U.S. Department of Labor Occupational Safety and Health Administration

OSHA Instruction ADM 12-7.2A CH-1 MAR 14 1988 Office of Management Systems and Organization

Subject: Change to Regional and Area Office Records Disposition Schedule

A. Purpose. This instruction transmits a revised page to ADM 12-7.2A.

B. Scope. This instruction applies OSHA-wide.

C. Action. Remove page A-16 and replace it with the attached changed page. File this transmittal page after the transmitting information (page 1) as a record of the change.

D. Explanation of Changes. The disposition instructions of Item 38, Discrimination Complaint Case Files, are changed to reflect changed requirements that they be transferred to the records center 2 years after the case is closed instead of the currently required 3 years after the case is closed.

David C. Ziegler Director Administrative Programs

Distribution: National, Regional, and Area Offices OASAM'S

U.S. Department of Labor Occupational Safety and Health Administration

OSHA Instruction ADM 12-7.2A JUL 30 1980 Office of Management Systems and Organization

Subject: Regional and Area Office Records Disposition

A. Purpose. This instructions transmits Records Disposition Schedule NC 1-100-77-1.

B. Scope. This instruction applies to Regional and Area Offices.

C. Cancellation. OSHA Instruction ADM 12-7.2 dated December 2, 1977 is cancelled.

D. Action. All OSHA Field Office will apply Appendix A to their administrative and program records.

E. Responsibility. The Regional Administrator is responsible for the proper and timely disposition of all records located within the region and for approving all records transfers to Federal records centers from offices located in the region.

F. Transfer of Records. Follow the instructions in the GSA Handbook "Federal Archives and Records Centers," 1979 edition, Federal Stock Number 7910-00-298-6904. Order through regular supply channels or request a copy from the records center serving your area. A listing of records centers is contained in Appendix B.

David C. Zeigler Director Administrative Programs

Distribution: National, Regional, and Area Offices

OSHA Instruction ADM 12-7.2A JUL 30 1980 Office of Management Systems and Organization

Appendix A

RECORDS DISPOSITION SCHEDULE NC 1-100-77-1

(Sample, Standard Form 115, Request for Authority to Dispose of Records)

REQUEST FOR AUTHORITY TO DISPOSE OF RECORDS

TO: General Services Administration National Archives & Records Service, Washington, D.C. 20408

FROM: U.S. Department of Labor

MAJOR SUBDIVISION: Occupational Safety and Health Administration (OSHA)

MINOR SUBDIVISION: Regional and Area Offices

NAME OF PERSON WITH WHOM TO CONFER: Bea McCabe TEL. EXT. 37995

CERTIFICATE OF AGENCY REPRESENTATIVE:

I hereby certify that I am authorized to act for this agency in matters pertaining to the disposal of the agency's records; that the records proposed for disposal in the Request of __18__ page(s) are not now needed for the business of this agency or will not be needed after the retention periods specified.

Date Signature of Agency Representative Title

Item Description of Item Sample or No. Job No.

1. OFFICE ADMINISTRATIVE FILES. Records accumulated by NC174-76-1, most regional and area OSHA offices that relate to Item 1 routine internal administration or "housekeeping" activities of the office rather than the functions for which the office exists. In general, these papers relate to the office organization, procedures and communications, and day-to-day administration of office personnel. The papers include duplicate or working copies of documents concerning the expenditure of funds in the office, including budget workpapers, copies of supplies and office equipment requests and receipts, documents regarding the use of office space and utilities, papers concerning participation in employee and community affairs, campaigns, drives, etc. These records may include copies of administrative correspondence, reports and forms prepared in the office and forwarded to higher levels and other material that does not serve as official documentation. The retention period outlined in this item will apply unless a separate records item (series) is described in this section. This material is arranged according to the DOL ADMINISTRATIVE Subject Classification Guide.

Cut off annually at end of fiscal year. Destroy one year after cutoff.

2. REQUEST FOR APPROVAL OF EXPENDITURES FOR RENTAL OF NC174-76-1, OFFICE SPACE. These files contain offers to lease Item 18 space and related correspondence between National Office (NO), Regional Office (RO), or Area Office (AO) and RAMO. Also included are maps, floor plans, Requests for Approval of Expenditures for Repairs and Alterations, and informational copies of correspondence between OSHA or RAMO and GSA. These expenditures are often coordinated with Regional Administration and Management Office (RAMO).

Cut off when agency moves from the building. Retire to FARC two years after cutoff. Destroy six years after cutoff.

3. POSITION DESCRIPTION FILES. Documents describing NC174-76-1, duties, responsibilities, and supervisory relationships Item 20 of each position in the RO or AO, generally using Optional Form 8. These are maintained in OSHA offices as working files and are extra copies of official files maintained in RAMO or NO personnel offices.

Destroy when superseded or the position is abolished.

4. PURCHASE AND CONTRACT TRANSACTION FILES. Consist of DWL contract, requisition, purchase order, lease, and 9/23/77 bond and surety records, including correspondence and related papers pertaining to award, administration, receipt, inspection and payment of purchase transactions. Purchase orders prior to 7/25/74 have the same retention standard as 4a and 4b. Prior to 1974, transactions were identified as PO's of more/less than $2,500.

Items 4c and 4d consist of Requisition for Equipment and supplies, DL Form 1-1; Requisition for Printing, GSA Form 50; and/or other requisitions for non-personal services. Copies of the forms are often sent to the RAMO and NO.

Arranged alphabetically or numerically.

a. PURCHASE ORDERS OR COMPARABLE INSTRUMENTS AFTER GRS Item JULY 25, 1974 FOR AMOUNTS OF $10,000 OR MORE. 3.4a(1) Cut off annually at end of fiscal year. Place and (2) in inactive file when transaction is complete. Hold two years or until volume warrants and FARC. Destroy six years and 3 months after final DWL payment. 9/23/77

b. PURCHASE ORDERS OR COMPARABLE INSTRUMENTS AFTER JULY 25, 1974 FOR AMOUNTS OF LESS THAN $10,000. Cut off file at end of fiscal year. Place in inactive file when payment is made. Destroy three years after final payment.

c. PURCHASE ORDER WORKING FILES MAINTAINED BY NC174-76-1 OPERATING OFFICES. Cut off annually at Item 1 and end of fiscal year in which final payment is 22; GRS made. Destroy one year after cutoff. Item 3, 4a (3) and (4)

d. DUPLICATE COPIES. Destroy when no longer needed for reference.

5. ADMINISTRATIVE COPY PERSONNEL DOCUMENTS. These items NC174-76-1, are maintained in OSHA offices and are working copies Item 21 of official file documents often maintained in the Official Personnel File (OPF) by RAMO and/or NO. Items included are SF-50, Personnel Action; SF-52, Request for Personnel Action; SF-7, Service Record Card, when not the official record; Performance Evaluation; "Skeleton" Personnel Folder; and copies of other documents maintained by the Personnel Office.

Cut off at end of the fiscal year that employee leaves. Destroy one year after cutoff.

6. ADMINISTRATIVE COPIES OF TRAVEL AND TRANSPORTATION NC174-76-1, DOCUMENTS. These files are accumulated in OSHA Item 23 offices and include duplicate copies of original travel and transportation documents. Included are signed copies of Travel Authorizations, Travel Vouchers, Travel Requisitions, Requests for Advance of Funds, and other documents related to official travel, including permanent change of station documents. Copies are used for administrative or funds control purposes and may be subject to audit. Arranged alphabetically.

Cut off annually at end of fiscal year. Destroy two years after cutoff.

7. TRAINING GENERAL ADMINISTRATIVE FILES. Copies of NC174-76-1, documents relating to the general administration Item 24 of employee training programs, such as announcements and schedules of training courses and seminars, inventories of available training resources, requests for information on training activities and similar papers.

Cut off annually at end of the fiscal year. Destroy two years after cutoff.

8. TRAINING REPORT FILES. Documents reflecting actual NC174-76-1, training progress and accomplishments. Along with Item 25 directly related papers, includes the record copy of quarterly, semiannual, or annual reports of training accomplishments; summary reports, special training reports; listings and reports of employees trained; study reports and coordinating actions. Arranged chronologically.

a. RECORD COPY REPORTS. Cut off annually at end of the fiscal year. Transfer to FARC two years after cutoff. Destroy five years after cutoff.

b. DUPLICATE OR WORKING COPIES OF REPORTS. Destroy when obsolete or no longer needed for reference.

9. TRAINING RECORD FILES. Office working copies of NC174-76-1, training achievement records and cards showing Item 26 history of individual employees. When an employee is transferred to another OSHA region or to another Federal agency, forward upon request a copy of individual's training record to training office of new duty station. Official file copies are included in the Official Personnel File. Arranged alphabetically by employee name.

Destroy individual record upon separation or retirement of employee.

10. INCENTIVE AWARD CASE FILES. These records are comprised NC174-76-1, of both suggestions and honor awards. Item 12 Suggestion files consist of An Idea for Improvement, DL Form 1-120; enclosures or exhibits, if applicable; Suggestion Evaluation, DL For 1-234; Authorization to Issue an Award Check, DL Form 1-211; rejection notice; and related correspondence. Honor awards consist of Nomination for Performance Award and certifying letters; samples of work or evaluations; position descriptions and other supporting papers; Notice of Approval of Quality Increase, or Authorization to Issue an Award Check, DL 1-211. Official file copies are included in the Official Personnel File. Arranged alphabetically.

Cut off closed cases annually at end of fiscal year. Destroy three years after cutoff.

11. MANAGEMENT BY OBJECTIVES FILES. Background materials NC174-76-1 such as analyses, notes, drafts, charts, interim Item 15 reports, and other similar workpapers generated during the project concerning actions or changes in the manner or method of planning, directing, controlling, or doing work, which results in increased effectiveness, efficiency and economy. Usually found in management analysis offices. Arranged by project title or number.

Cut off completed projects at end of the fiscal year. Destroy three years after cutoff.

12. INDIVIDUAL TRAINEE FILES. Case files containing NC174-76-1, applications, schedules, certificates, reports of Item 7 individual employee participation in the college trainee program or other formal technical or clerical training program under a training agreement. Arranged alphabetically.

Cut off at the end of the fiscal year following completion of training. Destroy five years after cutoff.

13. CONTROLLED CONGRESSIONAL INQUIRY CORRESPONDENCE. NC174-76-1, Files consist of copies of Congressional correspondence Item 8 which are channeled through the National Office (NO) and for which the NO is responsible for selected (Letter "C") documents. Extra copies of correspondence and responses are kept in regional and area offices.

Cut off annually at end of fiscal year. Destroy one year after cutoff.

14. NONCONTROLLED CONGRESSIONAL OR PRIORITY CORRESPONDENCE. NC174-76-1, Files consist of correspondence between individuals Item 9 and the regional or area office about OSHA programs on the regional or area office level. Noncontrolled Congressional correspondence and replies that are related to a specific case file may be included in the case file, if appropriate.

Cut off annually at end of fiscal year. Destroy one year after cutoff.

15. SPEECH FILES. Consist of incoming correspondence NC100-76-1, or invitations to speak, responses to invitations, Item 3 schedules, work papers and other related documentation involving the planning of the speech.

Destroy when superseded, obsolete or of no further reference value.

16. READING OR CHRONOLOGICAL FILES. Extra copies of all NC174-76- or selected correspondence and associated logs Item 3 or registers, if any, prepared and maintained by the originating office. Used solely as a reading or reference file for the convenience and information of personnel. Arranged chronologically.

Cut off annually at the end of the fiscal year. Destroy one year after cutoff or after reference. value is exhausted, whichever is sooner.

17. SUSPENSE FILES (TICKLER FILES). Papers arranged in NC174-76-1 chronological order as a reminder that an action Item 4 is required on a given date; a reply to action is expected and, if not received, should be traced on a given date; or a transitory paper being held for reference that may be destroyed when action is completed. Normal arrangement is in a 31-unit "work organizer" folder by due date. Whatever arrangement is used, the office should assure that no record material is included. Use an extra copy rather than the official record document

a. Notes, cards, control forms, reminders, etc., to submit a report or reply or take some action.

b. File copies, or an extra copy of an outgoing or incoming communication, filed by the data a reply is expected.

c. Transitory papers held in suspense pending the completion of a forthcoming action, until a short time (usually thirty days) has elapsed.

DWL Destroy on date suspended. 9/23/77

18. TECHNICAL REFERENCE MATERIAL. Consists of copies of NC174-76-1, reports, studies, special compilation of data such Item 5 as copies of computer printouts for administrative reference purposes, drawings, periodicals, clippings, etc., which are needed for reference and information purposes but are not made a part of official files, or included in greater detail in other items of this section or Section II. Prepared internally and externally. Arrangement is optional but, in most cases, it should follow the same basic principles used for library reference material.

Review annually. Destroy material of no further reference value.

19. TRANSITORY MATERIAL. Papers of short term interest NC174-76-1, which have no documentary or evidential value and Item 6 normally need not be kept more than six months. Recordkeepers can combine the types of temporary material shown below into one transitory file arranged chronologically and destroy after a short period.

a. Routine requests for information, publication, DWL copies of photographs, or other informational 7/23/77 literature which require no administrative action, no policy or program decisions, and no special compilations or research for reply.

Destroy after reply is made or information is furnished.

b. Letters of transmittal that do not add information to that contained in the transmitted material.

Destroy upon receipt.

c. Quasi-official notices, memoranda and other papers that do not serve as a basis for official actions, such as notices of holidays or charity and welfare funds appeals, bond campaigns, and papers dealing with activities of employee associations or unions.

Destroy when purpose has been served.

20. FILES MAINTENANCE AND DISPOSITION PLANS. Documents GRS16.3 such as the current "Files Maintenance Plan" for the file station, Designation of Files Custodian, copy of records transmittals (SF-135), and other information about the files accumulated at the particular file station. Normally, all contents can be retained in chronological order in a single file folder. The current "File Plan" should be fastened to the left side of the folder.

Review annually. Retain all current documents. Destroy all obsolete material.

21. ROUTINE CONTROL FILES. Papers used to facilitate GRS 19.10 or control work in progress, such as job control records, status cards, routing slips, work processing sheets, and records which control workflow and record action taken.

Review annually. Destroy when work is completed or when no longer needed for operating purposes.

22. POLICY AND PRECEDENT REFERENCE FILES. COPIES of NC174-76-1 documents establishing policy or precedent pertinent Items 2 & to future and continuing actions. Normally, 5 policy and precedent files are maintained at operating levels and consist of extra copies of operating procedures, statements of policy or procedure, examples of typical cases, and other documents duplicated in official files. Original or official record copies of regional program policy issuance will NOT be placed in this file. This file consists of NONRECORD COPIES maintained ONLY for convenience of reference.

Review annually. Destroy when organizational unit is discontinued; or when documents become obsolete, or are of no further reference value.

23. AGENCY DIRECTIVES AND PUBLICATIONS - REFERENCE COPIES. NC100-76-1 Copies of OSHA internal and external regulations, Item 24 directives, publications; and Department of Labor manual releases, bulletins, circulars, pamphlets, and public relations material. Arranged as prescribed in directive system. Keep copies at minimum necessary for official reference use.

Review annually. Destroy when superseded, obsolete or no longer needed for reference.

24. PUBLICATIONS OF OTHER GOVERNMENT AGENCIES. Copies NC100-76-1 of Congressional documents, OMB Circulars, Code Item 24 of Federal Regulations, Federal Register, GSA publications, etc. Maintain list in file folder and actual publication on shelving, or use other appropriate equipment if volume is large.

Review annually. Destroy when superseded or obsolete, or when in bound volumes, when not needed for library purposes.

25. NON-GOVERNMENT PUBLICATIONS. Publications of NC100-76-1 commercial firms, private institutions, and vendors, Item 24 including catalogs, brochures, price lists, and similar publications. Maintain list in file folder or card index and actual publications on shelving, or use other appropriate equipment if volume is large.

Review annually. Destroy when superseded, obsolete or of no further reference value.

26. LIBRARY MATERIAL. Books, pamphlets, journals, NC100-76-1 and similar material (originating outside DOL) Item 24 which are maintained for reference. Arrangement is optional. Maintain list in file folder but keep materials on shelving.

Review annually. Destroy when superseded, obsolete or no longer needed for reference. If library is available, refer items of potential value to librarian for disposition.

27. NONRECORD MATERIAL. Nonrecord material consists of NC174-76-1 materials which have no documentary or evidential Item 2 value. This type of material accumulates in offices as a convenience to personnel, but should be kept to a minimum. Examples of this material are preliminary drafts of letters or reports, shorthand notes, worksheets whose contents are adequately summarized or included into other documents, printed or processed material of which only the single master is considered the official record, extra copy files, convenience files, and reference or nonrecord material not covered by other items in Sections I and II.

Review annually. Destroy when superseded, obsolete or no longer needed for reference.

           SECTION II -- PROGRAM ADMINISTRATIVE MANAGEMENT AND
                         CASE RECORDS

28. PROGRAM ADMINISTRATION AND MANAGEMENT CORRESPONDENCE NC100-76-1 FILES. These files consist of incoming originals Item 86 or original file copies of outgoing general program correspondence, reports, forms or other general program records designated as official record documentation. The files are created by OSHA regional (RO) and area (AO) offices while administering the various OSHA programs, and they document the functions and responsibilities for which OSHA offices are primarily responsible. These are the official files that are directly related to OSHA administration of program functions and should not be confused or maintained with the office administrative files outlined in Section I.

OSHA offices that create these records in achieving their assigned mission or legal mandate are: Federal/State Operations, Management, Technical Support, Federal Agency Consultation, Training and Education, and Regional Administrators. Examples functional program subjects are: advisory committees, compliance safety and health, standards safety and health, research and development, training consultation and education, state programs, imminent danger, inspections, state plans, contested cases, penalty or abatement information, variances, OSHA forms when not included in a specific inspection or state plan case file, or correspondence related to OSHA programs in general. This material is arranged according to the OSHA PROGRAM Subject Classification Guide. The retention standard specified below will apply unless a separate item (series) for program correspondence material is included in this section.

Cut off annually at end of fiscal year. Retire to the FARC two years after cutoff. Destroy seven years after cutoff.

29. FINANCIAL MANAGEMENT PROGRAM CORRESPONDENCE FILES. NC174-76-1, Program correspondence, reports, forms and other Item 17 papers created by the RO and AO which relate to the basic responsibilities, operations, and administration of program financial management activities. These activities include such areas as fiscal management and budget. The files are similar to the types of records contained in Section I; however, they are usually maintained separately, since the documentation involves program financial planning of a long term nature.

Cut off annually at end of fiscal year. Retire to the FARC two years after cutoff. Destroy five years after cutoff.

30. FINANCIAL MANAGEMENT SPECIAL PROJECT FILES. These NC174-76-1 files relate to special projects to implement Item 19 various types of financial management systems. They include such items as organization charts, Gantt charts, progress reports, worksheets, correspondence and other papers related to the specific financial project. An example of a project would be Implementation of Cost Accounting in OSHA Programs.

Cut off annually at end of fiscal year in which project is completed. Destroy three years after cutoff.

31. STATE PROGRAM ACTIVITY REPORT FILES. This file NC100-76-1 consists of the quarterly occupational safety and Item 180 health program activity report from states approved by OSHA to conduct their own occupational safety and health programs. The file includes a duplicate administrative copy of the original transmittal letter and the report submitted to the NO describing the state's compliance activity, variance requests granted, and status of the States' Standards Developed. The NO maintains the official record documentation. Regional and area offices may retain systems printout reports with the state plan, if appropriate. Arranged alphabetically.

Cut off annually. Destroy when obsolete, superseded or of no further reference value.

32. SEMIANNUAL EVALUATION REPORT FILES. This file NC100-76-1, consists of OSHA's semiannual and quarterly evaluation Item 181 of approved state occupational safety and health programs. The evaluation reports are prepared by the regional office and transmitted to the NO and the state. The preparing office maintains the official record copy. The file contains the report and related correspondence. Arranged chronologically.

Cut off annually at end of fiscal year. Retire to the FARC five years after cutoff. Destroy 10 years after cutoff.

33. COMPLIANCE ACTIVITY STATISTICAL REPORTS. Consist of NC100-76-1 reports on a monthly, quarterly and yearly basis Item 7 relating to industry compliance with established OSHA program standards. The NO Division of Operations maintains the official record copy of monthly, quarterly or yearly (permanent) reports.

Regional and area office copies are used mainly for administrative purposes. Arranged chronologically.

a. MONTHLY AND QUARTERLY REPORTS. Cut off annually at end of fiscal year. Destroy one year after cutoff.

b. YEARLY REPORTS. Cut off annually at the end of the fiscal year. Destroy three years after cutoff.

34. MANAGEMENT INFORMATION SYSTEM FILES (MIS). These NC100-76-1 files consist of signed or unsigned official file Item 46 copies of forms and transmittal sheets submitted monthly by OSHA regional and/or area offices to the NO. Information from the forms makes up the data base, periodic computer printouts or the updated ADP master tapes. Duplicate copies used for input into the ADP system are also maintained in the NO. Selected MIS forms may be included in specific case files if appropriate. Arranged chronologically.

Cut off annually at the end of the fiscal year. Destroy two years after cutoff.

35. PROGRAM INQUIRY CORRESPONDENCE FILES. These files NC100-76-1, consist of official copies of incoming correspondence Item 221 and responses regarding nonroutine inquiries on specific OSHA program administration. These inquiries are generally controversial in nature, require extensive research, or require administrative decisions or responses. This material may involve interpretation of OSHA programs in general or a specific case file. When a case file is affected, the documentation should be cross-referenced to the case file to assure adequate case file documentation. Those inquiries that significantly affect RO or AO OSHA policy should be governed by Items 28 and 36 of this section. Arranged by subject, thereunder alphabetically.

Cut off annually at end of fiscal year. Retire to the DWL/Abeyta FARC two years after cutoff. Destroy 6 years after 9/23/76 cutoff.

36. POLICY AND PROCEDURE (ISSUANCES) RECORD SET. Consists NC100-76-1, of the "record Set" of regional office originated Item 89 program memoranda or directives (including superseded items). The documents could be originals or copies but should be identified as the record copy. The set includes policy directives, or other RO issuances which outline policy or procedures for program direction or administration and are not interpretations of NO policy issuances. this material should not be confused or filed with reference copies listed in Section I, Items 22 and 23. OSHA National Office maintains the "Record Set" of OSHA nationwide policy issuances. OSHA policies or procedures evolve from internal program management review, court decisions, committee decisions, or interrelationships with the general public. Supporting material, work papers, and correspondence for policy and procedures issuances should be maintained with program correspondence, as called for by Item 28. Arranged in loose leaf binders in accordance with the DOL Directives System.

a. REGIONAL OFFICE RECORD SET. Permanent. Cut off at the end of the fiscal year that issuance becomes canceled or superseded and place in inactive file. Retire to the FARC in five-year increments. Offer to NARS 10 years after cutoff.

NOTE: 5 1/2 cubic feet maintained nationwide; 1 cubic foot created per year.

b. DUPLICATE COPIES OF ISSUANCES (DIRECTIVES). Maintained for reference purposes. Review annually. Destroy when superseded, obsolete or of no further reference value.

c. Clearance forms, transmittal letters, research materials, work papers and related backup materials.

Destroy on publication of policy or procedure.

37. STATE PLAN CASE FILES. The state plan files consist NC100-76-1, of documentation created by OSHA regional or area Items 181- offices and states while consulting, developing, 183 implementing and monitoring state plans in conjunction with a state government. Each OSHA region develops its own format for obtaining basic information on state operations in response to National Office policies for the purpose of evaluation. At a minimum, the state plan case file should contain the following as part of the official documentation:

State plan; state OSH legislation; administrative regulations equivalent to the Federal OSH Regulations; field operations manuals; management information system forms similar to OSHA forms 1, 2, 3, etc.; standards; Federal- or state-initiated changes to state plans; state semiannual and quarterly correspondence reports; semiannual reports on state operations; monitoring data such as case file reviews, on-the-job notes, written material on variances, "CASPA" documentation, miscellaneous administrative material; drafts of state plan; public comments and transcripts of public hearings; related grants and associated data; funding agreements with state personnel doing OSHA enforcement activity; and selected program correspondence that relates to the specific state plan.

Copies of state plans are available in the state, OSHA regional or area offices, or in the National Office. Generally, the office that administers the state plan has the most complete, up-to-date case file and program correspondence to support the state plan. The OSHA National Office maintains the official (permanent) record of the state plan. Regional and area office plan copies are used for administrative purposes or for reference review purposes by the general public. Arranged alphabetically by name of state.

a. REGIONAL OR AREA OFFICE ADMINISTRATIVE COPIES. Cut off at the end of the fiscal year that state plan is withdrawn, disapproved or discontinued. Destroy five years after cutoff.

b. REGIONAL OR AREA OFFICE REFERENCE COPIES. NC100-76-1, Destroy when obsolete or discontinued. Item 157

38. DISCRIMINATION COMPLAINT CASE FILES. Consist of correspondence; OSHA forms prepared from incoming telephone calls, logs or registers; complaint forms; reinvestigation research data; investigation findings; settlement forms; final reports; documents outlining final disposition of case; transmittal letters or other records necessary to assure complete documentation of the case. These complaints are initiated by employees of private firms under OSHA jurisdiction. The complaint may be formal or informal. It generally results from a notification by the employee to OSHA that administrative action has been taken against him/her for reporting unsafe conditions to OSHA, or complaining to OSHA about health conditions or any OSHA-related program responsibilities or functions. Summary data may be included by the investigating office in a specific inspection case file, if appropriate. Duplicate copies of cases or case file contents are treated as reference material. Arranged alphabetically or numerically.

Cut off at fiscal year end that case is closed. Retire to FARC two years after cutoff. Destroy five years after cutoff.

39. CONTRACT MONITORING CASE FILES. Working files NC100-76-1, maintained by OSHA regional and area offices for Item 232 monitoring contracts or agreements with universities or other institutions in the development and conducting OSHA programs. Case papers include duplicate copies of documents found in PURCHASE OR CONTRACT TRANSACTION FILES, SECTION I, and additional backup materials such as notes and working papers concerning contractor activities; evaluation of contractor proposals, submissions and reports; copies of correspondence concerning sub-contractor activities; and routine communications pertaining to administering the individual contract or interagency agreement. Arranged alphabetically or numerically.

Cut off at end of fiscal year that the contract is terminated. Retire to FARC two years after cutoff. Destroy six years after cutoff.

40. SUBJECT REFERENCE MATERIAL. Subject reference NC174-76-1 material is used by OSHA program offices for Item 5 informational purposes but is not made part of the official files. This material should include reference material not outlined in Section I. Subject reference material is used by OSHA offices to support or create official documentation and assist offices to achieve their assigned mandate. The material consists of duplicate copies of reports, forms, correspondence, books, periodical pamphlets, newspaper clippings or similar materials used for reference purposes. The reference material is related to most OSHA program functions and subjects, including safety and health standards development, OSHA publications, construction, variance determination, program directives copies, health hazards, compliance correspondence copies, investigation inspections, state plan development and monitoring, chemistry, electrical, explosives, fire, industrial hygiene, machine guarding, mining, and radiation.

Review annually. Destroy material when superseded, obsolete or of no further reference value.

41. EMPLOYER/EMPLOYEE TRAINING RECORD FILES. Consist of NC100-76-1, documents which constitute the individual record Item 238; of training received under OSHA educational training NN165-50, contracts. The forms are used to prepare the annual Item 17 review and analysis report and the report to Congress.

Transfer to inactive files when the annual report is prepared. Destroy when succeeding report is published.

42. TRAINING PROGRAM FILES. Consist of scripts and NC100-76-1, other written materials prepared for training Item 241; programs in OSHA. Official copies of these NN165-50, documents are maintained by the NO Technical Data Item 12 Center. These records involve training that OSHA prepares and conducts rather than receives.

OSHA Instruction ADM 12-7.2A JUL 30 1980 Office of Management Systems and Organization

For example of completed Appraisal Report on Disposition of Records, see paper copy, page A-19.

For listing of Areas Served by Federal Archives and Records Centers, Appendix B, see paper copy, page B-1.