....................... ADM-7 Surplus Property .........................PRM-3
Annual Report Input ................... ADM-8 US Savings Bonds .......................PER-40
Average Grade ............................ OPM-14 Weekly Activities ........................ADM-7
Budget ........................................ BUD-3
Building Space and Maintenance . PRM-7-2 Requisitions
COMSEC Security Investigation... SEC-15-6 Bindings......................................PRP-2
Reports (continued) Control Registers .......................PRP-3
Communications ......................... TEL-1-2 Duplication .................................PRP-2
Control ....................................... REM-8 Requisitions (continued)
Cost Accounting .......................... ACC-21 Housing Maintenance and Repair.ADM-25-2
Duty Station Strength ................. OPM-8 Nonpersonal ................................PRC-7
FTE Equivalent Hours ................. OPM-11 Printing .......................................PRP-2-1
FTE Usage Summary ................. OPM-10 Procurement................................PRC-3
Feeder......................................... ADM-9 Public Printer ..............................PRP-7
Financial Disclosure.................... LEG-15 Stamps........................................ADM-31-1
Freedom of Information ............... INF-8 Supplies and Equipment..............PRC-8
Health Programs, civilian............. PER-24
Housing ...................................... ADM-26 Retirement ......................................PER-53

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Professional Development Tech. Asst SH

Safety and Security Inspections ....... SEC-19 Technical Shelter History .............SHL-9

Schedules of Daily Activities ............ ADM-12 Shelter Programming Files, regional .SHL-2

Scripts .......................................... AVL-34 Shelter Supply Monitoring Files .......SHL-5

Security Equipment Files................. SEC-27 Shelter Survey, national...................SHL-1

Security Information Exchange........ SEC-14 Shelter/Crisis Relocation Surveys ...SHL-10

Security Information Release ........... SEC-13 Site Audit Records ..........................ACC-1

Security Management, Technical ..... SEC-22 Situation Summaries .......................DAP-12

Security and Protective Services Small and Disadvantaged ................PRC-17

Correspondence .......................... SEC-18 Business Utilization
Guard Assignment and Strength.. SEC-29
Guard Force Facility Checks ...... SEC-34 Sound Recordings............................AVL-27 thru AVL-32
Guard Log and Registers ............. SEC-36
Guard Service Control ................. SEC-35 Space and Maintenance
Investigations.............................. SEC-23 Allocation and Utilization .............PRM-7
Key Accountability ..................... SEC-32 Building Plans .............................PRM-7-1
Lost or Stolen Property ................ SEC-31 Correspondence...........................PRM-6, PRM-7-2
Police Files ................................ SEC-30 Credentials..................................PRM-9
Property Pass Files ...................... SEC-28 Directory Service Listings.............PRM-8
Survey and Inspection................. SEC-19, SEC-20 Space and Maintenance (continued)
Visitor Control Files .................... SEC-33 Maintenance................................PRM-10
Reports .......................................PRM-7-2
Selective Placement ......................... PER-7, PER-16
Specifications ..................................PRM-5
Senate Member Profile Files............. LEG-2
Speeches .........................................INF-21
Shelter Development Files ............... SHL-11 Staff Visit Files ..............................SEC-21

Shelter Files, Public, and Private ..... SHL-4 State and Local Government Files ..LIA-1

Shelter Plan State/Local Emergency Management TN

Community ................................. SHL-3 Training

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Suspense Files.................................ADM-13
Statement-Employment and Financial LEG-15-2
Interest Tax Exemption Certificates...............PRC-11

Still Pictures ................................... AVL-1 thru AVL-5 Tax Files..........................................PER-52

Stores Accounting Technical Security Management Files SE

Correspondence .......................... ACC-16
Invoices ...................................... ACC-17 Telecommunications .......................TEL-1, TEL-2
Returns and Reports ................... ACC-18 Communications Systems Files ...TEL-3
Work Papers ............................... ACC-19 Service Request Files ...................TEL-5
General Files ..............................TEL-1
Strength Reports Operational Files .......................TEL-2
Duty Station ............................. OPM-8
On-Board FTE's .......................... OPM-7 Telegrams........................................ACC-9
Organizational ............................ OPM-6
Program ...................................... OPM-5 Telephone Records .........................TEL-4

Student Locator Cards..................... TNG-10 Telephone Statements and Toll Slips ACC-8

Student Stipend Agreement ............. TNG-12 Temporary Housing Assistance Program

Assistance Program Files .............THP-2
Suggestions-Employee..................... PER-14-1 Contract Files ..............................THP-3
General Files ..............................THP-1
Supply Individual Assistance Office Files .DAP-8
Inventory .................................... PRC-9 Mobile Home Storage Program ...THP-3-4
Requirements ............................ PRC-4 Mobile Home/Travel Trailer Program D
Requisitions .............................. PRP-7, PRC-7, PRC-8
Testimony of FEMA Officials.............AVL-18
Surety Bond Files .......................... ACC-6 (video recording)

Surplus Property Thrift Savings Plan ..........................PER-44

Correspondence .......................... PRM-1
Personal property ...................... PRM-3 Time and Attendance
Source Records............................PER-37
Surplus Property (continued) Input Records..............................PER-38
Real property ............................. PRM-5
Reports ....................................... PRM-2 Title Papers .....................................PRC-1

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Training Aids .................................. TNG-5 US Postal Service Records................ADM-33

Training Evaluation/Improvement Files …TNG-8 US Savings Bonds

Payroll Savings ............................PER-40
Training Files Receipt and Transmittal...............PER-40-3
NETC ......................................... TNG-7 Registration ...............................PER-40-2
State/Local Emergency Management TNG-9 Reports .......................................PER-41

Training Records ............................. TNG-1 US-Canada Civil Emergency Plans .LIA-3

Training, employee ......................... TNG-2 Urban Search & Rescue ...................EOM-14

Transit Certificates.......................... TRV-1 Vacancy Announcements .................PER-31

Transit Subsidy............................... TRV-9 Video Recordings .............................AVL-17 thru AVL-25

Transition, FEMA ............................ OPM-18 Visitors' Passes ................................PRM-9-1

Transitory Files ............................... ADM-14 Vital Records Files ...........................REM-3

Transportation Vouchers
Accountability ............................. TRV-4-2 Communications .........................TEL-1-4
Bills of Lading ............................. TRV-1-3 General .......................................ACC-1-1
Correspondence .......................... TRV-4-1 Passenger Transportation ............TRV-1-1
Freight Records........................... TRV-1
Lost or Damaged Shipment ......... TRV-2 Wage Survey....................................PER-56

Travel Waiver of Claims..............................ACC-11

Accountability ............................. TRV-4-2
Authorization ............................. ADM-1, TRV-1-3 Warning Systems Files.....................WNG-5
Correspondence .......................... TRV-4-1
Employee Travel Files .................. ADM-1, TRV-5 Weekly Activities Report ...................ADM-7
Orders ........................................ TRV-3
Reimbursement .......................... TRV-3 Word Processing Files ......................ADM-2
Requests ..................................... ADM-1, TRV-1-3
Trip Reports .............................. TRV-6 Work Papers
Vouchers .................................... TRV-1 Budget ........................................BUD-3
Stores Accounting........................ACC-19
US - Mexico Agreement Files............ LIA-4

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