OSHA Instruction ADM 12.4 September 29, 1986 Office of Management Systems and Organization

Subject: OSHA Records Management Program

A. Purpose. This instruction transmits the OSHA Records Management Manual. This manual contains the records management procedures applicable to all OSHA offices.

B. Scope. This instruction applies OSHA-wide.

C. Cancellation. Cancel OSHA Instruction ADM 12-8.1A, Annual Summary of Records Holdings.

D. Action. All offices will follow the policies and procedures mandated by the OSHA Records Management Manual.

E. Reference. Refer to OSHA Instruction ADM 12.5, OSHA Compliance Records, which will be issued soon, for information concerning compliance-related records.

F. Implementation. Offices shall implement the records management procedures contained in this manual and set up their files in accordance with Appendix D of this manual as of October 1, 1986. Existing files should NOT be converted to conform with this manual.

G. Program Benefits. This Manual is intended to partially fill the existing void in the OSHA directive system on managing information by stating OSHA policy and providing specific procedures and instructions on records management in records maintenance, records security, records equipment management and records disposition to Agency managers, supervisors and file custodians.

David C. Zeigler Director Administrative Programs

Distribution. National, Regional and Area Offices District Offices

TABLE OF CONTENTS

Page

FORWARD .................................................... vi

Chapter I Introduction...................................I-1

A. Purpose....................................... I-1 B. Objectives.................................... I-2 C. Responsibilities and Authorities.............. I-3 D. Records Management Reviews.................... I-8 E. Subject-Numeric System........................ I-8 F. Records Disposition System.................... I-8 G. Relative Index................................ I-9 H. Records System Revisions...................... I-9

Chapter II Definitions ................................. II-1

Chapter III Files Operations ............................ II-1

A. General .................................... III-1 B. File Stations .............................. III-1 C. Handling and Safeguarding of Classified Material and Administratively Controlled information .................. III-2 D. Inspection of Papers ....................... III-2 E. Files Classification ....................... III-4 F. Filing ..................................... III-8 G. Project and Case File Documentation ........ III-9 H. Establishing Files and Preparing File Folders and Labels .......................III-12 I. Cross-Reference ............................ III-15 J. Continuity Reference ....................... III-15 K. Charge Outs................................. III-16 L. Records Control............................. III-16 M. Fasteners .................................. III-17 N. File Drawer Labels.......................... III-17 O. File Guide Cards ........................... III-17 P. Cut-Off .................................... III-17 Q. Optional Procedures ........................ III-18

Chapter IV Filing Equipment and Supplies................. IV-1

A. General ...................................... IV-1 B. Types of Equipment............................ IV-1 C. Filing Equipment Utilization Standards........ IV-4 D. Justification and Certification Statements.................................. IV-5 E. File Folders, Labels, and Guide Cards......... IV-5

Chapter V Records Disposition............................ V-1

A. General........................................ V-1 B. Official Records and Personal Papers........... V-2 C. Nonrecord Disposal List........................ V-3 D. Disposition of Records in Offices.............. V-6 E. Disposition of General Accounting Office Site Audit Records................... V-7 F. Transfer of Records to FRC`s................... V-7 G. Disposition of Records in FRC's............... V-21 H. Transfer of Records to the National Archives................................... V-23 I. Transfer of Records to Federal Agencies Outside the Department..................... V-24 J. Records Donated for Preservation and Use ..... V-24

Chapter VI Records Management Reports.................... VI-1

A. General ...................................... VI-1 B. Annual Records Management Report.............. VI-1 C. Records Management Review Reports............. VI-2

Chapter VII Security of Classified Material.............. VII-1

A. General...................................... VII-1 B. Categories of Classified Information ........ VII-l C. Restrictions on Access to Classified Information............................... VII-l D. Designation of Agency Records Security Officer.......................... VII-l E. Responsibilities............................. VII-2 F. Audit Responsibilities and Assistance Available................................. VII-3

Chapter VIII Handling and Safeguarding of

             "Administratively Controlled
              information" (Reserved)..................... VIII-1

Chapter IX Vital Records (Reserved)...................... IX-1

Chapter X Electronic Records............................. X-1

A. General ....................................... X-1 B. Systems Considerations......................... X-1 C. Records Considerations......................... X-2 D. Record Retrieval............................... X-4 E. Security ...................................... X-7 F. Disposition ................................... X-7 G. Disk Maintenance and Care...................... X-8 H. Environmental Considerations.................. X-11 I. Additional information........................ X-12

Chapter XI Micrographics (Reserved)...................... XI-1

Appendix A Figures........................................ A-1

     Figure 1     OSHA Form 156, File Transmittal
                     Card.................................... A-2
     Figure 2     OSHA Form 158, Folder Charge Out........... A-3
     Figure 3     OSHA Form 157, Correspondence
                     Charge Out.............................. A-4
     Figure 4     Form OF-21, Cross-Reference................ A-5
     Figure 5     Form OF-22, Continuity Reference........... A-6
     Figure 6     illustration of Printout Storage........... A-7
     Figure 7     Book Style Suspense or Tickler
                     (Daily) File............................ A-8
     Figure 8     Use of Wallet Style Filing Jacket.......... A-9
     Figure 9     illustration of File Folders Showing
                     Correct Position of Labels.............. A-10
     Figure 10    Case Files and Subject-Expansion
                     Files................................... A-11
     Figure 11    Cross-Reference of File Folders............ A-12

     Figure 12    SF-135, Records Transmittal and
                     Receipt, Washington, D.C............... A-13
     Figure 13    SF-135, Records Transmittal and
                     Receipt, Field......................... A-15
     Figure 14    GSA Federal Records Centers............... A-17
     Figure 15    OF-11, Reference Request-

Federal Records Centers................ A-18

     Figure 16    Comparison of Various Media for
                     information Storage and
                     Retrieval.............................. A-19

Appendix B Records Management Review Checklist ........ B-1

Appendix C Rules for Alphabetizing .................... C-1

Appendix D Subject Outline for OSHA instruction

ADM 12.1, OSHA Classification

System.................................... D-1

Appendix E Index ...................................... E-1

FORWARD

Records whether on paper, magnetic, audio-visual, or microform media, or in another form, are the means of documenting the history of OSHA including OSHA policies, practices, procedures, and operations. That is what was done, when it was done, where it was done, who did it, and why it was done.

Our Agency should take positive action to meet high standards for records management. The implementation of good records management practices improves office efficiency, and good records documentation provides the Agency the background information needed for effective programs.

This Manual has been prepared as a guide for effective records management throughout the Agency. Adherence to these standards will assure that records are properly maintained in a uniform manner for efficient retrieval are retained until they are no longer needed, and are properly destroyed or retired.

The use of this Manual by all OSHA offices is mandatory.

David C. Zeigler Director Administrative Programs

Chapter 1

INTRODUCTION

The Occupational Safety and Health Administration (OSHA) Records Management Manual provides guidance and instructions for records management functions to promote the methodical and organized filing of information to allow speedy and easy retrieval of information for use and to assure the information's appropriate disposition in a timely manner. The use of this manual will help all offices to:

o Provide a uniform filing system which will simplify the filing and finding of records.

o Dispose of or transfer records.

o Simplify the training of personnel responsible for filing and maintaining records.

o Facilitate the consolidation of files where organizational changes take place.

o Conserve expenditures through purchasing and stocking standard use supplies and equipment for maintaining files and records.

A. Purpose. The OSHA Records Management Manual was developed to provide OSHA employees a single comprehensive authority on records management. This manual:

1. Establishes OSHA policy and objectives on records management.

2. Promulgates guidelines for records management including reviews, files operations, file equipment and supplies, disposition of records, maintenance and disposition of classified material, handling and safeguarding of limited access materials including materials subject to the Privacy Act, and Annual Records Management Report.

3. Establishes Program and Regional Records Management Officers in the National Office and the Regional Offices.

4. Assign responsibilities to carry out the Records Management Program within OSHA.

B. Objectives. The objectives of the OSHA Records Management Program are to:

1. Assure Agency compliance and familiarize employees with the applicable provisions of federal law and regulations applying to records management, specifically:

a. The Records Disposition Act of 1943.

b. The Federal Property and Administrative Services Act of 1949.

c. The Federal Records Act of 1950.

d. The Federal Records Management Amendments of 1976 Act.

e. The Paperwork Reduction Act of 1980.

f. 18 USC Chapter 101, Records and Reports.

g. 44 USC Chapter 29, Records Management by the Administrator of General Services.

h. 44 USC Chapter 31, Records Management by Federal Agencies.

i. 44 USC Chapter 33, Disposal of Records.

j. 44 USC Chapter 35, Coordination of Federal Information Policy.

k. 36 CFR 1220, Records Management.

l. 41 CFR 201, Federal information Resources Management Regulation.

2. Assure accurate and complete documentation of the policies, decisions, procedures, and transactions of all Agency functions.

3. Establish and maintain management systems to control records and promote effective and economical administrative and program operations throughout OSHA.

4. Simplify the activities, systems, and processes of records creation, maintenance, and use.

5. Safeguard historical and other records of lasting or long term value. These records are designated as "Permanent."

6. Reduce unnecessary paperwork and paperwork accumulations by emphasizing the "cradle to grave" concept of records management whereby creation of unnecessary paperwork is discouraged, maintenance of paperwork of no further value to OSHA is prohibited and destruction of paperwork no longer needed is mandatory.

7. Establish and manage such other systems or techniques as considered necessary to carry out the purposes of the program.

C. Responsibilities and Authorities

1. The Assistant Secretary for Occupational Safety and Health.

a. Determines overall OSHA policy and management practices for the OSHA Records Management Program.

b. Appoints a Records Management Liaison Officer for the Office of the Assistant Secretary and attendant staffs.

2. Directorate of Administrative Programs. The Director monitors the overall administration of the OSHA Records Management Program.

3. Office of Management Systems and Organization. The Director or designee serves as the OSHA Records Management Officer and:

a. Formulates, manages, directs, and coordinates the OSHA Records Management Program.

b. Serves as Agency liaison with the Department, the National Archives and Records Administration (NARA), Office of Management and Budget (OMB), General Accounting Office (GAO), Office of Personnel Management (OPM), and other agencies on matters relating to records management.

c. Develops uniform records systems including instructions, file systems and records disposition schedules.

d. Conducts surveys of records management practices.

e. Conducts reviews of records management practices and operations throughout the agency.

f. Reviews and takes appropriate action on all requests for filing cabinets and equipment for the National Office.

g. Provides technical assistance in records management to Agency offices.

h. Provides information about records management training courses to Agency personnel and conducts training sessions with employees involved in records management activities.

i. Serves as the Administrative Programs Records Management Officer.

J. Serves as the OSHA Records Security Officer.

4. Office of Management Data Systems. The Director appoints an ADP (Automated Data Processing) Records Liaison Officer. Notify the OSHA Records Management Officer of the appointment in writing.

5. National Office Directorates. Program Directors:

a. Establish, manage, direct, and coordinate the Directorate Records Management Program.

b. Ensure that Directorate records management practices and procedures and records operations are effective.

c. Recommend changes in records systems including filing systems and records disposition schedules to the OSHA Records Management Officer.

d. Appoint a Program Records Management Officer to manage, direct, and coordinate all records management activity within the Directorate. Notify the OSHA Records Management Officer of the appointment in writing.

6. National Office. The directors of OSHA Offices will appoint a Records Liaison Officer to manage all records management activity within the organization. Notify the appropriate Program Records Management Officer of the appointment in writing.

7. Directorate of Field Operations. The Director serves as the Records Management Field Coordinator and:

a. Requests comments from OSHA field organizations on proposed records systems and records disposition schedules.

b. Submits field organization comments on proposed records systems and records disposition schedules to the OSHA Records Management Officer.

8. Regional Offices. Regional Administrators:

a. Establish, manage, direct, and coordinate the Regional Records Management Program.

b. Ensure that regional records management practices and procedures and records operations are effective.

c. Recommend changes in records systems including filing systems and records disposition schedules to the OSHA Records Management Officer.

d. Appoint a Regional Records Management Officer to manage, direct, and coordinate all records management activity within the region. Notify the OSHA Records Management Officer of the appointment in writing.

9. Area Offices. The Area Director shall appoint a Records Liaison Officer to manage, direct, and coordinate all management activities in the Area. Notify the Regional Records Management Officer of the appointment in writing.

10. Program and Regional Records Management Officers. The designated Program or Regional Records Management Officers will manage and oversee all records management activities within their organizations. The Program or Regional Records Management Officers are responsible for:

a. Assuring organizational conformance to all requirements stated in the OSHA Records Management Manual.

b. Conducting records management reviews of subordinate offices to determine compliance with the Records Management Manual and with applicable file systems and records disposition schedules.

c. Suggesting changes in this manual, files systems, or records disposition schedules to reflect changes in records operations, organizational functions, work flow, or records disposition needs of their organizations.

d. Assuring all classified and limited access material including Privacy Act material is properly safe guarded and that the materials are properly disposed of when their retention period is completed.

e. Providing the OSHA Records Management Officer an annual report of records management activities within the organization.

f. Providing training or make information on records management training available to organization employees responsible for records maintenance and disposition.

g. Reviewing and taking appropriate action on all requests for filing cabinets and other records equipment throughout the region.

h. Providing assistance to their organization in all aspects of the OSHA Records Management Program.

i. Notifying the OSHA Records Management Officer in writing of the appointment of Records Liaisons in their organizations.

11. Records Liaison Officers. The designated Records Liaison Officers will manage and oversee all records management activities within their organizations. The Records Liaison Officers are responsible to:

a. Assure conformance to the OSHA Records Management Manual including filing systems.

b. Provide technical assistance to their organizations in files maintenance and use, and records disposition.

c. Suggest changes in records management directives, files systems, or records disposition schedules to the Program or Regional Records Management Officer.

d. Properly safeguard and provide proper disposition for all classified and limited access material in their organizations.

12. ADP Records Liaison Officer. The ADP Records Liaison Officer will manage and oversee all records management activities within the Office of Management Data Systems. The ADP Records Liaison Officer performs the duties listed in paragraph 11 above for Records Liaison Officers. The ADP Records Liaison Officer also has the responsibility to:

a. Develop new or revised records disposition descriptions and records disposition periods for machine-readable records.

b. Maintain a complete inventory of all OSHA computer systems.

c. Assure systems documentation files are complete and accurate.

d. Assure information on magnetic media is destroyed or offered to NARS for retention in accordance with Agency records disposition schedules and the General Records Schedules.

13. Supervisors. Supervisors are responsible for overseeing records operations activities under their control and shall appoint a records custodian to manage the files.

Notify the appropriate Records Liaison Officer of the appointment in writing.

14. Records Custodians. Records Custodians are responsible for performing records maintenance and disposition activities and conforming to the requirements of the OSHA Records Management Manual.

D. Records Management Reviews.

Technical review of the Records Management Program in OSHA, including all file systems, file operations, records disposition schedules, and instructions for their use, is the responsibility of the OSHA Records Management Officer. Technical review of all files, their maintenance and disposition, and local instructions on records management is the responsibility of Program and Regional Records Management Officers. For additional information on reviews, refer to Chapter 6, Records Management Reports.

E. Subject-Numeric System.

This system permits arrangement of the primary subject titles in alphabetical sequence while retaining a simple numeric order for the secondary (second) and tertiary (third) subdivisions of the primaries. The primary titles are given simple, easily remembered abbreviations where possible, such a PER for Personnel, BUD for Budget and LEG for Legislative and Legal.

A subject-numeric filing system is based on several major subject groups, each of which is designated by a primary subject abbreviation. The groups currently mandated for use throughout OSHA are contained in OSHA instruction ADM 12.1, OSHA Classification System. Also refer to Appendix D.

F. Records Disposition Systems.

Records disposition schedules authorize destruction or retirement of records. Records will not be destroyed or sent to an FARC unless they are covered by an item on a records disposition schedule. OSHA currently has three records disposition schedules which cover most OSHA records. They are contained in:

1. OSHA instruction ADM 12.5, OSHA Compliance Record System. This instruction will be issued in the near future.

2. OSHA instruction ADM 12-7.2A, Regional and Area Office Records Disposition

3. OSHA instruction ADM 12-7.3, National Office Records Disposition Schedule.

For additional information about records disposition, refer to Chapter V, Records Disposition.

G. Relative index. This is an index which consists of an alphabetically arranged subject listing of functions paired with the appropriate subject numeric classifications. The first column (the subject column) lists in alphabetical order, each of the topics contained in the subject outlines of the filing system and synonyms and other terms. Related terms are indented under a key word. The second column opposite these terms lists the file code symbol where materials related to the term will be filed.

The Relative index provides a simple key to help the user find proper file classifications and is also useful as a guide to help locate previously filed records. A relative index is included in OSHA instruction ADM 12.1.

H. Records System Revisions. Revisions to filing systems or records disposition schedules shall not be made without the prior approval of the OSHA Records Management Officer.

1. Additions and Revisions.

a. Regional Offices may expand primary and secondary subjects by creating additional or changing existing secondary and tertiary file subjects. These additions or changes must be approved by the OSHA Records Management Officer before any change or addition may be put into effect.

b. National Office. Program Offices responsible for program functions, such as training and education programs, federal agency programs, and consultation programs. may expand primary or secondary subjects by creating additional or changing existing secondary and tertiary subjects but only for those primary or secondary subjects related to the program office's functions. These changes or additions must be approved by the OSHA Records Management Officer before any changes or additions may be put into effect.

c. Offices may add subject expansions to primary, secondary, or tertiary subjects without prior approval.

2. Need for Clearance. The purpose for requiring approval is to assure the application of records disposition schedules, to keep abreast of necessary changes in the filing system, to provide uniformity in filing subjects, and to assure that only approved subjects are used.

3. Unscheduled Records. Records not listed for disposition in approved records disposition schedules must be submitted to NARA for approval by the OSHA Records Management Officer before those records may be destroyed.

Chapter II

DEFINITIONS

Accession is:

(1) a group of records related to one or several functions disposable under one item of a disposal schedule and created or accumulated during the same year.

(2) Transfer of custody (not ownership) of a related group or series of records to a Federal Records Center and subsequent storage in the center.

(3) Transfer of custody and ownership of historical or other "permanent" retention records to NARA.

(4) The forms involved in a transfer of custody and/or ownership of records.

Accession Number is a number assigned to identify shipments of records in the Federal Records Centers or in NARA.

Active Files or current records contain information used in day-to-day operations and, therefore, must be maintained in office space and equipment. As a general rule, files referred to at least once a month per file drawer are considered active.

Administrative Actions File is a single readily available source where copies of all documents and other supportive materials to justify and support a proposed rulemaking, an actual rulemaking, a disposal order or other actions having legal effect are actually filed, or where an index is maintained specifying where a copy of the supportive material is filed.

Administrative Files contain material which relates to the housekeeping or management functions of the office rather than to the program or technical work. Example: Finance, personnel, budget and travel.

Agency is the Occupational Safety and Health Administration (OSHA).

Agency Record Copy. See Official Record Copy.

Alphabetic index. See Relative index.

Alphabetical Name index is an auxiliary aid to locating records arranged by subject when the requestor specifies only the names of persons or organizations.

Appraisal is the process of determining the value and thus the disposition of records based upon their administrative uses, fiscal uses, legal requirements, evidential and informational or research value, arrangement, and relationship to other records

Archival Value is the determination by appraisal that records are worthy of permanent preservation by NARS.

Archives is:

(1) the non-current records of an organization or institution preserved because of their permanent value; also referred to as archival materials or archival holdings.

(2) The Agency responsible for selecting, preserving, and making available archival materials; that is, NARA.

(3) The building or part of a building where such materials are located; also referred to as an archival repository or depository.

Case File means the grouping in one folder (or one set of folders, depending on volume) all record material which pertains directly to one specific person, company, organization, project, etc. The contents of case files are restricted to records dealing only with the specific item for which the file was established, from its inception to its close. Within this restriction, the contents may include forms, reports, and other material. Examples of types of case files include procurement case files, establishment case files, training case files, state plan case files and inspection case files.

Centralized Files is a type of file plan which provides for maintenance of all files of an organization in one location. It is most effective in small organizations.

Chronological Files. See Reader Files.

Classify, Classification means:

(1) The designation of a file category to papers.

(2) The security designation of documents as CONFIDENTIAL, SECRET, or TOP SECRET.

(3) The designation of documents which should not routinely be made available to people outside the Agency and includes Privacy Act materials. Also known as Administratively Controlled Information.

Continuity Reference (Optional Form 22) is a form used to replace material withdrawn from a file for consolidation with material in a later file.

Correspondence Charge Out Card (OSHA Form 157) is a form used to charge-out individual documents from a case or subject file.

Cross-reference means filing a duplicate of a document or a Cross-reference Form (OF-21) when the same document is needed in two separate subject or case file folders.

Current Records. See Active Files.

Custody means the guardianship of records that includes physical possession or protective responsibility. It may include legal title or ownership of the records.

Cut-off means the closing or breaking off of a file and the establishment of new active files. For subject files, this cut-off is done at the end of the fiscal year (September 30); for leave and payroll files, the cut-off is made at the end of the payroll year; and for case files, the cut-off is made when the case is closed or terminated.

Decentralized Files is a type of file plan under which each principal element of an Agency maintains its own files at the point of reference.

Disposal means the destruction of records.

Disposition means to move records out of high cost office space when they become inactive, and may be retirement, disposal, transfer, or conversion to other forms such as microforms.

Figures are graphic illustrations.

File is:

(1) arranging papers, etc. in their proper place or order.

(2) A folder, binder, container, or some other item used to house records or nonrecords. It may consist of several parts depending on the volume of material to be housed.

(3) Storage equipment, such as a filing cabinet.

(4) in machine-readable records, two or more data records of identical layout treated as a unit. The unit is larger than a data record but smaller than a data system and is sometimes known as a data set.

File Break is the termination or closing of a file at regular periodic intervals to facilitate disposition of the materials. Also see Cut-Off.

File Series is a collection of documents, volumes, folders, or other records having the same physical form (such as paper) and individual records having one or more of the following aspects in common:

(1) Arranged under a single category or description in a filing system.

(2) Related to a particular subject.

(3) Documentation of a particular kind of transaction.

(4) Created or accumulated by the same work activity.

File Station. See Official File Station.

File Transmittal Card (OSHA Form 156) is used to identify charged out materials. This legal size form is attached to the back of the material.

File Unit consists of all the materials which provide complete documentation for an event, decision, policy, transaction, procedure, operation, project, and the like.

Follow-up File is a control or suspense file used to remind the originator of action due on a certain date or other indicator.

FRC's - Federal Records Centers. - are located regionally and serve as the repositories for inactive permanent or temporary Federal records. Most record centers are FARC's. Other types of records centers consist of the National Personnel Records Center (NPRC) and the Washington National Records Center (WNRC). Unless otherwise specifically noted, all record centers are called FRC's in this Manual.

Inactive Files or non-current files contain completed business or actions not needed to carry out current Agency operations and are needed only rarely, if at all. As a rule, files referred to less than once a month per file drawer are considered inactive.

Machine-Readable Records are records whose informational content is usually in code and has been recorded on media such as magnetic discs, drums, tapes, punched paper cards, or punched paper tapes, accompanied by finding aids known as software documentation. The coded information is retrievable only by machine.

NARA is the National Archives and Records Administration, GSA which is:

(1) The Agency having overall responsibility for the Records Management Program throughout the Federal Government.

(2) The primary repository for federal permanent retention records.

National Personnel Records Center (NPRC), located in St. Louis, Missouri, is the depository for all inactive personnel folders and time cards. This center also serves as the repository for all records in the St. Louis Metropolitan Area.

Nonrecords are in the same form as records. But nonrecords have at least one of the following characteristics:

(1) They are made or received solely for reference or supply.

(2) They contain no significant evidence of Agency activities.

(3) They are extra copies of records.

(4) They are work papers, including rough drafts used to prepare a letter, report, or other finished document.

OIRM is the Office of Information Resources Management, GSA which is the agency responsible for the information Resources Management Program throughout the Federal Government.

Office of Primary Responsibility (OPR) is the Agency office delegated responsibility for a specific function. This office normally maintains the official Agency record, including the yellow copy of outgoing correspondence and related incoming correspondence.

Official File Station is the location where official record copies are maintained. It may be a Central File Unit or an individual office file. They contain copies of correspondence (usually yellow file copies), reports, forms, microforms, audiovisuals, computer tapes, etc., created by the office or other designated file location for the appropriate file category. The Official File Station may also contain duplicate copies as well as incoming correspondence which become official files when, inter filed with other records or filed by another system, they are basic to documenting the function.

Official Personnel Folder (OPF) is the official folder for records and reports of personnel actions taken on an employee.

Official Records. See Records.

Official Record Copy is normally the yellow file copy maintained by the office that created it. It also includes incoming correspondence, reports, and the like.

Permanent Records are current or noncurrent records considered to have sufficient administrative, research, or historical value to warrant their permanent preservation.

Personal Papers are materials pertaining solely to an individual's private affairs. Personal papers do not include correspondence designated "personal," "confidential," or "private," but relevant to the conduct of public business. These are official records of the Agency.

Primary Subject. See Subject-Numeric System of Classification and Filing.

Program Files contain material which relates to the substantive functions for which OSHA is responsible, such as compliance activities and standards development. They include both subject and case files relating to program matters.

Projects are specific undertakings which are not part of normal day-to-day on-going operations. Projects usually include all or some of the following documentation:

(1) Project proposals or requests.

(2) Approvals

(3) Feasibility studies

(4) Project statements, project or action plans, or other documentation which shows what is to be accomplished, and assigns personnel and responsibilities.

(5) interim project documentation such as status reports, meeting or committee reports, memorandums to the file, memorandums of telephone conversations, correspondence relating to the study or project, and the like.

(6) Final reports required after fact-finding and analysis phases have been completed. Project implementation reports including implementation results and presentation scripts and materials, if any.

(7) User guides or instructions.

(8) System documentation flow charts.

Reader Files or chronological files consist of extra information copies (usually white) prepared for reference purposes. They are used mainly as cross-references to the record copy when alphabetic name indexes are not used or to keep subordinate offices informed of activities of the directorate or office.

Recall means to withdraw, or call back records which have been retired to a FARC. Recall of records may be temporary or permanent, depending on need.

Records are documentary material in the form of correspondence, processed forms, books, maps, photographs and other audiovisuals, tapes, punched cards, microforms, etc., having one or more of the following characteristics:

(1) They are directly related to the Agency s assigned functions under Federal law, or to the conduct of public business.

(2) They are evidence of the organization, functions, policies, decisions, procedures, or operations of the Agency.

(3) They contain information which is of value to the public as determined by NARA.

Records Disposition. See Disposition.

Records Disposition Schedule is a listing of groups or series of records which show the mandatory disposition period of those records and the actions to be taken when the end of that disposition period is reached. Also known as a records control schedule, records retention schedule, disposition schedule, or retention schedule.

Records Management is:

(1) As used in this Manual, the science of establishing and managing manual and automated records systems to retrieve material quickly and easily when it is needed and to either dispose of the material when it is no longer needed or to preserve those records having continuing value.

(2) That area of general administrative management concerned with achieving economy and efficiency in the creation, use and maintenance, and disposition of records. Synonymous with the terms Paperwork Management and information Resources Management.

Records Group Number is the identifying number assigned by NARS to an agency's functions and records. The Records Group Number assigned to OSHA is 100.

Records Maintenance means to classify, file, and perform other similar operations with records, usually in paper form.

Records Series is a group of records concerning the same or related functions which are disposable under one item of a disposition schedule.

Relative index is an alphabetical listing of possible subjects to be filed with reference to a related primary, secondary, or tertiary subject.

Retirement means the sending of inactive records to NARS or to a FARC either for permanent retention or for storage until time for disposal of the records.

Secondary Subject. See Subject-Numeric System of Classification and Filing.

Subject Outline is a lasting of primary subject titles and abbreviations with Arabic numerals and titles assigned to the secondary and tertiary subdivisions of a file system.

Subject-Expansion Files are authorized subdivisions of the prescribed subject files made in a particular office to provide for expansion of a particular subject so that information may be further broken down for the convenience of filing and retrieval. Subject-expansion files are regarded as an integral part of the subject files, and are designed for needs which are unique to a given office. Subject-expansion files are identified by use of alphabetic coding. Example:

PER 15 A.

Subject-Numeric System of Classification and Filing consists of a selected number of primary subject titles arranged alphabetically, with the secondary (second) and tertiary (third) subdivisions of the primary subjects assigned Arabic numerals.

(1) Primary Subjects are the prime or major subject designations that identify and describe groups of related records.

(2) Secondary Subjects are one or more related subjects that have been created or established by the division of a primary subject.

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

Temporary Records are current or noncurrent records whose administrative, legal, fiscal, and historical value ends after a certain event or period of time.

Transfer means reassigning the custody and/or ownership of records within the Agency or to another Federal agency. Transfer is also synonymous with Retirement when records are transferred to a FRC.

Washington National Records Center, (WNRC) located in Suitland, Maryland, serves as a repository for storage of inactive permanent records except those located in the National Archives and also for temporary Federal records belonging to offices located in the Washington Metropolitan Area.

Withdrawal of records is synonymous with Recall.

Chapter III

FILES OPERATIONS

A. General.

Records should be filed on a regular basis, preferably daily.

Additional primary, and numerical secondary or tertiary breakdowns within the filing system are not to be created by individual offices. Offices shall submit their requests for additional file categories to the appropriate Program or Regional Records Management Officer, for submission to the OSHA Records Management Officer. As a normal rule subjectexpansion subjects should provide for most additional file subjects needed by individual offices.

B. Files Stations.

These are specific points where official copies of correspondence and/or other documents are maintained.

1. Establishment. Official File Stations may be established within offices provided:

a. There is adequate working and storage space for filing operations.

b. There is convenience in using them.

c. There are facilities to protect file materials.

d. There is adequate supervision of station operations.

e. Each station follows the OSHA Records Management Manual.

2. Authorization. Each office, without prior approval, may establish file stations as needed. However, within 60 days of creation, each office must submit to the Program or Regional Records Management Officer for each station:

a. The file station name and location (room number, telephone number, etc.).

b. A brief description of the file contents and the estimate of the total volume of records held and the estimated annual increase in records at the file station expressed in cubic feet.

c. Name, title, and grade of the person(s) responsible for operating the station.

d. A request for approval of continued operations.

The Program or Regional Records Management officer will make a determination if the file station may continue in operation and advise the OSHA Records Management Officer of the location and contents of each approved station.

C. Handling and Safeguarding of Classified Material and Administratively Controlled information

Public access to Government information is in the best interests of a free society. However, classified material (relating to the national defense or conduct of foreign policy) or administratively controlled information (relating to individuals - subject to the Privacy Act - or materials dealing with sensitive activities of the Agency whose disclosure would not be in the public interest) must be protected against disclosure. Instructions for handling and safeguarding classified material and administratively controlled information are located in Department of Labor Manual Series 2, Chapter 300.

D. Inspection of Papers

Before filing papers, insure that only those eligible to be filed are prepared for filing, and that ineligible papers are not filed.

1. Papers Ineligible for Filing include:

a. Those which should be sent to another file station.

b. Those which should be circulated and read before filing.

c. Those authorized to be destroyed.

d. Those with missing attachments or incomplete background documentation.

e. Personal papers.

2. Papers Eligible for Filing include:

a. Incoming communications on which required action has been completed (incoming letters and memoranda concerning matters pertinent to administrative or substantive functions of the office).

b. Office copies of outgoing communications, reports, etc., (official yellow or otherwise designated file copies retained by the originating office as an official record of action taken).

c. Memoranda of conversation, memoranda to the 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 or conformed copies).

e. Fiscal or financial records which document the acquisition, distribution, utilization, or expenditure of funds.

f. Forms bearing information about personnel, property, accounts, procurement, shipping, programs and projects, health and safety standards, inspections, and the like.

g. Original copies of reports, or cleared final draft of publications, along with the necessary supporting documents, which reflect conclusions of studies, surveys, or investigations of the Agency.

h. Any other papers which establish, confirm, implement. or recommend Agency policies, programs. positions, or procedures.

Usually, only one copy of any paper will be the official file copy in any one official file station. However, another copy of the same paper may be an official file copy in another official file station.

E. Files Classification

Classifying records involves the ability to read with understanding, to analyze subject matter, to select the most appropriate subject classification, to recognize related subject matter of sufficient importance to warrant cross-referencing, and to distinguish between papers which belong in case files and those which belong in subject files.

The classifier needs a good general knowledge of what the Agency does, how it is done, and who does it. Also needed is complete and detailed knowledge of the functions and operations of the office and of those file subjects which relate to those functions and operations. It is also useful to know what kinds of files have been needed in past operations.

1. Presorting. Papers are separated into groups of documents dealing with the same subject matter. Presorting also involves the segregation of papers and other materials by types such as publications. issuances, subject files, case files, bulky items, etc. It also involves separating records from nonrecord material such as working papers or reference materials. This presort of materials permits faster classification of papers by classifiers and helps limit the number of times a particular file drawer or folder has to be handled during the filing operation.

2. 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 subject outline. The file code placed on the record should show the furthest breakdown possible into the filing system. Example: ADM 4-1. Use the following techniques in selecting the correct subject file classification:

a. Read the subject line, if any, first. But remember, this might not be the real subject.

b. Look for key phrases or familiar terms used in the text and check these against the subject outline or the relative index.

c. Note the address and/or originator. The identification of either may help to establish the subject area with which the document is associated.

d. Refer to previous correspondence referenced in the material to be filed.

e. Ask technical personnel what subject or function the material deals with.

Periodically review the organization and functional structure of the organization and keep abreast of any policy, procedural, program or project changes. This will enable the classifier to be aware of areas where changes in classifying materials are necessary to continue prompt retrieval of needed information.

3. Classifying Case File Material. Papers are marked in the same manner as subject file material. Case files are sub-divisions of the subject files and are classified using the subject classification coding and the case file name. Not all papers for case files need to be marked, however. Certain forms and reports used in personnel, finance, and other operations show numbers, names, and other identifying characteristics which are self-classifying, and need no further identifying markings to insure that they are correctly filed. Example: Travel voucher case files. Simply underscore the identifying characteristics.

4. Cross-Reference Classification. Correct cross-referencing is an invaluable aid in fast retrieval of information. Cross-reference when:

a. Two or more subjects or functions are involved.

b. Consolidating related material from previous years with current files, from one file to another, or to correct previously misclassified material.

5. Preclassification. in this optional procedure, the originator of correspondence (or a designated employee) may indicate where in the files a document should be kept. The originator or designated employee writes the appropriate file code from the file outline in the upper right corner of the draft before typing. The secretary or other classifier will then determine the document's final subject classification. The coding is written in red ink on the yellow file copy by the classifier.

Preclassification is not the final classification or filing step but is only used as an aid. It allows program personnel having intimate knowledge of their subject to contribute to accurate filing and thereby assure fast and easy retrieval.

6. File-Coding Outgoing Documents.

a. All outgoing documents including correspondence, reports, etc. will have a file classification code placed directly below the "Reply to the Attention of" line on the outgoing documents. Documents addressed to recipients outside OSHA will have the file classification coding placed on the copies only. The coding shall not be placed on the original. This may most easily be done by placing a slip of paper or correction tape on the original while typing the code or printing out the document so the copies will show the file code while it will not appear on the original. The original and all copies of documents addressed to recipients inside OSHA shall show the file classification coding.

b. The originating office will select the subject classification from OSHA instruction ADM 12-1, OSHA Classification System, or from Appendix D of this manual. If the proper classification of a document is not readily apparent, contact your program or regional records management officer for clarification or information.

c. Classification codes should not be placed on routine transmittals, such as an Optional Form 41, Routing and Transmittal Slip, but must be placed on the attached correspondence or document being transmitted.

7. Assembling the File. Assembly of the filing unit is very important to assure full documentation of Agency policy, decisions, procedures, and transactions. Make sure that each filing unit is complete.

The unit contains all original incoming or outgoing (yellow copy) correspondence plus all background information necessary to fully document the policy, decision, procedure, or transaction. Official file copies in a suspense or tickler file or those otherwise filed which relate to the subject matter of the file unit must be filed with the unit. Units should be fastened (stapled) together to avoid loss of information. A unit is normally arranged in chronological order with the latest date on top. Exceptions may be made for purchase orders, voucher files, and other files requiring a particular document to be placed on top or placed in a particular sequence.

8. Classification Marking.

a. Primary classification marking. Proper placement of the classification code on the material to be filed is important for uniformity of practice to assure that material is properly filed. All classification markings for subject files or case files are made in red ink or pencil on the upper right corner of the material. The classification markings are the only markings which appear in this area. Example: ADM 4-1.

b. Alphabetical name indexes or files. Mark the name of the addressee (individual or organization) by drawing a red line under the name by which the copy is to be filed.

c. Reading files. Mark the same as the alphabetical name file but file chronologically.

d. Cross-references. Place the cross-reference file code directly below the file symbol for the principal subject. The cross-reference symbol consists of an "X" followed by the file code for the additional subject.

Example: PER 5

X BUD 10

9. Classification Review. Files personnel should double check file codes before filing to insure that they are accurate.

F. Filing.

The filing of materials is important to assure that material is properly located or situated to be easily found and retrieved from file folders.

1. Arrangement of Papers. Arrange papers to be filed in the subject files alphabetically by their primary file codes, and within each primary code by secondary and tertiary file numbers.

Place papers in folders facing the front of the file drawer, with the left edge of the paper resting against the bottom of the folder (in lateral files the right edge of the paper rests against the bottom of the folder), the most recently dated material in front. If the materials must be placed in alphabetical order, refer to Appendix C, Rules for Alphabetizing.

When no folder exists in subject files for a paper, for example a secondary subject, file the paper in the primary folder until there are about 10 papers on the same secondary subject, at which time make up a folder for the proper breakdown. The same rule applies to a tertiary subject. The document itself should be correctly classified. however, at the time of initial filing.

2. Subdivision of Files. Subdivide folders which are filled to capacity (about 3/4"). There are three ways to do this: (When oversize or bulky materials such as maps, films, or data processing machine runs are to be made a part of the file, place them in separate equipment appropriate to their size. Use a cross-reference to record their file location.)

a. Subdivision by subject. in a general correspondence file, a folder filled to capacity before the end of the year may indicate a need for subdivision by subject. For example, a folder could be subdivided by kinds of leave (annual, sick, etc.). This is an example of subject-expansion.

b. Subdivision by type of material. A case file folder may be subdivided by placing material on one aspect of the case in one folder. For example, laboratory report forms relating to a special project may be placed in one folder; all other material, such as correspondence, would be placed in another folder. All material in the two folders would relate to one subject or case.

c. Subdivision by date. When subdivision by subject or type of material is not practical, use dates. Enter on both folder tabs the inclusive dates of the material in the respective folders. For example, on the old folder tab show "10/1/85--3/1/85," and on the new folder tab show "4/1/85-- " with a blank for the closing date. This method may be used for both subject and case files.

G. Project and Case File Documentation

1. Documentation Needs. Documentation of case files and projects is very important in any organization. Case files and projects serve to identify and document at a point in time what the Agency is doing and how it is doing it.

Projects are a form or variation of case file. Projects deal with important aspects of an agency 5 work to improve or change the manner in which that work will be carried out, what work is accomplished, the organization in which that work is carried out, and in several other ways. Projects provide useful documentation of the past history of an agency. Including policies, procedures, practices, and other activities; and show which were successful and which ones were unsuccessful and why.

2. Case Files:

a. Relate to a specific person, organization, process, or transaction.

b. Have a definite beginning and ending.

c. Consist of two types of records: essential papers and short-term papers.

(1) Essential papers are those necessary to document actions taken and decisions made. For example, a procurement case file's essential papers would include the purchase order, requisition, cost and performance information showing the goods or services purchased were sufficient to do the job at the lowest cost to the government, and other similar documentation.

(2) Short-term papers, including working papers, are not essential to showing the history of the case file, may be summarized in the essential papers, or are otherwise of little value. Usually these papers are disposable when no longer needed for active case file management or when the case is closed.

d. May have major case file management problems. The major problems connected with case filed records are usually closely related to the need for better records disposition planning. File custodians need to develop procedures into their case file systems which aid the eventual disposition of case filed records to:

(1) Identify essential papers.

(2) Segregate essential papers from working and short-lived papers.

(3) Separate active from inactive or closed cases.

(4) Separate active cases into logical sub-divisions.

e. The inspection case files are examples of properly set up case files and which have been designed to eliminate the problems outlined in d. above. The inspection case file should be set up, maintained, and disposed in accordance with OSHA instruction ADM 12.5, OSHA inspection Record System. This instruction will be issued in the near future.

3. Project Files.

a. Project files are a variation of case files. Projects usually are detailed studies of a particular matter and usually result in the preparation of formal findings, reports, or another type of product such as a manual, procedure, handbook, and the like. Projects often cover an extended period of time.

b. Essential Papers. Papers characteristic of project files include some or all of the following:

(1) Project Proposals or Requests. These are developed internally or received from another source. Includes contracts for consultants.

(2) Approvals.

(3) Feasibility Studies, if desired.

(4) Project Statements, Action Plans, and other similar Documentation. Shows what is to be accomplished, assigns personnel, and responsibilities.

(5) Interim Project Documentation. Includes status reports, meeting or committee reports, memoranda to the file, memoranda of telephone or face-to-face conversations, correspondence relating to the study or project (except transmittal letters), and the like.

(6) Final Reports. Reports, manuals, handbooks, procedures, and the like required after the fact finding and analysis phases have been completed.

(7) Project Implementation Reports. Includes implementation results and presentation scripts and materials, if any.

(8) User Guides or Instructions, if any.

(9) System Documentation Flow Charts.

c. Short-Term Papers. Possible types of working or non-essential papers in case files include:

(1) Voluminous collections of cards, questionnaires, interview notes, summary sheets, and other background materials involved in gathering and tabulating data.

(2) Short-lived correspondence or papers such as transmittal letters and other materials dealing with the routine administration of the case. These papers have no more value than general correspondence-type transitory papers.

H. Establishing Files and Preparing File Folders and Labels

l. Subject Files. Use white pressure sensitive labels (see Chapter 4, paragraph E,2 for description). Show the file code (such as PER for personnel), folder title, period covered by the folder (fiscal year-FY or leave yearly) and the disposition. The file code and subject title appear on the label of each subject file folder exactly as they appear in the Subject Outline. Each folder label should be typed in the following format and attached to the folder or guide as described below (Figure 9 shows the correct position of subject file labels on the folders.):

a. Primary subject. (Label should be placed in the first position on the folder tab.) Example:

---------------------------------------

| OFF OFFICE SERVICES FY-96 | | Destroy 10/89 | ---------------------------------------

b. Secondary subject. (Label should be placed in the second position on the folder tab.

(Lateral file folders will have the label placed in the first position.) Example:

----------------------------------------

| ADM 12 Records Management FY-86 | | Destroy 10/89 | ----------------------------------------

c. Tertiary subject. (Label should be placed in the third position on the folder tab. (Lateral file folders will have the label placed in the second position.) Example:

----------------------------------------------

| ADM 12-7 Records Disposition FY-86 | | Destroy when superseded | | or obsolete | ----------------------------------------------

2. Case Files. Case file labels must show clearly what group of case files each case file belongs to. Show the correct file code, followed by the name of the case file in parentheses, on the top line of the label. The subject title of the file classification should be omitted. (An abbreviation of the subject title may be included if necessary.) Example:

--------------------------------------

| PER 1-2 (Hansen, Deloris) FY-86 | | Destroy 01/90 | --------------------------------------

a. Establishing case files.

The following guidelines apply to the establishment of case files:

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

(2) Insure that each case file title is consistent in its file feature.

(3) Insure that case file folders whose contents are significantly related are cross-referenced one to the other.

b. Arrangement of case files. Case files may be arranged:

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

(2) According to a number assigned to identify the case.

c. Case files normally are filed directly behind the subject to which they apply. However, they may be maintained separately if voluminous or if they would be more readily accessible to the user.

3. Subject-Expansion Files. These files are labeled to show the further breakdown of a prescribed file code. The additional information is supplied by the user, rather than from any part of the subject outline. The file code of the primary, secondary, or tertiary, as shown in the subject outline, is shown on the top of the file label. The user assigns an alphabetical coding to the expanded subject. The information which identifies the further breakdown, such as name, number, State, or title, is shown after the file code. For example: A "Resignation" subject expansion of PER 14 Separation would be shown as:

---------------------------------------

| PER 14A Resignation FY-86 | | Destroy 10/89 | ---------------------------------------

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.

4. Nonrecord Files. The filing of nonrecord material in filing cabinets should be avoided where possible. When necessary to maintain nonrecord material in filing cabinets, file the material in a separate folder behind the subject folder to which it applies. When a subject folder has case files filed behind it, file the nonrecord folder before the case files.

Prepare the label in the same manner as a subject folder except type on the lower line, "Reference" to the left and "NONRECORD" to the right. Example:

--------------------------------------------

| PER 14 Separation FY-86 | | | | Reference NON-RECORD | --------------------------------------------

Place the label in the same position on the nonrecord folder as the label on the preceding subject folder to which it applies.

I. Cross-Reference

1. Cross-Reference of File Folders

Use cross-reference labels on file folders when two files are frequently used in conjunction with each other. (See Figure 4.)

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. Use Cross-Reference forms (OF-21) or copies of the document for filing in locations of secondary importance. Avoid unnecessary cross-references. They consume time and greatly complicate records retrieval. (See Figure 4.)

J. Continuity Reference

When it is necessary to bring forward a set of files, correspondence, or other material, prepare a Continuity Reference (OF-22) showing the new file location, and file the form in the old file location in place of the removed records. (See Figure 5.)

K. Charge-Outs

Set up a records charge out system if records are to be removed from the file station area. Documents should not be misplaced when following these charge-out procedures.

1. Use a charge-out card (OSHA-157 when a document is removed or OSHA-158 when the folder is removed). Show the subject of the record, the name of the person to whom charged, and the date. File the card in the file folder or drawer from which the material is removed. Refer to Figures 2 and 3.

2. When documents are charged out from a folder or a complete folder is charged out, staple the folder or the document to a File Transmittal Card (OSHA-156). Enter your office identification, address and telephone number on the form to assure its return. Refer to Figure 1 for a completed example of an OSHA-156.

3. The File Transmittal Card and Charge-Out Cards are removed when the material is returned to the file.

Order OSHA Forms 156, 157, and 158 from your regional office or the Office of Administrative Services.

L. Records Control. When necessary, provide controls so you may easily locate records within the office or on loan to other offices. Not all materials which fit the definition of a "record" are valuable or important. Be sure the records you propose to control are worth the time and effort in controlling them.

A tickler system is necessary to identify who has the controlled records. The tickler system might be a log, a card file, a file in a word processor, or simply an OSHA-158 placed in the file drawer in place of the folder. The type of tickler system used is dependent upon the volume of records removed from the files. When controlling a folder removed from the file, staple an OSHA-156 to the back of the file folder so that the OSHA-156 is visible. Follow-up periodically to verify location and to retrieve the file.

M. Fasteners.

File papers in subject files loose in the folder, not fastened with prong fasteners. Prong fasteners may be used for fastening documents in a case file, if desired. Fasten individual papers together within file folders 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.

Wire staples are used for fastening related papers together. Do not use bands, pins, paper clips, or tape. They deteriorate and ruin records.

N. File Drawer Labels.

Label the front of each file drawer to show its contents. Show on the label the subjects and period covered. Example:

ADM through PER --------Subjects

FY 1986 --------Period

O. File Guide Cards

Use file guide cards to visually aid in finding various segments of a file, and to separate groups of files in a file drawer. Guide cards keep folders upright in file drawers by keeping folders from sagging. Do not use a mixture of letter-size and legal-size folders in the same cabinet. For most files, five guide cards per drawer is sufficient.

P. Cut-Off

Cut-off files once a year. This is at the end of the fiscal year (September 30) except for a few files which must be cut off at a different date such as time and attendance reports. No additional material is filed in the old set of folders. A new set for the current year (FY) should be prepared.

Bring forward to the new folders material which establishes or interprets policy, procedures, instructions, or other material which has continuing value.

Separate inactive subject files or closed case files physically from active files, as follows:

1. Inactive Subject Files and Case Files Filed with Subject Files: Place last year's files in a separate drawer or drawers.

2. Closed Case Files Filed Separately for Subject Files: Mark closing date on folder labels. Remove closed case files to a separate drawer. This does not apply to inspection case files which are cut off in accordance with OSHA Instruction ADM 12.5, OSHA Inspection Record System which will be issued later.

Follow the approved disposition procedures which are contained in Chapter V, Records Disposition.

Q. Optional Procedures.

The file procedures listed below are optional. The advantages of utilizing any of these procedures should be weighed against possible disadvantages such as undue complication to files operations, inordinate cost, or excessive demand on employee work time before adopting them.

1. Reader File. Its purpose is to help keep staff members in an office currently advised on important developments and decisions. It consists of blue paper 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. Maximum retention should not exceed 6 months. An exception is the Office of the Assistant Secretary. Its reader file is a permanent record.

2. Transitory Files. A set of folders for transitory materials may be established and placed in front of the administrative files, on a table, or other suitable office location. Transitory materials include incoming nonrecord items such as notices, leaflets, or any other material which has no long-term value to the office receiving it (e.g. - Agency newsletter, job notices, routine requests for information, notices of local clubs or activities, general governmental information notices which have no bearing on office duties or operations, etc.). Transitory folders may be established and maintained as follows:

a. Folders and folder labels. Four folders may be created for the transitory files. They may be labeled in the following manner:

1 - TRANSITORY - January - MAY - SEP 2 - TRANSITORY - February - June - OCT 3 - TRANSITORY - March - July - NOV 4 - TRANSITORY - April - August - DEC

b. Transitory files operations. Place transitory material, as described above, in the folder marked with the current month. On the first of each month clean out the material previously filed in the new current folder and begin filing in it. Example: On November 1, remove and destroy the material which was filed in July and begin filing transitory material received in November in the emptied folder. This practice insures that all material filed in transitory folders will be retained at least 3 full months. Of course, transitory folders are not affected by file breaks and should be kept continuously in the active files.

3. Alphabetical Name Index. This is not a file. It is an auxiliary finding aid. This index is composed of extra copies of outgoing communications. Its purpose is to find material filed by subject when the only source of identification is the name of the addressee or the addressee organization.

Do not establish an alphabetical name index if the quantity of material filed by subject is so small that no difficulty will be encountered in locating it by subject or the type of material can be located easily by case or project name or symbol, or other means of identification, without the aid of an alphabetical name index.

This index should be used only when the subject files are large enough to require an additional method to retrieve the official file. Generally, at least three drawers of subject files for one year are necessary to justify use of an alphabetical name index.

Chapter IV

FILING EQUIPMENT AND SUPPLIES

A. General

All filing equipment must be approved by the OSHA Records Management Officer for the National Office or by the appropriate Regional Records Management Officer before purchase, lease, exchange, or acquisition from excess property stocks.

Offices located in the National Office will forward filing equipment requisitions to the Office of Administrative Services (OAS). OAS will forward the requisitions to the OSHA Records Management Officer for review.

Field offices will route all requisitions for filing equipment to the Regional Records Management Officer. Indicate if excess filing equipment is available. The Regional Records Management Officer will review the requisitions.

The OSHA or Regional Records Management Officer, as appropriate, will prepare a DL 1-194, Certification Prior to Acquisition of Filing Equipment, for each requisition and submit it to the Department Records Officer or Department Regional Office, as appropriate, for approval.

B. Types of Equipment

1. Vertical File Cabinets

a. Standard file cabinets. The standard Agency file cabinet is the gray metal 5-drawer upright lettersize file cabinet.

Another type of file cabinet is the gray 5-drawer upright legal-size file cabinet. Legal-size filing cabinets have very limited uses since the courts and General Services Administration have called for the elimination of legal-size records wherever possible. These cabinets should be acquired only when it is known the records (usually forms) will not be reduced to letter-size.

Legal-size filing cabinets should not be replaced with letter-size cabinets solely because they house lettersize records.

b. Non-standard file cabinets. The acquisition of nonstandard file cabinets, including 2-,3-, or 4-drawer file cabinets is discouraged because of their high cost per volume of file capacity and because they use as much floor space as a 5-drawer cabinet. The acquisition of non-standard file cabinets is justified only when an office has one or more of the following situations:

(1) Vertical space limitations.

(2) Little or no file accumulations and current file volume is 1 to 3 cubic feet.

(3) Need for secured (locking) working file for temporary storage of records, no locking standard file cabinet is available, and anticipated volume is less than 2 cubic feet.

(4) Need for improved paper flow in a time critical application when the operation is decentralized and a central file location would cause critical delays in processing work.

(5) A high frequency use (approximately 10 times per hour per person) of the file and a need to increase speed of retrieval.

The wood and wood finish metal 5-drawer file cabinets are also considered non-standard filing equipment. Their use is justified only with wood furniture.

2. Open Shelf Files. Open shelf filing equipment is an economical and efficient device for storing records. The use of open shelf filing is encouraged:

a. Where security permits open storage of records.

b. Where the office space involved is primarily for records maintenance.

c. Where space is at a premium.

d. When there are already 15 or more file cabinets within the file station.

e. For bulky or oversize records such as ADP printouts, art work, and the like.

f. For reference materials such as books, magazines or journals, and the like.

3. Lateral File Cabinets. These cabinets are an economical and efficient method of storing records when open shelf filing does not meet the office's needs due to security requirements, protection from dust, aesthetic reasons, and the like.

4. Security Cabinets or Special Locking Devices. These cabinets and devices may be used only to safeguard classified material or administratively controlled material including Privacy Act material in accordance with published DOL and OSHA instructions.

5. Office Excellence Furniture. This furniture style offers open floor plans that combine the utilization of space with selection of color and placement of furniture. Approval will be granted for the replacement of file cabinets only if the existing metal file cabinets are not repairable or cannot be electrostatically spray painted to match the furniture. Filing equipment which is an integral part of a work station must also be approved by the OSHA or Regional Records Management Officer.

6. Specialized Filing Equipment. This category includes all mechanized filing equipment and special purpose filing equipment. Specialized filing equipment includes, but is not limited to, the following equipment:

a. Electric power files.

b. Hand-powered files.

c. Track-operated shelf files.

d. Fire resistant and insulated files.

e. Security-type cabinets with built-in combination or padlock locking features.

f. Safes (used for storing record material or accountable forms).

g. Card File cabinets.

h. Map cases.

i. Hanging file equipment and adapter units.

j. Microform storage equipment.

k. ADP storage equipment (including magnetic media, punched cards, and printouts).

C. Filing Equipment Utilization Standards.

The following utilization standards for filing equipment will increase operational effectiveness and must be met by all offices before requisitioning new or surplus filing cabinets:

1. Use filing equipment for files and records only.

2. Records shall be disposed of regularly and/or retired to the FRC in accordance with this Manual.

3. Records not needed for current work and not eligible for disposal or transfer to the FRC shall be retired to staging or holding areas or other space where they can be stored economically to free file cabinets for current records.

4. Less costly equipment such as shelving, storage cabinets, etc., shall be used to house such items as stocks of forms, publications, and office supplies.

5. All drawers of filing cabinets shall be fully used. Allow enough file space for expansion anticipated up to the next file cut-off and for overnight storage of working materials. (The usual standard for a drawer is 3/4 full. This leaves enough room for filing and finding. Users should consolidate contents of drawers that are less than half full).

D. Justification and Certification Statements.

A justification statement is required when requesting filing equipment as to the nature of the need for the equipment (such as a new office, additional responsibilities increased volume of records, and the like). In addition to the justification statement, the following certification statement will appear on all requests for file equipment:

The utilization standards or actions prerequisite to requesting excess, rehabilitated, or new filing equipment contained in the OSHA Records Management Manual have been complied with and have not produced the needed filing equipment.

Signature _________________________________

E. File Folders, Labels, and Guide Cards

Offices shall use only the approved file folders, labels, and guide cards listed below for setting up files. Order these materials through regular supply channels from GSA self service stores or submit a requisition to your procurement office to order from the GSA, Federal Supply Service regional warehouses.

Specialty folders, labels or guide cards shall not be used unless approved by the OSHA Records Management Officer. Specialty folders include preprinted folders, colored folders, hanging folders, expandable pocket folders (with flap), multi-divider folders, and prong or acco-fastened folders.

l. Folders. The standard file folder is composed of kraft paper, 11-point weight (147 pounds), square cut, reinforced tab, scored to indicate label positions. Use letter-size or legal-size folders depending on the type of filing cabinet in the office. Do not use a mixture of letter-size and legal-size folders in the same filing cabinet.

Kraft Folder GSA Stock Number

Letter-size 7530-00-663-0031 Legal-size 7530-00-200-4308

For open shelf or lateral file cabinets, the standard lateral file folder (side tab) is of the same composition as the standard file folder described above except the tab, instead of being positioned on the top, is located on the right side of the folder.

Kraft Folder GSA Stock Number

Letter-size 7530-00-881-2957 Legal-size 7530-00-926-8975

2. Labels. The standard file label is white, pressure sensitive, without stripe.

Label GSA Stock Number White, no stripe 7530-00-577-4376

The use of the following white labels with colored stripes is optional.

Light Blue 7530-00-577-4368 Green 7530-00-577-4369 Orange 7530-00-577-4370 Dark Red 7530-00-577-4371 Yellow 7530-00-577-4372 Goldenrod 7530-00-577-4373 Gold 7530-00-577-4374 Silver 7530-00-577-4375

3. Data Processing Printout Binders.

The standard binder for data processing printouts is a black binder with flexible press board covers, GSA stock Number 7510-00-965-2443.

Use supply cabinets for storing data processing print-outs in small quantities. Place steel desk distributor racks, GSA stock number 7520-00-281- 5934, on the cabinet shelves to hold the printout binders. (See Figure 6).

Approval may be granted for acquisition of printout filing cabinets where volume warrants or due to special needs.

4. File Guide Cards. Use 1/3 cut, angular metal tab guide cards for regular file folders. These are available from GSA.

Letter-size, 2nd position 7530-00-988-6542 Legal-size. 2nd position 7530-00-988-6550

Use 1/2 cut, first position, angular metal tab guide cards in open shelf files or lateral file cabinets. Procure guide cards from commercial sources.

5. Wallet Filing Jackets. Use these jackets for filing oversize or bulky records. (See Figure 8.)

Size GSA Stock Number

Letter-size, 1-3/4" expansion 7530-00-285-2913 Legal-size, 1-3/4" expansion 7530-00-285-2914 Letter-size, 3-1/2" expansion 7530-00-285-2917 Legal-size. 3-1/2" expansion 7530-00-285-2916

6. Suspense or Tickler Files. Use the Book Style Daily File, GSA Stock Number 7520-00-286-1724 (See Figure 7.)

Chapter V

RECORDS DISPOSITION

A. General.

Disposition means the disposal (destruction), retirement, transfer, or conversion (to nonpaper forms such as micro-forms) of records. File stations should keep only active records on hand. Disposition of inactive subject or closed case files should be made following approved records disposition schedules. Regular disposition frees space for new files, and reduces the need for continual acquisition of filing cabinets and expansion of office space.

l. Objectives. The objectives of the Records Disposition Program are to:

a. Provide for the permanent retention of records necessary to document Agency:

(1) Organization and administrative development.

(2) Policies and procedures.

(3) Substantive functions.

b. Maintain a sound disposition program through proper control of records.

c. Promote a prompt reduction in the volume of records not eligible for destruction by retirement to FARC.

d. Provide for the prompt and systematic destruction of records having no further value.

Systematic records retirement or disposal is essential if materials needed for current operations are to be retrieved quickly and easily. Files clogged with un-needed material are difficult to use as well as expensive to operate.

2. Records Disposition Schedules. All existing Agency records disposition schedule items dealing with administrative and program function records remain in effect.

3. Yearly Review of Records. Before the end of each fiscal year, file custodians will review all files in their custody, and segregate the inactive records which will be eligible for retirement, disposal, or other disposition at the end of the fiscal year. The usual time to make these determinations is the month of August. The simplest method of segregating files is to group them by category: Nonrecord, records of limited retention, and permanent records.

B. Official Records and Personal Papers.

1. Official records are materials made or received either in pursuance of Federal law or in connection with the transaction of public business. Personal papers cover material pertaining solely to an individual's private affairs. Correspondence designated "personal," "confidential," or "private," but relevant to the conduct of public business, is nonetheless an official record subject to the provisions of Federal law pertinent to the maintenance and disposition of such records. Official records are public records and belong to the office rather than to the officer. When unsure if documents are records, contact your Records Liaison Officer. The removal of official records from Federal control is unlawful and subject to criminal penalties.

2. Those materials, created or accumulated by management officials, which deal with job-related activities are considered records of the Agency. They include but are not limited to materials relating to program policy and procedures development and implementation, appointment calendars, schedules, awards, congratulations, invitations, thanks yous and regrets, and the like which provide evidence of the official's job-related activities. "Management officials" refer to the Assistant Secretary, Deputy Assistant Secretary, Executive Assistants, Program Committee Chairpersons (such as NACOSH), National Office Directorate and Office Directors and Deputies, Regional Administrators and Deputies and Area Office Directors and Assistant Directors.

C. Nonrecord Disposal List.

The following list describes items which may be destroyed as nonrecord material. Although these items are useful in daily operation and may appear to acquire record character because they are involved in daily activities, they do not serve to document the procedures, practices, or operations of the Agency. Provisions of this Nonrecord Disposal List may be applied at any time.

1. Employee Activities. Materials documenting employee activities (such as employee welfare activities, credit union activities, savings bond drives, charitable fund drives, and public interest notices and activities) are not involved with Agency mission or support functions. They are nonrecord and may be disposed of at any time, unless otherwise specifically provided for in records disposition schedules.

2. Extra copies of Security Papers. These copies may be destroyed as nonrecord material. Method of destruction is the same for extra copies of these papers as with official copies.

3. Extra Copies of Unclassified Papers. Because the official files contain the record copies for documentation purposes, extra copies are nonrecord and may be disposed of at any time, unless otherwise specifically provided for in records disposition schedules.

4. Letters of General Inquiry. These letters do not involve substantive questions and when answered complete the cycle of correspondence and have no further value. Examples: Requests for and transmittals of publications, photographs, and the like. Destroy when reply is made Or information is furnished. OPTIONAL METHOD: Return letters to the originator along with the requested material.

5. Mailing Lists. These include individual cards. Destroy when obsolete. change has been made in the records.

6. Notification of Change of Address. Destroy when the change has been made in the records.

7. Personal Files. These are files maintained by an individual for the personal management of his affairs and include such things as travel papers, travel vouchers, employee copies of time or leave records, employee copies of personnel actions, salary and allowance papers, and the like, already documented in official files. Such material should be maintained in the employee's desk, NOT in filing cabinets. If they are forgotten by a departed employee, they may be mailed to the employee's forwarding address. If the employee does not want them, the materials may be destroyed as nonrecord material.

8. Publications. Books, circulars, catalogs, trade journals, periodicals and other library-type materials which are given general public or Government wide distribution and which require no action and are not part of an official file are nonrecord. All such published materials may be destroyed when superseded, obsolete, or otherwise not needed. Newspapers and magazine clippings and abstracts from them pertinent to Agency programs or which document Agency missions should be combined with Agency files. All reference aids and expendable published material should be reported as excess property. This item does not apply to publications originated by your office. These are covered in the Agency filing and records disposition systems.

9. Reading Files, Chronological Files, Index Files, and Other Files Used as Cross-Reference Finding Aids. Index files are made up of extra copies of correspondence, letters, and memoranda, arranged by date, number, or organizational element. Like newspapers, reading files present a random selection of topics for current interest and information. Reader files are not suitable for documentation and may be disposed of after circulation to designated readers. Files used as filing aids are usually not necessary when filing and records disposition systems are set up and used. Since these files constitute duplication of subject matter already in official files, cross reference and index files should be destroyed as nonrecord material. Exceptions to this rule include the Assistant Secretary's reading file, index files to the Inspection Case Files, and those for use in file stations whose functions are complex and the material in the file station may be requested in many ways.

10. Reproduction Materials. These include any device which performs the function of causing production of printed copy, such as mimeograph stencils, hectograph or ditto masters, ozalid, multilith, or offset plates. Destroy upon completion of the production job. If it is anticipated a reprint will be needed, they may be retained for that purpose.

11. Routine Reference and Control Papers. These include job control records, status cards, routing slips and the like used for control purposes. Dispose when work is completed or when no longer needed for operating purposes.

12. Routine Transmittal Sheets. These include letters or memorandums transmitting materials and either contain no information of value or cease to possess value after the material has been received by the recipient. Destroy after the recipient has received the material transmitted.

13. Stenographic Notes. This material, including filled notebooks, recording discs from stenographic machines, and steno tape recordings, are of no value when the text has been satisfactorily transcribed and may be destroyed at that time.

14. Stocks of Superseded or Obsolete Blank Forms and Processed Documents Preserved for Supply. Destroy when obsolete or superseded.

15. Suspense Files. These are extra copies of documents which serve as reminders of action due on a certain date or other indicators of chronological or sequential character which do not acquire a record character from this function. They may be destroyed when action is completed.

16. Work Papers. Rough drafts, notes, figures and calculations, and the like, which an individual uses in preparation of a letter, report, or other finished product may be disposed of when the product is satisfactorily completed and approved.

17. Working Files. Folders which contain notes, reference material, duplicates of papers in official files, and other related papers used by individuals in day-to-day operations in their work are nonrecord. These are papers of temporary or transitory value which are primarily used as reference or background material but retention of which is not required as supporting evidence of an official policy, administrative or program operation or procedure, or transaction. They may be destroyed at the discretion of the individual who created them.

18. Wrappers, Labels, Envelopes, and Routine Routing Slips. Destroy immediately. EXCEPTION: Envelopes which list the time and/or date of mailing and/or show the time and date of receipt when necessary to document a file, such as sealed bid envelopes documenting a contract file, may be retained with the file.

D. Disposition of Records in Offices.

1. Unclassified Records. Destroy as if waste paper in accordance with the applicable item of a records disposition schedule.

2. Administratively Controlled Material. Dispose of Administratively Controlled Information including material subject to the Privacy Act (does not include classified materials) on the basis of subject content and the applicable item of a records disposition schedule. However, the METHOD of disposition must be by tearing into small pieces (shredding), burning, or other means preventing recovery of the information

The destruction must be witnessed by an OSHA employee if it is performed by a non-Federal entity such as a city government, private paper pulper, and the like. Destruction carried out by another Federal agency need not be witnessed.

3. Classified Material. Dispose on the basis of subject content and the applicable item of a records disposition schedule. However, the METHOD must be in accordance with the provisions of DMLS 2, Chapter 300, Paragraph 380.

4. Disposal of Records after Conversion to Microforms. Do not dispose of paper records that have been micro-formed until disposition approval has been granted by the OSHA Records Management Officer.

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

E. Disposition of General Accounting Office Site Audit Records.

General Accounting Office (GAO) Site Audit Records are those which are audited or are subject to audit by GAO at the site where the records are located. Such records are the property of GAO. They cannot be destroyed by the Agency but must be transferred to a FRC.

GAO Site Audit Records consist of:

1. Statements of transactions.

2. Statements of accountability.

3. Collection and disbursement vouchers.

4. Collection and disbursement schedules.

5. All other schedules and vouchers or documents used as schedules or vouchers.

6. Contracts (original or financial copy).

F. Transfer of Records TO FRC's.

Retired records are subject to recall and reuse; therefore, effective controls must be maintained over them. Controls are embodied in the records retirement procedures given in the following paragraphs.

l. Selecting Records.

a. Records should be transferred to FRC s in annual blocks whenever possible. File custodians should survey their files NO LATER THAN AUGUST 31 of each year, identify those inactive records which will be eligible for retirement on SEPTEMBER 30 and separate them by disposition schedule item. The files selected will ordinarily include all subject files more than three (3) years old and case files which are completed or which are referred to less than once a month per file drawer. A minimum of one (1) cubic foot (one box) per accession is required to initiate retirement. One accession equals the records disposable under one item on a records disposition schedule and dated in a particular fiscal year. Records are maintained by calendar, leave, or fiscal year depending on the type of record. Records are usually maintained by fiscal year.

b. Before initiating retirement procedures, weigh carefully the cost of retiring records to the FRC (shipment and storage costs) against the cost of retaining them in office storage areas, if avail-able, for the balance of the retention period.

c. Do not send nonrecords to the FRC. (See Nonrecord Disposal List, Paragraph B of this Chapter.)

d. Do not send records with less than 3 years retention remaining before destruction to the FRC. All requests for exemption must be accompanied by a complete justification statement.

e. The accessioning paperwork (SF-135) should be sent to the FRC at least three weeks before the end of the fiscal year.

2. Preparing Records for Transfer.

a. Containers Available.

(1) Standard containers. The box used to transfer records to the FRC is the records center box or carton measuring 14-3/4 x 12 x 9-1/2 inches. Each carton holds approximately I cubic foot of records.

(2) Non-standard containers. Special boxes are available for retiring special kinds of records such as index cards; microfiche, and magnetic tape. Coordinate use of these boxes with the FRC in advance. Space must be arranged in advance.

(3) Estimating the number of cartons required.

Use the following guidelines:

(a) Two thousand bond letter-size sheets (3000 manifold or onion skin) of paper equal I cubic foot of records.

(b) Each full letter-size file drawer is equal to 1-1/2 cubic feet of records.

(c) Each full legal-size file drawer is equal to 2 cubic feet of records.

(d) Six 1000-foot motion picture containers can be stored in one records center box.

(e) Fifty 100-foot 35 mm microfilm reels or cartridges can be stored in one records center box.

(f) One hundred 100-foot, 16 mm microfilm reels or cartridges can be stored in one records center box.

b. Obtaining records center boxes.

(1) Letter- and Legal-size record containers. There are two letter and legal size record boxes available.

National Unit

Stock Number Description of Issue

8115-00-117-8344 Box, Record 25 per bundle (Standard) must be sealed at bottom 14-3/4 x 12 x 9-1/2 inches

8115-00-117-8249 Box, Record 25 per bundle

(Tuck - bottom) 14-3/4 x 12 x 9-1/2 inches

The standard box costs approximately one-half as much as the tuck-bottom box.

(2) Other size record containers. There are three boxes available for retiring special kinds of records

(a) Index Cards and other similar files (1/2 cubic foot capacity).

8115-00-117-8338 Box, Small 25 per bundle Record 14-3/4 x 9-1/2 x 4-7/8 inches

(b) Magnetic tape in plastic containers. 10 1/2 inch reels.

8115-00-117-8347 Box, Magnetic 25 per bundle Tape 14-3/4 x 11-3/4 x 11-3/4 inches

(c) Microfiche, 4 x 6 inches.

8115-01-O25-3254 Box, Microfiche 25 per bundle

14-3/4 x 6-1/2 x 4-1/2 inches

(3) Ordering boxes. GSA stocks and supplies records center boxes.

(a) Offices in the Washington, D.C. Metropolitan Area will submit requisitions to the Office of Administrative Services. The source of supply is:

- The DOL Warehouse for letter- and legal-size record containers.

- GSA Region 3 for other size record containers.

(b) All other offices will order records center boxes through regular procurement channels. The source of supply is GSA for all records containers.

c. Packing records.

(1) Remove nonrecords and records eligible for destruction from the records to be transferred.

(2) Group and identify the records to be transferred into records series. A series consists of those records grouped under an item on a records disposition schedule, and (for subject files) created or accumulated or (for case files) closed or terminated in any one year. Example: Fiscal year 1981 purchase orders constitute a records series.

(3) Without disturbing the existing filing arrangement of the record series, pack the records firmly in the box. To make future references easier, records should not be packed so tightly as to hinder withdrawal.

Do not mix records belonging to different records series or with different retention periods in the same box.

(4) Face all folders in the same direction in the box. Place them upright in the box. Do not pack file guide cards. Letter-size files are placed facing the end of the box while legal-size files are placed facing the side of the box.

(5) Fill each box completely, but do not over-pack to cause bulges.

(6) When records will be interfiled after shipment, pack the reserved space in the box with wadded paper. Make note of the box on the SF-135.

(7) Wrap oversize and undersize records, such as bound volumes, ledgers, maps and charts, and fragile items like glass plate negatives as directed b~ the FRC which will receive the records.

d. Labeling boxes. Write the access ion number, box number and a brief description, as indicated below, on one end of each box in heavy crayon or marker pen. If the box does not have a printed space provided, place the information on the unstitched front (narrow side) of the box. For example:

FOR EXAMPLE, SEE FIGURE ON PRINTED COPY OSHA INSTRUCTION ADM 12.4, PAGE V-12

Number boxes in numerical sequence, beginning with box number I, for each accession. For example: Box 1 of 10. The records must face the end of the box showing the access ion number.

Make the access ion and box number 1 to 2 inches in height. The FRC may have additional requirements for labeling boxes.

3. Preparing SF-135, Records Transmittal and Receipt. Prepare an SF-135 for every group of records transferred to an FRC and for historical or otherwise valuable records transferred directly to the National Archives. See Figures 12 and 13. Use SF-135A, Records Transmittal and Receipt (Continuation), as continuation sheets when necessary.

a. Block 1: "TO." Type the parcel mailing address of the FRC which will receive the records (Refer to Figure 14 for a listing of all FRC 5 and the area they serve.)

b. Block 2: "Agency Transfer Authorization."

(1) All Washington Metropolitan Area offices will leave this block blank for completion by the OSHA Records Management Officer.

(2) Field offices will enter the signature and title of the Records Liaison Officer.

c. Block 3: "Agency Contact." Type the name, office, and telephone number of the person in the office transferring the records who will be liaison to the FRC.

d. Block 4: "Records Center Receipt." Leave blank for completion by the FRC.

e. Block 5: "From." Enter the office and complete mailing address of the OSHA Records Management Officer for offices located in the Washington Metropolitan Area or the address of the transfer-ring field office. The office name and mailing address of the OSHA Records Management Officer is:

OSHA Records Management Officer DOL, OSHA, Office of Management Systems and Organization Room C4307 Frances Perkins Bldg. 200 Constitution Ave, N.W. Washington, DC 20210

f. Block 6: "Records Data." This block contains all the information necessary for the FRC to identify, approve, and service the records while they are in FRC storage.

(1) Before listing any groups of records, provide the following information in column (f) of the SF-135:

(a) Identify the office where the records are located including organization, office designation, and a complete mailing address.

(b) Provide a records identification statement containing:

1 Agency; program, and office transferring the records.

2 Organizational entity which originally created and/or accumulated the records if different from transferring office.

3 Summary of the types of records, including inclusive dates.

(2) Each series of records (Disposal Schedule Item Number) must be listed in separate accessions on the SF-135. Do not list two separate year's records under the same access ion. For a complete explanation of how to complete block 6, refer to the reverse of the SF-135.

(3) For Washington Metropolitan Area and Maryland, Virginia, and West Virginia offices (For columns (a), (b), and (c)), The OSHA Records Management officer will furnish the accession numbers instead of the FRC as stated on the reverse of the SF-135.

4. Supplemental Records Listing for SF-135.

a. When preparing the SF-135, the transferring office will prepare a supplemental listing of the records being transferred.

(1) Washington Metropolitan Area Offices will furnish the original of the Supplemental Records Listing when submitting the SF-135. The listing will be filed with the Agency copy of the SF-135 by the OSHA Records Management Officer.

(2) The originating field office will maintain the listing with their copy of the SF-135. The originating field office maintains the Agency file copy of the SF-135.

b. The Listing may be in any form as long as it may be kept with the SF-135. The Listing is an item by item or folder by folder itemization of each box. All items on the SF-135 covered by a file system must be cross-referenced into that file system by identifying the file system and by placing the appropriate file codes on the SF-135.

c. Preparation of this List will greatly facilitate approval and allow faster and easier retrieval of the records. Failure to sufficiently identify records may not allow the requesting office or the FRC to locate specific records thus resulting in requiring that part or all of the accession be returned to the transferring office for document search.

5. Submission of SF-135.

a. Submit the original and three copies of the SF-135:

(1) Washington Metropolitan Area offices will submit the SF-135 to the OSHA Records Management Officer. Include a copy of the Supplemental Records Listing.

(2) Field offices will submit the SF-135 to the appropriate FRC. If desired, regional offices may screen SF-135's before submission to an FRC. Do not send a copy of the Supplemental Records Listing to the FRC. Inquire if the FRC has any additional requirements for ship-ping or receiving records.

Retain the fourth copy of the SF-135 as a suspense copy. A confirmation copy will be returned to the originating office by the FRC.

b. The appropriate FRC will assign access ion numbers for each series of records for field offices. The OSHA Records Management Officer will assign accession numbers for offices in the Washington Metropolitan Area and for field offices served by the WNRC.

Block 6, columns (a), (b), and (c) are the accession numbers. Column (a) is the Record Group Number. The OSHA Record Group Number is 100. Column (b) is the current fiscal year. Column (c) is the individual access ion number assigned by the FRC or the OSHA Records Management Officer, as appropriate.

c. The WNRC or FRC will review the SF-135 for completeness and determine the propriety of the transfer. The WNRC or FRC will no longer routinely accept transfers of unscheduled or "Retain" records that NARA has not inspected or appraised for permanent or temporary retention, records which are not listed in an approved records disposition schedule as eligible to be sent to the WNRC or FRC, records scheduled to be destroyed after an event rather than after a specified period of time, or records which have less than 3 years of their retention period remaining when transferred.

Be sure to cite the disposal schedule number and the applicable item number in block 6 (h) of the SF-135. If the disposal authority is not shown on the SF-135, the WNRC or FRC will return the SF-135 for completion of that block.

d. When an accession of 500 cubic feet or more is to be sent to the WNRC or FRC, the director of the WNRC or FRC must receive written notification at least two weeks before the records are actually shipped to allow for allocation of space and manpower.

e. The FRC may have additional requirements.

6. Shipment of Records.

a. WNRC or FRC approval. If the WNRC or FRC approves the transfer, the WNRC or FRC will return the SF-135 indicating approval to transfer the records and may complete block 6(j) indicating the location of the first box in each series of records.

The WNRC or FRC will return the SF-135 to the OSHA Records Management Officer or the originating field office, as appropriate, indicating the records may be transferred.

(1) Washington, DC Metropolitan Area Offices.

(a) The OSHA Records Management Officer will notify the transferring office to send the records to the WNRC and furnish the records custodian a copy of the SF-135 to be placed in the first box of the first accession of the shipment.

(b) Shipments of less than 24 boxes will be sent via parcel post or private express company such as UPS. Shipments of 24 or more boxes will be picked up by the WNRC and must be placed on skids or pal lets. The transferring office may request skids or pallets from the WNRC when making arrangements for the WNRC to pick up the records.

(2) Field Offices. The transferring field office will ship the records and place a copy of the SF-135 in the first box of the first accession. If the SF-135 was not previously screened by the regional office, send a copy of the SF-135 to the regional office.

NOTE: Delays in shipment of more than 30 days will result in the return of the SF-135 requiring resubmission of the accession- ing paperwork.

b. Shipment of field records. The transferring office will:

(1) Tape the boxes closed, place a shipping or mailing label on each box, and determine the most inexpensive method of shipment.

(2) Ship parcel post (Fourth Class Mail) if the number of boxes is small, is the least expensive method, if a post office is nearby, or if a parcel post pick-up is made in the building. If parcel post pick-up service is provided, contact the local post office for quantity restrictions. Offices may use UPS or another private express company as an alternative to the U.S. Postal Service for small shipments.

(3) Ship by freight using an SF-1103, U.S. Government Bill of Lading (GBL), if it is not practical to use parcel post service or a private express company such as United Parcel Service. To obtain the lowest shipping rate, include the following statement on the GBL:

"The agreed or declared value of this property is hereby specifically stated by the shipper not to exceed 3-1/2 cents per pound."

When shipping by GBL, always place the GBL number on each shipping label.

Instruct the carrier to contact the Accession and Disposal Branch in the appropriate FRC 24 hours before delivery. Note this requirement on the GBL.

(4) Field offices will telephone the WNRC or FRC when shipping 50 boxes of records and provided an estimated date and time (if possible) of arrival.

(5) Shipments of 36 or more boxes must be palletized or the FRC may not accept delivery of the records.

c. Administratively Controlled Materials. Seal boxes containing administratively controlled information including Privacy Act materials. Escort by OSHA personnel is not necessary during shipment. Use of special postal services such as Registered or Certified Mail is also not necessary.

d. Classified Materials. Follow those provisions of DLMS 2, Chapter 300, Security Regulations. dealing with transmission of classified materials including information classified as TOP SECRET. SECRET, or CONFIDENTIAL.

7. Receipt of SF-135 from WNRC or FRC.

a. The WNRC will send the accessioned SF-135 to the OSHA Records Management Officer for Washington Metropolitan Area offices. A copy of the SF-135 will be sent to the transferring office.

        b.  The FRC will send the accessioned SF-135 to the transferring field
             office which will maintain the Agency record copy in a binder.
             The transferring field office will send a copy of the accessioned
             SF-135 to the Regional Records Management Officer.

8. Records Reference Service.

        a.  Services available.  The following services are provided for
             retired records:

(1) Find and return one document, an entire box, several boxes, or an entire shipment.

(2) Duplicate, under certain circumstances, a document' or set of documents.

(3) Review and furnish information contained in the records.

b. Liaison. Responsibility for all requests for reference service and return of material should be assigned to one person in the transferring office. In this way, desired control of retired records can be achieved and maintained.

c. Routine requests.

(1) WNRC. All Washington Metropolitan Area offices and other offices serviced by the WNRC will contact the WNRC directly for retrieval of desired records. Only the directorate which originally sent the records to the WNRC is authorized to remove records from the FRC.

(2) FRC. Field offices will submit requests for transferring records directly to the appropriate FRC. Only the transferring office is authorized to remove records from the FRC.

Make the request on Optional Form (OF) 11, Reference Request -

Federal Records Centers. Complete one OF-11 for each record (document, folder, or box) requested. See Figure IS.

(3) Information required for requests.

(a) Name and location including room number and street address of requesting office.

(b) Name and telephone number of person requesting records (contact).

(c) Access ion number, FRC location codes, and Agency box numbers shown on the SF-135.

(d) Description of records including type of record, title or name, and year created or accumulated (see the SF-135), and any other information deemed useful in locating the records.

(e) Whether it is a permanent or temporary withdrawal. Requests for permanent withdrawal must he in writing. Offices making permanent withdrawal of records from a FRC must send a copy of the OF-11 to the OSHA or the Regional Records Management Officer, as appropriate, for filing with the SF-135.

d. Urgent or Emergency Requests. The National Office directorate or field office which transferred the records will submit urgent or emergency requests directly to the WNRC or FRC by telephone. Provide the same information required for routine requests.

e. Returning Records. Offices will return records directly to the WNRC or FRC.

G. Disposition of Records in FRC's.

l. Disposition procedures.

Transferring records to a records center is not a substitute for disposing of them in the office. Records that have served their function, are no longer needed for administrative, fiscal, or legal purposes and have reached the end of their disposition periods should be destroyed.

a. Notice to Agency. When records retired to a records center are eligible for destruction, the OSHA office shown in Block 5 of the SF-135 is sent a NA Form 1301, Notice of Intent to Dispose of Records, NA Form 1300, Agency Review for Contingent Disposal. or other equivalent form at least 90 days before the scheduled destruction date.

b. Agency Approval to Dispose of Records Located in FRC's.

(1) Only the OSHA or Regional Records Management Officer may approve destruction or further retention of records.

(2) When an office receives a NA-1300, NA-1301 or equivalent, forward the form to the OSHA or Regional Records Management Officer, as appropriate.

(3) The OSHA or Regional Records Management Officer will contact the office which originated the SF-135 and ask for a recommendation to either destroy or continue retention of the records.

(4) If continued retention is recommended, the office which originated the SF-135 must show a reason for continued retention and a new record disposal date.

(5) The office which originated the SF-135 should reply without delay. When an agency is notified of the pending destruction of its records and fails to respond to the notification within 90 calendar days, the records center will destroy the records as scheduled.

(6) The OSHA or Regional Records Management Officer will consider the recommendations of the shipping office and make a decision to either destroy or continue retention of the records.

c. Agency Notification to FRC.

The OSHA or Regional Records Management Officer will notify the records center when the retention period will be extended. No notification is necessary if destruction is approved with the NA 1301 or equivalent since the records center will automatically destroy the records after 90 days have elapsed since the NA 1301 or equivalent was sent to the Agency.

Exception: If a NA 1300 or equivalent is sent instead of the NA 1301, the NA 1300 must be signed and returned to the FRC to authorize destruction or continued retention of the records. If no reply is made within 90 calendar days, the WNRC or FRC will return the records to the shipping office and may reject future transfers of that records series.

2. Office Address Changes. The Agency must be sure that records are not inadvertently destroyed due to office relocation or closing and that the NARA disposition notice is received. When an OSHA field office closes or relocates, the Regional Records Management Officer will notify the FRC and provide a new contact address and a list of the affected accessions.

H. Transfer of Records to the National Archives.

1. Direct offers of records usually consist of older records (over 25 years old), possibly valuable records no longer being created, or records which must be safeguarded such as master copies of computer tapes, microfilm rolls, motion pictures, and similar records. Generally, most permanent records are offered to NARA - after storage in the WNRC or FRC as provided in approved Agency records disposition schedules.

2. Direct offers must be made in writing to the OSHA Records Management Officer for review and approval. The OSHA Records Management Officer will forward the transfer letter to the Department Records Officer for review and submission to NARA.

3. The transfer letter must include the following information:

a. Identification of the subject matter.

b. Date span of the records.

c. Statement of how the records were used.

d. If they are not textual records, their physical characteristics such as motion pictures, sound recordings, video records, cartographic records, computer tapes, microfilm cartridges or fiche, and the like.

e. Volume of the records.

f. Arrangement of the records.

g. Existence of indexes or other finding aids, if any, and if they are included in the offer.

h. Physical condition of the records (excellent, good, poor).

i. Statement of any restrictions on use, such as security classifications or Privacy Act restrictions.

I. Transfer of Records to Federal Agencies Outside the Department.

1. Approval Required. Advance written approval is required when the ownership and custody of records are to be transferred from OSHA to a Federal agency outside the Department, except as stated in paragraph 2, below. Request approval from the OSHA Records Management Officer and include the volume of records (cubic feet), a full description of the records, and the reason for the transfer. The records may be transferred after written approval is received.

2. Approval Not Required. Advance written approval is not required when

a. The records are loaned for official use.

b. The records are transferred to a FRC or the WNRC.

c. The transfer of records or functions, or both, is required by a statute, Executive Order, Presidential or Departmental reorganization plan, or specific determinations made thereunder.

J. Records Donated For Preservation and Use.

1. Permissible Donations. Disposable records may be donated to an institution, a corporation, or a person. Requests for records may come from State and local historical societies or archival institutions. Only records that have been authorized for destruction and have reached the destruction date may be donated. If the authorization has not occurred or the destruction date has not been reached, the donation amounts to illegal destruction of records and, as such, the donor may be subject to criminal penalties.

2. Conditions for Donation. Donations are made under the following provisions:

a. It must be agreed, in writing, that the records will not be sold to third parties.

b. Transfer to the applicant is made without cost to the Government.

c. Do not donate records containing information the revelation of which is prohibited by law or which would be contrary to the public interest.

e. No transfer to a foreign government is made unless it demonstrates that it has an official interest in the records.

f. No transfer to a person is made unless the records involved are directly pertinent to the custody or operation of properties acquired from the Government such as buildings, machines, vessels, plants, or other items of real or personal property.

3. Approval of Donation. All requests for proposed donations of OSHA records to non-Federal custody must be submitted to the OSHA Records Management Officer for review and approval. The OSHA Records Management Officer will submit the request to the Department Records Officer for review. The Department Records Officer will report the donation to NARA. The request must show:

a. The operating unit of OSHA that created the records or had custody of them.

b. The name and address of the recipient of the records.

c. Descriptive data about the records: Series identification with inclusive dates, the records disposition schedule and item number(s) or other disposal authority.

Chapter VI

RECORDS MANAGEMENT REPORTS

A. General

The Office of Management Systems and Organization requires information to determine the effectiveness of the OSHA Records Management Program. Three types of reports are necessary to gather this information:

1. Annual Records Management Report.

2. Records Management Review Reports.

The Annual Report of Records Holdings and Disposition has been discontinued by the National Archives and Records Administration. Offices will no longer submit this report.

B. Annual Records Management Report

Regional and Program Records Management Officers must prepare an annual report of the records management activities occurring in the organization. The report covers the period October I through September 30 of each year.

l. Matters to be Reported.

a. Number of records management reviews conducted including organizations reviewed and locations. Include copies of review reports if not previously furnished (Includes records management reviews included as part of a more all-encompassing review).

b. Records management training provided employees, including copies of scripts and audiovisuals.

c. Significant problems encountered in the area of records management practices and operations, but not included in review reports, and solutions implemented.

d. Suggested changes to the Records Management Manual, file systems, disposition schedules, and the like.

e. Updated lists of Records Management Liaison Officers.

f. Any other item the Program or Regional Records Management Officer feels should be included on the report.

2. Format. This is a narrative report which will be completed in memorandum form and style.

3. Submission. Program and Regional Records Management Officers will submit the report to reach the OSHA Records Management Officer by October 31 of each year.

C. Records Management Review Reports

Records management reviews are conducted to assist offices in performing their functions more effectively through use of common sense records management practices.

1. Responsibilities. It is the responsibility of the reviewing official to provide guidance to subordinate organizations on:

a. Files practices or operations.

b. Implementation and operation of records systems including file systems and records disposition schedules.

c. Transfer of records to Federal records centers.

d. Other records transfers.

e. Other records management areas.

2. Program Evaluation. Reviews are useful to help evaluate the OSHA Records Management Program. Reviews point out areas which may not be fully understood by files personnel, and indicate unclear or conflicting directives or instructions, or may indicate the program is not being implemented. The reviews and their findings, recommendations, and other information point out new directions for the program and indicate where changes must be made to the existing program.

3. Areas to be Reviewed. The review should cover, at a minimum, the areas of records control and reduction, file system classification and use, records classification practices, use of finding aids, filing practices, disposition practices, reference services, work load, file documentation, filing equipment and supplies, space and workflow, and training.

4. Records Management Review Checklist. The Checklist contains questions concerning all the areas listed in paragraph 3 above. Additional questions may be asked and additional areas may be explored at the option of the reviewing official. The Checklist provides the basis for writing a review report. See Appendix B, Records Management Review Checklist.

5. Report Format. The review report will include the following information:

a. Date of report.

b. Name, title, organization, and address of reviewing official.

c. Field or National Office offices reviewed including addresses.

d. Inclusive dates of each review.

e. Principal contact in each office or organizational component reviewed.

f. Volume of records on hand in the office before and after the review.

g. Total volume of records destroyed during review.

h. Total volume of records transferred to FRC 5 during review.

i. Numbers and types of filing equipment on hand.

j. Background information on records management practices in offices reviewed.

k. Findings. Refer to Records Management Review Checklist.

l. Recommendations. Refer to Records Management Review Checklist.

m. Summary and close-out conference.

n. Follow up action including progress reports required, if any.

6. Distribution. Provide copies of the report to:

a. OSHA Records Management Officer.

b. Office reviewed.

c. Directorate Director for the office if the office is located in the National Office.

d. Records Management Field Coordinator for field offices reviewed.

Chapter VII

SECURITY OF CLASSIFIED MATERIAL

A. GENERAL

This chapter supplements Department of Labor Manual System (DLMS) Volume 2, Chapter 300, Security Regulations, which governs the classification, declassification, and safeguarding of classified records in the Department A copy of these regulations should be located in all offices. All OSHA employees have the responsibility for complying with these instructions and other regulations distributed to OSHA offices concerning security matters.

B. CATEGORIES OF CLASSIFIED INFORMATION

Official information which requires protection in the interest of national defense shall be limited to three (3) categories of classification. These classifications, in descending order of importance, consist of TOP SECRET, SECRET, AND CONFIDENTIAL. No other marking shall be used to classify defense information, including military information, except as provided by statute.

C. RESTRICTIONS ON ACCESS TO CLASSIFIED INFORMATION

The possession or knowledge of classified information shall be confined to persons whose specific official duties require such information and who have security clearance to the level of the material. People are not authorized to gain knowledge of classified information by virtue of their grade or position alone.

An employee NOT having security clearance must not accept, receipt for, read, or knowingly discuss classified information.

D. DESIGNATION OF AGENCY RECORDS SECURITY OFFICER

The OSHA Records Management Officer, Office of Management Systems and Organization, serves as the OSHA Records Security Officer. The Records Security Officer may appoint a Deputy Records Security Officer.

E. RESPONSIBILITY

1. Records Security Officer Responsibilities. The Records Security Officer is responsible for:

a. Having adequate facilities, procedures, and controls for safeguarding classified information in the custody of the Agency.

b. Conducting programs, or orientation and training on DLMS 2, Chapter 300 Security Regulations, and other pertinent regulations or information.

c. Maintaining liaison with officials having records security responsibilities in the Department and other Federal agencies.

d. Controlling the acquisition and transfer of equipment and locking devices used to house classified records.

e. Maintaining a current record of:

(1) All equipment used to house classified records (including combinations).

(2) The name, home address, and telephone number of all persons who have the combination to safes and files.

(3) The date each combination was last changed.

f. Maintaining a current listing of all Agency employees who have been granted a security clearance and the degree of such clearance.

g. Certifying as to the adequacy of facilities for storage of classified material and of personnel having a current personnel security clearance.

2. Office of Personnel Management Responsibilities. The Office of Personnel Management will prepare and furnish an annual listing of all Agency employees who currently hold security clearances, including the degree of the clearance, to the OSHA Records Security Officer.

3. Employee Responsibilities. All employees having a security clearance and access to or knowledge of classified information will:

a. Become familiar with and adhere to DLMS 2, Chapter 300, Records Security, as well as regulations of other agencies when required.

b. Safeguard classified information coming into their possession or of which they have knowledge.

c. Make certain of the degree of clearance held by personnel whether working in this Agency, another agency of the Department, another Federal agency, or anyone outside Government before talking with them about security classified material.

d. Report promptly to the Records Security Officer all changes in equipment used to house classified material.

F. AUDIT RESPONSIBILITIES AND ASSISTANCE AVAILABLE

The Records Security Officer or members of his staff will audit Agency security functions. These audits will be made during records management reviews. Questions should be directed to the OSHA Records Security Officer, Office of Management Systems and Organization.

CHAPTER VIII

Handling and Safeguarding of

"Administratively Controlled Information."

(RESERVED)

CHAPTER IX

Vital Records

(RESERVED)

Chapter X

ELECTRONIC RECORDS

A. General

This chapter is a non-mandatory guideline for agency personnel concerning systems considerations for records management and the maintenance, use, security, and disposition of electronic records created arid/or accumulated by OSHA offices. The increased use of personal computers and other electronic office equipment results in more employees, ranging from senior program officials to clerks, making decisions concerning the maintenance, accessibility, and preservation of information.

B. Systems Considerations

l. Software. The software for an electronic records system is one of the most important elements in determining the success or failure of the system. Records management concerns should have an important place in assessing the usefulness of a proposed new or revised system whether purchased off-the-shelf (preferred) or developed internally or by contractor. When software is developed internally or by contractor, the OSHA Records Management Officer should contribute to the development of the software specifications. The following considerations will help evaluate the records management components of particular software systems.

a. Information stored on the current system should be usable or convertible so that it may be used on the new one.

b. Control procedures to ensure the security of information should be developed without significantly hampering legitimate access to information.

c. Mandatory identifying information should be incorporated in a manner easily used by records creators.

d. The electronic system should be able to accommodate the data transportability specifications for those permanent records which will be transferred to NARA (see 36 CFR 1228.188).

2. Record Storage Medium. Records may be stored on a variety of media including paper, microform, magnetic tape or disk, and optical digital data disks. Each medium has characteristics that may make it suitable or unsuitable depending upon the requirements. The characteristics of various media are shown in Figure 16. If a magnetic medium is chosen to store records, the records should meet the following minimum requirements:

a. Need to quickly retrieve the information.

b. Need to manipulate the information.

c. Need to retain the information on electronic media until the authorized disposition date.

3. System Conversions. If records are converted, care should be taken to ensure that the new records accurately reflect the information of the old records.

a. This is important when a system is upgraded or replaced. Records stored on the old system must be converted to the new system or the new or revised system designed so the records continue to be retrievable until the authorized disposition date.

b. Conversion projects should be undertaken only after consideration of the points below.

(1) Will the information be easier to use?

(2) Will new equipment be required?

(3) Will the conversion result in more cost effective information management?

(4) Will the ability to process the information be affected?

(5) Will the exchange of information be affected?

(6) Will the integrity of the records be enhanced?

(7) Will the new medium be satisfactory to NARA for permanent records? (See 36 CFR Part 1230 for microforms and 36 CFR 1228.188 for magnetic media.). NARA does not accept electronic records on diskettes.

c. Many electronic mail systems automatically erase information after the recipient has read it. Recipients of electronic messages should determine which messages contain enough substantive information to be considered records and transfer only the records to an electronic record system, or a medium such as paper, which will satisfactorily store the record until its authorized disposition date.

C. Records Considerations

l. Records Determination

a. The fact that information is created or stored electronically has no bearing upon whether that information is record or non-record. Record status is determined by the same criteria for all information, regardless of the medium on which it is created or stored. For additional information, see the record and non-record definitions in Chapter II. Unfortunately, ensuring the retention of records stored electronically is not as simple as ensuring the retention of records stored on microform or paper.

b. The decision about whether an electronic document is a record needs to be made much earlier than for paper because of the ease of erasing or changing the record. The decision needs to be made at the time of creation.

c. Where the electronic copy is a record, the record status of electronically stored drafts of policy documents should be re-evaluated as changes are made. Substantive updates to policy-related electronic documents probably constitute new records while minor changes probably do not. This means electronic drafts showing substantive changes must be treated as separate documents from the drafts they replace.

2. Judicial Use of Records

a. Properly created and maintained computer based records pose no greater legal problems than do paper or micrographic records unless there are specific statutory or regulatory requirements for paper records (such as certain medical records). The Federal Rules of Evidence (Rule 803(8)) provide that official records may be admitted as evidence in lieu of the personal appearance of the official responsible for the activity. Under this rule, if the only record is electronic, procedures must be established and followed so that:

(1) The date of the record is automatically entered or otherwise recorded so the date the record was created can be determined.

(2) The date of any alterations will be automatically recorded by the system.

(3) It will be evident that the document was authorized to be issued ("signed") by an appropriate agency official.

b. If the steps outlined above are not taken, the trustworthiness of the record could easily be called into question and it could be refused as evidence. Contact the Office of the Solicitor for specific advice.

D. Record Retrieval

Electronic records should be easily retrievable until their authorized disposition.

l. Records Labeling. To retrieve information created and stored electronically, the user is dependent upon labels, both external and internal (directories) Accurate and complete labels are essential to ensure that agency personnel can identify the contents of individual disks and diskettes and that they can retrieve information stored on them.

a. External Labels.

(1) Accurate and complete external labels are necessary regardless of how an office chooses to store the information it creates and/or accumulates.

(2) Insufficient external labels result in the inability to identify the contents of disks and diskettes. A label such as `Smith 3" or "Jane 5" generally is of use only to the creators and sometimes not to them.

(3) External labels should include the title of the file, file code, inclusive dates, software used, and the identification of the equipment on which the records were created. For example; a label might contain the following information: Public Reporting, REP 2, 1/2/86-5/31/86, VT 1202/1303, Lexitron VT 1303.

b. Internal Labels.

(1) Agency personnel need to use readily understandable and standard internal document labels so that they, their colleagues, and their successors can retrieve information which is stored electronically.

(2) The agency's file code headings and subheadings should be used in labeling electronically created records wherever possible. Every document should be named, dated, and described. The labels should be accurate and sufficiently detailed to permit the user to retrieve documents previously created. Enter the descriptions on the diskette directory (internal label) as part of the file title.

(3) The user should make every effort to obtain software which requires the entry of whether the item is a record, its file code, subject terms, the date the document is created and its disposition date. This information should reflect the OSHA filing system and records disposition schedules. For example: ADM 12-7, Records Disposition in Area Offices, 5/10/86, Destroy 10/89.

2. Indexing Electronic Records

a. Electronic records need to be indexed to permit their retrieval. System software should provide the means of accomplishing this.

b. The complexity of the electronic indexing system must strike a balance between the volume of records, how long the records must be retained, and the familiarity of the persons retrieving the records. Do not assume that since the current users are very familiar with the records that either no index or only a very limited index is needed. Remember that employee turnover and reorganizations are a fact of life. Consider what indexes will be required by personnel unfamiliar with the records or the function. Also consider what indexes will be required by persons or organizations to whom the records may be transferred.

c. In a small system, the diskettes may be largely self-indexing if they are properly labeled.

d. The electronic indexing system should be capable of locating the records based upon the characteristics of the particular record. The characteristics could include such things as date, subject, sender, receiver, and number as in an inspection, contract, purchase order, or travel voucher. Operating instructions, including system architecture, for the index should be in an easily accessible part of the system documentation.

e. If there are more than a few diskettes, the electronic directories may need to be logically subdivided to be easily retrievable. Diskette directories should be printed out to ensure easy access to them.

E. Security

1. Special precautions may need to be taken to ensure the security of data stored electronically. Before developing solutions, however, determine the degree of risk. This can be done by following established risk management techniques, keeping a reasonable ratio between the cost of the risk management study and the likely risk to be identified. The following items need to be considered:

a. Poor quality electrical power may cause equipment to malfunction and affect the electronic records. Check with your administrative office or the Office of Administrative Services to find out what steps need to be taken to prevent problems of this type. Some problems can be solved with inexpensive devices. More serious problems may require additional electrical circuits.

b. Cleanliness of equipment and magnetic media can affect the records. See paragraph G for suggestions.

c. Procedures for using the equipment and the records may need to be examined to ensure that only authorized persons have access. The provisions of the Privacy Act and the protection of sensitive information should particularly be considered. Problems identified may be solved by limiting physical access or by encrypting the data.

2. Make copies of vital or master flexible disks and store in an alternate location. This will protect your electronic records in the event of fire, water damage, or other physical problem. Also, electronic media may deteriorate or a machine malfunction may cause erasure of the data. Make copies of electronic records before problems arise.

F. Disposition

1. Electronically stored records, like records maintained on other mediums such as paper or microforms, can only be destroyed according to an approved agency records disposition schedule or a General Records Schedule. The information contained in Chapter V on records disposition also applies to electronically stored records. In addition to those requirements, electronic records must be destroyed by completely erasing the information from the disks, diskettes or tapes rather than merely telling the system to delete them. Only by erasure or using a program which will completely overwrite the data to be destroyed can OSHA protect against unauthorized access to record information which has been approved for destruction.

2. The compactness of electronic media may present additional problems. People may become less diligent in destroying records at the time of their authorized destruction because they may be stored in non-traditional locations and they do not present the space problems evident with paper records. The failure to destroy records in a timely manner will undermine the effectiveness of the OSHA Records Management Program. Also, records which have been authorized for destruction but which have not yet been destroyed may be subject to Freedom of Information Act requests.

3. If the same information is stored on more than one medium (such as paper and disk or diskette) offices should consult with the OSHA Records Management Officer to determine the disposition of all copies.

4. Permanent records which will be transferred to NARA and which are stored on disks or diskettes should be converted to magnetic tape (see 36 CFR 1228.188), microforms (see 36 CFR Part 1230) or paper. NARA staff and the OSHA Records Management Officer should be involved in the decisions on the conversion process and on the record sequence to determine which would be in the best interest of the Government.

G. Disk Maintenance and Care.

1. Maintain a clean working environment.

a. Contamination of the flexible disk surface is a serious cause of data losses.

b. Do not touch the exposed media surface through the elongated, oval slot where the head-to-disk access or contact is made.

c. Avoid touching the exposed media surface area near the hub.

d. Finger oil smoke, food and drinks, abrasive materials such as dust or filings, pencil eraser debris, and the like, are typical contaminants.

e. Read/write heads last longer when used with clean media.

2. Clean the flexible disk drive regularly, particularly at its insertion slot position. Dirt and dust can be picked up by the disk during operation.

3. Clean the read/write heads on a regular basis. (Contact individual manufacturers for head cleaning information since some flexible disk head and drive manufacturers will invalidate their warranties if some types of head cleaner are used.)

a. Dilute isopropyl alcohol on a lint-free swab will clean contaminants from the head. Exert minimum force on the delicate tension springs.

b. Cleaning kits are available which employ flexible disks made of a special material as the rotating media rather than the magnetic media of the regular disks. The cleaning material is either run dry or is wetted with a cleaning fluid. The head is then lowered onto the surface and cleaned under rotation.

c. Consult the equipment manufacturer's cleaning instructions when using cleaning kits. Kit manufacturer's suggestions for cleaning vary from a daily cleaning to as infrequently as when data errors appear.

4. Handle, use and store the diskette with care so the magnetic media will not be damaged.

a. Always return the flexible disk to its protective envelope after it is used. This prevents contamination and physical damage to the media. Don't lose the envelope. Don t scatter the disks around on table tops and desks in a random fashion.

b. Don't flex or fold the flexible disks. Avoid bending the disk loading into or extracting it from the drive. Although the envelope may recover, the internal media may be damaged permanently. A warped disk does not rotate properly.

c. Don't put a rubber band or a paper-clip onto the flexible disk envelope. The rubber band may cause the disk to remain bent permanently after long-term storage. The paper-clip may emboss the media and cause permanent data losses due to head-to-media separation.

d. Always write on the label before it is applied to the disk. However, if the original label is used, do not write on it with a ball point pen. A ball point pen can emboss the surface of the disk and cause permanent surface defects and data losses. Do not use a pencil. Use a soft, fiber tipped pen.

e. Never erase the label on a flexible disk cartridge. Cross out previous information and replace the label when full. Erasure can be a source of contamination. Don't paste a new label over the old label and do not cover any flexible disk holes with the new label.

f. Don't use a flexible disk as a place mat.

5. Discontinue the use and acquisition of flexible disks which appear to shed excess debris and cause rapid head wear. They may have abrasive surfaces which create considerable friction and heat and usually have short operating lives. A rapid decrease in the disk signal level may indicate a rapidly wearing disk surface. Inspect and replace worn head pads if necessary.

6. Never place a magnet of any kind onto the envelope surface of a flexible disk cartridge. These include typical bar magnets found in offices, coat and picture hanger magnets flashlight magnets magnetized screw-drivers, etc. Keep magnets at least 76 mm (3 inches) away from recorded disks. This applies to both rigid and flexible disks.

7. Flexible disks should be stored in a vertical position in a storage container Do not use a cardboard container Use a more rigid type of container such as a hard plastic unit.

8. Do not use reinforced flexible disk hub rings. Use flexible disks having a rigid hub material.

9. Maintain a schedule for checking, cleaning, or replacing associated air filters. Dirt causes data losses and media damage.

10. Use the tabs which are supplied with the disks to cover the write protect notch on the disk envelope. Do not use any tab which leaves a sticky residue.

11. Electrical discharges produced by static electricity cannot damage or alter the data which has been correctly recorded and stored on flexible disks.

H. Environmental Considerations.

1. Acceptable temperatures and humidities are normally maintained in an operating area such as an office. Be careful about the storage location and especially about transportation. The temperatures in a closed, hot, stationary automobile in the sunlight may exceed the upper limits. Excessively cold temperatures may make disks rigid. Acclimatize the affected disks in a normal temperature and humidity environment for several hours before using.

2. Offices must apply the following environmental standards to assure the viability of the magnetic media during operation, storage and transportation of flexible disk cartridges. Failure to observe the temperature and humidity guidelines can result in media damage.

a. The following general environmental standards are applicable to all flexible disk cartridges with the exception of the special conditions noted in paragraphs b. through d. below.

(1) Operation and Storage. Temperature: 50?F to 125?F (10?C to 51.6?C). Relative Humidity: 8 to 80?. Wet Bulb Reading: Not to exceed 85?F (29.4?C).

(2) Transportation. Temperature. -40?F to 125?F (-40?C to 51.6?C). Relative Humidity: 8% to 90%.

b. 130 mm (5-1/4 inch) flexible disk cartridge (single-sided, 48 tpi).

(1) Operation and Storage. Condition at least one hour before operating.

(2) Further Information. Refer to ANSI X3.82-1980.

c. 130 mm (5-1/4 inch) flexible disk cartridge (double-sided, double density, 48 tpi).

(1) Operation and Storage. Condition at least 24 hours before operation. Rate of temperature change must not exceed 36?F (20?C) per hour.

(2) Further Information. Refer to ANSI X3.125-1984.

d. 130 mm (5-1/4 inch) flexible disk cartridge (double-sided, 96 tpi).

(1) Operation and Storage. Temperature. 50?F to 115?F (10?C to 46.l?C). Relative Humidity: 20% to 80%. Wet Bulb Reading: Not to exceed 80?F (26.6?C). Condition at least 24 hours before operating. Rate of temperature change shall not exceed 36?F (20?C) per hour.

(2) Further Information. Refer to ANSI X3.126-1985.

I. Additional Information.

1. Care and Handling of Computer Magnetic Storage Media. NBS Special Publication 500-101 June 1983, National Bureau of Standards, Department of Commerce. For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. order number: SN 003-003-02486-4.

2. 41 CFR 201-34.006 (GSA FIRMR) and 36 CFR Chapter XII (NARA) which furnish guidelines on the care and handling of magnetic computer tape.

Chapter XI

MICROGRAPHICS

(RESERVED)

FIGURE 1: OSHA FORM 156, FILE TRANSMITTAL CARD

|-------------------------------------------------------------------------| | Use OSHA Form 156, File Transmittal Card, when documents are charged out| | from a file. Staple the document to OSHA Form 156. Enter your office | | identification room number, and building, in the spaces provided. | | | | When documents are returned to the file, remove the OSHA Form 156 and | | retain for use. | |_________________________________________________________________________|

|-------------------------------------------------------------------------| |Use OSHA Form 158 when a complete folder is withdrawn from a file drawer.| |Complete as illustrated (OSHA Instruction ADM 12.4 Appendix A-3). | | | |Show only the file code of the folder at the top of the form. Identify | |the person to whom charged, his/her office, and the date of charge. | | | |Insert the OSHA Form 158 in the file drawer in place of the folder | |withdrawn. Always place it in a vertical position. | | | |When the folder is returned, draw a line through the last entry and place| |the OSHA Form 158 in the folder ready for use the next time the folder is| |withdrawn. | |-------------------------------------------------------------------------|

|-------------------------------------------------------------------------| |Use OSHA Form 157 when a single document is withdrawn from a folder. | |Complete as illustrated (OSHA Instruction ADM 12.4 Appendix A-4) | | | |Show the record's date, classification (file code), person the document | |was addressed to, person who sent the document (from block), a brief | |summary, person the document is charged out to, and the date charged out.| | | |Insert the OSHA Form 157 in the folder in place of the document withdrawn| |Always place it in an upright position in the folder. | | | |When the document is returned, draw an 'X' through the last entry. | |Retain and reuse the OSHA Form 157 until all spaces are filled. | |-------------------------------------------------------------------------|

|-------------------------------------------------------------------------| |Use form OF-21 as the cross-reference document when a document is needed | |in two different files and an extra copy is not available. | | (see Figure 4 OSHA Instruction ADM 12.4 Appendix A-5) | | | |Complete Form OF-21 as illustrated. The file code BUD 9-3 indicates that| |Form OF-21 is the cross-reference information that will be filed under | |that file code. The file code ADM 4 indicates where your file copy of | |the memorandum will be filed. | | | |On your file copy of the memorandum, write the file codes: | | ADM 11 | | X-BUD 4-1 | | | |Place a check mark by the file code ADM 11 to indicate where your copy of| |the memorandum is filed. | | | |Do not use Form OF-21 if you have an extra copy of the memorandum. Write| |on both copies the file codes: | | ADM 11 | | X-BUD 4-1 | | | |Place a check mark by ADM 4 to indicate where that copy will be filed. | |On the other copy, place a check mark by X-BUD 4-1 to indicate where that| |copy will be filed. | |-------------------------------------------------------------------------|

|-------------------------------------------------------------------------| |Use Form OF-22 to indicate that the document(s) have been removed from an| |inactive file to a current file, when the document is needed for current | |operations. Complete Form )F-22 as illustrated (Figure 5 OSHA | |Instruction ADM 12.4 Appendix A-6). Move the document to the active file| |and file Form OF-22 in its place in the inactive file. | | | |Do not use Form OF-22 when a document is removed for one-time research | |or audit purposes and is to be returned to the original file. Use OSHA | |Form 158, Folder Charge Out, for this purpose. (See Figure 2) | | | |Do not use Form OF-22 in a case file, since a case file contains all | |documents on the case from start to finish regardless of date and thus | |provides its own continuity. | |-------------------------------------------------------------------------|

FOR AN ILLUSTRATION OF PRINTOUT STORAGE, SEE FIGURE 6, OSHA INSTRUCTION ADM 12.4 APPENDIX A-7.

FOR AN ILLUSTRATION OF BOOK STYLE SUSPENSE OR TICKLER (DAILY) FILE, SEE FIGURE 7, OSHA INSTRUCTION ADM 12.4 APPENDIX A-8.

FOR AN ILLUSTRATION OF USE OF WALLET STYLE FILING JACKETS, SEE FIGURE 8, OSHA INSTRUCTION ADM 12.4 APPENDIX A-9.

FOR AN ILLUSTRATION OF FILE FOLDERS SHOWING CORRECT POSITIONS OF LABELS, SEE FIGURE 9 OSHA INSTRUCTION ADM 12.4 APPENDIX A-10.

FOR AN ILLUSTRATION OF CASE FILES AND SUBJECT-EXPANSION FILES, SEE FIGURE 10, OSHA INSTRUCTION ADM 12.4 APPENDIX A-11.

FOR AN ILLUSTRATION OF CROSS-REFERENCE OF FILE FOLDERS, SEE FIGURE 11, OSHA INSTRUCTION ADM 12.4 APPENDIX A-12.

FOR AN ILLUSTRATION OF SF-135, RECORDS TRANSMITTAL AND RECEIPT, NATIONAL OFFICE, SEE FIGURE 12, OSHA INSTRUCTION ADM 12.4 APPENDIX A-13 & A-14.

FOR AN ILLUSTRATION OF SF-135, RECORDS TRANSMITTAL AND RECEIPT, FIELD, SEE FIGURE 13, OSHA INSTRUCTION ADM 12.4 APPENDIX A-15 & A-16.

FIGURE 14: GSA FEDERAL RECORDS CENTERS (APPENDIX A-17)

GSA Region Area Served Address Telephone

Entire Federal Government National Personal Records Center for personnel records of (Civilian Personnel Records) separated Federal employees 111 Winnebago Street and medical and pay records St. Louis, MO 63118 of all Federal employees. FTS: 279-5722 Local: (314)425-5722

1 Connecticut, Maine, New Federal Records Center FTS:279-7742 Hampshire, Rhode Island, 380 Trapelo Road Local: Massachusetts, and Vermont Waltham, MA 02154 (617)647-8745

2 New Jersey, New York, Puerto Federal Records Center Fts:341-6455 Rico, and the Virgin Islands Military Ocean Terminal, Bldg 22 Bayonne, NJ 07002 Local:

(201)858-7161

3 Delaware and Pennsylvania Federal Records Center FTS:486-5588

5000 Wissahickon Avenue Local:

Philadelphia, PA 19144 (251)951-5588

District of Columbia, Washington Federal Records Center Maryland, Virginia, and Washington, DC 20409 FTS:763-7000 West Virginia Local:(301)

763-7000

SHIPPING ADDRESS ONLY Washington National Records Center 4205 Suitland Road Suitland, MD 20409

4 Alabama, Florida, Georgia, Federal Records Center FTS:246-7438 Kentucky, Mississippi, North 1557 St. Joseph Avenue Local:(404) Carolina, South Carolina, and East Point, GA 30044 763-7438 Tennessee

5 Illinois, Minnesota, and Federal Records Center FTS:353-0164 Wisconsin 7358 South Pulaski Rd. Local:(312) Chicago, IL 60629 353-0164

          Indiana, Michigan, and Ohio     Federal Records Center  FTS:774-2878
                                          3150 Bertwynn Drive     Local:(513)
                                          Dayton, OH 45439        255-2878

6 Iowa, Kansas, Missouri (except Federal Records Center FTS:926-7271 greater St. Louis area), and 2312 East Bannister Rd. Local:(816) Nebraska Kansas City, MO 64131 425-5722

Greater St. Louis area Federal Records Center FTS:279-5722 (Missouri only) (Civilian Personnel Records) 111 Winnebago Street Local:(314) St. Louis, MO 63118 425-5722

7 Arkansas, Louisiana, New Mexico Federal Records Center FTS:334-5515 Oklahoma, and Texas PO Box 6216 Local:(817) Fort Worth, TX 76115 334-5515

SHIPPING ADDRESS ONLY Building 1, Dock 1 4900 Hemphill Street Fort Worth, TX 76115

8 Colorado, Montana, North Federal Records Center FTS:234-5271 Dakota, South Dakota, Utah, PO Box 25307 Local:(303) and Wyoming Denver, CO 80225 234-5271

9 Nevada (except Clark County), Federal Records Center FTS:470-9003 California (except Southern 1000 Commodore Drive Local:(415) California), and American San Bruno, CA 94066 876-9003 Samoa

Arizona, Nevada (Clark County Federal Records Center FTS:796-4220 only), and Southern California 24000 Avila Road Local:(714) (counties of Imperial, Orange, Laguna Niguel, CA 92677 831-4220 Inyo, Kern, Los Angeles, San Diego, Riverside, San Bernadino, San Luis Obispo, Santa Barbara, and Ventura)

10 Alaska, Hawaii, Idaho, Oregon, Federal Records Center FTS:399-4502 Pacific Ocean area (except 6125 Sand Point Way Local:(206) American Samoa) and Washington Seattle, WA 98115 442-4502

This listing shows the areas served by each FRC (Federal Records Center). For reference service on records retired to FRS's prior to July 1, 1982, contact the FRC to which the records were retired.

OF-11, REFERENCE REQUEST-FEDERAL RECORDS CENTERS SEE FIGURE 15, OSHA INSTRUCTION ADM 12.4 APPENDIX A-18

FOR A COMPARISON OF VARIOUS MEDIA INFORMATION STORAGE AND RETRIEVAL, SEE FIGURE 16, OSHA INSTRUCTION ADM 12.4 APPENDIX A-19

APPENDIX B

RECORDS MANAGEMENT REVIEW CHECKLIST

This checklist is for use during records management reviews of offices. It was developed as an easy means of determining if good records management practices are being followed. As such, it is also an excellent tool for custodians to determine if their file practices and operations are sufficient to assure only needed papers are filed, papers can be quickly retrieved, and papers are destroyed or transferred when no longer needed.

The checklist is arranged in the major groupings of records functions for ease of completion. Any check mark in the NO column indicates a need for corrective action.

YES NO

A. File Reduction

1. Are papers inspected before filing to determine if they should be filed or destroyed?

2. Are incoming envelopes, routing slips, superseded drafts, and duplicates of correspondence and reports which possess no important notations or substantive changes destroyed?

3. Are copies of outgoing form letter replies destroyed if (a) no retained record is necessary, or (b) a reply date placed on the incoming correspondence is sufficient as a record.

4. Are unneeded publications destroyed instead of filed?

5. Are publishers requested to discontinue sending publications no longer needed?

6. Are requests for information and other routine correspondence destroyed or returned to the requestor when a reply is made?

YES NO

B. Classification and Filing System

1. Does a listing of subjects and types of records filed exist?

2. Does the listing correspond to the Agency file system?

3. Are subject-expansions to the Agency file system clear and properly defined?

4. Does the Agency file system adequately cover the records?

5. Are the subject categories properly arranged according to the office's procedures?

6. Is classification of papers simple?

7. Are instructions complete and clear?

8. Are the file codes short, simple, and easy to remember?

9. Are the files actually arranged according to the file system?

YES NO

C. Record Classification

1. Are related incoming and outgoing correspondence assembled before files classification?

2. Is the file designation (subject) of the document properly marked by writing file codes or underlining identifying data on the document?

3. Are filing aids such as the relative index, papers already filed, or professional's opinions used to help determine where materials should be filed?

4. Do file custodians make the final decisions where materials should be filed?

YES NO

D. Finding Aids

1. Are costly finding aids such as indexes including duplicate cross-reference files, card files, and the like kept to the minimum?

2. Is cross-referencing confined only to the additional subjects or names by which the material is likely to be requested?

3. Does each cross-reference show that it is a cross-reference, where it is filed, and where the record copy is filed?

4. Does the record copy show where cross-reference copies are maintained?

YES NO

E. Filing Practices

1. Do officials mark papers to show they are to be filed? This is optional.

2. Are papers sorted by file code and case file sequence, if appropriate?

3. Are related papers fastened together (stapled) in a file folder?

4. Are papers which will be asked for singly left unstapled?

5. Are files arranged according to the way they are requested?

6. Are papers arranged into case and project files?

7. Are all essential papers present in case and project files?

8. Are closed or terminated case files and open case files maintained in separate file locations?

9. Is file material separated by year?

10.Is permanent or long-term retention material identified and

maintained in separate folders from short-term material?

11.Is record material maintained in separate file folders from

nonrecord material?

12.Are file drawers properly labeled?

13.Are file folders properly labeled?

14.Are the files neat and orderly in appearance with labels

aligned for ease of search to locate files?

15.Are file folders filled to no more than 3/4 inch capacity?

16.Do all folders in files have at least ten papers in them

(except subject and policy folders)?

17.Are files properly supported by file guide cards?

             18.If an alphabetical name file is used, are papers involved with
                name changes refiled under the new name?

             19.Are name file papers refiled under a new name cross-referenced
                under the old name?

20.Are bulky or oversized materials filed separately from the

official file cross-referenced to the official file?

21.Are papers removed from old files and combined with current

year files replaced in the old files by a continuity reference?

             22.Is a suspense or tickler file maintained for correspondence to
                which replies are due or on which action should be taken by a
                given date?

23.Are only staples used to fasten documents together for filing

and are paper-clips, rubber bands, spring clips, and pins removed from papers before filing?

24.Are classified materials or administratively controlled

information filed separately from other materials?

25.Are locking filing cabinets or locking devices attached to

filing cabinets used where necessary to protect the confidentiality of records?

YES NO

F. Records Disposition.

1. Are current or active files free of records eligible for destruction or transfer to Federal records centers for storage?

2. Does the office periodically (at least once per year) dispose of records?

3. Is files cut-off performed once each year?

YES NO

G. Reference Services.

1. Are charge out forms used when a folder is removed from a drawer or a document is removed from a folder?

2. Are papers received relating to a charged out folder taken to the person who charged out the folder and then placed in the folder?

3. Are persons charging out folders or documents contacted, after a reasonable period of time, to see if the material can be returned?

4. Is a suspense or tickler file maintained showing who has charged out a folder or document, when it was charged out,a nd when it should be returned? (For documents moving out of the office).

5. Is the total number of misfiles or lost files experienced over a period of one year five percent or less?

YES NO

H. Workload.

1. Are files classification and filing up-to-date and performed daily?

2. Are requests for files or information from files handled expeditiously as requests are received?

YES NO

I. Documentation.

1. Are the files complete and free of information gaps?

2. Do other offices or organizations always supply requested information such as periodic reports, requested data, etc., to the office? 3. Do people within the office always supply needed information or documentation for the files?

4. Is access to the files limited to only file custodians (removal and replacement of files)?

5. Are security regulations for safeguarding and destruction of classified and administratively controlled information followed?

YES NO

J. Equipment and supplies.

1. Is legal-size filing equipment used only when the amount of legal-size papers is 20% or more?

2. Are 5-drawer filing cabinets used instead of 2-, 3-, or 4- drawer filing cabinets?

3. Has the use of shelf or lateral filing equipment been considered in place of up-right filing cabinets?

4. Are fire resistant insulated file equipment and security type file equipment used only for records which require this degree of protection?

5. Are only records filed in filing cabinets; that is, no blank forms, office supplies, stocks of publications, personal items, and the like?

6. Are standard filing supplies used including file folders, guide cards, and labels?

7. If non-standard filing supplies are used, was approval granted?

8. Are filing aids such as sorters, hook-on shelves for filing cabinets, filing stools, and the like used?

YES NO

K. Space and Workflow.

1. Are filing equipment, filing aids, and filing contents arranged to make filing easier and faster by saving steps and assuring filing moves progressively forward (such as from top to bottom of containers, left to right, and the like)?

2. Is filing equipment conveniently placed by the people who file and retrieve records?

3. Does filing equipment interfere with work flow patterns of other people in the office?

4. Is filing equipment so placed that files are not susceptible to damage?

5. Are files located to protect them against unauthorized access?

6. Is filing equipment placed so they are not a safety hazard?

7. Is filing equipment placed in an area which has good lighting?

YES NO

L. Training.

1. Have persons responsible for file maintenance, reference service, and disposition received management training within the last two years?

YES NO

M. Materials Collected.

1. Have you obtained a listing of the file categories, including subject-expansion categories and any unauthorized file subjects, in use at each file station?

N. Miscellaneous Information.

___________ 1. How many file stations are in the office?

___________ 2. What is the volume of records on hand?

___________ 3. What is the volume of records transferred to a Federal records

center as a result of the review?

FOR RULES AND EXAMPLES FOR ALPHABETICAL FILING, SEE OSHA INSTRUCTION ADM 12.4 APPENDIX C.

FOR A SUBJECT OUTLINE FOR OSHA INSTRUCTION ADM 12.1, OSHA CLASSIFICATION SYSTEM, SEE OSHA INSTRUCTION ADM 12.4 APPENDIX D-1 - D-4.

Appendix E

INDEX

A-B

Page ADMINISTRATIVELY CONTROLLED INFORMATION, HANDLING AND SAFEGUARDING...................................... III-2

ALPHABETICAL:

Name Index............................................ III-19 Name Index Marking.................................... III-7

ALPHABETIZING, RULES FOR................................ Appendix C

ANNUAL:

Records Management Report............................. VI-1 Review of Records..................................... V-2

APPROVAL OF FILING EQUIPMENT............................ IV-1, IV-5

APPROVED:

ADP Printout Binders.................................. IV-6 File Folders, Labels and Guide Cards.................. IV-5

ARRANGING:

Case Files............................................ III-7 Papers for Filing..................................... III-8

ASSEMBLING FILES........................................ III-7

BINDERS, ADP PRINTOUT................................... IV-6

C

CARDS:

Guide, Approved....................................... IV-7 Guide, Use of......................................... III-17

CARE OF FLEXIBLE DISKS.................................. X-8

CASE FILE:

Arrangement........................................... III-14 Classification........................................ III-5 Folder Label Preparation.............................. III-12 Folder Preparation.................................... III-12

CERTIFICATION FOR ACQUISITION OF FILING EQUIPMENT....... IV-5

CHANGES TO RECORDS SYSTEMS.............................. I-9

CHARGE-OUTS............................................. III-16

CHECKLIST, RECORDS MANAGEMENT REVIEWS....................VI-7,

Appendix B

CHRONOLOGICAL:

File.................................................. III-18 File-Nonrecord Disposal............................... V-4

CLASSIFICATION:

Case File Material.................................... III-5 Cross - References.................................... III-5 Marking............................................... III-7 Files................................................. III-4 Outgoing Correspondence............................... III-6 Review................................................ III-8 Subject File Material................................. III-4

CLASSIFIED MATERIAL:

Handling and Safeguarding............................. III-2, VII-1 Security of........................................... VII-1

CONTINUITY REFERENCE.................................... III-15

CONTROL, RECORDS........................................ III-16

CONVERSION, ELECTRONIC RECORD........................... X-2

CROSS-REFERENCE:

Classification........................................ III-5 Folders............................................... III-15 Marking............................................... III-7 Nonrecord Disposal.................................... V-3 Papers................................................ III-15

CUT-OFF OF FILES........................................ III-17

D

DESTRUCTION:

Electronic Records.................................... X-3 Records in Offices.................................... V-6

DIRECTORY, ELECTRONIC RECORD............................ X-4

DISKS AND DISKETTES, CARE OF............................ X-8

DISPOSAL LIST, NONRECORD................................ V-3

DISPOSITION:

Electronic Records.................................... X-7 Objectives............................................ V-1 Records............................................... V-1 Schedules............................................. V-2 System for Records.................................... I-8

DIVISION OF FOLDERS..................................... III-8

DOCUMENT:

Cross-Reference....................................... III-15 Electronic............................................ X-3 Eligible for Filing................................... III-3 Filing Arrangement.................................... III-8 Ineligible for Filing................................. III-2 Inspection............................................ III-2 Presorting............................................ III-4

DONATION OF RECORDS..................................... V-24

E

ELECTRONIC DIRECTORIES.................................. X-4

ELECTRONIC RECORDS...................................... X-1

Conversions............................................ X-2 Destruction............................................ X-7 Determination.......................................... X-3 Indexing............................................... X-4 Legal Use.............................................. X-4 Retrieval.............................................. X-4 Security............................................... X-7 Storage................................................ X-2 Systems................................................ X-1

EMPLOYEE ACTIVITY, NONRECORD DISPOSAL................... V-3

EXTRA COPIES, NONRECORD DISPOSAL........................ V-3

FASTENING DOCUMENTS..................................... III-17

FEDERAL AGENCY RECORDS TRANSFER......................... V-24

FIGURES................................................. Appendix A

FILE:

Assembly.............................................. III-7 Chronological......................................... III-18 Classification........................................ III-4 Cut-Off............................................... III-17 Drawer Labels......................................... III-17 Folder Label Preparation.............................. III-12 Folders, Approved..................................... IV-5 Guide Cards, Approved................................. IV-7 Labels, Approved...................................... IV-6 Operations............................................ III-1 Reading............................................... III-18 Stations.............................................. III-1 Suspense or Tickler................................... 111-16, IV-7

FILING:

Arrangement........................................... III-8 Categories............................................ I-8, Appendix D Subdivision........................................... III-12 Subject-Expansion..................................... III-14

FILING EQUIPMENT:

Approvals............................................. IV-1, IV-5 Certification and Justification....................... IV-5 Types................................................. IV-1 Utilization Standards................................. IV-4

FILING SYSTEM, SUBJECT-NUMERIC.......................... I-8

FLEXIBLE DISK CARE...................................... X-8

FOLDER:

Cross-Reference........................................ III-15 Wallet Jacket.......................................... IV-7

FRC (FEDERAL RECORDS CENTER).

Records Shipment...................................... V-17 Reference Service..................................... V-19 Transfer (SF-135)..................................... V-13

G-H-I

GAO SITE AUDIT RECORDS DISPOSITION...................... V-7

GENERAL INQUIRY LETTERS, NON-RECORD DISPOSAL............ V-3

GUIDE CARDS:

Approved.............................................. IV-7 File Operations....................................... III-17

HANDLING:

Administratively Controlled Information............... III-2 Classified Material................................... III-2, VII-1

INDEX:

Alphabetical Name...................................... III-19 Alphabetical Name, Marking............................. III-7 Electronic Records..................................... X-6 Files, Nonrecord Disposal.............................. V-3 Relative............................................... I-9

INSPECTION OF DOCUMENTS................................. III-2

J-K-L

JACKET, WALLET FILING................................... IV-7

JOB CONTROL MATERIALS, NONRECORD DISPOSAL............... V-5

JUSTIFICATION OF FILING EQUIPMENT....................... IV-5

LABELS:

Electronic File........................................ X-4 File Drawer............................................ III-18 Folder, Approval....................................... IV-5 Folder, Preparation.................................... III-13

LEGAL USE OF ELECTRONIC RECORDS......................... X-4

M-N-O

MAILING LISTS, NONRECORD DISPOSAL....................... V-3

MARKING:

Alphabetical Name Index............................... III-7 Cross-Reference....................................... III-7 Primary Classification................................ III-6 Reading Files......................................... III-7

NARA PERMANENT TRANSFER OF RECORDS...................... V-23

NONRECORD:

Disposal List......................................... V-3 Files................................................. III-15

OFFICE RESPONSIBILITIES................................. I-3

OFFICIAL RECORDS VERSUS PERSONAL PAPERS................. V-2

ORIGINATOR PRECLASSIFICATION............................ III-6

P-Q

PAPER FASTENERS......................................... III-17

PAPERS:

Eligible for Filing................................... III-3 Ineligible for Filing................................. III-2 Management Officials.................................. V-2 Presorting............................................ III-4

PERSONAL FILES, NONRECORD DISPOSAL...................... V-4

PERSONAL PAPERS VERSUS OFFICIAL RECORDS................. V-2

PRECLASSIFICATION BY ORIGINATOR......................... III-6

PREPARATION:

Case File Folders..................................... III-12 Records for FRC Transfer.............................. V-9 SF-135, Transfer of Records........................... V-13 Subject-Expansion Files............................... III-14

PRESORTING PAPERS....................................... III-4

PRIVACY ACT MATERIAL, HANDLING AND SAFEGUARDING......... III-2

PROJECTS:

Definition............................................ II-7 Documentation......................................... III-11

PUBLICATIONS, NONRECORD DISPOSAL........................ V-4

R

READING FILE:........................................... II-7, III-18

Marking................................................ III-7 Nonrecord Disposal..................................... V-4

RECORDS:

Control............................................... III-16 Destruction in Offices................................ V-6 Donations............................................. V-24 Equipment............................................. IV-1 Management Officials.................................. V-2 Management Report..................................... VI-1 Reference Service, FARC............................... V-19 System Revisions...................................... I-9

RECORDS DISPOSITION:

GAO Site Audit........................................ V-7 Objectives............................................ V-1 Schedules............................................. V-2 System................................................ I-8

RECORDS, ELECTRONIC..................................... X-1

Care.................................................. X-8 Conversions........................................... X-2 Destruction........................................... X-7 Environment........................................... X-11 Indexing.............................................. X-6 Labeling.............................................. X-4 Legal Use............................................. X-4 Retrieval............................................. X-4 Security of........................................... X-7 Storage Medium........................................ X-2 Systems............................................... X-1

RECORDS MANAGEMENT

Annual Report......................................... VI-1 Reports............................................... VI-1 Reviews............................................... I-8, VI-6 Review Checklist...................................... VI-3, Appendix B Review Reports........................................ VI-2

RECORDS TRANSFER:

Donation.............................................. V-24 FRC................................................... V-7 FRC, Preparation...................................... V-9 Federal Agencies...................................... V-24 NARA.................................................. V-23

RECORDS VERSUS PERSONAL PAPERS.......................... V-2

REFERENCE:

Files, Nonrecord Disposal............................. V-4 Service from FRC...................................... V-19

RELATIVE INDEX.......................................... I-9

REPORTS:

Records Management Activities......................... VI-1 Records Management Reviews............................ VI-2

REPRODUCTION MATERIALS, NONRECORD DISPOSAL.............. V-5

RETRIEVAL, ELECTRONIC RECORDS........................... X-3

REVIEW:

  Checklist, Records Management......................... VI-3,
                                                         Appendix B
  Classification Markings............................... III-7
  Records, Annual....................................... V-2
  Records Management.................................... I-6
  Report, Records Management............................ VI-1

S

SAFEGUARDING:

Administratively Controlled Information............... III-2 Classified Material................................... III-2, VII-1 Security of Classified Material....................... VII-1

SECURITY, ELECTRONIC RECORDS............................ X-7

SF-135, TRANSFER OF RECORDS:

Preparation........................................... V-13 Submission............................................ V-15 Supplemental Records Listing.......................... V-15

SHIPMENT OF RECORDS TO FRC.............................. V-17

STENOGRAPHIC NOTES-NONRECORD DISPOSAL................... V-5

SUBDIVISION OF FOLDERS.................................. III-8

SUBJECT-EXPANSION FILE PREPARATION...................... III-14

SUBJECT FILE:

Classification........................................ III-4 Folder Label Preparation.............................. III-12

SUBJECT-NUMERIC FILING SYSTEM........................... I-8

SUBMISSION OF SF-135.................................... V-15

SUPPLEMENTAL RECORDS LISTING, SF-135.................... V-15

SUSPENSE FILE........................................... III-17, IV-7

Nonrecord Disposal.................................... V-5

T

TEMPORARY FILES......................................... II-20

TICKLER FILE............................................ III-16, IV-7

TRANSFER OF RECORDS:

FRC's.................................................. V-7 Federal Agencies....................................... V-24 NARA................................................... V-23

TRANSITORY FILES........................................ III-18

TRANSMITTAL SHEETS, NONRECORD DISPOSAL.................. V-5 TYPES OF FILING EQUIPMENT............................... IV-1

U-V

UTILIZATION STANDARDS, FILING EQUIPMENT................. IV-4

W-X-Y-Z

WALLET FILING JACKETS.................................. .IV-7

WORKING FILES-NONRECORD DISPOSAL........................ V-6

WORK PAPERS-NONRECORD DISPOSAL.......................... V-6

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