1. PURPOSE. The purpose of a files classification system is to provide a set of policies and procedures for organizing and identifying files or documents to speed their retrieval, use, and disposition. The type of files classification preferred for FHWA use is a hierarchical files classification system. This type of system may be organized by concrete, abstract, or functional words, or by project or case number, or a combination of these; but to work well, it shall be:
   1. Representative of informational needs. The classification should conform to users' requirements. The kinds of records users needed, the way users request them, and the terms users use to request records should shape the files classification system.
   2. Logical. Subjects should be grouped in a clearly logical order so that the reasons for the arrangement will be easily obvious to the users.
   3. Precise. Each subject title should be precise in describing the category, thereby encouraging filing at the lowest possible rung on the hierarchical ladder, if volume requires.
   4. Restrictive. Each subject title should be phrased to be as exclusive of others as possible. There should be only one term to denote a subject, no matter how many synonyms may express the same idea.
   5. Complete. There should be suitable categories for all existing and anticipated records.
   6. Flexible. There should be a way of contracting or expanding the classification outline to allow subjects to be dropped or added as necessary.
2. BENEFITS
   1. Hierarchical arrangements that meet the above criteria facilitate document retrieval by limiting the area of search; this reduces search time and increases the likelihood that no appropriate files are missed when searching for a record.
   2. A good files classification system also makes filing easier and reduces the chance of misfiling records. This increases confidence in the ability to locate records quickly when needed and minimize the use of duplicate or "cuff" files.
   3. Records are the result of business processes and functions and are used in relation to them. This establishes the principle that records should be grouped and maintained according to the business function to which they relate. When files are arranged in functional groups, files can be added, deleted, or modified easily without changing the structure of the filing system. When reorganizations occur, functions can be transferred from one office to another with slight or no modifications in the file structure.
3. PROCEDURES. The files classification system as presented in this Manual, is a modified subject-numeric filing system. Under this system, the main topics are organized alphabetically, and the subdivisions of those topics are coded numerically. The main topics are coded by symbols to remind the user of the subject; for example, IRM for Information Resources Management and PER for Personnel.

   The subjects are arranged in a hierarchical system in which records pertaining to a particular subject are arranged under primary categories and then, as necessary, under secondary and tertiary subdivisions.

   1. Filing Classification. Classifying records involves the ability to select the most appropriate subject classification, to recognize related subject matter of sufficient importance to warrant cross-referencing, and to distinguish between papers that belong in subject and case files.

      (1) Classifying subject file material. Papers to be filed in subject files are marked in the upper-right corner with file codes taken from the left column of the File Outline. The following techniques are used in selecting the correct subject file classifications:

      (a) read the subject line, if any, first.

      (b) look for key phrases or familiar terms used in the text and check these against the file outline or the index.

      (c) note the addressee and/or originator. The identification of either may help to establish the subject area with which the document is associated.

      (2) Classifying case files material. Papers are marked in the same manner as the subject material. However, not all papers for case files need to be marked. Certain forms and reports used in personnel, fiscal, and other operations show numbers, names, and other identifying characteristics that are self-classifying, and need no further identifying markings to ensure that they are correctly filed. If a document is to be filed in a case file folder, also underline the case file identification in red where it first appears in the document.

      (3) Classification review. Files personnel should double check file codes before filing to ensure that they are accurate.

   2. Cross-Reference. Cross-referencing is the filing of a document or a cross reference form when the same document is needed in two separate subject or case file folders.

      (1) Cross-reference of file folders. Use cross-reference labels on file folders when two files are frequently used in conjunction with each other.

      (2) Cross-reference of papers. Cross-reference papers when information must be placed in more than one file. Place the official file copy in the file to which it most closely relates. Avoid unnecessary cross-references. This consumes time and greatly complicates records retrieval.

4. CLASSIFIED RECORDS. Classified records are filed in security file containers (see DOT H 1350.2, DOT Information Resources Manual, Chapter 11 - Systems Security), apart from unclassified papers, including those marked "For Official Use Only."
   1. The interfiling of unclassified and classified papers is restricted to those papers that directly support, explain, or document the record of the action or transaction. A file containing mixed classified and unclassified documents is filed in a security container.
   2. If a very few pertinent documents are classified, they can be cross-referenced in an unclassified file and removed from the security container only when required.
   3. In cases where matters requiring the transaction of official business occur in personal correspondence, the portion of such correspondence that pertains to official business is extracted and made part of the official file.

1. PROCEDURES. To maintain an effective files operation, papers should be filed daily. The steps in the filing process are: (a) check and sort, (b) determine the correct filing classification, (c) prepare list of files, (d) cross-reference as necessary, and (e) file.
   1. Check and Sort Papers. The first step in daily filing is separating all papers into groups: those to be discarded, those requiring further action, and those to be filed. If the amount of papers warrant, those separated for filing may be further sorted into as many stacks as there are separate basic file types.

      (1) Papers eligible for filing include:

      (a) incoming communications on which required action has been completed e.g., incoming letters and memorandums concerning matters pertinent to administrative or substantive functions of the office;

      (b) office copies of outgoing communications, reports, etc. e.g., official "grid," or other designated file copies retained by the originating office as an official record of action taken;

      (c) memorandums of conversations, memorandums to file, minutes of meetings, and other papers created within the office and not transmitted elsewhere, but needed to record the business affairs of the office;

      (d) agreements, contracts, or other documents having legal significance (signed copies or confirmed copies);

      (e) fiscal or financial records that document the acquisition, distribution, utilization, or expenditure of funds;

      (f) forms bearing information about personnel, property, accounts, procurement, shipping, programs, projects, and commodities;

      (g) original copies of reports, or cleared final drafts of publications, along with the necessary background and supporting documents that reflect conclusions of studies, surveys, and investigations of the agency; and

      (h) any other papers that establish, confirm, implement, clarify, or recommend FHWA policies, programs, positions, and procedures.

      (2) Papers "not to be filed" are most likely to include:

      (a) papers that agency rules require be sent to another office location for filing;

      (b) papers to be circulated in the office prior to filing;

      (c) papers authorized for destruction; and

      (d) personal papers mistakenly placed in the "to be filed" basket.

      (3) To assure efficiency of documentation, the recordkeeper must assemble directly related records and check for completeness. For case-filed records, this means filing together the incoming letter, a copy of the reply, and any pertinent attachments, enclosures, or background.

      (4) For a transaction involving general correspondence subject files, the recordkeeper removes any earlier correspondence already on file, determines if any segments of the current correspondence are lacking, and assembles the complete papers in reverse-date order (earliest papers at the bottom of the pile). This is often called filing "under date of latest action."

   2. List of Files. In the front of each filing cabinet drawer, keep a listing of the file folders stored in that drawer. This listing will assist users in locating a particular file and will reduce the chances of a folder being misfiled. At a minimum, keep a copy of the office's files classification system in the top drawer of each filing cabinet to assist users in locating files.
2. PREPARING FILING MATERIALS
   1. Assemble papers to be filed in the subject files alphabetically by their primary file code, and within each primary code by secondary and tertiary file numbers.
   2. Fasten individual papers together with wire staples only, when it is necessary to keep them together because of their functional relationship. Examples are:

      (1) A multi-page communication.

      (2) A report, contract, or agreement.

      (3) A communication with its enclosures.

   3. Repair torn papers with transparent, pressure-sensitive tape.
   4. Place the document in the folder in date order with the most recent at the front of the folder.
   5. Subdivide folders that are filled to capacity (about 3/4"). The inclusive date of the contents are added to the folder caption. An identically captioned folder is placed in the file immediately in front of the filled folder. The new folder should begin at a logical time, such as the beginning of a month or a calendar quarter, and the caption should contain the date the file is started.
3. PREPARING FILE FOLDER LABELS
   1. Subject Files. Subject files are records arranged and filed according to their general informational or subject content; mainly letters and memorandums, but also forms, reports, and other materials, all relating to program and administrative functions, not to specific cases. In the subject file, documents are arranged by primary subjects and then by secondary and tertiary subjects, which form subdivisions of the primary subjects. Show the file code (such as PER for personnel), folder title, period covered by the folder (fiscal year-FY, calendar year-CY, or leave year-LY), and the records disposition. The file code and subject title appear on the label of each subject file folder exactly as they appear in the Files Classification outline (see Table of Contents for relevant section of Part II). Each folder label should be typed, or printed legibly in the following format and attached to the folder or guide as described below (Figure 2-1 shows the correct position of the subject file label on the folder).

      (1) Primary Subject. The primary subject is the prime or major subject designation that identifies and describes groups of related records, e.g., Personnel, or Contracts and Procurement. Primary subject labels should be placed in the first or left-hand position on the file folder tab. Example:

      (2) Secondary Subject. One or more related subjects that are subdivisions of the primary subject.

      Secondary subject labels should be placed in the second or middle position on the folder tab. Example:

      (3) Tertiary Subject. One or more related subjects that have been created or established by the division of a secondary subject. Tertiary subject labels should be placed in the third or right-hand position on the folder tab. Example:

   2. Subject-Expansion Files. These files are labeled to show the further breakdown of a prescribed subject file code. The additional information is supplied by the user, rather than from any part of the Files Classification outline. The file code and title of the primary, secondary, or tertiary subject is shown on the top line of the file label. The added information which identifies the further breakdown, such as case number, State, or title is shown in parentheses on the second line of the label.

      Note: The position of the subject-expansion file label on the folder is the same as that of the primary, secondary, or tertiary file code to which the subject-expansion file relates.

   3. Case Files. Case files are records that document a specific action, transaction, event, person, place, project, or other subject. A project file is a type of case file that contains records relating to an assigned task or problem. A case file may cover one or several subjects that relate to a particular case. File Labels and File Drawer Arrangement
      Figure 2-1

      Case file labels must show clearly what group of case files each belongs to. Show the correct file code, followed by the name of the case file in parentheses, on the top line, and the record's disposition in the lower-right corner of the label. The subject title of the file classification may be omitted. (An abbreviation of the subject title may be included, if necessary). Example:

      (1) The following guidelines apply to the establishment of case files:

      (a) establish case file titles according to the filing feature most often used in referring to the case. For example, by name or number.

      (b) ensure that case file folders whose contents are significantly related are cross-referenced one to another.

      (2) Case files may be arranged:

      (a) alphabetically by name of person, State, city, company, etc., or by grouping within a geographical location, such as cases within a city, State, or area.

      (b) according to a number assigned to identify the case.

   4. Non-record Files. The filing of non-record material in filing cabinets should be avoided where possible, but where necessary, file the material in a separate folder behind the subject folder to which it applies. Prepare the label in the same manner as a subject folder, except type the lower line, "Reference" to the left and "Non-record" to the right. Example:

      Note: Place the label in the same position on the non-record folder as the label on the preceding subject folder.

4. CHARGE-OUT SYSTEM
   1. A charge-out system tells where a record can be located when it has been temporarily borrowed from the files. A charge-out system will save time when finding records needed in urgent situations.
   2. FHWA Form 855, File Charge Out, identifies the records removed, name of the borrower, and the date the records were removed. For a complete folder, the borrower records the file designation or title for identification. To identify a single piece of correspondence, the date of the correspondence, the addressee, and a short description of its contents should be recorded. The file charge-out form is filed in the space formerly occupied by the removed file.
   3. To have an effective charge-out system, recordkeepers must consistently remove the File Charge-Out card each time a charged-out document is returned to the files. Recordkeepers should also periodically check the File Charge-Out cards in the files to follow up on documents removed from the files for an unreasonably long period.
5. FILE BREAKS. At least once a year, file operators are expected to dispose of records according to the approved agency disposition schedules. To do so, file operators should:
   1. cut off files at the end of the fiscal or calendar year, depending on the file subject;
   2. transfer inactive files to storage; and
   3. dispose of files authorized for destruction (see Chapter 3, Disposition of Records).

      Note: Although establishing a new set of file folders is time-consuming, this action should be taken as frequently as reference service will permit, generally once a year. Breaking, or cutting off, files is basic to a good filing operation. Throughout the year recordkeepers should place all closed or inactive case files in a separate file. To cut off general correspondence subject files and establish a new set of file folders, recordkeepers generally use the guides from the previous year's file and bring forward any material needed for the new file.

6. SUSPENSE FILES. A suspense or pending file serves as a reminder that something specific must be done on a certain date. The suspense files may take the form of 3" x 5" cards on which the information or action desired or requested is noted, along with the date by which the task must be accomplished. It may also consist of copies of letters or the originals of letters filed by the followup date, if required. Whether cards, originals, or copies of documents are maintained, they should be filed behind guides or in folders numbered 1 through 31, indicating the days of the month. Each day the recordkeeper should check the actions to be completed on that day and notify the official responsible for completing the action. Suspense files should be destroyed when action is completed or filed with the action file, as appropriate.
7. READER FILES. Also known as "chronological files," the purpose of reader files is to help keep staff members in an office currently advised on important developments and decisions. Reader files consist of copies of all outgoing communications. It is not part of the official record of the office, and should be destroyed when its purpose is served. Reader files may be kept electronically in a read-only shared access sub-directory on the Local Area Network (LAN), where all staff may access and read it in lieu of circulating paper copies around the office. The maximum retention period should not exceed 6 months.

1. GENERAL. Disposition is the action taken when records are no longer needed for immediate access in current office space. This action includes retirement of inactive or noncurrent records to a Federal Records Center (FRC), transfer from one Federal agency to another, and the transfer of permanent records to the NARA. The transferring of non-record material to the FRC is prohibited. Non-record material includes, but is not limited to, the following:
   1. reading file copies of correspondence;
   2. tickler, follow-up, or suspense copies of correspondence;
   3. extra copies of printed or processed materials and official copies that have been retained for record purposes; and
   4. catalogs, trade journals, and other publications or papers that are received from Government agencies, commercial firms, or private institutions and that require no action and are not part of a case upon which action is taken.
2. FILES CUT-OFF. Files cut-off is the breaking or ending of files at regular intervals, usually at the close of a fiscal year, to permit disposal or transfer in complete blocks and, for correspondence files, to permit the establishment of new files. During August and September for FY-based files, the Records Liaison Officer (RLO) will review all files and segregate those files that will be eligible for retirement, disposal, or other disposition at the end of the fiscal year, September 30, or calendar year, December 31. The simplest method for segregating eligible files is to group them by category: non-records, temporary records having a limited retention period, and permanent records.
3. TRANSFER OF RECORDS TO FEDERAL RECORDS CENTER (FRC)
   1. Selecting Records for Transfer

      (1) RLOs should survey files by June of each year and set aside the inactive records that will be eligible for retirement on September 30. The files selected will ordinarily include all subject files more than 2 years old and case files that are completed and/or which are referred to less than once a month per file drawer.

      (2) Do not send non-records to the FRC.

      (3) Do not send records to the FRC that have less than 1 year retention before destruction.

      (4) Each series of records must be transferred as a separate accession. Accession is the transfer of permanent records to the National Archives, and the transfer for the storage of temporary records to the FRC. Mixed series cannot be accepted without an approval exception from NARA. Each accession must consist of at least one box and normally only one closing year for a series of temporary records.

      (5) Records transferred to an FRC must have their final disposition established by an approved records schedule. Permanent records must be covered by a current schedule approved by the NARA after May 14, 1973.

   2. Preparing Records Transmittal and Receipt, SF-135. Prepare an original and two copies of the SF-135, Records Transmittal and Receipt, June 1976 or more recent edition. Washington Headquarters Offices must submit the original and one copy to the Office of Information Management Services, attention FHWA Records Officer (HAIM-10). Field offices must submit the original and one copy to the FRC serving the office's area (See Appendix C for FRC mailing addresses and telephone numbers). Retain a copy of the SF-135 for the office's pending file. Records must be separated into series for transfer to the FRC. A series is defined as a "block of records having the same disposition authority and same disposition date." See booklets "Transferring Records to the Federal Records Center" for field offices, and "Transferring Records to the Washington National Records Center" for Headquarters Office for instructions in completing the SF-135. These booklets are available from the FHWA Records Officer, HAIM-10.
   3. Preparing Records for Transfer. Order FRC boxes from the local GSA Supply Center through normal supply channels. Two styles of records boxes are available:

      (1) Standard-size record box:
      14 3/4" X 12" X 9 ½"
      NSN 8115-00-117-8249
      (lock bottom)

      (2) Special-purpose box:
      Half-size box
      14 3/4" X 9 ½" X 4 7/8"
      NSN 8115-00-117-8338

   4. Packing Records

      (1) Files should be placed in the carton in an upright position. Place letter-size records in the box with labels facing the numbered end. The numbered end will be opposite the stapled end. Place legal-size records in the box so that the labels face to the left of the box when facing the numbered end. Leave approximately 1 inch of space in each box for working the files. Send only completed or closed case files, contracts, etc. Leave all guides and tabs in the records if they will help FRC personnel service the records. A box must be at least 3/4 full unless it is the last box of an accession.

      (2) Folders must be in searchable order and should not be forced into the carton. Under no circumstances should folders be placed one on top of another in a box.

      (3) Leave a 1-inch space in each carton, this will permit easy withdrawal of individual folders for reference service.

   5. Labeling Boxes

      (1) Do not use "paste on" labels, as with time, they tend to fall off. Write directly on the carton with a black crayon, a large point felt-tip marker in numbers 1-1/2 to 2 inches high.

      (2) After the files are boxed, the cartons should be numbered sequentially (1 of 10, 2 of 10, 3 of 10, etc.), in the box labeled Agency Box Number in the upper-right front corner.

      (3) The accession number should be put in the box labeled Accession Number in the upper-left front corner.

      (4) The accession number and the box number are the only information the FRC requires on the front of the box. The agency name and mailing address is not required, as the accession identifies to whom the records belong.

      (5) Place a copy of the completed and approved SF-135 (discussed below) in box 1 of the accession, and tuck close the tops of all boxes being transferred.

      (6) The number of boxes being transferred must match the number of boxes listed in column (e) on the SF-135. The FRC will not accept the accession if they do not match.

      (7) Records of different accessions must be packed in separate boxes.

   6. Shipping the Records

      (1) In Washington Headquarters, HAIM-10 will arrange for the transfer of the records to the FRC.

      (2) In other locations, arrangements must be made for shipment. The standard records box (12" x 14 3/4" x 11" inside dimensions) weighs approximately 30 lbs. when full.

      (3) Documents classified "confidential" should be sent priority-certified and any higher classifications should be sent priority-registered.

      (4) For shipments of 50 boxes or more, use a commercial carrier and call the local FRC to schedule a shipping date. Instruct the commercial carrier to contact FRC 24 hours before delivery of the boxes. These instructions should be noted on the bill of lading.

   7. Records Reference and Recall Services. Records retired to the FRC are available for recall and reuse by the agency while they are in the FRC custody. There are two ways to recall records from the FRC:

      (1) Electronically, by using the Office of Federal Records's Centers Information Processing System (CIPS). This on-line system permits customers to complete an electronic version of the Optional Form (OF)-11, Reference Request-Federal Records Centers, thus reducing the lead time it takes to receive retrieved records from the FRC. Contact the local FRC to be added to the CIPS program.

      (2) Use paper form version or the electronic INFORMS version of the OF-11 to recall records (either a single file or one or more boxes) from the local FRC.

   8. When completing the OF-11, paper form or electronic form, the following is required:

      (1) Provide the accession number, the box number of the records requested, and the FRC location number (taken from the completed SF-135). Always indicate whether the records are to be permanently withdrawn. For the paper form, the original and the manilla copies are sent to the FRC, and the pink middle copy is retained by the requestor's office as the suspense copy. For the INFORMS electronic version, make two copies, one to send to the FRC, and the other to be retained as the suspense copy.

      (2) Use a separate OF-11 for each folder or box requested, whether contiguous or not, unless the request is for permanent withdrawal. Photocopies of OF-11s are acceptable.

      (3) If records are being requested under the provisions of the Freedom of Information Act or the Privacy Act, make a notation to that effect in the "REMARKS" section of the OF-11 to ensure priority handling and immediate return.

      (4) While recalled folders or boxes are in the requestor's possession, do not refolder or rebox the records. They must be returned in the original folders or containers to allow accurate refiling. If for some reason the box is unusable for shipment, copy all information from its front onto the front of its replacement.

4. DESTRUCTION OF RECORDS IN OFFICE
   1. Unclassified Records. Dispose as if waste paper.
   2. Limited Access Material. Dispose "FOR OFFICIAL USE ONLY" and other limited access material (does not include classified materials) on the basis of subject content and the disposal schedule.

      Note: Records pertaining to accounts, claims, or demands involving the Government of the United States, that have not been settled or adjusted, may not be disposed of until settlement or adjustment has occurred.

   3. Classified Records. See DOT H 1350.2, DOT Information Resources Manual, Chapter 11 - Systems Security, for in-office disposal of classified records. For further information concerning classified records, contact TASC, Personnel and Information Security Services, SVC-152.

1. GENERAL. This chapter establishes electronic recordkeeping guidelines for the creation, maintenance, security, and disposition of information stored on computers and other electronic equipment. Electronic technology has greatly expanded and enhanced the methods of creating, editing, maintaining, transmitting, and retrieving Federal records. Records now may be in the traditional paper form or use a variety of other media in electronic recordkeeping systems from creation through disposition. Electronic documents are records just as much as paper documents, and their creation, maintenance and use, and disposition must be managed accordingly. Based on need, electronic documents may be maintained in computer memories for instant access, on magnetic tape or disk for reference, or in some other form.
2. DEFINITION. Electronic records are any records in which a computer or other electronic device is required for the user to create, maintain, access, transmit, or dispose of the record in an electronic format. Electronic records are also referred to as machine-readable records, for they require machine processing for conversion to readable form. Examples of electronic records are those residing on magnetic tapes, diskettes, drums, video files, and optical disks. Electronic records meet the NARA definition for Federal records and must meet applicable standards and guidelines.
3. RESPONSIBILITIES
   1. The Office of Information and Management Services (HAIM) has overall responsibility for the FHWA electronic records management program. HAIM shall:

      (1) develop policies, procedures, and guidelines to improve the effectiveness of the FHWA electronic records management program.

      (2) provide assistance and advice to Headquarters and field offices on electronic records management matters.

      (3) develop and secure NARA approval of records disposition schedules for electronic records and ensure their effective implementation.

      (4) serve as liaison with NARA on scheduling, transferring, and disposing of electronic records.

      (5) establish a training program that ensures adequate training for users of electronic records systems in the operation, care, and handling of the information, equipment, software, and media used in the system.

   2. Core Business Unit Program Managers, Service Business Unit Directors, Resource Center Directors, Division Administrators, State Directors of Motor Carriers, and Federal Lands Highway Division Engineers shall:

      (1) manage, control, and coordinate all electronic records management activities within their offices through the local Records Liaison Officer (RLO).

      (2) ensure that electronic records are preserved and disposed of in accordance with agency guidelines and approved records disposition schedules.

      (3) develop security controls to prevent the unauthorized alteration or erasure of information in electronic records.

   3. All employees shall:

      (1) use electronic equipment in a safe and responsible way.

      (2) maintain electronic records according to prescribed agency policies and procedures.

      (3) safeguard electronic records until authorized for disposition. Electronic records are to be treated the same as paper records, that is, paper maintenance and disposal must be approved by the National Archives.

      (4) notify the local RLO when unscheduled electronic records are identified.

4. CREATING ELECTRONIC RECORDS. The widespread introduction of microcomputers into offices has encouraged the re-evaluation of the traditional office approach to records management. Word processing is the most common office computer application. These powerful, easy-to-use systems allow administrative, technical, and professional personnel to create and store documents (records) more frequently and more rapidly and to share and revise them more easily than in traditional, paper-based office operations.
   1. Identifying Electronic Records. The first step in determining recordkeeping requirements for electronic records is to identify the records' creators and users. Some information may exist in several different formats within one office. Since such records are needed for separate program purposes, the recordkeeping requirements, including life span, may differ with the program. Such information requirements should be the determining factor in deciding where, how, in what format, and for how long the electronic records are maintained.
   2. Records vs. Working Papers. Just as with paper documents, drafts or working copies of electronic documents are normally kept only until the final version of a document is completed. For long or complex documents, several earlier drafts and the current draft may be retained to ensure document integrity until the final draft is approved. Then, normally, previous revisions will be erased and only the final text and the requisite back-up copies kept. The exception to this is when retention of drafts is needed to document significant policy development and changes.
   3. Identification Methods. Once working papers are eliminated from consideration, the remaining documents should be examined in terms of the NARA definition for a record. This examination may be by: (a) analyzing each document individually to determine record status or, (b) establishing records groups to which each record document may be assigned.
5. MAINTAINING ELECTRONIC RECORDS ON LOCAL AREA NETWORKS (LAN).

   The purpose of a LAN is for multiple users to be able to have access to files stored on the LAN file server and to be able to share peripheral equipment, such as a laser printer.

   1. Access

      (1) Generally, all users should have access to all working files in that organization's directory.

      (2) Secretaries should have access to all files in their Division or Office for quick reference and changes by management.

      (3) Organize files in folders and subfolders so that employees having a need to access the files can easily find them when needed.

      (4) For security reasons, and to ensure that unauthorized persons do not have access to work files, do not share any computer ID and password.

   2. Folders. Within a LAN file server, files are organized into folders that generally are created and managed by the word processing software package under which the files were created. A folder serves, in effect, the same function that folders in a filing cabinet serve for paper files; they organize and store individual documents.

      (1) Multiple folders, commonly termed subfolders, should be used to group logically related files. Separate subfolders should be created for each major program area or area of responsibility.

      (2) Folders and subfolders should be assigned names that clearly communicate their contents to employees other than the originator so that employees can locate files when the originator is out of the office. Avoid mixing unrelated files within a specific subfolder.

      (3) When organizing folders, ensure that only one type of record is being stored in a particular folder. Keep official records in folders on the file server. Non-record materials may be stored on the file server (depending on the size of the file and remaining file space), the user's C: drive, or on a floppy disk.

6. DISPOSITION OF ELECTRONIC RECORDS. Arranging for the authorized disposition of electronic records is similar to the scheduling of information stored on any other medium, such as paper or microfilm. Electronic records are usually stored on erasable, reusable, and relatively expensive media, which are easy to revise and update and are relatively fragile. For these reasons, the disposition of electronic records should be determined as early as possible in the life cycle. Inventorying and scheduling are the most effective ways of ensuring that electronic records are saved as long as they are needed.
   1. Inventorying. A records inventory begins with a survey of the records created or maintained by an organization or one of its components. An inventory includes information such as the series or system title, inclusive dates of the data, the software and hardware used, the office(s) with responsibility for the records, how and why the records are created, what information they contain, any restrictions on access, and how the records are used. The first step in the disposition process is the identification and description of records and recordkeeping requirements. This process requires a review of all organizational documentation to determine the information requirements of each operating unit. Once these decisions have been made, a description of records and recordkeeping requirements can be developed to be used in the preparation of inventories. Both the inventorying and scheduling of electronic records work best in the context of an "electronic information system," which is the organized collection, transmission, and dissemination of information in accordance with defined procedures.
   2. Permanent Electronic Records. Given the enormous variety of information stored in computer files, it is impossible to compile a comprehensive list of potentially permanent electronic records. The following examples are intended to suggest this variety:

      (1) Electronic records that replace records scheduled as permanent in another form, e.g., paper.

      (2) Administrative data that have unusually broad coverage or significance, such as the budgets of an entire department or agency.

      (3) Natural resources data related to land, water, minerals, or wildlife.

      (4) Emergency operations data that document military or civilian operation during times of war, civil emergency, or natural disaster.

      (5) Political, survey, or judicial data related to such topics as elections, special investigations, or court proceedings.

   3. Preservation. Special handling is needed to ensure the long-term preservation of electronic records that are permanent or unscheduled and, therefore, potentially permanent. The basic requirements for the creation, maintenance, use, and storage of Federal permanent and unscheduled magnetic media are spelled out in 36 CFR 1234.

      (1) Mainframe-based Records. The useful life of a magnetic tape, the recommended storage medium for permanent electronic records, is currently estimated at 10 years. Therefore, Federal agencies are encouraged to transfer permanent electronic information directly to the National Archives when additions to the master file cease or as periodic snapshots of the data system.

      Current up-to-date documentation is essential for transferring electronic records to the National Archives, and the documentation must accompany electronic records that are transferred to the National Archives. As a minimum, the documentation for data files and data bases should include the record layout and a codebook. For data base management systems, essential documentation is a data dictionary or the equivalent information, including a description of the relations between data elements in relational data bases. NARA has attempted to deal with the problem of diverse and incompatible systems by standardizing the computer media it will accept to half-inch magnetic tape.

      (2) PC-based Records. NARA is in the process of establishing guidelines for the acceptance of permanent electronically stored data on optical disks, but does not accept electronic data stored on any other medium, such as floppy disks.

7. SECURITY OF ELECTRONIC RECORDS. Security for electronic records created, used, and stored on personal computers (PC) systems and LANs has become an important issue. Mainframe computer systems have traditionally had considerable protection, but PC systems have not, for they have been treated as single-user devices. As a result, security weaknesses may threaten the confidentiality, integrity, or availability of electronic information. This is especially true with the advent of LANs in each FHWA office, the agencywide Wide Area Network (WAN) and Electronic Data Sharing (EDS) with State DOTs and other customers and partners. Successful electronic records security requires a balance among the following objectives:
   1. Confidentiality of personal, proprietary, or otherwise sensitive electronic records handled by the system.
   2. Integrity and accuracy of electronic records and the processes associated with them.
   3. Accessibility of electronic record systems and the electronic records or services they support.
8. COURT DECISIONS CONCERNING ELECTRONIC RECORDS. In March 1999, NARA issued Bulletin 99-04, "Scheduling Electronic Copies of Program Records and Administrative Records Not Covered by the General Records Schedules (GRS)." This bulletin instructed agencies on how to schedule the electronic copies of the agency's currently scheduled program records and certain administrative records that were previously scheduled under GRS 20, items 13 (word processing documents) and 14 (e-mail documents). The bulletin also defined electronic copies as, "the electronic records that were created using word processing or electronic mail software that remain on the "live" computer system after the recordkeeping copy is produced." The impact of the NARA bulletin is that agencies must now decide: (1) whether electronic versions have lasting value, and (2) whether the electronic version of agency records should become the official copies. NARA Bulletin 99-04 was issued in response to the U.S. District Court for the District of Columbia decision on Public Citizen et al. v. John Carlin et al., which ruled that portions of GRS 20 reached beyond the authority of NARA and declared GRS 20 null and void. This decision prohibited agencies from destroying electronic records and e-mail without guidance from NARA, even when paper copies were kept. In August 1999, the U.S. Circuit Court of Appeals for the District of Columbia overturned the U.S. District Court's decision, declaring that the NARA does have the authority to instruct agencies on how to dispose of electronic records and e-mail. As of the date this manual is posted on the Internet, NARA is reviewing the appeals court's decision and will provide comments at a later date. The outcome of this court action has elevated the attention to the importance of the maintenance and disposition of electronic records and e-mail and it has also outlined the agency responsibilities for implementation.

1. PURPOSE. Officials of the Executive Branch of the Government maintain official records documenting Government service. These officials may also maintain personal collections of papers accumulated while in office. Both official records and personal collections of papers are important; both may have historical significance. This chapter will assist Government officials in making decisions about what are records that must be incorporated in agency files and what may be maintained and removed as personal collections of papers when the official leaves office.
2. WHAT ARE PERSONAL PAPERS? NARA regards personal papers as documentary materials that are not used in the transaction of agency business (36 CFR 1222.26). It should be noted that personal papers may refer to or comment on the subject matter of agency business, provided they are not used in the conduct of that business. Traditionally, personal papers have included the following categories of material:
   1. materials accumulated by an official before joining Government service that are not used subsequently in the transaction of Government business;
   2. materials relating solely to an individual's private affairs, such as outside business pursuits, professional affiliations, or private political associations that do not relate to agency business; and
   3. diaries, journals, personal correspondence, or other notes that are not prepared, used for, circulated, or communicated in the course of transacting Government business.

      Note: Although not personal papers per se, other documents are sometimes part of personal collections. These include extra copies of records retained only for convenience of reference and other non-record materials that may be removed with the approval of the Director of Administration SBU.

3. PROCEDURES. Personal papers should not be intermingled or interfiled with office records. A personal file should be established, and those documents that are personal papers should be claimed as personal and placed in that file or identified for placement in that file. Materials labeled "personal," "confidential," or "private," or similarly designated, but used in the transaction of public business, are still Federal records subject to the provisions of pertinent laws and regulations, despite any labeling that may be used. With the approval of the Director of Administration SBU, Government officials may take non-record copies of documents, especially self-drafted materials, those materials reviewed as a part of regular duties, or otherwise acted upon. Any charge or fee for creating the extra copies is within the discretion of the agency. Officials may be permitted by FHWA to retain and remove non-record copies of documents provided that such retention would not:
   1. diminish the official records of the agency;
   2. violate confidentiality required by national security, privacy, or other interests protected by law; or
   3. exceed normal administrative economies.

      Note: When deposited in a research institution, such extra copies can serve the needs of historical scholarship.

      Note: The FHWA Records Officer (HAIM-10) can provide additional guidance to assist officials in distinguishing between record and non-record materials.

Accession- (1) the transfer of the legal and physical custody of permanent records to the National Archives. (2) the transfer to an FRC for the storage of temporary records. FHWA retains legal custody of the temporary records.

Accession Number- a number assigned by the FRC to identify shipments of records to the FRC.

Administrative Records- records relating to budget, personnel, supply, and similar housekeeping, or facilitative, functions common to most agencies.

Alpha-Numeric Filing System- a classification system where letters are assigned to main divisions and numbers to subdivisions. For example, "PER 5" might stand for "Personnel-Employment."

Case Files- records, regardless of media, documenting a specific action, event, person, place, project, or other matter. Includes personnel, project, and transaction files, which are types of case files.

Charge-out- the act and result of recording the removal and loan of a document or a file to indicate its location. Usually involves the use of a form, such as FHWA Form 855.

Classification- the grouping of records in a standard pattern and indexing the records with the appropriate file designation and cross-reference. This term does not include security classification of documents.

Copy- (1) a reproduction of the contents of an original document, prepared simultaneously or separately and usually identified by function or by method of creation. Copies identified by function include information or reference copy, official file copy, reading or chronological file copy, and suspense or tickler copy. Copies identified by method of creation include carbon copy, and electrostatic copy. (2) in electronic recordkeeping, the action or result of reading from a source, leaving the source data unchanged, and writing the same data elsewhere on a medium that may differ from the source.

Cross-Reference- filing a duplicate of a document or a cross reference form when the same document is needed in two separate subject or case file folders.

Cutoff- breaking, or ending, files at a regular interval, usually at the close of a fiscal or calendar year, to permit their disposal or transfer in complete blocks and, for correspondence files, permit the establishment of new files. Case files are generally cut off at the end of the year in which the case is closed.

Disposal- (1) the action taken regarding temporary records after their retention periods expire and consisting usually of destruction or occasionally donation. (2) also, when so specified, the actions taken regarding non-record materials when no longer needed, especially destruction.

Disposition- (1) the action taken regarding records no longer needed in current office space. This action includes transfer to Federal records centers, transfer of permanent records to the National Archives, and disposal of temporary records. (2) the action taken regarding non-record materials when no longer needed, including screening and destruction.

Electronic Records- any information that is recorded in a form that only a computer can process and that satisfies the definition of Federal Records (see Records).

Federal Records Center (FRC)- a facility, operated by NARA, for the low-cost storage and servicing of Federal records pending disposal or transfer to the National Archives.

File- (1) an accumulation of records or non-record materials arranged according to a plan. (2) a unit, such as a folder, microfilm, or electronic medium, containing such records and non-record material. (3) storage equipment, such as a filing cabinet. (4) in electronic recordkeeping, an organized collection of related data, usually arranged into logical records that are stored together and treated as a unit.

File Break- see Cutoff.

File Station- see Official File Station.

Filing System- a set of policies and procedures for organizing and identifying files or documents to speed their retrieval, use, and disposition. Sometimes called a recordkeeping system.

General Correspondence Files- records arranged and filed according to their general informational, or subject, content. Mainly letters and memorandums, but also forms, reports, and other material, all relating to program and administrative functions, not to specific cases. Also called central, correspondence, or subject files.

General Records Schedule- an NARA-issued schedule governing the disposition of specified records common to several or all Federal Government agencies.

Information Copy- a non-record copy sent to individuals or offices interested in, but not acting on, a matter.

Medium- the physical form of recorded information. Includes paper, film, disk, magnetic tape, and other materials on which information can be recorded.

National Archives- the repository for records that the Archivist of the United States has determined to have sufficient historical or other value to warrant their continued preservation by the Federal Government.

Non-record- in the same form as records, but having at least one of the following characteristics:

1. made or received solely for reference or supply,

    

2. containing no significant evidence of activities,

    

3. extra copies of records,

    

4. are workpapers, including drafts used to prepare a letter, report, or other finished document, and/or

    

5. are publications, including library materials.

Official File Station- the location where official record copies are maintained. It may be a centralized file unit or an individual office file. It contains copies of correspondence (usually file copies), reports, forms, microfilm, audiovisual, computer tapes, etc., created by the Office of Primary Interest.

The official file station may also contain duplicate copies of incoming correspondence that become official files when interfiled with other records or filed under other systems in that they are basic to documenting a function.

Permanent Records- records appraised by NARA as having sufficient historical or other value to warrant continued preservation by the Federal Government beyond the time they are needed for administrative, legal, or fiscal purposes.

Primary Subject- the prime or major subject designation that identifies and describes groups of related records.

Program Records- records that relate to the unique, substantive functions assigned to the office, such as Federal-aid project files or motor carrier accident case files. It includes both subject and case files.

Reading Files- outgoing correspondence records arranged chronologically, in contrast to those arranged by subject. Sometimes called chronological files.

Recordkeeping System- see Filing System.

Records- all books, papers, maps, machine-readable materials, or other documentary materials, regardless of physical form or characteristic, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of data in them. Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience or reference, and stocks of publications and of processed documents are not included.

Records belong to the Government rather than to individuals. They are in no sense personal property. They can be legally destroyed only through the procedures of a disposition program.

Records Disposition- see Disposition.

Records Management- the planning, controlling, directing, organizing, training, promoting, and other managerial activities related to the creation, maintenance and use, and disposition of records to achieve adequate and proper documentation of Federal policies and transactions and effective and economical management of agency operations.

Records Schedule- a document providing authority for the final disposition of recurring and nonrecurring records. Also called records disposition schedule, records control schedule, or records retention schedule. Includes the SF-115, the GRS, and the agency records schedule, which when completed, becomes a comprehensive records schedule that also contains FHWA disposition instructions for non-record material.

Retirement- the transfer of records to a Federal Records Center.

Scheduled Records- records whose final disposition has been approved by NARA.

Secondary (Second) Subjects- one or more related subjects that are subdivisions of the primary subject.

Series- file units or documents arranged according to a filing system or kept together because they relate to a particular subject or function, result from the same activity, document a specific kind of transaction, take a particular physical form, or have some other relationship arising out of their creation, receipt, or use, such as restrictions on access and use. Also called a records series.

Standard Form 115, Request For Records Disposition- the form used by Federal agencies to obtain disposition authority from NARA for records to which the General Records Schedules are inapplicable.

Standard Form 135, Records Transmittal and Receipt- the form to be submitted by agencies to a Federal records center before transferring records there.

Subject Files- see General Correspondence Files.

Temporary Records- records approved by NARA for disposal, either immediately or after a specified retention period. Also called disposable records.

Tertiary (Third) Subjects- one or more related subjects that have been created or established by the division of a secondary subject.

Transfer- (1) the act or process of moving records from one location to another, especially from office space to agency storage facilities or Federal records centers, from one Federal agency to another, or from office or storage space to the National Archives for permanent preservation. (2) the records involved in such a relocation.

Transitory Correspondence Files- correspondence relating to matters of short-term interest, such as acknowledgments for publications received, routine inquiries for publication, and announcements of savings bond campaigns, in contrast to administrative and program correspondence making up the general correspondence files. Also called transitory files.

Working Files- documents such as rough notes, calculations, or drafts assembled or created and used to prepare or analyze other documents. Also called working papers.

1. Title 44 United States Code (USC) 29, Federal Records Act of 1968.
2. U.S. Records Disposal Act of 1943 (44 U.S.C. 3301 et seq) as amended.
3. P.L. 98-497, National Archives and Records Administration Act of 1984, Title 44 U.S.C. 21.
4. P.L. 86- 511, Paperwork Reduction Act of 1980, dated December 11, 1980, as amended 1986.
5. Code of Federal Regulations Title 36, Chapter XII, National Archives and Records Administration.
6. Code of Federal Regulations, Title 36, Part 1234, Electronic Records Management.
7. Office of Management and Budget Circular A- 130, Management of Federal Information Resources, Revised,(Transmittal Memorandum No. 3), February 8, 1996.
8. National Archives and Records Administration (NARA), General Records Schedules, Transmittal No. 7, August 1995.
9. NARA, Records Management Handbook, Disposition of Federal Records, 1992.
10. NARA, Management Series Guide, Personal Papers of the Executive Branch Officials: A Management Guide, 1992.
11. NARA, Instructional Guide Series, Managing Electronic Records, 1990.
12. FHWA Order 1324.1, Files Management and Records Disposition Manual, Change 1, June 19, 1990, Change 1A, June 29, 1990.
13. FHWA Order M 1340.2, FHWA Information Resources Management Manual, December 28, 1988.
14. DOT Order H 1340.2, DOT Information Resources Management Manual (DIRMM), Chapter 10, "Records Management."
15. Department of Transportation (DOT), Office of the Secretary, Office of Information Resources Management, Information Management Division, Records Management Procedures Manual, August 13, 1993.
16. General Services Administration (GSA), Information Resources Management Handbook, Electronic Recordkeeping, dated July 1989.
17. NARA, A Federal Records Management Glossary 1993, Second Edition.
18. NARA Bulletin 94- 5, Use of Optical Disk System to Store Federal Records, July 20, 1994.
19. NARA Bulletin 94- 4, Use of Compact Disc- Read Only Memory (CD- ROM) Medium to Transfer Records to the National Archives, July 20, 1994.
20. NARA, Bulletin 94- 3, Washington National Records Center (WNRC), Suitland, Maryland, October 27, 1993.
21. NARA Bulletin 92- 4, Use of 3480 Class Tape Cartridge to Store Permanent Computer Data, May 15, 1992.
22. GSA, National Archives and Records Service (NARS), Office of Federal Records Center (OFRC), Files Operations¹, 1981.
23. GSA, NARS, OFRC, Files Equipment and Supplies¹, 1981.
24. GSA, NARS, OFRC, Case Filing¹, 1983.
25. GSA, NARS, OFRC, Subject Filing¹, 1981.

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¹These publications are now published and controlled by NARA.

NORTHEAST REGION FACILITIES:

NARA Northeast Region (Boston)
Frederick C. Murphy Federal Center
380 Trapelo Road
Waltham, Massachusetts 02452-6399
Telephone: 781-647-8108
Fax: 781-647-8112
E-mail: center@waltham.nara.gov
Area served: Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont

NARA's Northeast Region (Pittsfield)
10 Conte Drive
Pittsfield, Massachusetts 01201-8230
Telephone: 413-445-6885
Fax: 413-445-7305
E-mail: archives@pittsfield.nara.gov
Area served: Selected Federal agencies nationwide

National Archives and Records Administration - Mid Atlantic Region
14700 Townsend Road
Philadelphia, Pennsylvania 19154-1096
Telephone: 215-671-9027
Fax: 215-671-8001
E-mail: center@philfrc.nara.gov
Area served: Delaware, Pennsylvania, and Federal courts in Delaware, Maryland, Pennsylvania, Virginia, and West Virginia

National Archives and Records Administration - Southeast Region
1557 St. Joseph Avenue
East Point, Georgia 30344-2593
Telephone: 404-763-7474
Fax: 404-763-7059
E-mail: center@atlanta.nara.gov
Area served: Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, Tennessee

GREAT LAKES REGION FACILITIES:

NARA Great Lakes Region (Chicago)
7358 South Pulaski Road
Chicago, Illinois 60629-5898
Telephone: 773-581-7816
Fax: 312-886-7883
E-mail: center@chicago.nara.gov
Area served: Illinois, Minnesota, and Wisconsin, and Federal courts in Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin.

NARA Great Lakes Region (Dayton)
3150 Springboro Road
Dayton, Ohio 45439-1883
Telephone: 937-225-2852
Fax: 937-225-7236
E-mail: center@dayton.nara.gov
Area served: Ohio, Indiana, and Michigan, except Federal courts in Ohio, Indiana, and Michigan

CENTRAL PLAINS REGION FACILITIES:

NARA Central Plains Region (Kansas City)
2312 East Bannister Road
Kansas City, Missouri 64131-3011
Telephone: 816-926-6920
Fax: 816-926-6982
E-mail: center@kansascity.nara.gov
Area served: Iowa, Kansas, Missouri, Nebraska

NARA Central Plains Region (Lee's Summit)
200 Space Center Drive
Lee's Summit, Missouri 64064-1182
Telephone: 816-478-7089
Fax: 816-478-7623
E-mail: elaine.christopher@kccave.nara.gov
Area served: New Jersey, New York, Puerto Rico, U.S. Virgin Islands, and most of the Department of Veterans Affairs

National Archives and Records Administration - Southwest Region
501 West Felix Street, Building 1
Fort Worth, Texas 76115-3405
P.O. Box 6216
Fort Worth, Texas 76115-0216
Telephone: 817-334-5515
Fax: 817-334-5621
E-mail: center@ftworth.nara.gov
Area served: Arkansas, Louisiana, Oklahoma, Texas

National Archives and Records Administration - Rocky Mountain Region
Denver Federal Center, Building 48
Denver, Colorado 80225
P. O. Box 25307
Denver, Colorado 80225-0307
Telephone: 303-236-0801
Fax: 303-236-9297
E-mail: center@denver.nara.gov
Area served: Colorado, Montana, New Mexico, North Dakota, South Dakota, Utah, Wyoming

PACIFIC REGION FACILITIES:

NARA Pacific Region (Laguna Niguel)
24000 Avila Road
1st Floor - East Entrance
Laguna Niguel, California 92677-3497
P.O. Box 6719
Laguna Niguel, California 92607-6719
Telephone: 949-360-2618
Fax: 949-360-2624
E-mail: center@laguna.nara.gov
Area served: Arizona, Southern California, and Clark County, Nevada

NARA Pacific Region (San Francisco)
1000 Commodore Drive
San Bruno, California 94066-2350
Telephone: 650-876-9015
Fax: 650-876-0920
E-mail: center@sanbruno.nara.gov
Area served: Northern California, Nevada (except Clark County), and selected Federal agencies in Hawaii and the Pacific Ocean area.

National Archives and Records Administration - Pacific Alaska Region
6125 Sand Point Way NE
Seattle, Washington 98115-7999
Telephone: 206-526-6501
Fax: 206-526-6545
E-mail: center@seattle.nara.gov
Area served: Idaho, Oregon, Washington, and selected Federal agencies in Alaska, Hawaii, and the Pacific Ocean area.

National Archives and Records Administration - Washington National Records Center
4205 Suitland Road
Suitland, Maryland 20746-8001
Telephone: 301-457-7000
Fax: 301-457-7117
E-mail: center@suitland.nara.gov
Area served: Washington, DC area, Maryland, Virginia, West Virginia, and armed forces worldwide, except records of the Federal courts of Maryland, Virginia, and West Virginia.