Criteria for the use of source 101-11.904 Subparts 101-11.10—101-11.48 [Reserved] Subpart 101-11.49—Forms and Reports 101-11.4900 101-11.4901 101-11.701-7 Security. 101-11.4902 Scope of subpart. Standard Form 136: Annual Summary of Records Holdings. Standard Form 115: Request for Authority to Dispose of Records. Standard Form 115a: Request for Authority to Dispose of Record s-Continuation Sheet. Instructions for preparing Standard Forms 115 and 115a. Standard Form 137: Agency Records Center Annual Report. Standard Form 127: Request for Official Personnel Folder (Separated Employee). Standard Form 135: Records Transmittal and Receipt. Standard Form 135a: Records Transmittal and Receipt(Continuation). GSA Form 439: Report of Disposition of Records. Optional Form 11: Reference Request-Federal Records Centers. GSA Form 10: United States Government Memorandum. Optional Form 10: United States Government Memorandum. randum of Call. 101-11.4907 Procedures to promulgate, modify, or discontinue Standard forms. 101-11.4908 101-11.804-1 Clearance and promulgation. 101-11.804-2 101-11.804-3 101-11.805 Modifications and exceptions. Proposed discontinuance. 101-11.4909 Procedures to establish, revise, or discontinue Optional forms. 101-11.4910 101-11.806 Standard and Optional forms used as public reports. 101-11.4911 101-11.807 101-11.4912 101-11.808 Initiating Standard and Op tional forms projects. 101-11.4913 Standard Form 63: Memo The regulations in this subpart apply to all Federal agencies to the extent provided in the Acts cited in § 101-11.101-1, except that the disposal of court records shall be in accordance with the provisions of 28 U.S.C. 457. Section 3 of the Federal Property and Administrative Services Act (40 U.S.C. 472) defines "Federal agency" as "any executive agency or any establishment in the legislative or judicial branch of the Government (except the Senate, House of Representatives, and the Architect of the Capitol and any activities under his direction)." The same section defines "executive agency" as "any executive department or independent establishment in the executive branch of the Government, including any wholly owned Government corporation." in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of data contained therein. Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents are not included within the definition of the word 'records' * * (b) This definition also applies to the term "records" when used in the Federal Records Act of 1950, by virtue of section 511(a) thereof (44 U.S.C. 41(a)). The Federal Records Act of 1950 was enacted as Title V (sections 501-511) of the Federal Property and Administrative Services Act of 1949, as amended (44 U.S.C. 391-396, 397-401). § 101-11.101-4 Reports to the President and the Congress. Section 508(b) of the Federal Records Act of 1950 (44 U.S.C. 398 (b)) provides: "The Administrator shall, whenever he finds that any provisions of this title have been or are being violated, inform in writing the head of the agency concerned of such violations and make recommendations regarding means of correcting them. Unless corrective measures satisfactory to the Administrator are inaugurated within a reasonable time, the Administrator shall submit a written report thereon to the President and the Congress." § 101-11.102 Agency records manage ment programs. § 101-11.102-1 Authority. Section 506(b) of the Federal Records Act of 1950 (44 U.S.C. 396 (b)) requires the head of each Federal agency to establish and maintain an active, continuing program for the economical and efficient management of the records of the agency. (b) Cooperation with GSA in developing and applying standards, procedures, and techniques designed to improve the management of records, assure the maintenance and security of records of continuing value, and facilitate the segregation and disposal of all records of temporary value. (c) Compliance with the provisions of the Federal Records Act of 1950 and with the regulations issued thereunder. (d) Compliance with § 101-25.104-2 in connection with the moratorium on the purchase of new filing cabinets. [29 F.R. 16807, Dec. 12, 1964, as amended at 30 F.R. 4757, Apr. 14, 1965] § 101-11.102-3 Creation of records. Adequate records management controls over the creation of agency records shall be instituted to insure that important policies and decisions are adequately recorded; that routine operational paper work is kept to a minimum; and that the accumulation of unnecessary files is prevented. Effective techniques to be applied in this area include the application of systems for the control of correspondence, forms, directives and issuances, and reports; the minimizing of duplicate files; and the disposal without filing of transitory material that has no value for record purposes. § 101-11.102-4 Organization, maintenance, and use of records. Provision shall be made for the continued analysis and improvement of such matters as mail handling and routing, record classification and indexing systems, the use of filing equipment and supplies, the reproduction and transportation of records, and work production standards relating thereto, to insure that records are maintained economically and efficiently and in such a manner that their maximum usefulness is attained. § 101-11.102-5 Disposition of records. Provision shall be made to insure that records of continuing value are preserved but that records no longer of current use to an agency are promptly disposed of or retired. Effective techniques for accomplishing these ends are the development of records control schedules; the transfer of records to records centers and to the National Archives; the microfilming of appropriate records; and the disposal of valueless records. Each Federal agency shall submit to the National Archives and Records Service within 30 days after the close of each fiscal year a summary of its records holdings on Standard Form 136, Annual Summary of Records Holdings (see § 101-11.4901). Instructions for preparing the report are on the form. The summary may be a consolidation for an entire agency, or, if more practical, separate reports may be submitted for bureaus or comparable organizational units. [33 F.R. 8775, June 15, 1968] § 101-11.103-1 Agency program evalua Authority. Section 505(c) of the Federal Records Act of 1950 (44 U.S.C. 395 (c)) authorizes the Administrator of General Services to inspect or survey, personally or by deputy, the records of any Federal agency, as well as to make surveys of records management and records disposal practices in such agencies. § 101-11.103-2 Evaluation by National Archives and Records Service. Agency programs for controlling the creation, maintenance, and use of current records; for the selective retention of records of continuing value; and for the disposal of noncurrent records will be inspected periodically by the National Archives and Records Service. The objectives of these inspections are to: (a) Determine agency compliance with the provisions of the Records Disposal Act and the Federal Records Act of 1950. (b) Determine agency observance of the regulations set forth in this Subpart 101-11.1. (c) Evaluate the effectiveness of agency records management programs. § 101-11.103-3 Agency internal evaluation. Each agency should periodically inspect their records management pro |