§ 101-11.301-2 Agency action.

Each Federal agency is expected to: (a) Assign to an office(s) of the agency the responsibility for the development and implementation of agencywide management programs for mail, files, and records equipment and supplies. When organization arrangement, size, or complexity requires, actual control may be established at bureau, service, or office level. Programs at these control points will operate within the framework of the overall agency plan.

(b) Issue a directive(s) establishing program objectives, responsibilities, and authorities. A copy of each directive (and subsequent amendments or supplements) should be readily available for inspection by the National Archives and Records Service, GSA.

$101-11.302 [Reserved]

and, in general, operations are kept as simple as possible, so as to increase ef fcency.

§ 101-11-304-2 Mail defined.

Mail consists of letters, telecommunications, memorandums, post cards, documents, packages, publications and other communications received for distribution or dispatch.

$101-11-304-3 Program requirements.

(a) Each Federal agency, in provid ing for effective controls over the cre ation of records, is expected to estab lish an appropriate program for the management of agency mail (§ 10111.301-2) The program will:

(1) Establish and implement standards and procedures for the receipt, delivery, collection, and dispatch of mail.

(2) Implement the mail management standards set forth in the GSA Rec ords Management Handbook, Agency Mail Operations.

(3) Provide essential management information concerning the volume and types of mail processed and time re quirements for internal delivery and mailing.

(4) Review, on a continuing basis, agency mail practices and procedures to find opportunities for improvement and simplification.

(b) Standards, guides, and instruc tions developed for the agency mail management program are to be in published form, designed for easy ref erence and revision. They should be readily available to those concerned with mail and messenger operations In addition, pertinent information for users of mail and messenger services should be given the widest possible dissemination.

§ 101-11.304-4 Program implementation. The following actions are generally basic to a mail management program

(a) Deliver mail to the action office within shortest possible time after re ceipt. (Objective should be 4- to 6-hour delivery.)

(b) Establish realistic time limits for replying to White House and Congres sional mail, and to public correspond ence. Limit preparing letters of

The objectives of files management care to organize agency files so that needed records can be found rapidly, complete records are ensured, the selection and retention of records of archival value are facilitated, and the disposition of noncurrent records is accomplished promptly. All services are to be performed with maximum economy in personnel, equipment, and supplies.

§ 101-11.305-2 Files defined.

A file is basically a paper or folder of E papers, but the term is used to denote papers, photographs, photographic copies, maps, machine-readable information, or other recorded information regardless of physical form or characteristics, accumulated or maintained in -filing equipment, boxes, or machinereadable media, or on shelves, and occupying office or storage space. Stocks of publications and blank forms are excluded.

[41 FR 13353, Mar. 30, 1976]

§ 101-11.305-3 Program requirements.

(a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an appropriate program for the management of agency files (§ 10111.301-2). The program will:

(1) Establish and implement standards and procedures for:

(i) Classifying, indexing, and filing records.

(ii) Providing reference services to filed records.

(iii) Locating active files to facilitate agency use of records.

(2) Implement the files classification, operations, and placement standards set forth in pertinent GSA Records Management Handbooks.

(3) Review the program periodically to determine the adequacy of the system and its effectiveness in meeting requests.

(b) Standards, guides, and instructions developed for the files management program are to be in published form, designed for easy reference and revision. They should be readily available to all employees concerned with files operations. In addition, pertinent information for users of files and reference services should be given the widest possible dissemination.

§ 101-11.305-4 Program implementation.

The following actions are generally basic to a files management program: (a) Standardize classification and filing schemes to:

(1) Achieve maximum uniformity and ease in maintaining and using agency records.

(2) Facilitate disposal of records in accordance with applicable records disposal schedules.

(3) Facilitate possible later consolidation of identical type files presently maintained at different locations.

(b) Formally authorized official file locations. Prohibit the maintenance of files at other than authorized locations.

(c) Standardize reference service procedures to facilitate the finding, chargeout, and refiling of agency records.

(d) File accumulations of papers received at file locations on a daily basis.

(e) Standardize, to the maximum extent possible, the equipment and supplies used in filing and reference service operations. Use standard items stocked by the Federal Supply Service.

(f) Audit periodically a representative sample of the files for duplication, misclassification, or misfiles.

§ 101-11.306 Records equipment and supplies-agency program responsibilities.

§ 101-11.306-1 Managing records equipment and supplies.

The objectives of a records equipment and supplies management program are to ensure that equipment and supplies necessary and suitable to agency records operations, procedurally and economically, are available and are put to proper use. Modern equipment and supplies are now manufactured in a wide variety of types which, in most instances, are designed for special uses. Competent advice should be continuously available to assure that the correct item is obtained for a given purpose.

§ 101-11.306-2 Records equipment and supplies defined.

Equipment and supplies include file cabinets, shelf files, visible files, mechanized files, file guides, folders, jackets, wallets, and similar items used in the creation and maintenance of records and in mail handling. A program for managing equipment and supplies may also cover desk-top office machines, dictating and recording equipment, and data recording equipment.

§ 101-11.306-3 Program requirements.

(a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an appropriate program for the management of agency records equipment and supplies (§ 101-11.301-2). The program will:

(1) Establish and implement standards and procedures for:

(i) Standardization of records equipment and supplies used by the agency. (ii) Submission, review, and approval of requests for the purchase of records equipment and supplies.

(iii) Proper utilization of presently owned records equipment.

(2) Review, on a continuing basis, the utilization of records equipment to ensure adequate and proper application.

(3) Provide for a continuing review of new developments in the field of records equipment and supplies and

their possible application to agency records systems.

(b) Standards, guides, and instruetions for managing records equipment and supplies are to be in published form, designed for easy reference and revision. They should be readily available to program officials responsible for operations using records equipment and supplies.

§ 101-11.306-4 Program implementation.

The following actions are generally basic to a records equipment and supplies management program:

(a) Minimize equipment and supplies needs by providing for prompt disposition of records. Reduce or eliminate the need for additional equipment by freeing equipment on hand for reuse.

(b) Use, to the maximum extent possible, standard items listed in GSA Stores Stock Catalog and Federal Supply Schedules. Prohibit the purchase of nonstandard items unless justification for exception is submitted and approved.

(c) Review requests for purchase of equipment and supplies to determine essentiality and usability.

(d) Review use of currently owned and rented equipment to determine that it is essential, suitable, properly utilized and maintained, and updated as required.

(e) Analyze record keeping proce dures and techniques to determine if requirements for equipment and supplies are realistic and if requirements can be reduced or eliminated through improved or changed procedures or techniques.

(a) NARS action. Within 3 workdays, NARS will forward each request for review of classified material to the originating Federal agency and will inform the requester to which office the request was forwarded.

(b) Federal agency action. Upon receipt of a request forwarded by NARS, the originating agency shall:

(1) Acknowledge receipt of the request in writing;

(2) Review the request and determine within 30 calendar days whether the material may be declassified; and

(3) Notify the requester and NARS of the determination made or of the reason why further time is necessary to make the determination. If the request is denied, the agency must also furnish the requester and NARS with a brief statement of the reasons the requested material cannot be declassified.

(c) Action by requester. (1) After the request is approved and the material is declassified, members of the public may use or order reproductions of the materials in accordance with 41 CFR 105-61, Records, Donated Historical I Materials, and Facilities in the National Archives and Records Service.

(2) If the request is denied or no answer is received after 60 calendar days, the requester may appeal to the Departmental Committee of the originating agency as provided in section 7(B) of Executive Order 11652 and

If the material requested has not been automatically declassified under section 5(E) of Executive Order 11652, NARS will review the material and either declassify it or request a determination by the head of the originating agency as to whether the material requires continued protection. In either case, NARS will reply to the requester within 30 calendar days. If the material is declassified, it will become available subject to the provisions of 41 CFR 105-61 or the regulations of the agency having custody. If declassification is denied, NARS will so notify the requester and inform him of his right to appeal to the Interagency Classification Review Committee.

§ 101-11.322-3 White House classified material.

Except when donor restrictions preclude granting access, NARS will review the material requested, consult with the agencies having primary subject-matter interest, determine whether the material may be declassified, and notify the requester within 30 calendar days. If the request is approved, the material will become available subject to the provisions of 41 CFR 10561. If the request is denied, NARS will inform the requester of his right to appeal to the Interagency Classification Review Committee.

§ 101-11.323 Access to materials that remain classified.

(a) Any person desiring permission to examine such materials shall, sufficiently in advance, submit to the Archivist of the United States a completed application, a set of his fingerprints, and personal history data on forms that will be furnished. Applications will be referred by the Archivist to agencies having responsibility for

the related programs. Records can be made available for examination only after each appropriate agency has authorized the Archivist of the United States to make them available.

(b) The requirement for submission of a fingerprint set or of personal history data may be waived for an applicant who has previously furnished those items.

(c) To guard against the possibility of unauthorized access to restricted records, a director may issue instructions supplementing the research room rules provided for in 41 CFR 105-61.103.

§ 101-11.324 Liaison.

To insure that NARS will be able to respond promptly to requests from the public, each Federal agency originating classified materials in the custody of NARS shall forward to the Deputy Archivist of the United States (Mailing address: General Services Administration (ND), Washington, D.C. 20408) the name, mailing address, and telephone number of the office responsible for handling mandatory review requests under Part III of the National Security Council Directive; the name, title, mailing address, and telephone number of the senior staff member who serves as chairman of the Departmental Committee under section 7(B)(2) of Executive Order 11652; and 18 copies of any regulations or other instructions implementing Executive Order 11652.

Subpart 101-11.4-Disposition of Federal Records

§ 101-11.401 Records control schedules.

§ 101-11.401-1 Records scheduling pro

grams.

A records scheduling program is essential to promote a prompt and orderly reduction in the quantity of records in each Federal agency in accordance with 44 U.S.C. 2904, 3102, and 3301.

[36 FR 21031, Nov. 3, 1971]

§ 101-11.401-2 Basic elements in records scheduling programs.

Four basic elements are present in s records scheduling program:

(a) The taking of a complete inventory of the records in the custody of the agency.

(b) The formulation of policy as to the disposition of each type or series of records and its statement in the form of a records control schedule.

(c) The application of the records control schedule to effect the elimination or removal of records.

(d) The identification and selection of permanent records in accordance with records retention plans. (See § 101-11.403-4.)

[29 FR 16807, Dec. 8, 1964, as amended at 36 FR 21031, Nov. 3, 1971]

§ 101-11.401-3 Formulation of records control schedules.

The following steps shall be taken in the development of records control schedules:

(a) Each Federal agency shall com. pile and maintain on a current basis a records control schedule for all major groups of records in its custody having importance in terms of content, bulk, or space and equipment occupied. For all newly created Federal agencies such schedules shall be completed within 1 year after creation of the agency.

(b) Schedules shall clearly identify and describe the series of records covered, and shall contain instructions that, when approved, can be readily applied. Schedules must be readily adaptable to use along organizational lines so that each office will have standing instructions for the disposition or retention of records in its custody.

(c) All schedules shall take into account the actual filing arrangements in existence, so that disposition of records can be physically accomplished in the largest blocks possible.

(d) Nonrecord materials, such as extra copies of documents preserved for convenience of reference, stocks of processed documents, preliminary worksheets, and similar papers that need not be made a matter of record, shall not be incorporated in the offi