-   [Transmittal No. 8 - General Records Schedules, December
    1998](#Transmittal_8)

-   [Transmittal No. 9 - (GRS 1, 9, 25), April 24, 2003](#Transmittal_9)

-   [Transmittal No. 10 - (GRS 24), April 28, 2003](#Transmittal_10)

-   [Transmittal No. 11 - (GRS 1), December 31,
    2003](#_TRANSMITTAL_NO._11_(GRS_1))

-   [Transmittal No. 12 - (GRS 1), July 14,
    2004](#TRANSMITTAL_NO._12_(GRS_1))

-   [Transmittal No. 13 - (GRS Introduction, 16, 26), October 13,
    2004](#TRANSMITTAL_NO._13_(GRS_Introduction,_16)

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```
-   [Transmittal No. 14 - (GRS 27), April 22, 2005](#Transmittal_14)

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```
-   [Transmittal No. 15 - (GRS 23), September 14, 2005](#Transmittal_15)

-   [Transmittal No. 16 - (GRS 3), March 27, 2006](#transmittal_19)

-   [Transmittal No. 17 - (GRS 10), July 24, 2007](#transmittal_19)

-   [Transmittal No. 18 - (GRS 20), December 14, 2007](#transmittal_19)

-   [Transmittal No. 19 - (GRS 26), January 07, 2008](#transmittal_19)

-   [Transmittal No. 20 - (GRS 20), February 27, 2008](#OLE_LINK1)

-   [[Transmittal No. 21 - (GRS Subject Index), June 13,
    2008]{.underline}](#OLE_LINK1)

    **TABLE OF CONTENTS**

    [Introduction to the General Records
    Schedules](#General_Records_Schedules_(GRS)_are)

[Schedule 1. Civilian Personnel Records](#General_Records_Schedule_1)

[Schedule 2. Payrolling and Pay Administration
Records](#General_Records_Schedule_2.)

[Schedule 3. Procurement, Supply, and Grant
Records](#General_Records_Schedule_3)

[Schedule 4. Property Disposal Records](#General_Records_Schedule_4)

[Schedule 5. Budget Preparation, Presentation, and Apportionment
Records](#General_Records_Schedule_5)

[Schedule 6. Accountable Officers\' Accounts
Records](#General_Records_Schedule_6)

[Schedule 7. Expenditure Accounting
Records](#General_Records_Schedule_7)

[Schedule 8. Stores, Plant, and Cost Accounting
Records](#General_Records_Schedule_8)

[Schedule 9. Travel and Transportation
Records](#General_Records_Schedule_9)

[Schedule 10. Motor Vehicle Maintenance and Operations
Records](#General_Records_Schedule_10)

[Schedule 11. Space and Maintenance
Records](#General_Records_Schedule_11)

[Schedule 12. Communications Records](#General_Records_Schedule_12)

[Schedule 13. Printing, Binding, Duplication, and Distribution
Records](#General_Records_Schedule_13)

[Schedule 14. Information Services
Records](#General_Records_Schedule_14)

[Schedule 15. Housing Records](#General_Records_Schedule_15)

[Schedule 16. Administrative Management
Records](#General_Records_Schedule_16)

[Schedule 17. Cartographic, Aerial Photographic, Architectural, and
Engineering Records](#General_Records_Schedule_17)

[Schedule 18. Security and Protective Services
Records](#General_Records_Schedule_18)

Schedule 19. RESERVED

[Schedule 20. Electronic Records](#General_Records_Schedule_20.)

[Schedule 21. Audiovisual Records](#General_Records_Schedule_21)

Schedule 22. Inspector General Records (WITHDRAWN)

[Schedule 23. Records Common to Most Offices Within
Agencies](#General_Records_Schedule_23.)

[**Schedule 24. Information Technology Operations and Management
Records**](#General_Records_Schedule_24)

[**Schedule 25. Ethics Program Records**](#General_Records_Schedule_25)

[Schedule 26. [Temporary Commissions, Boards, Councils and
Committees]{.underline}](#General_Records_Schedule_26)

[Schedule 27. Records of the Chief Information
Officer](#GENERAL_RECORDS_SCHEDULE_27)

[Forms Index](#Standard_Forms)

[Standard Forms](#Standard_Forms)

[Optional Forms](#Optional_Forms)

[Subject Index](#OLE_LINK2)

[]{#Transmittal_8 .anchor}

  -----------------------------------------------------------------------
  **GRS Transmittal No. 8, issued December 21, 1998, revised and reissued
  all General Records Schedules except General Records Schedule 20,
  Electronic Records, which was issued by GRS Transmittal No. 7 in
  August, 1995. These transmittals are available from**
  <records.mgt@nara.gov>**.**

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

[]{#Transmittal_9 .anchor}**TRANSMITTAL NO. 9 (GRS 1, 9, 25)**

**To: Heads of Federal agencies**

1.  **What does this document do?**

> GRS Transmittal 9 explains the changes to GRS 1 (Civilian Personnel
> Records) and 9 (Travel and Transportation Records), and issues a new
> schedule for Ethics Program Records (GRS 25). These are the changes
> that have been made to the General Records Schedules (GRS) since
> December 1998 when we last issued the GRS. The General Records
> Schedules (GRS) provide mandatory disposition instructions for
> temporary administrative records common to several Federal agencies.

2.  **What changes have been made to the GRS?**

> The attached chart shows the major changes. GRS 1, item 15, covering
> Employment Applications, has been deleted. Use GRS 1, items 33k, 33l,
> 33m, or 33n, as appropriate.

3.  **Do I have to take any action to implement these GRS changes?**

> Our regulations (36 CFR 1228.50(d)) require you to disseminate GRS
> changes within 6 months of receipt. If your agency already has a
> NARA-approved agency records disposition schedule for the same series
> or system of records, you may apply either the disposition
> instructions in these GRS or the disposition instructions previously
> approved by NARA (see 36 CFR 1228.42(b)). The chosen authority must be
> applied on an agency-wide basis. You must notify NARA within 90 days
> of this GRS Transmittal No. 9 if you intend to continue using the
> agency schedule. If you wish to apply a retention period that differs
> from that specified in the GRS, you must submit a Standard Form (SF)
> 115, Request for Records Disposition Authority, to us for approval.

4.  **What do I do with Ethics Program records in my agency that are not
    covered by GRS 25**?

> If the Ethics Program records in your agency are not covered by GRS 25
> but are included in other approved disposition authorities, those
> authorities still apply. If Ethics Program records in your agency are
> not covered by GRS 25 or an approved disposition authority, you must
> submit to NARA a SF 115 to request disposition authority for those
> records.

5.  **How do I get copies of the new GRS?**

> We are posting a set on our web site
> [(http://www.archives.gov/records_management/records_schedules.html)](http://www.archives.gov/records_management/records_schedules.html).
> GRS 25 is available for downloading in HTML, MS Word, and PDF formats.

6.  **What is the status of GRS 24?**

> A new GRS for information technology records will be issued shortly.
> We will send it to you with another GRS transmittal.

7.  **Whom do I contact for further information**?

> Please contact Stephen Cooper at 301-837-1615 if you have any
> questions.

**JOHN W. CARLIN**

Archivist of the United States

Attachment

  -----------------------------------------------------------------------
  **GRS Affected**               **Old GRS**    **New GRS**
  ------------------------------ -------------- -------------------------
  GRS 1, Civilian Personnel      Item 15        Deleted
  Records                                       

                                 Item 24        GRS 25, Item 2

                                 Item 27        GRS 25, item 1

                                 Item 33b       Item 33b -- revised
                                                description

                                 New item       Item 33c -- new item

                                 Item 33c       Item 33d

                                 Item 33d       Item 33e

                                 Item 33e       Item 33f -- revised
                                                series description and
                                                disposition

                                 Item 33f       Item 33g -- revised
                                                disposition

                                 Item 33g       Item 33h

                                 Item 33h       Deleted

                                 Item 33i       Item 33i

                                 Item 33j       Item 33j

                                 New item       Item 33k

                                 Item 33k       Item 33l -- revised
                                                disposition

                                 New item       Item 33m -- new item

                                 New item       Item 33n -- new item

                                 Item 33l       Item 33o

                                 Item 33m       Item 33p -- revised
                                                series description and
                                                disposition

                                 Item 33n       Item 33q -- revised
                                                disposition

                                 Item 33o       Item 33r

                                 Item 33p       Item 33s

                                 Item 33q       Item 33t

  GRS 9, Travel and              Item 6         GRS 25, item 5
  Transportation Records                        

  GRS 25, Ethics Program Records                New chapter covering
                                                agency ethics records
  -----------------------------------------------------------------------

[]{#Transmittal_10 .anchor}**TRANSMITTAL NO. 10 (GRS 24)**

**To: Heads of Federal agencies**

1.  **What does this document do**?

> GRS Transmittal 10 transmits General Records Schedule (GRS) 24, which
> provides disposition authorities for Information Technology (IT)
> Operations and Management Records common to most or all Federal
> agencies.

2.  **What are agency GRS 24 responsibilities**?

> Agencies are to apply the dispositions contained in GRS 24 to their IT
> Operations and Management records, unless your agency already has a
> NARA-approved agency records disposition schedule for the same series
> or system of records. In that case, 36 FR 1228.42(b) allows you to
> apply either the disposition instructions in GRS 24 or the disposition
> instructions previously approved by NARA. The chosen authority must be
> applied on an agency-wide basis. You must notify NARA within 90 days
> of this GRS Transmittal No. 10 if you intend to continue using the
> agency schedule.

3\. **How do I apply GRS 24 to IT Operations and Management records in
my agency**?

> Identify the IT Operations and Management records in your agency,
> compare those records with the records listed in GRS 24, and for those
> records included in GRS 24, apply the dispositions. A finding aid to
> the records covered by GRS 24 is included with this transmittal and it
> will help you identify your agency records included in the GRS.

4\. **What do I do if my agency needs to deviate from the disposition
provisions in GRS 24**?

> As required by NARA regulation 36 FR 1228.42(c), if an agency needs to
> deviate from the mandatory disposition provisions an SF 115, Request
> for Records Disposition Authority, must be submitted to NARA. A
> written justification explaining why the agency needs the records for
> a different period of time must accompany the SF 115.

5.  **What do I do if I already have an approved disposition authority
    that covers the IT Operations and Management records in my agency**?

> As prescribed by 36 FR 1228.40 and 1228.42, if your agency has an
> approved disposition authority for its IT Operations and Management
> records, that authority may be applied if you notify NARA in writing.

6.  **What do I do with IT Operations and Management records in my
    agency that are not covered by GRS 24**?

> If the IT Operations and Management records in your agency are not
> covered by GRS 24 but are included in other approved disposition
> authorities, those authorities still apply. If IT Operations and
> Management records in your agency are not covered by GRS 24 or an
> approved disposition authority, you must submit to NARA an SF 115 to
> request disposition authority for those records.

9.  **How is GRS 24 being distributed**?

> GRS 24 is being distributed electronically via email to your agency
> records officer.

8.  **How do I get other copies of GRS 24**?

> GRS 24 is available for downloading from the NARA web site
> (<http://www.archives.gov/records_management/records_schedules.html>)
> in HTML, MS Word, and PDF formats.

9\. **How does GRS 24 affect the other general records schedules covered
by GRS Transmittal 8**?

> GRS 24 is a new general records schedules. The general records
> schedules covered by GRS Transmittal 8 are still in force.

10. **Whom do I contact for further information**?

> Address questions to the appraiser in our Life Cycle Management
> Division with whom your agency normally works.

**JOHN W. CARLIN**

Archivist of the United States

[]{#_TRANSMITTAL_NO._11_(GRS_1) .anchor}**TRANSMITTAL NO. 11 (GRS 1)**

**To: Heads of Federal agencies**

1.  **What does this document do**?

> GRS Transmittal 11 provides a change to General Records Schedule (GRS)
> 1, Civilian Personnel Records. GRS 1 was last modified in April 2003.
> The GRS provide mandatory disposition instructions for temporary
> administrative records common to several Federal agencies.

2.  **What changes have been made to GRS 1**?

> GRS 1, item 27, previously reserved, has been revised to cover
> Alternative Dispute Resolution records.

3\. **Do I have to take any action to implement this GRS change**?

> Our regulations (36 CFR 1228.50(d)) require you to disseminate GRS
> changes within 6 months of receipt. If your agency already has a
> NARA-approved agency records disposition schedule for the same series
> or system of records, you may apply either the disposition
> instructions in these GRS or the disposition instructions previously
> approved by NARA (see 36 CFR 1228.42(b)). The chosen authority must be
> applied on an agency-wide basis. You must notify NARA within 90 days
> of this GRS Transmittal No. 11 if you intend to continue using the
> agency schedule. If you wish to apply a retention period that differs
> from that specified in the GRS, you must submit a Standard Form (SF)
> 115, Request for Records Disposition Authority, to us for approval.

4\. **What do I do with Alternative Dispute Resolution records in my
agency that are not covered by GRS 1, Item 27**?

> If the Alternative Dispute Resolution records in your agency are not
> covered by GRS 1, Item 27 but are included in other approved
> disposition authorities, those authorities still apply. If Alternative
> Dispute Resolution records in your agency are not covered by GRS 1,
> Item 27 or an approved disposition authority, you must submit to NARA
> a SF 115 to request disposition authority for those records.

5\. **How do I get copies of the new GRS 1**?

> We are posting a set of the GRS on our web site
> (<http://www.archives.gov/records_management/records_schedules.html>).
> GRS 1 is available for downloading in HTML, MS Word, and PDF formats.

6\. **Whom do I contact for further information**?

> Address questions to the appraiser in our Life Cycle Management
> Division with whom your agency normally works.

**JOHN W. CARLIN**

Archivist of the United States

**TRANSMITTAL NO. 12 (GRS 1)**

**To:   Heads of Federal agencies**

1\. **What does this document do**?

> GRS Transmittal 12 provides a change to General Records Schedule (GRS)
> 1, Civilian Personnel Records.  GRS 1 was last modified on date
> December 31, 2003.   The GRS provide mandatory disposition
> instructions for temporary administrative records common to several
> Federal agencies.

2\. **What changes have been made to GRS 1**?

> GRS 1, item 24, previously reserved, has been revised to cover
> Reasonable Accommodation Request records.

3\. **Do I have to take any action to implement this GRS change**?

> Our regulations (36 CFR 1228.50(d)) require you to disseminate GRS
> changes within 6 months of receipt.  If your agency already has a
> NARA-approved agency records disposition schedule for the same series
> or system of records, you may apply either the disposition
> instructions in these GRS or the disposition instructions previously
> approved by NARA (see 36 CFR 1228.42(b)).  The chosen authority must
> be applied on an agency-wide basis.  You must notify NARA within 90
> days of this GRS Transmittal No. 12 if you intend to continue using
> the agency schedule.   If you wish to apply a retention period that
> differs from that specified in the GRS, you must submit a Standard
> Form (SF) 115, Request for Records Disposition Authority, to us for
> approval.

4\. **What do I do with Reasonal Accommodation Request records in my
agency that are not covered by GRS 1, Item 24**?

> If the Reasonable Accommodation Request records in your agency are not
> covered by GRS 1, Item 24, but are included in other approved
> disposition authorities, those authorities still apply.  If Reasonable
> Accommodation Request records in your agency are not covered by GRS 1,
> Item 24, or an approved disposition authority, you must submit to NARA
> a SF 115 to request disposition authority for those records.  

5\. **How do I get copies of the new GRS 1?**

> We are posting a set of the GRS on our web site
> (<http://www.archives.gov/records_management/records_schedules.html>).
> GRS 1 is available for downloading in HTML, MS Word, and PDF formats.

6\. **Whom do I contact for further information**?

> Address questions to the appraiser in our Life Cycle Management
> Division with whom your agency normally works.

# 

# JOHN W. CARLIN

# Archivist of the United States

**TRANSMITTAL NO. 13 (GRS Introduction, 16, 26)**

**TO: Heads of Federal Agencies**

1\. **What does this document do**?

> GRS Transmittal 13 issues a new schedule for Temporary Commissions,
> Boards, Councils and Committees (GRS 26) and deletes item 8 in GRS 16
> (Administrative Management Records). It also transmits a new
> introduction to the GRS. These are the changes that have been made to
> the General Records Schedules (GRS) since July 2004 when we last
> issued the GRS. The GRS provide mandatory disposition instructions for
> records common to several Federal agencies.

2\. **What changes have been made to the GRS**?

> A new chapter, GRS 26, Temporary Commissions, Boards, Councils and
> Committees, has been added. GRS 16, item 8, covering Committee and
> Conference Files, has been deleted. Instead, agencies may use GRS 26
> as appropriate.

3\. **Do I have to take any action to implement this GRS change**?

> Our regulations (36 CFR 1228.50(d)) require you to disseminate GRS
> changes within 6 months of receipt. If your agency already has a
> NARA-approved agency records disposition schedule for the same series
> or system of records, you may apply either the disposition
> instructions in these GRS or the disposition instructions previously
> approved by NARA (see 36 CFR 1228.42(b)). The chosen authority must be
> applied on an agency-wide basis. You must notify NARA within 90 days
> of this GRS Transmittal No. 13 if you intend to continue using the
> agency schedule. If you wish to apply a retention period that differs
> from that specified in the GRS, you must submit a Standard Form (SF)
> 115, Request for Records Disposition Authority, to us for approval.

4\. **What do I do with Temporary Commissions, Boards, Councils and
Committee records in my agency that are not covered by GRS 26**?

> If the Temporary Commissions, Boards, Councils and Committee records
> in your agency are not covered by GRS 26 but are included in other
> approved disposition authorities, those authorities still apply. If
> Temporary Commissions, Boards, Councils and Committee records in your
> agency are not covered by GRS 26 or an approved disposition authority,
> you must submit to NARA a SF 115 to request disposition authority for
> those records.

5\. **How do I get copies of the new GRS**?

> We are posting a set of the GRS on our web site
> <http://www.archives.gov/records_management/records_schedules.html>.
> GRS 16 and GRS 26 are available for downloading in HTML, MS Word, and
> PDF formats.

6\. **Whom do I contact for further information**?

> Address questions to the appraiser in our Life Cycle Management
> Division with whom your agency normally works.

**JOHN W. CARLIN**

Archivist of the United States

[]{#Transmittal_14 .anchor}**GRS Transmittal No. 14 (GRS 27)**

**TO: Heads of Federal agencies**

**1. What does this document do?**

> GRS Transmittal 14 provides a new General Records Schedule (GRS) 27,
> Records of the Chief Information Officer. The GRS provide mandatory
> disposition instructions for temporary administrative records common
> to several Federal agencies.

**2. What records are covered by GRS 27?**

> GRS 27 provides disposal authorization for certain records created and
> maintained by Federal Chief Information Officers (CIO). This schedule
> applies to the records of CIOs at agency or departmental headquarters
> and records of deputy and subordinate CIOs at the bureau or field
> office level. The attached Frequently Asked Questions and
> Implementation Guide provide additional information.

**3. Do I have to take any action to implement this GRS change?**

> Our regulations (36 CFR 1228.50(d)) require you to disseminate GRS
> changes within 6 months of receipt. If your agency already has a
> NARA-approved agency records disposition schedule for the same series
> or system of records, you may apply either the disposition
> instructions in these GRS or the disposition instructions previously
> approved by NARA (see 36 CFR 1228.42(b)). The chosen authority must be
> applied on an agency-wide basis. You must notify NARA within 90 days
> of this GRS Transmittal No. 14 if you intend to continue using the
> agency schedule. If you wish to apply a retention period that differs
> from that specified in the GRS, you must submit a Standard Form (SF)
> 115, Request for Records Disposition Authority, to us for approval.

**4. How does this schedule differ from GRS 20, Electronic Records, and
GRS 24, Information Technology (IT) Operations and Management Records?**

> GRS 20 and GRS 24 cover certain records associated with the day-to-day
> operation of individual information systems and related support
> services. GRS 27 provides disposal authority for records documenting
> the administration of the office of the CIO and its agency-wide
> information resources management.

**5. How do I get copies of the new GRS 27?**

> We are posting a set of the GRS on our web site
> (http://www.archives.gov/records-mgmt\
> /records-schedules.html). GRS 27 is available for downloading in HTML,
> MS Word, and PDF formats.

**6. Whom do I contact for further information?**

> Address questions to the appraiser in our Life Cycle Management
> Division with whom your agency normally works.

**ALLEN WEINSTEIN**

Archivist of the United States

[]{#Transmittal_15 .anchor}**GRS Transmittal No. 15 (GRS 23)**

**TO: Heads of Federal Agencies**

**1. What does this document do?**

> GRS Transmittal 15 provides revisions to General Records Schedule
> (GRS) 23, Item 7, Transitory Records. NARA is revising this item in
> the GRS to explicitly include very short-term temporary e-mail
> messages.

**2. What records are covered by GRS 23, Item 7?**

> Transitory records are records of short-term (180 days or less)
> interest, including in electronic form (e.g., e-mail messages), which
> have minimal or no documentary or evidential value. Examples of
> transitory e-mail and other records include, but are not limited to:
> (1) routine requests for information or publications and copies of
> replies which require no administrative action, no policy decision,
> and no special compilation or research for reply; (2) originating
> office copies of letters of transmittal that do not add any
> information to that contained in the transmitted material, and
> receiving office copy if filed separately from transmitted material;
> (3) quasi-official notices including memoranda and other records that
> do not serve as the basis of official actions, such as notices of
> holidays or charity and welfare fund appeals, bond campaigns, and
> similar records; (4) records documenting routine activities containing
> no substantive information, such as routine notifications of meetings,
> scheduling of work-related trips and visits, and other scheduling
> related activities; (5) suspense and tickler files or "to-do" and task
> lists that serve as a reminder that an action is required on a given
> date or that a reply to action is expected, and if not received,
> should be traced on a given date.

**3. Do I have to take any action to implement this GRS change?**

> Our regulations (36 CFR 1228.50(d)) require you to disseminate GRS
> changes within 6 months of receipt. If your agency already has a
> NARA-approved agency records disposition schedule for the same series
> or system of records, you may apply either the disposition
> instructions in these GRS or the disposition instructions previously
> approved by NARA (see 36 CFR 1228.42(b)). The chosen authority must be
> applied on an agency-wide basis. You must notify NARA within 90 days
> of this GRS Transmittal No. 15 if you intend to continue using the
> agency schedule. If you wish to apply a retention period that differs
> from that specified in the GRS, you must submit a Standard Form (SF)
> 115, Request for Records Disposition Authority, to us for approval.

**4. How do I get copies of the new GRS 23?**

> We are posting a set of the GRS on our web site at
> http://www.archives.gov/records-mgmt/ardor/records-schedules.html. GRS
> 23 is available for downloading in HTML, MS Word, and PDF formats.

**5. Whom do I contact for further information?**

> Address questions to the appraiser in our Life Cycle Management
> Division with whom your agency normally works. A list of NARA
> workgroups is available on our website at
> http://www.archives.gov/records-mgmt/appraisal/index.html.

**Allen Weinstein**

Archivist of the United States

**GRS Transmittal No. 16 (GRS 3)**

**TO: Heads of Federal Agencies**

**1. What does this document do?**

> GRS Transmittal 16 transmits a revised General Records Schedule (GRS)
> 3, which provides disposition authorities for Procurement, Supply, and
> Grant Records. The General Records Schedules provide mandatory
> disposition instructions for temporary administrative records common
> to several Federal agencies.

**2. What changes have been made to GRS 3?**

> A new item covering the Office of Management and Budget (OMB),
> Circular A-76, Performance of Commercial Activities Records (FAIR Act
> Records) has been added to GRS 3.

**3. Do I have to take any action to implement this GRS change?**

> NARA regulations (36 CFR 1228.50(d)) require agencies to disseminate
> GRS changes within 6 months of receipt. If your agency already has a
> NARA-approved agency records disposition schedule for the same series
> or system of records, you may apply either the disposition schedule
> for the same series or system of records, you may apply either the
> disposition instructions in these GRS or the disposition instructions
> previously approved by NARA (see 36 CFR 1228.42(b)). The chosen
> authority must be applied on an agency-wide basis. You must notify
> NARA within 90 days of this GRS Transmittal 16 if you intend to
> continue using the agency schedule. If you wish to apply a retention
> period that differs from that specified in the GRS, you must submit a
> Standard Form (SF) 115, Request for Disposition Authority, to NARA for
> approval.

**4. What do I do with FAIR Act records in my agency that are not
covered by GRS 3, Item**

**18?**

> If the FAIR Act records in your agency are not covered by GRS 3, Item
> 18 but are included in other approved disposition authorities, those
> authorities still apply. If FAIR Act records in your agency are not
> covered by GRS 3, Item 18 or an approved disposition authority, you
> must submit to NARA an SF 115 to request disposition authority for
> those records.

**5. How do I get copies of the new GRS?**

> We are posting a set on our web site
> (<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>).
> GRS 3 is available for downloading in HTML, MS Word, and PDF formats.

**6. Whom do I contact for further information?**

> a\. NARA\'s Life Cycle Management Division provides assistance and
> advice to agency records officers in the Washington, DC, area. Your
> agency\'s records officer may contact the NARA appraiser or records
> analyst with whom your agency normally works. A list of the appraisal
> and scheduling work groups is posted on the NARA web site at
> <http://www.archives.gov/records-mgmt/appraisal/index.html>.
>
> b\. The Records Management staff in NARA\'s regional offices provides
> assistance to records officers across the country. A complete list of
> NARA regional facilities may be found at
> <http://www.archives.gov/locations/index.html>.

**ALLEN WEINSTEIN**

Archivist of the United States

**GRS Transmittal No. 17 (GRS 10)**

**TO: Heads of Federal Agencies**

**1. What does this document do?**

GRS Transmittal 17 transmits a revised General Records Schedule (GRS)
10, which provides disposition authorities for Motor Vehicle and
Aircraft Maintenance and Operations Records. The General Records
Schedules provide mandatory disposition instructions for temporary
administrative and certain permanent records common to several Federal
agencies.

**2. What changes have been made to GRS 10?**

Five new items covering Aircraft Maintenance and Operations Records have
been added to GRS 10. No changes were made to items 1 through 7
pertaining to motor vehicle records. Former item 8, Electronic Mail and
Word Processing Copies, has been removed, per NARA Bulletin 2006-04.

**3. Do I have to take any action to implement this GRS change?**

NARA regulations (36 CFR 1228.50(d)) require agencies to disseminate GRS
changes within 6 months of receipt. If your agency already has a
NARA-approved agency records disposition schedule for the same series or
system of records, you may apply either the disposition instructions in
these GRS or the disposition instructions previously approved by NARA
(see CFR 1228.42(b)). The chosen authority must be applied on an
agency-wide basis. You must notify NARA within 90 days of this GRS
Transmittal 17 if you intend to continue using the agency schedule. If
you wish to apply a retention period that differs from that specified in
the GRS, you must submit a Standard Form (SF) 115, Request for
Disposition Authority, to NARA for approval.

**4. What do I do with Aircraft Maintenance and Operations records in my
agency that are not covered by GRS 10, Items 9-13?**

All Aircraft Maintenance and Operations records in your agency must be
covered by an approved disposition authority. If you have records that
are not described in any part of GRS 10 or in another previously
approved disposition authority, you must submit to NARA an SF 115 to
request disposition authority for those records.

**5. Why does item 13, related to aircraft accident/incident report
records, have a shorter retention period than motor vehicle accident
reports (item 6)?**

The Federal Aviation Administration maintains a database for such
records, identified as the (aircraft) Accident/Incident Database System,
which has been scheduled as permanent. This provides a long term source
of information on these matters.

**6. How do I get copies of the new GRS?**

We are posting a set on our web site
(<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>[)]{.underline}.
GRS 10 is available for downloading in HTML, MS Word, and PDF formats.

**7. Whom do I contact for further information?**

a\. NARA's Life Cycle Management Division provides assistance and advice
to agency records officers in the Washington, DC, area. Your agency's
records officer may contact the NARA appraiser or records analyst with
whom your agency normally works. A list of the appraisal and scheduling
work groups is posted on the NARA web site at
<http://www.archives.gov/records-mgmt/appraisal/index.html>.

b\. The Records Management staff in NARA's regional offices provides
assistance to records officers across the country. A complete list of
NARA regional facilities may be found at
<http://www.archives.gov/locations/index.html>.

**ALLEN WEINSTEIN**

Archivist of the United States

**GRS Transmittal No. 18 (GRS 20)**

**TO: Heads of Federal Agencies**

**1. What does this document do**?

GRS Transmittal 18 transmits a revised General Records Schedule (GRS)
20, which provides disposition authorities for Electronic Records. The
General Records Schedules provide mandatory disposition instructions for
temporary administrative and certain permanent records common to several
Federal agencies.

**2. What changes have been made to GRS 20**?

Items 2, 3, and 11 have been revised and new items 3.1 and 16 are added.
 These revisions to GRS 20 expand the authority agencies have to apply
previously approved schedules to electronic records; grant broader
authority to agencies to dispose of hard copy records that have been
converted to an electronic format; and provide disposition instructions
for ad hoc printouts and for documentation associated with permanent
electronic records.  

**3. Do I have to take any action to implement this GRS change**?

NARA regulations (36 CFR 1228.50(d)) require agencies to disseminate GRS
changes within 6 months of receipt. If your agency already has a
NARA-approved agency records disposition schedule for the same series or
system of records, you may apply either the disposition instructions in
these GRS or the disposition instructions previously approved by NARA
(see CFR 1228.42(b)). The chosen authority must be applied on an
agency-wide basis. You must notify NARA within 90 days of this GRS
Transmittal 18 if you intend to continue using the agency schedule. If
you wish to apply a retention period that differs from that specified in
the GRS, you must submit a Standard Form (SF) 115, Request for
Disposition Authority, to NARA for approval.

**4. Will there be additional information concerning the issuance of the
revised GRS 20**? NARA will be issuing Frequently Asked Questions (FAQs)
in FY 2008 to assist agencies in developing media neutral schedules and
in implementing the new additions to GRS 20.

**5. How do I get copies of the new GRS**?

We are posting a set on our web site
(<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>[)]{.underline}.
GRS 20 is available for downloading in HTML, MS Word, and PDF formats.

**6. Whom do I contact for further information**?

a\. NARA's Life Cycle Management Division provides assistance and advice
to agency records officers in the Washington, DC, area. Your agency's
records officer may contact the NARA appraiser or records analyst with
whom your agency normally works. A list of the appraisal and scheduling
work groups is posted on the NARA web site at
<http://www.archives.gov/records-mgmt/appraisal/index.html>.

b\. The Records Management staff in NARA's regional offices provides
assistance to records officers across the country. A complete list of
NARA regional facilities may be found at
<http://www.archives.gov/locations/index.html>.

**ALLEN WEINSTEIN**

Archivist of the United States

**GRS Transmittal No. 19 (GRS 26)**

**TO: Heads of Federal Agencies**

**1. What does this document do**?

GRS Transmittal 19 transmits a revised General Records Schedule (GRS)
26, which provides disposition authorities for records of Temporary
Commissions, Boards, Councils, and Committees. The General Records
Schedules provide mandatory disposition instructions for temporary
administrative and certain permanent records common to several Federal
agencies.

**2. What changes have been made to GRS 26**?

Item 2 covering Records Created by Advisory Commissions, Committees,
Councils, Boards, and Other Groups Established under the Federal
Advisory Committee Act (FACA) has been revised to update the description
of the records and to set the age of destruction for temporary records
at 3 years. It now also includes coverage of records of formal and
informal subcommittees or subgroups of advisory committees under the
permanent sub-item. In addition, the explanatory notes with this item
are being updated to reflect current handling practices and guidance. No
changes were made to items 1, 3 and 4. Former item 5, Electronic Mail
and Word Processing Copies, has been removed, per NARA Bulletin 2006-04.

**3. Do I have to take any action to implement this GRS change**?

NARA regulations (36 CFR 1228.50(d)) require agencies to disseminate GRS
changes within 6 months of receipt. You must follow the provisions of
this GRS unless your agency has disposition instructions previously
approved by NARA AND you have previously informed NARA that you intended
to continue using the agency schedule. If you wish to apply a retention
period that differs from that specified in the GRS, or you have FACA
committee records other than those described in the GRS, you must submit
a Standard Form (SF) 115, Request for Disposition Authority, to NARA for
approval.

**4. How do I get copies of the new GRS**?

We are posting a set on our web site
(<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>[)]{.underline}.
GRS 20 is available for downloading in HTML, MS Word, and PDF formats.

**5. Whom do I contact for further information**?

a\. NARA's Life Cycle Management Division provides assistance and advice
to agency records officers in the Washington, DC, area. Your agency's
records officer may contact the NARA appraiser or records analyst with
whom your agency normally works. A list of the appraisal and scheduling
work groups is posted on the NARA web site at
<http://www.archives.gov/records-mgmt/appraisal/index.html>.

b\. The Records Management staff in NARA's regional offices provides
assistance to records officers across the country. A complete list of
NARA regional facilities may be found at
<http://www.archives.gov/locations/index.html>.

**ALLEN WEINSTEIN**

Archivist of the United States

**GRS Transmittal No. 20 (GRS 20)**

**TO: Heads of Federal Agencies**

1\. **What does this document do?**

GRS Transmittal 20 makes a number of corrections to the revised General
Records Schedule (GRS) 20 that was issued by Transmittal 18. GRS 20
provides disposition authorities for Electronic Records. Overall, the
General Records Schedules provide mandatory disposition instructions for
temporary administrative and certain permanent records common to several
Federal agencies.

**2. What corrections have been made to the revised GRS 20?**

This transmittal makes the following corrections to the revised GRS 20:
fully reinstates items 2b -- 2d, which were inadvertently omitted;
reinstates (as a cross-reference) item 11b, which was inadvertently
omitted; and makes a number of editorial corrections, primarily in the
introductory paragraphs.

**3. Do I need to take any action to implement this GRS change?**

NARA regulations (36 CFR 1228.50(d)) require agencies to disseminate GRS
changes within 6 months of receipt. If your agency already has a
NARA-approved agency records disposition schedule for the same series or
system of records, you may apply either the disposition instructions in
these GRS or the disposition instructions previously approved by NARA
(see CFR 1228.42(b)). The chosen authority must be applied on an
agency-wide basis. You must notify NARA within 90 days of this GRS
Transmittal 20 if you intend to continue using the agency schedule. If
you otherwise wish to apply a retention period that differs from that
specified in the GRS, you must submit a Standard Form (SF) 115, Request
for Disposition Authority, to NARA for approval.

4\. **How do I get copies of the new GRS?**

We are posting a set on our web site
(<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>).
GRS 20 is available for downloading in HTML, MS Word, and PDF formats.

5\. **Whom do I contact for further information?**

a\. NARA's Lifecycle Management Division provides assistance and advice
to agency records officers in the Washington, DC, area. Your agency's
records officer may contact the NARA appraiser or records analyst with
whom your agency normally works. A list of the appraisal and scheduling
work groups is posted on the NARA web site at
<http://www.archives.gov/records-mgmt/appraisal/index.html>.

b\. The Records Management staff in NARA's regional offices provides
assistance to records officers across the country. A complete list of
NARA regional facilities may be found at
<http://www.archives.gov/locations/index.html>.

**ALLEN WEINSTEIN**

Archivist of the United States

[]{#OLE_LINK1 .anchor}**GRS Transmittal No. 21 (GRS Subject Index)**

**TO: Heads of Federal Agencies**

1\. **What does this document do?** GRS Transmittal 21 provides an
updated subject index for General Records Schedules 1-27, incorporating
changes made to the Schedules since GRS Transmittal No. 8, December
1998.

2\. **How do I get copies of the GRS?** We have posted the complete set
of Schedules on our web site
(<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>).
The GRS is available for downloading in HTML, MS Word, and PDF formats.

3\. **Whom do I contact for further information?**

a\. NARA's Lifecycle Management Division provides assistance and advice
to agency records officers in the Washington, DC, area. Your agency's
records officer may contact the NARA appraiser or records analyst with
whom your agency normally works. A list of the appraisal and scheduling
work groups is posted on the NARA web site at
<http://www.archives.gov/records-mgmt/appraisal/index.html>.

b\. The Records Management staff in NARA's regional offices provides
assistance to records officers across the country. A complete list of
NARA regional facilities may be found at
<http://www.archives.gov/locations/index.html>.

**ALLEN WEINSTEIN**

Archivist of the United States

**INTRODUCTION TO THE GENERAL RECORDS SCHEDULES**

General Records Schedules (GRS) are issued by the Archivist of the
United States to provide disposition authorization for records common to
several or all agencies of the Federal Government. They include records
relating to civilian personnel, fiscal accounting, procurement,
communications, printing, and other common functions, and certain
nontextual records. They also include records relating to temporary
commissions, boards, councils and committees. These records comprise an
estimated one‑third of the total volume of records created by Federal
agencies.

In 1978, use of the GRS was made legally mandatory. The disposal
authorizations must be used by a Federal agency to the greatest extent
possible. Because these schedules are designed to cover records common
to several agencies, many of the records descriptions are general.
Agency records officers may either use the schedules as an appendix to
an agency printed schedule or tailor the general schedules to the
agency\'s own particular needs and incorporate them into agency
schedules.

The GRS covers only records that are common among several agencies. For
complete coverage of the disposition of all its records, each agency
must independently develop schedules for the remaining records. Agencies
should exercise particular care in applying items in GRS 1-16 and 18 to
subject or correspondence files that may include a mix of administrative
and program records. Usually, administrative subject files have short
retention periods, less than 3 years. Program subject files may be
needed by the agency for 10 years or more and may have archival value as
well. Except when the volume of administrative records is negligible,
agencies should maintain administrative records separately from program
records in their agency recordkeeping systems. If administrative records
are mixed with program records in the recordkeeping system and cannot be
economically segregated, the entire file must be kept for the period of
time approved for the program records. Similarly, if documents described
in the GRS are part of a subject or case file that documents activities
different from those covered by the schedules, they should be treated in
the same manner as the files of which they are a part.

For more information on scheduling records not covered by the GRS,
including potentially permanent records, see the Disposition of Federal
Records Handbook. Also, the National Archives and Records Administration
(NARA) has prepared a series of instructional guides that provide
information on scheduling nontextual records that are not covered by the
GRS. The handbook and separate guides on electronic records, audiovisual
records, and cartographic and architectural records are available from
the National Archives and Records Administration (NWCP**)**, Room G-9,
Washington, DC 20408.

GRS items cover only record copies. In some instances, more than one
copy of a document or file would be considered a record if different
offices use it to perform different functions. When it is difficult to
decide whether files are record or nonrecord materials, the records
officer should treat them as records. Records officers may consult with
the NARA Life Cycle Management Division (NWML) to determine the record
or nonrecord status of particular files.

The disposition instructions in the GRS are to be implemented without
further approval from NARA, with the exception that most records created
before January 1, 1921, must first be offered to NARA for appraisal. If
NARA rejects these records they may be destroyed immediately. GRS 3, 11,
16, and 21 have other delimiting dates. Agencies that convert records
covered by the GRS to microform should apply the GRS disposition
standards to the microform copies and destroy the paper copies after
verification of the film unless legal considerations require longer
retention of the paper (36 CFR 1230.10(b)). No further authorization
from NARA is required to implement these provisions. If an agency wishes
to apply a different retention period for any series of records included
in the GRS, the records officer must submit a Standard Form (SF) 115
providing justification for the deviation.

The GRS includes an index of commonly used Standard and Optional Forms.
The forms index includes only the forms most frequently used by the
various Government agencies.

Items at the end of GRS 1‑16, 18, 23, 24, 25 and 26 provide disposition
instructions for electronic mail and word processing copies, maintained
apart from the recordkeeping copy, of the records described in the other
items in those schedules. The other items authorize the disposition of
the recordkeeping copy. The electronic mail and word processing records
covered in each of those schedules are those that remain in personal and
shared directories after the recordkeeping copy has been produced, and
electronic copies used for dissemination, revision, or updating that are
maintained in addition to the recordkeeping copy.

Questions of applicability of any GRS item to agency records or
differences of interpretation between the records officer and other
agency personnel that cannot be reconciled within the agency may be
referred to the Director, Life Cycle Management Division (NWML), NARA,
from offices in the Washington, DC area, or the NARA regional records
services facility from offices outside the Washington, DC area.

Some records series covered by the GRS are eligible for retirement to
the Washington National Records Center or to records center storage in a
NARA regional records services facility. Records should be retired from
agency space to such storage only if transfer costs do not exceed the
expense of retaining them in agency space. Records sent to records
center storage in a NARA facility should have a remaining retention of
at least 1 year. If special circumstanc­es, such as lack of filing
equipment or space, make it imperative that records be retired,
exceptions can be made to this policy. These decisions are made on an
individual basis by the appropriate NARA facility director. Procedures
for transfer of records to records center storage in a NARA facility are
found in NARA regulations (36 CFR 1228.152).

# GENERAL RECORDS SCHEDULE 1 {#general-records-schedule-1 .unnumbered}

**Civilian Personnel Records**

Agency civilian personnel records relate to the supervision over and
management of Federal civilian employees. This schedule covers the
disposition of Official Personnel Folders of civilian employees and
other records relating to civilian personnel, wherever located in the
agency. Specifically excluded are program records of the Office of
Personnel Management (OPM), the Bureau of Medical Services (PHS/HHS),
the Office of Workers\' Compensation Programs (DOL), and the Equal
Employment Opportunity Commission. Any records created prior to January
1, 1921, must be offered to the National Archives and Records
Administration (NARA) for appraisal before these disposition
instructions may be applied.

The most important types of records, the Official Personnel Folders, the
Service Record Cards, and the Employee Medical Folders, are maintained
according to *The Guide to Personnel Recordkeeping*, an OPM manual that
prescribes a system of recordkeeping for Federal personnel.

1.  [Official Personnel Folders (OPFs).]{.underline}

> Records filed on the right side of the OPF. (See GRS 1, item 10, for
> temporary papers on the left side of the OPF). Folders covering
> employment terminated after December 31, 1920, excluding those
> selected by NARA for permanent retention.

a\. Transferred employees.

See Chapter 7 of *The Guide to Personnel Recordkeeping* for instructions
relating to folders of employees transferred to another agency.

b\. Separated employees.

Transfer folder to National Personnel Records Center (NPRC), St. Louis,
MO, 30 days after latest separation. \[See note (2) after this item\].
NPRC will destroy 65 years after separation from Federal service.

\[**NOTES**: (1) OPFs covering periods of employment terminated prior to
January 1, 1921, are not covered by this item. If an agency has such
files, it should contact NARA to request appraisal of the files. If NARA
rejects the records, the disposition for GRS 1, item 1b applies. (2)
Certain agencies have been exempted by OPM from retiring their OPFs to
NPRC. These agencies retain OPFs for the period specified in item 1b of
this schedule and effect destruction after that period has elapsed.\]

2\. [Service Record Cards]{.underline}. \[See note after item 2b.\]

Service Record Card (Standard Form (SF) 7 or equivalent).

a\. Cards for employees separated or transferred on or before December
31, 1947.

Transfer to NPRC (CPR), St. Louis, MO. Destroy 60 years after earliest
personnel action.

b\. Cards for employees separated or transferred on or after January 1,
1948.

Destroy 3 years after separation or transfer of employee.

\[**NOTE**: Effective December 31, 1994, the SF 7 card became
obsolete.\]

3\. [Personnel Correspondence Files.]{.underline}

Correspondence, reports, and other records relating to the general
administration and operation of personnel functions, but excluding
records specifically described elsewhere in this schedule and records
maintained at agency staff planning levels.

Destroy when 3 years old.

4\. [Offers of Employment Files]{.underline}.

Correspondence, including letters and telegrams, offering appointments
to potential employees.

a\. Accepted offers.

Destroy when appointment is effective.

b\. Declined offers:

\(1\) When name is received from certificate of eligibles.

Return to OPM with reply and application.

(2) Temporary or excepted appointment.

    File with application (see GRS 1, items 33k, 33l, 33m, or 33n, as
    appropriate).

(3) All others.

    Destroy immediately.

    5\. [Certificate of Eligibles Files.]{.underline}

    Copies obtained from OPM of certificates of eligibles with related
    requests, forms, correspondence, and statement of reasons for
    passing over a preference eligible and selecting a nonpreference
    eligible.

    Destroy when 2 years old.

    6\. [Employee Record Cards]{.underline}. \[See note after this
    item.\]

    Employee record cards used for informational purposes outside
    personnel offices (such as SF 7B).

    Destroy on separation or transfer of employee.

\[**NOTE**: Effective December 31, 1994, the SF 7 card became obsolete.
Agencies may use an internal agency form.\]

7\. [Position Classification Files.]{.underline}

a.  Position Classification Standards Files.

```{=html}
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```
(1) Standards and guidelines issued or reviewed by OPM and used to
    classify and evaluate positions within the agency.

> Destroy when superseded or obsolete.
>
> \(2\) Standards and guidelines issued or reviewed by OPM and used to
> classify and evaluate positions within the agency.
>
> Correspondence and other records relating to the development of
> standards for classification of positions peculiar to the agency, and
> OPM approval or disapproval.

(a) Case file.

    Destroy 5 years after position is abolished or description is
    superseded.

    \(b\) Review File.

    Destroy when 2 years old.

b\. Position Descriptions.

> Record copy of position descriptions that include information on
> title, series, grade, duties and responsibilities, and related
> documents.
>
> Destroy 2 years after position is abolished or description is
> superseded.

c\. Survey Files.

> \(1\) Classification survey reports on various positions prepared by
> classification specialists, including periodic reports.
>
> Destroy when 3 years old or 2 years after regular inspection,
> whichever is sooner.
>
> \(2\) Inspection, audit, and survey files including correspondence,
> reports, and other records relating to inspections, surveys, desk
> audits, and evaluations.
>
> Destroy when obsolete or superseded
>
> d\. Appeals Files.
>
> \(1\) Case files relating to classification appeals, excluding OPM
> classification certificate.
>
> Destroy 3 years after case is closed.
>
> \(2\) Certificates of classification issued by OPM.
>
> Destroy after affected position is abolished or superseded.

8\. [Interview Records]{.underline}.

Correspondence, reports, and other records relating to interviews with
employees.

Destroy 6 months after transfer or separation of employee.

9\. [Performance Rating Board Case Files]{.underline}.

Copies of case files forwarded to OPM relating to performance rating
board reviews

Destroy 1 year after case is closed.

10\. [Temporary Individual Employee Records.]{.underline}

> a\. All copies of correspondence and forms maintained on the left side
> of the Official Personnel Folder in accordance with Chapter 3 of *The
> Guide to Personnel Recordkeeping*, EXCLUDING the Immigration and
> Naturalization Service Form I-9 and performance-related records.
>
> Destroy when superseded or obsolete, or upon separation or transfer of
> employee, unless specifically required to be transferred with the OPF.
> See item 10b for disposition of I-9 Forms and item 23 of this schedule
> for disposition of temporary performance-related records.
>
> b\. Immigration and Naturalization Service Form I-9.
>
> Destroy 3 years after employee separates from service or transfers to
> another agency.

11\. [Position Identification Strips]{.underline}. \[See note after this
item.\]

> Strips, such as the former SF 7D, containing summary data on each
> position occupied.
>
> Destroy when superseded or obsolete.

\[**NOTE**: Effective December 31, 1994, the SF 7D became obsolete.\]

12\. [Employee Awards Files]{.underline}. \[See note after item 12d.\]

> a\. General awards records, EXCLUDING those relating to
> department-level awards.
>
> \(1\) Case files including recommendations, approved nominations,
> correspondence, reports, and related handbooks pertaining to
> agency-sponsored cash and noncash awards such as incentive awards,
> within-grade merit increases, suggestions, and outstanding
> performance.
>
> Destroy 2 years after approval or disapproval.
>
> \(2\) Correspondence pertaining to awards from other Federal agencies
> or non-Federal organizations.
>
> Destroy when 2 years old.
>
> b\. Length of service and sick leave awards files.
>
> Records including correspondence, reports, computations of service and
> sick leave, and lists of awardees.
>
> Destroy when 1 year old.
>
> c\. Letters of commendation and appreciation.
>
> Copies of letters recognizing length of service and retirement and
> letters of appreciation and commendation for performance, EXCLUDING
> copies filed in the OPF.
>
> Destroy when 2 years old.
>
> d\. Lists of or indexes to agency award nominations.
>
> Lists of nominees and winners and indexes of nominations.
>
> Destroy when superseded or obsolete.

\[**NOTE**: Records relating to department-level awards must be
scheduled by submitting an SF 115, Request for Records Disposition
Authority, to NARA.\]

13\. [Incentive Awards Program Reports.]{.underline}

Reports pertaining to the operation of the Incentive Awards Program.

Destroy when 3 years old.

14\. [Notifications of Personnel Actions.]{.underline}

> Standard Form 50, documenting all individual personnel actions such as
> employment, promotions, transfers, separation, exclusive of the copy
> in the OPF.
>
> a\. Chronological file copies, including fact sheets, maintained in
> personnel offices.
>
> Destroy when 2 years old.
>
> b\. All other copies maintained in personnel offices.
>
> Destroy when 1 year old.

15\. [RESERVED]{.underline}

16\. [Personnel Operations Statistical Reports.]{.underline}

> Statistical reports in the operating personnel office and subordinate
> units relating to personnel.

Destroy when 2 years old.

17\. [Correspondence and Forms Files]{.underline}.

> Operating personnel office records relating to individual employees
> not maintained in OPFs and not provided for elsewhere in this
> schedule.

a\. Correspondence and forms relating to pending personnel actions.

> Destroy when action is completed.

b\. Retention registers and related records.

> \(1\) Registers and related records used to effect reduction-in-force
> actions.
>
> Destroy when 2 years old.
>
> \(2\) Registers from which no reduction-in-force actions have been
> taken and related records.
>
> Destroy when superseded or obsolete.

c\. All other correspondence and forms.

> Destroy when 6 months old.

18\. [Supervisors\' Personnel Files and Duplicate OPF
Documentation.]{.underline}

a\. Supervisors\' Personnel Files.

> Correspondence, forms, and other records relating to positions,
> authorizations, pending actions, position descriptions, requests for
> personnel action, and records on individual employees duplicated in or
> not appropriate for the OPF.
>
> Review annually and destroy superseded or obsolete documents, or
> destroy file relating to an employee within 1 year after separation or
> transfer.

b\. Duplicate Documentation.

> Other copies of documents duplicated in OPFs not provided for
> elsewhere in this schedule.
>
> Destroy when 6 months old.

19\. [Individual Non-Occupational Health Record Files.]{.underline}

> Forms, correspondence, and other records, including summary records,
> documenting an individual employee\'s medical history, physical
> condition, and visits to Government health facilities, for
> nonwork-related purposes, EXCLUDING records covered by item 21 of this
> schedule.
>
> Destroy 6 years after date of last entry.

20\. [Health Unit Control Files.]{.underline}

> Logs or registers reflecting daily number of visits to dispensaries,
> first aid rooms, and health units.

a\. If information is summarized on statistical report.

> Destroy 3 months after last entry.

b\. If information is not summarized.

> Destroy 2 years after last entry.

21\. [Employee Medical Folder (EMF).]{.underline} \[See note after item
21c.\]

a\. Long-term medical records as defined in 5 CFR Part 293, Subpart E.

> \(1\) Transferred employees.
>
> See 5 CFR Part 293, Subpart E for instructions.
>
> \(2\) Separated employees.
>
> Transfer to NPRC, St. Louis, MO, 30 days after separation. NPRC will
> destroy 75 years after birth date of employee; 60 years after date of
> the earliest document in the folder, if the date of birth cannot be
> ascertained; or 30 years after latest separation, whichever is later.
>
> b\. Temporary or short-term records as defined in the Federal
> Personnel Manual (FPM).
>
> Destroy 1 year after separation or transfer of employee.
>
> c\. Individual employee health case files created prior to
> establishment of the EMF system that have been retired to a NARA
> records storage facility.
>
> Destroy 60 years after retirement to the NARA records storage
> facility.

\[**NOTE**: Electronic master files and databases created to supplement
or replace the records covered by item 21 are not authorized for
disposal under the GRS. Such files must be scheduled on an SF 115.\]

22\. [Statistical Summaries]{.underline}. \[See not after this item.\]

> Copies of statistical summaries and reports with related papers
> pertaining to employee health, retained by the reporting unit.
>
> Destroy 2 years after date of summary or report.

\[**NOTE**: Electronic master files and databases created to supplement
or replace the records covered by this item are not authorized for
disposal under the GRS. Such files must be scheduled on an SF 115.\]

23\. [Employee Performance File System Records]{.underline}. \[See note
after item 23b(4).\]

a\. Non-SES appointees (as defined in 5 U.S.C. 4301(2)).

> \(1\) Appraisals of unacceptable performance, where a notice of
> proposed demotion or removal is issued but not affected and all
> related documents.
>
> Destroy after the employee completes 1 year of acceptable performance
> from the date of the written advance notice of proposed removal or
> reduction-in-grade notice.
>
> \(2\) Performance records superseded through an administrative,
> judicial, or quasi-judicial procedure.
>
> Destroy when superseded.
>
> \(3\) Performance-related records pertaining to a former employee.
>
> \(a\) Latest rating of record 3 years old or less, performance plan
> upon which it is based, and any summary rating.
>
> Place records on left side of the OPF and forward to gaining Federal
> agency upon transfer or to NPRC if employee separates (see item 1b of
> this schedule). An agency retrieving an OPF from NPRC will dispose of
> these documents in accordance with item 23a(3)(b) of this schedule.
>
> \(b\) All other performance plans and ratings.
>
> Destroy when 4 years old.
>
> \(4\) All other summary performance appraisal records, including
> performance appraisals and job elements and standards upon which they
> are based.
>
> Destroy 4 years after date of appraisal.
>
> \(5\) Supporting documents.
>
> Destroy 4 years after date of appraisal.
>
> b\. SES appointees (as defined in 5 U.S.C. 3132a(2)).
>
> \(1\) Performance records superseded through an administrative,
> judicial, or quasi-judicial procedure.
>
> Destroy when superseded.
>
> \(2\) Performance-related records pertaining to a former SES
> appointee.
>
> \(a\) Latest rating of record that is less than 5 years old,
> performance plan upon which it is based, and any summary rating.
>
> Place records on left side of the OPF and forward to gaining Federal
> agency upon transfer or to NPRC if employee leaves Federal service
> (see item 1b of this schedule). An agency retrieving an OPF from NPRC
> will dispose of those documents in accordance with item 23b(2)(b) of
> this schedule.
>
> \(b\) All other performance ratings and plans.
>
> Destroy when 5 years old.
>
> \(3\) All other performance appraisals, along with job elements and
> standards (job expectations) upon which they are based, EXCLUDING
> those for SES appointees serving on a Presidential appointment (5 CFR
> 214).
>
> Destroy 5 years after date of appraisal.
>
> \(4\) Supporting documents.
>
> Destroy 5 years after date of appraisal.

\[**NOTE**: Performance records pertaining to Presidential appointees
are not covered by the GRS. Such records must be scheduled by submitting
an SF 115 to NARA.\]

24\. [Reasonable Accommodation Request Records]{.underline}

Information created and maintained while receiving, coordinating,
reviewing, processing, approving, and reporting requests for reasonable
accommodation from federal employees and applicants under the
Rehabilitation Act of 1973 and Executive Order 13164. A reasonable
accommodation is a change in the work environment or in the way things
are customarily done that would enable an individual with a disability
to enjoy equal employment opportunities. The three categories of
reasonable accommodation are:

-   Modification or adjustments to a job application process to permit
    an individual with a disability to be considered for a job, such as
    providing application forms in large print or Braille;

-   Modifications or adjustments necessary to enable a qualified
    individual with a disability to perform essential functions of the
    job, such as providing sign language interpreters; and

-   Modifications or adjustments that enable employees with disabilities
    to enjoy equal benefits and privileges of employment, such as
    removing physical barriers in an office or cafeteria.

> This schedule includes all requests for reasonable accommodation
> and/or assistive technology devices and services offered through the
> agency or the Computer/Electronic Accommodation Program (CAP) that are
> made by or on behalf of applicants, current or former employees. Also
> included are medical records, supporting notes and documentation, as
> well as procedures and records related to processing, deciding,
> implementing, and tracking requests for reasonable accommodation(s).
>
> a\. General Files
>
> Agency-wide and departmental procedures for receiving, processing, and
> appealing requests for reasonable accommodation by employees and
> applicants. Files may include, but are not limited to, instructions,
> directives, notices, forms, timetables and guidelines for requesting,
> processing and approving requests and for appealing decisions for
> reasonable accommodation. Also included are records notifying the
> Equal Employment Opportunity Commission (EEOC), the agency's
> collective bargaining representative(s) and the agency's Equal
> Employment Opportunity office of the agency's reasonable accommodation
> request and processing procedures as well as modifications to
> established procedures.

Destroy three years after supercession or when no longer needed for
reference whichever is later.

> b\. Employee Case Files
>
> Individual employee files that are created, received, and maintained
> by EEO reasonable accommodation or diversity/disability program or
> employee relations coordinators, immediate supervisors, CAP
> administrator, or HR specialists containing records of requests for
> reasonable accommodation and/or assistive technology devises and
> services through the agency or CAP that have been requested for or by
> an employee. This series also includes, but is not limited to, request
> approvals and denials, notice of procedures for informal dispute
> resolution or appeal processes, forms, correspondence, emails, records
> of oral conversations, medical documentation, and notes.

Destroy three years after employee separation from the agency or all
appeals are concluded whichever is later.

> \[**Note:** These records are neither part of an employee's Official
> Personnel File (OPF) nor part of a supervisor's unofficial personnel
> file.\]
>
> c\. Supplemental Files
>
> Records created, received, and maintained by EEO reasonable
> accommodation or diversity/disability program or employee relation
> coordinators, while advising on, implementing or appealing requests
> for or from an individual employee for reasonable accommodation. Some
> requests may involve HR matters, including but not limited to changes
> in duties, reassignments, leave usage, and performance issues. Files
> may include, but are not limited to, policy guidance, resource
> information about accommodation providers, forms, emails, notes.
>
> Destroy three years after end of fiscal year in which accommodation is
> decided or all appeals are concluded, whichever is later.
>
> \[**Note**: These records are neither part of an employee's Official
> Personnel File (OPF) nor part of a supervisor's unofficial personnel
> file.\]
>
> d\. Tracking System

Records and data created, received, and maintained for purposes of
tracking agency compliance with Executive Order 13164 and Equal
Employment Opportunity Commission (EEOC) guidance.

Delete/destroy three years after compliance report is filed or when no
longer needed for reference.

25. [Equal Employment Opportunity (EEO) Records]{.underline}.

a\. Official Discrimination Complaint Case Files.

> Originating agency\'s file containing complaints with related
> correspondence, reports, exhibits, withdrawal notices, copies of
> decisions, records of hearings and meetings, and other records as
> described in 29 CFR 1613.222. Cases resolved within the agency, by
> Equal Employment Opportunity Commission, or by a U.S. Court.
>
> Destroy 4 years after resolution of case.
>
> b\. Copies of Complaint Case Files.
>
> Duplicate case files or documents pertaining to case files retained in
> Official Discrimination Complaint Case Files.
>
> Destroy 1 year after resolution of case.
>
> c\. Preliminary and Background Files.
>
> \(1\) Background records not filed in the Official Discrimination
> Complaint Case Files.
>
> Destroy 2 years after final resolution of case.
>
> \(2\) Records documenting complaints that do not develop into Official
> Discrimination Complaint Cases.
>
> Destroy when 2 years old.

d\. Compliance Records.

> \(1\) Compliance Review Files.
>
> Reviews, background documents, and correspondence relating to
> contractor employment practices.
>
> Destroy when 7 years old.
>
> \(2\) EEO Compliance Reports.
>
> Destroy when 3 years old.

e\. Employee Housing Requests.

> Forms requesting agency assistance in housing matters, such as rental
> or purchase.
>
> Destroy when 1 year old.

f\. Employment Statistics Files. \[See note after this item.\]

> Employment statistics relating to race and sex.
>
> Destroy when 5 years old.

\[**NOTE**: Electronic master files and databases created to supplement
or replace the records covered by this subitem are not authorized for
disposal under the GRS. Such files must be scheduled on an SF 115.\]

g\. EEO General Files.

> General correspondence and copies of regulations with related records
> pertaining to the Civil Rights Act of 1964, the EEO Act of 1972, and
> any pertinent later legislation, and agency EEO Committee meeting
> records, including minutes and reports.
>
> Destroy when 3 years old, or when superseded or obsolete, whichever is
> applicable.

h\. EEO Affirmative Action Plans (AAP).

> \(1\) Agency copy of consolidated AAP(s).
>
> Destroy 5 years from date of plan.
>
> \(2\) Agency feeder plan to consolidated AAP(s).
>
> Destroy 5 years from date of feeder plan or when administrative
> purposes have been served, whichever is sooner.
>
> \(3\) Report of on-site reviews of Affirmative Action Programs.
>
> Destroy 5 years from date of report.
>
> \(4\) Agency copy of annual report of Affirmative Action
> accomplishments.
>
> Destroy 5 years from date of report.

26\. [Personnel Counseling Records.]{.underline}

a\. Counseling Files.

> Reports of interviews, analyses, and related records.
>
> Destroy 3 years after termination of counseling.

b\. Alcohol and Drug Abuse Program.

> Records created in planning, coordinating, and directing an alcohol
> and drug abuse program.
>
> Destroy when 3 years old.

27\. [Alternative Dispute Resolution (ADR) Files]{.underline}**.**

Alternative Dispute Resolution (ADR) is any procedure, conducted by a
neutral third party, that is used to resolve issues in controversy,
including, but not limited to, conciliation, facilitation, mediation,
fact finding, minitrials, arbitration and use of ombuds. The records
covered by this schedule relate to techniques and processes used in an
agency's ADR program in resolving disputes with or between its own
employees.

\[**NOTE**: This schedule does not apply to: 1. Administrative grievance
files, 2. Adverse action files, 3. Formal and informal equal employment
opportunity proceedings, 4. Traditional EEO counseling or other records
included in the EEO file when a person chooses to go directly to ADR, or
5. Private party claims or EEOC's involvement with federal sector claims
of non-EEOC employees against other federal agencies. These records are
covered by other items in GRS 1. This schedule does not apply to ADR
records that are produced as part of an agency's primary mission.\]

> a\. General Files: General correspondence and copies of statutes,
> regulations, meeting minutes, reports, statistical tabulations,
> evaluations of the ADR program, and other records relating to the
> agency's overall ADR program.

Destroy when 3 years old. Longer retention is authorized if records are
needed for agency business.

> b\. Case Files: Records documenting ADR proceedings. These files may
> include an agreement to use ADR, documentation of the settlement or
> discontinuance of the ADR case, parties' written evaluations of the
> process and/or the neutral third party mediator, and related
> correspondence.
>
> Destroy 3 years after settlement is implemented or case is
> discontinued.

28\. [Labor Management Relations Records.]{.underline}

> a\. Labor Management Relations General and Case Files.
>
> Correspondence, memoranda, reports, and other records relating to the
> relationship between management and employee unions or other groups.
>
> \(1\) Office negotiating agreement.
>
> Destroy 5 years after expiration of agreement.
>
> \(2\) Other offices.
>
> Destroy when superseded or obsolete.
>
> b\. Labor Arbitration General and Case Files.
>
> Correspondence, forms, and background papers relating to labor
> arbitration cases.
>
> Destroy 5 years after final resolution of case.

29\. [Training Records.]{.underline}

> EXCLUDING records of formally established schools which train agency
> employees in specialized program areas, such as law enforcement and
> national defense. \[See note after item 29b.\]
>
> a\. General file of agency-sponsored training, EXCLUDING record copy
> of manuals, syllabuses, textbooks, and other training aids developed
> by the agency.
>
> \(1\) Correspondence, memoranda, agreements, authorizations, reports,
> requirement reviews, plans, and objectives relating to the
> establishment and operation of training courses and conferences.
>
> Destroy when 5 years old or 5 years after completion of a specific
> training program.
>
> \(2\) Background and working files.
>
> Destroy when 3 years old.
>
> b\. Employee training.
>
> Correspondence, memoranda, reports, and other records relating to the
> availability of training and employee participation in training
> programs sponsored by other government agencies or non-Government
> institutions.
>
> Destroy when 5 years old or when superseded or obsolete, whichever is
> sooner.

\[**NOTE**: Records excluded from this item must be scheduled by
submission of an SF 115 to NARA.\]

30\. [Administrative Grievance, Disciplinary, and Adverse Action
Files]{.underline}. \[See note after item 30b.\]

a\. Administrative Grievance Files (5 CFR 771).

> Records relating to grievances raised by agency employees, except EEO
> complaints. These case files include statements of witnesses, reports
> of interviews and hearings, examiner\'s findings and recommendations,
> a copy of the original decision, related correspondence and exhibits,
> and records relating to a reconsideration request.
>
> Destroy no sooner than 4 years but no later than 7 years after case is
> closed.
>
> b\. Adverse Action Files (5 CFR 752) and Performance-Based Actions (5
> CFR 432).
>
> Case files and records related to adverse actions and
> performance-based actions (removal, suspension, reduction-in-grade,
> furlough) against employees. The file includes a copy of the proposed
> adverse action with supporting documents; statements of witnesses;
> employee\'s reply; hearing notices, reports, and decisions; reversal
> of action; and appeal records, EXCLUDING letters of reprimand which
> are filed in the OPF.
>
> Destroy no sooner than 4 years but no later than 7 years after case is
> closed.

\[**NOTE**: OPM has determined that agencies may decide how long, within
the range of 4 to 7 years, grievance and adverse action files need to be
retained. To implement this authority, each agency must select one fixed
retention period, between 4 and 7 years, for the entire series of its
closed cases. Agencies are not authorized to use different retention
periods for individual cases. The agency should publish the chosen
retention period in the Privacy Act notice for these records, the
agency\'s records disposition manual, and any other issuance dealing
with the disposition of these records.\]

31\. [Personal Injury Files]{.underline}.

> Forms, reports, correspondence, and related medical and investigatory
> records relating to on-the-job injuries, whether or not a claim for
> compensation was made, EXCLUDING copies filed in the Employee Medical
> Folder and copies submitted to the Department of Labor.
>
> Cut off on termination of compensation or when deadline for filing a
> claim has passed. Destroy 3 years after cutoff.

32\. [Merit Promotion Case Files]{.underline}.

> Records relating to the promotion of an individual that document
> qualification standards, evaluation methods, selection procedures, and
> evaluations of candidates.
>
> Destroy after OPM audit or 2 years after the personnel action is
> completed, whichever is sooner.

33\. [Examining and Certification Records.]{.underline}

> Delegated agreements and related records created under the authority
> of 5 U.S.C. 1104 between the OPM and agencies, allowing for the
> examination and certification of applicants for employment.
>
> a\. Delegated agreements.
>
> Destroy 3 years after termination of agreement.
>
> b\. Correspondence concerning applications, certification of
> eligibles, and all other examining and recruiting operations. Such
> correspondence, includes, but is not limited to, correspondence from
> Congress, White House, and the general public, and correspondence
> regarding accommodations for holding examinations and shipment of test
> materials.
>
> Cut off annually. Destroy 1 year after cutoff.
>
> c\. Correspondence or notices received from eligibles indicating a
> change in name, address, or availability.
>
> Destroy 90 days after updating the appropriate record in the registry
> or inventory.
>
> d\. Test material stock control.
>
> Stock control records of examination test material including running
> inventory of test material in stock.
>
> Destroy when test is superseded or obsolete.
>
> e\. Application Record Card (OPM Form 5000A, or equivalent).
>
> Cut off after examination. Destroy no later than 90 days after cutoff.
>
> f\. Examination Announcement Case Documentation Files.
>
> Correspondence regarding examination requirements, final version of
> announcement(s) issued, subsequent amendments to announcement(s),
> public notice documentation, rating schedule, job analysis
> documentation, record of selective and quality rating factors, rating
> procedures, transmutation tables, and other documents associated with
> the job announcement(s) and the development of the register/inventory
> or case examination.
>
> Cut off after termination of related register or inventory or after
> final action is taken on the certificate generated by case examining
> procedures. Destroy 2 years after cut off.
>
> g\. Register or inventory of eligibles (OPM Form 5001-C or equivalent,
> documenting eligibility of an individual for Federal jobs).
>
> Destroy 2 years after the date on which the register of inventory is
> terminated.
>
> h\. Letters to applicants denying transfer of eligibility (OPM Form
> 4896 or equivalent).
>
> Cut off annually. Destroy 1 year after cutoff.
>
> i\. Test Answer Sheets.
>
> Written test answer sheets for both eligibles and ineligibles. Filed
> by date of processing.
>
> Destroy when 6 months old.
>
> j\. Lost or Exposed Test Material Case Files.
>
> Records showing the circumstances of loss, nature of the recovery
> action, and corrective action required.
>
> Cut off files annually. Destroy 5 years after cutoff.
>
> k\. Cancelled and ineligible applications for positions filled from a
> register or inventory. Such documents include Optional form (OF) 612,
> resumes, supplemental forms, and attachments, whether in hard copy or
> electronic format.
>
> Cut off annually. Destroy 1 year after cutoff.
>
> l\. Eligible applications for positions filled from a register or
> inventory, including OF 612, resumes, supplemental forms, and
> attachments, whether in hard copy or electronic format.
>
> \(1\) On active register or inventory.
>
> Destroy 90 days after termination of the register or inventory,
> (except for those applications that may be brought forward to a new
> register or inventory, if any).
>
> \(2\) On inactive register or inventory.
>
> Cut off annually. Destroy 1 year after cut off.
>
> m\. Ineligible or incomplete applications for positions filled by case
> examining. Such documents include OF 612, resumes, supplemental forms,
> whether in hard copy or electronic format.
>
> Cutoff annually. Destroy 2 years after cutoff.
>
> n\. Eligible applications for positions filled by case examining that
> either are not referred to the hiring official or are returned to the
> examining office by the hiring official. Such documents include OF
> 612, resumes, supplemental forms, and attachments, whether in hard
> copy or electronic format.
>
> Cutoff annually. Destroy 2 years after cutoff.
>
> o\. Request for prior approval of personnel actions taken by agencies
> on such matters as promotion, transfer, reinstatement, or change in
> status, submitted by SF 59, OPM 648, or equivalent form.
>
> Cut off annually. Destroy 1 year after cutoff.
>
> p\. Certificate Files, including SF 39, SF 39A, or equivalent, and all
> papers upon which the certification was based: the list of eligibles
> screened for the vacancies, ratings assigned, availability statements,
> the certificate of eligibles that was issued to the selecting
> official, the annotated certificate of eligibles that was returned
> from the selecting official, and other documentation material
> designated by the examiner for retention.
>
> Cut off annually. Destroy 2 years after cutoff.
>
> q\. Certification request control index. Certificate control log
> system. Records of information (e.g. receipt date, series, and grade
> of position, duty station, etc.) pertaining to requests for lists of
> eligibles from a register or inventory.
>
> Cut off annually. Destroy 2 years after cutoff.
>
> r\. Interagency Placement Program (IPP) application and registration
> sheet.
>
> Destroy upon expiration of employee\'s DEP eligibility.
>
> s\. DEP control cards, if maintained.
>
> Cut off annually. Destroy 2 years after cut off.
>
> t\. Reports of audits of delegated examining operations.
>
> Destroy 3 years after date of the report.

34\. [Occupational Injury and Illness Files.]{.underline}

> Reports and logs (including Occupational Safety and Health
> Administration (OSHA) Forms 100, 101, 102, and 200, or equivalents)
> maintained as prescribed in 29 CFR 1960 and OSHA pamphlet 2014 to
> document all recordable occupational injuries and illnesses for each
> establishment.
>
> Destroy when 5 years old.

35\. [Denied Health Benefits Requests Under Spouse Equity.]{.underline}
\[See note after item 35b(2).\]

> Denied eligibility files consisting of applications, court orders,
> denial letters, appeal letters, and related papers.
>
> a\. Health benefits denied, not appealed.
>
> Destroy 3 years after denial.
>
> b\. Health benefits denied, appealed to OPM for reconsideration.
>
> \(1\) Appeal successful - benefits granted.
>
> Create enrollment file in accordance with Subchapter S17 of the **FEHB
> Handbook**.
>
> \(2\) Appeal unsuccessful - benefits denied.
>
> Destroy 3 years after denial.

\[**NOTE**: Pursuant to Subchapter S17 of the **FEHB Handbook**
enrollment files of spouses eligible for benefits are transferred to OPM
when former spouse cancels the enrollment, when enrollment is terminated
by the employing office, or when former spouse begins receiving an
annuity payment.\]

36\. [Federal Workplace Drug Testing Program Files]{.underline}. \[See
notes after item 36e(2).\]

> Drug testing program records created under Executive Order 12564 and
> Public Law 100-71, Section 503 (101 Stat. 468), EXCLUDING consolidated
> statistical and narrative reports concerning the operation of agency
> programs, including annual reports to Congress, as required by Pub. L.
> 100-71, 503(f).
>
> This authorization does not apply to oversight program records of the
> Department of Health and Human Services, the Office of Personnel
> Management, the Office of Management and Budget, the Office of
> National Drug Control Policy, and the Department of Justice.
>
> a\. Drug test plans and procedures, EXCLUDING documents that are filed
> in record sets of formal issuances (directives, procedures handbooks,
> operating manuals, and the like.)
>
> Agency copies of plans and procedures, with related drafts,
> correspondence, memoranda, and other records pertaining to the
> development of procedures for drug testing programs, including the
> determination of testing incumbents in designated positions.
>
> Destroy when 3 years old or when superseded or obsolete. \[See note
> (2) after item 36e(2).\]
>
> b\. Employee acknowledgment of notice forms.
>
> Forms completed by employees whose positions are designated sensitive
> for drug testing purposes acknowledging that they have received notice
> that they may be tested.
>
> Destroy when employee separates from testing-designated position.
> \[See note (2) after item 36e(2).\]
>
> c\. Selection/scheduling records.
>
> Records relating to the selection of specific employees/applicants for
> testing and the scheduling of tests. Included are lists of selectees,
> notification letters, and testing schedules.
>
> Destroy when 3 years old. \[See note (2) after item 36e(2).\]
>
> d\. Records relating to the collection and handling of specimens.
>
> \(1\) \"Record Books.\"
>
> Bound books containing identifying data on each specimen, recorded at
> each collection site in the order in which the specimens were
> collected.
>
> Destroy 3 years after date of last entry. \[See note (2) after item
> 36e(2).\]
>
> \(2\) Chain of custody records.
>
> Forms and other records used to maintain control and accountability of
> specimens from the point of collection to the final disposition of the
> specimen.
>
> Destroy when 3 years old. \[See note (2) after item 36e(2).\]
>
> e\. Test results.
>
> Records documenting individual test results, including reports of
> testing, notifications of employees/applicants and employing offices,
> and documents relating to follow-up testing.
>
> \(1\) Positive results.
>
> \(a\) Employees.
>
> Destroy when employee leaves the agency or when 3 years old, whichever
> is later.
>
> \(b\) Applicants not accepted for employment.
>
> Destroy when 3 years old. \[See note (2) after item 36e(2).\]
>
> \(2\) Negative results.
>
> Destroy when 3 years old.

\[**NOTES**: (1) Disciplinary action case files pertaining to actions
taken against employees for drug use, drug possession, failure to comply
with drug testing procedures, and similar matters are covered by GRS 1,
item 30b, which authorizes destruction of records between 4 and 7 years
after the case is closed. (2) Any records covered by items 36 a-e that
are relevant to litigation or disciplinary actions should be disposed of
no earlier than the related litigation or adverse action case file(s).\]

37\. [Donated Leave Program Case Files.]{.underline}

> Case files documenting the receipt and donation of leave for medical
> emergencies, including recipient applications, agency approvals or
> denials, medical or physician certifications, leave donation records
> or OF 630-A, supervisor/timekeeper approvals, leave transfer records,
> payroll notification records, and leave program termination records.
>
> Beginning in January 1994, destroy 1 year after the end of the year in
> which the file is closed.

38\. [Wage Survey Files.]{.underline}

> Wage survey reports and data, background documents and correspondence
> pertaining to area wages paid for each employee class; background
> papers establishing need, authorization, direction, and analysis of
> wage surveys; development and implementation of wage schedules; and
> request for an authorization of specific rates (excluding authorized
> wage schedules and wage survey recapitulation sheets).
>
> Destroy after completion of second succeeding wage survey.

39\. [Retirement Assistance Files.]{.underline}

> Correspondence, memoranda, annuity estimates, and other records used
> to assist retiring employees or survivors claim insurance or
> retirement benefits.

Destroy when 1 year old.

40\. [Handicapped Individuals Appointment Case Files.]{.underline}

> Case files containing position title and description; fully executed
> SF 171; medical examiner\'s report; a brief statement explaining
> accommodation of impairment; and other documents related to previous
> appointment, certification, and/or acceptance or refusal, created in
> accordance with FPM chapter 306-11, subchapter 4-2.
>
> Destroy 5 years following the date of approval or disapproval of each
> case.

41\. [Pay Comparability Records.]{.underline}

> Records created under implementation of the Federal Employees Pay
> Comparability Act including written narratives and computerized
> transaction registers documenting use of retention, relocation and
> recruitment bonuses, allowances, and supervisory differentials, and
> case files consisting of requests for and approval of recruitment and
> relocation bonuses and retention allowances.
>
> Destroy 3 years following the date of approval or upon completion of
> the relevant service agreement or allowance, whichever is later.

42\. [Alternate Worksite Records.]{.underline}

> a\. Approved requests or applications to participate in an alternate
> worksite program; agreements between the agency and the employee; and
> records relating to the safety of the worksite, the installation and
> use of equipment, hardware, and software, and the use of secure,
> classified information or data subject to the Privacy Act.
>
> Destroy 1 year after end of employee\'s participation in the program.
>
> b\. Unapproved requests.
>
> Destroy 1 year after request is rejected
>
> c\. Forms and other records generated by the agency or the
> participating employee evaluating the alternate worksite program.
>
> Destroy when 1 year old, or when no longer needed, whichever is later.

43\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.
>
> Destroy/delete within 180 days after the recordkeeping copy has been
> produced.
>
> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.
>
> Destroy/delete when dissemination, revision, or updating is completed.

# 

# GENERAL RECORDS SCHEDULE 2. {#general-records-schedule-2. .unnumbered}

**Payrolling and Pay Administration Records**

Payrolling and pay administration records pertain to disbursements to
civilian employees of the Government for personal services. This
schedule applies to the pay records that are common to all agencies, but
it excludes (a) retirement records (Standard Form (SF) 2806 or
equivalent) that are maintained during employee duty and then
transferred to the Office of Personnel Management (OPM); (b) files
main­tained in agency space for audit by the General Accounting Office
(GAO) under 31 U.S.C. 3529(c); (c) records relating to tax withholding,
savings bonds, fidelity bonds, or other records held by the appro­priate
units of the Treasury Department responsible for the related
Government-wide programs; and (d) Office of Management and Budget files
reflecting agency personnel needs and problems. The National Archives
and Records Administration (NARA) must be consulted for any records
created prior to January 1, 1921 before applying these disposition
instructions.

Documents required by the Comptroller General to be maintained for site
audit are segments of accountable officer\'s accounts. In no event may
disposal be made of records pertaining to accounts, claims, or demands
involving the Government of the United States which have not been
settled or adjusted by the GAO unless the agency concerned has written
approval of the Comptroller Gener­al, as required by 44 U.S.C. 3309. Most
Federal civilian pay accounts are prepared and maintained in accor­dance
with Title 6 ‑ Pay, Leave, and Allowances and incorporated in the GAO
Policy and Procedures Manual for Guidance of Federal Agencies.

In the payrolling process different types of records are accumulat­ed.
Under Title 6 of the GAO Manual these records are normally site‑audited
on a sample basis by GAO represen­tatives who examine primarily the
earnings record card, payroll change slips that are prepared to document
changes in normal pay, certification sheets containing the signatures of
the certifying officer, checklists prepared in lieu of the more formal
payrolls by Depart­ment of the Treasury or local disbursing personnel,
source personnel documents such as basic time and attendance reports,
and copies of personnel action forms documenting changes in pay. In
addition, pay registers and other accounting devices are maintained to
check and balance the accounts.

All payroll systems require the maintenance of a leave record used to
submit data to the payroll system. Information is posted to this record
from more detailed records kept by time and atten­dance clerks located
throughout an agency. Depending on the type of system in operation, this
leave record may be a hard-copy input form or it may be a wholly
electronic input.

Other records incidental to the payrolling process are employee requests
for tax withhold­ing; employee requests for Thrift Savings Plan
deductions; savings bond records; and other records not pertaining to
individuals, but rather to the general administration of the pay­rolling
office and the payrolling function.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

**[Payroll]{.smallcaps}**

1\. [Individual Employee Pay Record]{.underline}.

> a\. Pay record for each employee as main­tained in an electronic data­
> base. This database may be a stand-alone payroll system or part of a
> combined per­­­­sonnel/payroll system.

Update elements and/or entire record as re­quired.

> b\. Individual Pay Record, containing pay data on each employee within
> an agen­cy. This record may be in paper or mi­croform but not in machine
> readable form.

Transfer to National Personnel Records Center. Destroy when 56 years
old.

2\. [Noncur­rent Pay­roll Files]{.underline}.

> Copy of noncurrent pay­roll data as main­tained by pay­roll ser­vice
> bu­reaus in ei­ther micro­form or ma­chine-readable form.

Destroy 15 years after close of pay year in which generat­ed.

Items 3 through 5. Reserved.

**[Time and Attendance]{.smallcaps}**

6\. [Leave Ap­pli­ca­tion Files]{.underline}.

> SF 71 or equivalent plus any supporting doc­umentation of requests and
> approvals of leave.
>
> a\. If employee initials time card or equiva­lent.

Destroy at end of following pay period.

> b\. If employee has not initialed time card or equivalent.

Destroy after GAO audit or when 3 years old, whichever is sooner.

7\. [Time and At­ten­dance Source Re­cords]{.underline}.

> All time and at­ten­dance re­cords up­on which leave in­put data is based,
> such as time or sign-in sheets; time cards (such as Optional Form (OF)
> 1130); flex­i­time re­cords; leave ap­pli­ca­tions for jury and mili­tary
> du­ty; and au­tho­rized pre­mi­um pay or overtime, main­tained at duty post,
> up­on which leave in­put data is based. Re­cords may be in ei­ther
> ma­chine-readable or pa­per form.

Destroy after GAO audit or when 6 years old, whichever is sooner.

8\. [Time and At­ten­d­ance In­put Re­cords]{.underline}.

> Re­cords in ei­ther pa­per or ma­chine readable form used to in­put time
> and at­ten­dance data into a pay­roll sys­tem, main­tained ei­ther by agency
> or pay­roll pro­ces­sor.

Destroy after GAO audit or when 6 years old, whichever is sooner.

9\. [Leave Re­cord]{.underline}.

> a\. Re­cord of em­ployee leave, such as SF 1150, pre­pared up­on transfer
> or sep­ara­tion.

File on right side of the Official Personnel Folder (OPF). See GRS 1,
item 1.

> b\. Cre­at­ing agency copy, when main­tained.

Destroy when 3 years old.

Items 10 through 12. Reserved.

**[Deductions, Allotments, and Electronic Funds Transfers]{.smallcaps}**

13\. [Tax Files]{.underline}.

> a\. Em­ployee withholding al­low­ance cer­tifi­cate such as Internal
> Revenue Service (IRS) Form W-4 and state equiva­lents.

Destroy 4 years after super­sed­ed or obsolete or upon separa­tion of
employee.

> b\. Agency copy of employee wages and tax statements, such as IRS Form
> W-2 and state equivalents, maintained by agency or payroll processor.

Destroy when 4 years old.

> c\. Agency copy of employer reports of Fed­eral tax withheld, such as
> IRS Form W‑3, with related papers in­cluding re­ports re­lating to income
> and social se­curity tax, and state equivalents, main­tained by agency
> or payroll processor.

Destroy when 4 years old.

14\. [Savings Bond Pur­chase Files]{.underline}.

> a\. Authorization for Purchase and Request for Change - U.S. Savings
> Bonds, SB 2152, or equivalent.

Destroy when superseded or after separation of employee.

> b\. Bond registration files: issuing agent\'s copies of bond
> registration stubs.

Destroy 4 months after date of issuance of bond.

> c\. Bond receipt and transmittal files: re­ceipts for and transmittals
> of U.S. Sav­ings Bonds.

Destroy 4 months after date of issuance of bond.

15\. [Combined Federal Cam­paign and Oth­er Al­lot­ment
Au­tho­riza­tions]{.underline}.

> a\. Au­tho­riza­tion for indi­vid­ual al­lot­ment to the Com­bined Federal
> Cam­paign.

Destroy after GAO audit or when 3 years old, whichever is soon­er.

> b\. Other authorizations, such as union dues and savings.

Destroy after GAO audit or when 3 years old, whichever is sooner.

16\. [Thrift Savings Plan Election Form]{.underline}.

Form TSP-1 au­tho­riz­ing de­duc­tion of em­ploy­ee con­tri­bu­tion to the Thrift
Savings Plan.

Destroy when superseded or after separation of employee.

17\. [Direct Deposit Sign-up Form (SF 1199A)]{.underline}.

Destroy when superseded or after separation.

18\. [Levy and Gar­nishment Files]{.underline}.

> Offi­cial No­tice of Levy or Gar­nishment (IRS Form 668A or equiva­lent),
> change slip, work pa­pers, cor­re­spon­dence, re­lease and oth­er forms, and
> oth­er re­cords re­lat­ing to charge against re­tire­ment funds or
> at­tachment of sal­ary for pay­ment of back in­come tax­es or oth­er debts
> of Federal em­ployees.

Destroy 3 years after garnish­ment is termi­nated.

Items 19 through 21. Reserved.

**[Payroll Administration]{.smallcaps}**

22\. [Payroll Sys­tem Re­ports]{.underline}.

> a\. Er­ror re­ports, tick­lers, sys­tem op­era­tion re­ports.
>
> Destroy when related actions are completed or when no lon­ger needed,
> not to exceed 2 years.
>
> b\. Reports and data used for agency work­load and or personnel
> manage­ment pur­poses.

Destroy when 2 years old.

c\. Reports providing fiscal information on agency payroll.

Destroy after GAO audit or when 3 years old, whichever is sooner.

23\. [Payroll Change Files]{.underline}.

> Re­cords used to di­rect a change or cor­rec­tion of an indi­vid­ual pay
> transac­tion whether cre­ated and main­tained by pay­ing agency or pay­roll
> pro­ces­sor.
>
> a\. Copies subject to GAO audit.

Destroy after GAO audit or when 3 years old, whichever is sooner.

> b\. All oth­er cop­ies.

Destroy 1 month after end of related pay period.

24\. [Pay­roll Cor­re­s­pon­dence]{.underline}.

> Cor­re­spon­dence be­tween agency and pay­roll pro­ces­sor re­garding gen­eral,
> rou­tine ad­min­is­tra­tive is­sues that do not re­late to indi­vid­ual
> pay­ments.

Destroy when 2 years old.

Items 25 through 27. Reserved.

**[Retirement]{.smallcaps}**

28\. [Retirement Files]{.underline}.

> Reports, registers, or other control docu­ments, and other records
> relating to retirement, such as SF 2807 or equiva­lent.
>
> For CSRS/FERS related records, destroy upon receipt of offi­cial OPM
> acceptance of annual sum­mary.

Items 29 through 30. Reserved.

**[General]{.smallcaps}**

31\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 3**

**Procurement, Supply, and Grant Records**

Agency procurement and supply records document the acquisition of goods
and non-personal services, controlling the volume of stock on hand,
reporting procurement needs, and related supply matters which are part
of daily procurement operations. The basic procurement files reflect a
considerable range of procedure, from simple, small purchases to
complicated prime contractor and subcontractor operations.

Any records created prior to 1895 must first be offered to the National
Archives and Records Administration (NARA) for appraisal before applying
the disposal instructions. Frequently copies of pro­curement papers
become integral parts of the other files in the agency, such as project
files of various types or general subject files pertaining to program
operations; such copies are not covered by this schedule because they
cannot be considered and evaluated separately from the files of which
they are a part.

The General Accounting Office (GAO) no longer requires agencies to
maintain a separate file of contracts for site audit. The agency
contract files maintained in the contracting officer\'s office are
accessible to GAO auditors and have generally been used by them in the
past.

When a claim is filed by or against the Government, records relating to
the claim should be retained without regard to the otherwise applicable
records retention schedules which would have authorized destruction of
the records prior to the time when the claim is finally resolved unless
the agency has received written approval from the GAO (44 U.S.C. Section
3309 and 62 Comp. Gen. 42 (1982)). A claim is finally resolved: (1) when
it is disallowed and the time for appealing the denial or instituting
suit on the claim has expired; or (2) when it is allowed and paid or the
amount offered in compromise is accepted and paid; or (3) when the
amount found due and owing proves uncollectible because time limits for
collecting the indebtedness through legal proceedings or by way of
setoff have expired.

Records documenting procurement and supply in the agencies are largely
standardized by various regulations of the Comptroller General and the
Administrator of General Services. The physical arrangement of the
transaction files themselves differs in the various agencies, however.
In all agencies the official contract files, for example, contain a
minimum core of specified documents, but there are also other documents
that vary in accordance with what the individual agency deems to be best
for its own operating purposes.

The key procurement file is the transaction case file containing the
formal contract or informal purchase order or lease instruments and all
related papers. The documents flowing into the transaction file differ
in detail, but they include, in addition to the purchase document,
specifications, bids, schedules of delivery, the initiating requisition,
invoices, and correspondence. Other copies of these documents, made for
expediting and other administrative

purposes, are scattered throughout the inspection, shipping, expediting,
and other units of the agency procurement organization.

Other files related to the procurement and supply function include
reports used for supply management purposes by the agency creating the
records as well as the staff agency involved with Government-wide
programs. They also include local requisition and stock inventory files
and other minor supply papers. Of a specialized character in the
procurement field are the title papers documenting the acquisition of
real property (by purchase, condemnation, donation, exchange, or
otherwise). These papers are required by the Government as long as the
property remains in Government hands or if it has been sold or released
\-- conditionally or with recapture clauses. When properties are
disposed of by quitclaim deeds, this fact should be confirmed prior to
the disposal of title papers, since the title evidence might be needed
by the Government to defend the title in the event the properties were
disposed of by deeds containing general or special warranties.

It should also be ascertained that the title evidence relates only to
the properties which were sold by the Government. In many instances,
lands acquired by the Government are disposed of in different size
parcels, and if the Government retains the title to any portion the
title evidence should be retained.

This schedule does not apply to Interior Department records relating to
the public domain or to the title opinion files of the Department of
Justice.

This schedule includes some of the common agency records relating to
grant programs. Since many Federal agencies conduct grant programs which
document projects contracted between the agency and an outside party,
these records are included as an adjunct to the procurement and supply
records.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Real Property Files]{.underline}. \[See note after item 1b.\]

> Title papers documenting the acquisition of real property (by
> pur­cha­se, condemnation, donation, excha­nge, or otherwise), excluding
> records relating to property acquired prior to January 1, 1921.
>
> a\. Records relating to property acquired after December 31, 1920,
> other than abstract or certificate of title.
>
> Dispose 10 years after unconditional sale or release by the Government
> of conditions, restrictions, mortgages or other liens.

b\. Abstract or certificate of title.

> Transfer to purchaser after unconditional sale or release by the
> Government of conditions, restrictions, mortgages, or other liens.

\[**NOTE**: Records relating to property acquired prior to January 1,
1921, are not covered by the GRS and must be scheduled by submission of
a Standard Form (SF) 115 to NARA.\]

2\. [General Correspondence Files.]{.underline}

> Correspondence files of operating procurement units concerning
> internal operation and administration matters not covered elsewhere in
> this schedule.

Destroy when 2 years old.

3\. [Routine Procurement Files]{.underline}. \[See note after item 3d.\]

> Contract, requisition, purchase order, lease, and bond and surety
> records, including correspondence and related papers pertaining to
> award, administration, receipt, inspection and payment (other than
> those covered in items 1 and 12). \[See note after item 3a(2)(b).\]
>
> a\. Procurement or purchase organization copy, and related papers.
>
> \(1\) Transaction dated on or after July 3, 1995 (the effective date
> of the Federal Acquisition Regulations (FAR) rule defining simplified
> acquisition threshold).
>
> \(a\) Transactions that exceed the simplified acquisition threshold
> and all construction contracts exceeding \$2,000.

Destroy 6 years and 3 months after final payment.

> \(b\) Transactions at or below the simplified acquisition threshold
> and all construction contracts at or below \$2,000.

Destroy 3 years after final payment.

> \(2\) Transactions dated earlier than July 3, 1995.
>
> \(a\) Transactions that utilize other than small purchase procedures
> and all construction contracts exceeding \$2,000.

Destroy 6 years and 3 months after final payment.

> \(b\) Transactions that utilize small purchase procedures and all
> construction contracts under \$2,000.

Destroy 3 years after final payment.

> \[**NOTE:** Given the complexities of the rules on procurement,
> agencies should involve procurement officials when deciding which of
> the subitems to apply to a particular series of records.\]
>
> b\. Obligation copy.

Destroy when funds are obligated.

> c\. Other copies of records described above used by component elements
> of a procurement office for administrative purposes.

Destroy upon termination or completion.

> d\. Data Submitted to the Federal Procurement Data System (FPDS).
> Electronic data file maintained by fiscal year, containing
> unclassified records of all procurements, other than small purchases,
> and consisting of information required under 48 CFR 4.601 for transfer
> to the FPDS.

Destroy or delete when 5 years old.

\[**NOTE**: Unique procurement files are not covered by this schedule.
With the standardization of the Government-wide procurement process
under the FAR, such files are unlikely to exist. However, if an agency
believes that a procurement file that has long‑term research value, the
records officer should submit an SF 115.\]

4\. [Supply Management Files]{.underline}.

> Files of reports on supply requirements and procurement matters
> submitted for supply management purposes (other than those
> incorporated in case files or other files of a general nature),
> exclusive of Department of Defense Reports reflecting procurement
> under exemptions authorized under Section 201(a) of the Federal
> Property and Administrative Services Act of 1949 (40 U.S.C. 481).
>
> a\. Copies received from other units for internal purposes or for
> transmission to staff agencies.

Destroy when 2 years old.

> b\. Copies in other reporting units and related working documents.

Destroy when 1 year old.

5\. [Solicited and Unsolicited Bids and Proposals Files]{.underline}.

> a\. Successful bids and proposals.

Destroy with related contract case files (see item 3 of this schedule).

> b\. Solicited and unsolicited unsuccessful bids and proposals.
>
> \(1\) Relating to small purchases as defined in the Federal
> Acquisition Regulation, 48 CFR Part 13.

Destroy 1 year after date of award or final payment, whichever is later.

> \(2\) Relating to transactions above the small purchase limitations in
> 48 CFR Part 13.
>
> \(a\) When filed separately from contract case files.

Destroy when related contract is completed.

> \(b\) When filed with contract case files.

Destroy with related contract case file (see item 3 of this schedule).

> c\. Canceled solicitations files.
>
> \(1\) Formal solicitations of offers to provide products or services
> (e.g., Invitations for Bids, Requests for Proposals, Requests for
> Quotations) which were canceled prior to award of a contract. The
> files include presolicitation documentation on the requirement, any
> offers that were opened prior to the cancellation, documentation on
> any Government action up to the time of cancellation, and evidence of
> the cancellation.

Destroy 5 years after date of cancellation.

> 2\) Unopened bids.

Return to bidder.

> d\. Lists or card files of acceptable bidders.

Destroy when superseded or obsolete.

6\. [Public Printer Files]{.underline}.

Records relating to requisitions on the Printer, and all supporting
papers.

> a\. Printing procurement unit copy of requisition, invoice,
> specifications, and related papers.

Destroy 3 years after completion or cancellation of requisition.

b\. Accounting copy of requisition.

Destroy 3 years after period covered by related account.

7\. [Nonpersonal Requisition File]{.underline}.

> Requisitions for nonpersonal services, such as duplicating, laundry,
> binding, and other services (excluding records associated with
> accountable officers\' accounts (Schedule 6)).

Destroy when 1 year old.

8\. [Inventory Requisition File]{.underline}.

Requisitions for supplies and equipment for current inventory.

> a\. Stockroom copy.

Destroy 2 years after completion or cancellation of requisition.

> b\. All other copies.

Destroy when 6 months old.

9\. [Inventory Files]{.underline}.

> a\. Inventory lists.

Destroy 2 years from date of list.

b\. Inventory cards.

> Destroy 2 years after discontinuance of item, 2 years after stock
> balance is transferred to new card or recorded under a new
> classification, or 2 years after equipment is removed from agency
> control.
>
> c\. Report of survey files and other papers used as evidence for
> adjustment of inventory records, not otherwise covered in the GRS.

Destroy 2 years after date of survey action or date of posting medium.

10\. [Telephone Records]{.underline}.

Telephone statements and toll slips.

Destroy 3 years after period covered by related account.

11\. [Contractors\' Payroll Files]{.underline}.

> Contractors\' payrolls (construction contracts) submitted in
> accordance with Department of Labor regulations, with related
> certifications, antikickback affidavits, and other related papers.
>
> Destroy 3 years after date of completion of contract unless contract
> performance is subject of enforcement action on such date.

12\. [Tax Exemption Files]{.underline}.

Tax exemption certificates and related papers.

Destroy 3 years after period covered by related account.

13\. [Unsuccessful Grant Application Files]{.underline}.

> Applications, correspondence, and other records relating to
> unsuccessful (rejected or withdrawn) applications.

Destroy 3 years after rejection or withdrawal.

14\. [Grant Administrative Files]{.underline}. \[See note after this
item.\]

> Correspondence and/or subject files relating to routine operations and
> daily activities in administration of the grant program.

Destroy when 2 years old.

\[**NOTE**: Grant case files, which include accepted applications among
many other documents, substantive correspondence and subject files
relating to grant programs, and final product files, cannot be scheduled
in the GRS. The types and significance of grant programs and the
contents of the files vary, so no single disposition can be applied to
the files on a Government-wide basis. To schedule these records,
agencies must submit an SF 115 to NARA.\]

15\. [Contract Appeals Case Files]{.underline}.

> Contract appeals case files arising under the Contracts Dispute Act,
> consisting of notices of appeal and acknowledgments thereof;
> correspondence between parties; copies of contracts, plans,
> specifications, exhibits, change orders, and amendments; transcripts
> of hearings; documents received from parties concerned; final
> decisions; and all other related papers.
>
> a\. Records created prior to October 1, 1979.

Destroy 6 years, 3 months after final action on decision.

> b\. Records created after September 30, 1979.

Destroy 1 year after final action on decision.

16\. [Contractor\'s Statement of Contingent or Other Fees]{.underline}.

> SF 119, Statement of Contingent or Other Fees, or statement in lieu of
> the form, filed separately from the contract case file and maintained
> for enforcement or report purposes.

Destroy when superseded or obsolete.

17\. [Small and Disadvantaged Business Utilization Files]{.underline}.

> Correspondence, reports, studies, goal statements, and other records
> relating to the small and disadvantaged business utilization program,
> as required by Pub.L. 95‑507.

Destroy when 3 years old.

18\. [Federal Activities Inventory Reform (FAIR) Act
Records]{.underline} (created under OMB Circular A-76, Performance of
Commercial Activities)

> Records documenting implementation of OMB Circular No. A-76,
> Performance of Commercial Activities. These records are created and
> maintained in paper and electronic formats and include but are not
> limited to inventories, reviews, consultations, summary reports,
> commercial activity codes, challenges, appeals, decisions, planning
> documents, public announcements, Federal Register notices, standard
> and streamlined competition documents, accountability statements, cost
> calculations, and performance measures.
>
> \[**NOTE:** Procurement files related to Circular No. A-76
> solicitations are scheduled under GRS 3, Item 3a, Routine Procurement
> Files.\]
>
> a\. Circular No. A-76 case files/studies maintained by office having
> primary responsibility.
>
> Cut off when action is completed, hold 3 years, and retire to records
> center. Destroy 6 -- 10 years after cut off.
>
> \[**NOTE:** To implement this authority, each agency must select one
> fixed retention period, between 6 and 10 years, for the entire series
> of Circular No. A-76 case files or studies. Agencies are not
> authorized to use different retention periods for individual case
> files or studies. The agency should publish the chosen retention
> period in the agency's disposition manual, by directive, or any other
> issuance dealing with the disposition of these records.\]
>
> b\. Circular No. A-76 records maintained by other offices, including
> information copies and background material.
>
> Cut off upon completion of study. Destroy 2 years after cut off.

19\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items
>
> in this schedule. Also includes electronic copies of records created
> on electronic mail and word processing systems that are maintained for
> updating, revision, or dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed

**GENERAL RECORDS SCHEDULE 4**

**Property Disposal Records**

These records pertain to the sales by agencies of real and personal
property surplus to the needs of the Government. The act creating the
General Services Administration (GSA) trans­ferred to the new agency the
functions of the former War Assets Administration relating to property
disposition. This schedule is not applicable to transaction or policy
files created by the GSA and predecessor agencies, to records in the
Department of the Interior relating to the public domain, and to records
relating to overseas property under Department of State control. Any
surplus property transaction files dated prior to the establishment of
the former Procurement Division of the Department of Treasury in 1933
must be offered to the National Archives and Records Administration
(NARA) for appraisal before applying these disposition instructions.

In no event may disposal be made of records pertaining to accounts,
claims, or demands involving the Government of the United States which
have not been settled or adjusted by the General Accounting Office
without written approval of the Comptroller General, as required by 44
U.S.C. 3309.

Three forms are prescribed for use by an agency selling surplus personal
property under GSA regulations:

a\. Standard Form (SF) 114, Sale of Government Property, Invitation,
Bid, and Acceptance. Related papers that are maintained by the agencies,
usually in case fashion, consist of correspondence, bids, other notices
of sale, invoices, and sales slips.

b\. SF 120, Report of Excess Personal Property, and SF 121, Quarterly
Report of Utilization and Disposal of Excess and Surplus Personal
Property. Agencies use SF 120 to report excess personal property to the
regional GSA offices, which initiate screening action. The quarterly
reports are submitted to the Office of Property Management, Office of
Federal Supply and Services, GSA, ­which consolidates the data.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Property Disposal Correspondence Files]{.underline}.

> Correspondence files maintained by units responsible for property
> disposal, pertaining to their operation and administration, and not
> otherwise provided for.

Destroy when 2 years old.

2\. [Excess Personal Property Reports]{.underline}.

Destroy when 3 years old.

3\. [Surplus Property Case Files]{.underline}.

> Case files on sales of surplus personal property, comprising
> invitations, bids, accep­tances, lists of materials, evidence of sales,
> and related correspondence.
>
> a\. Transactions of more than \$25,000.

Destroy 6 years after final pay­ment.

b\. Transactions of \$25,000 or less.

Destroy 3 years after final pay­ment.

4\. [Real Property Files]{.underline}. \[See note after this item.\]

> Records necessary or convenient for the use of real property sold,
> donated, or traded to non‑Federal ownership, including, if perti­nent
> as determined by the releasing agen­cy, site maps and surveys, plot
> plans, architect\'s sketches, working diagrams, pre­liminary drawings,
> blueprints, master trac­ings, utility outlet plans, equipment location
> plans, specifications, construction progress photographs, inspection
> reports, building and equipment management and mainte­nance records,
> allowance lists, and dupli­cate copies of title papers, provided (a)
> that the records can be segregated without harm to other documents of
> enduring value, (b) that no responsibility attaches to the Gov­ernment
> be­cause of disagreement between the transferred documents and the
> physical condition of the property at the time of con­veyance, and (c)
> that if the property is re­leased for historical use or pur­pose, the
> user agrees to retain them and return them to the Federal Gov­ernment
> immediately upon the discontinuance of its use for historical
> pur­poses.
>
> Transfer to new custodian upon completion of sale, trade, or donation
> proceedings, or accep­tance of purchase money mort­gage.

\[**NOTE**: Case files on the disposal of surplus real and related
personal property and excess real property reports are not covered by
the GRS because some of these files may have long‑term legal value.
Agencies must schedule these series by submitting an SF 115 to NARA.\]

5\. [Electronic Mail and Word Processing System Copies]{.underline}

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 5**

**Budget Preparation, Presentation, and Apportionment Records**

Budget and apportionment records include the various files accumulated
in an agency in the course of formulating its budget for submission to
the Office of Management and Budget (OMB) and to the Congress; in
defending its requests for funds before both bodies; and after enactment
of an appropriation bill, in ensuring that the funds are used in such a
way as to suffice for the appropriate period of time. The funds are made
available to the agency by OMB, usually in quarterly portions, and the
agencies must indicate and justify regularly to OMB their proposed rate
of expenditure. After the funds have been made available to the agency,
its own controls over the funds are in its expenditure accounting
records (Schedule 7), and detailed information relative to expenditures
is contained in the accountable officers\' accounts (Schedule 6).

This schedule applies to certain records of budget preparation and
apportionment in all agencies, but does not apply to records of OMB and
the Department of Treasury reflecting the Government-wide budget
responsibilities of those agencies. Records created prior to January 1,
1921, must be offered to the National Archives and Records
Administration (NARA) before applying the disposition instructions.

Agency budget records are normally created at all levels of agency
organization. They show proposals from all operating levels as well as
the bureau‑wide and agency-wide coordinating work done by formally
organized budget offices. Therefore the records consist of detailed work
papers and budgetary statements developed by single operating units, the
more significant budget statements and related papers representing
consolidated submissions prepared at the bureau or equivalent level and
forwarded to the agency budget officer, and the records at the highest
level pertaining to the budget submission for the entire agency.

The nature of the budget presentation itself is standardized by OMB
which prescribes format and procedures for all Federal agencies.
However, the internal reports and papers which support the budget and
are used in its preparation vary from agency to agency. The budget
submission, a record copy of which is usually designated by the agency,
is a duplicate of the set of papers submitted to OMB. These include
summary statements of appropriations and expenditures, statements of
contract authorizations, and statements of receipts as well as narrative
summary statements which highlight the principal features of the agency
requests and immediately related supporting documents. The narrative
presents the policies and the programs of the agency which the budgetary
requests are to support. In addition to the summaries, the submission
includes schedules of obligations and statements pertaining to each type
of appropriation and fund under which the individual agency operates.
Finally, OMB requires additional supporting data pertaining to objects
of expenditure, particular agency programs, and figures based on the
cost of various type of service operations, such as personnel and
payrolling activities.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Budget Correspondence Files]{.underline}.

> Correspondence files in formally organized budget offices pertaining
> to routine administration, internal procedures, and other matters not
> covered elsewhere in this schedule, EXCLUDING files relating to agency
> policy and procedure maintained in formally organized budget offices.

Destroy when 2 years old.

2\. [Budget Background Records]{.underline}.

> Cost statements, rough data and similar materials accumulated in the
> preparation of annual budget estimates, including duplicates of budget
> estimates and justifications and related appropriation language
> sheets, narrative statements, and related schedules; and originating
> offices\' copies of reports submitted to budget offices.

Destroy 1 year after the close of the fiscal year covered by the budget.

3\. [Budget Reports Files]{.underline}.

Periodic reports on the status of appropriation accounts and
apportionment.

> a\. Annual report (end of fiscal year).

Destroy when 5 years old.

> b\. All other reports.

Destroy 3 years after the end of the fiscal year.

4\. [Budget Apportionment Files]{.underline}. \[See note after this
item.\]

> Apportionment and reapportionment schedules, proposing quarterly
> obligations under each authorized appropriation.

Destroy 2 years after the close of the fiscal year.

\[**NOTE**: The following budget files are not covered by the GRS:

‑‑Budget office correspondence or subject files documenting budget
policy and procedures and reflecting policy decisions affecting
expenditures for agency programs.

‑‑Budget estimates and justifications of formally organized budget
offices at the bureau (or equivalent) or higher organizational level.
Depending on agency recordkeeping practices and patterns of
documentation, these records may have archival value and must be
scheduled by submitting a Standard Form (SF) 115 to NARA.\]

5\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 6**

**Accountable Officers\' Accounts Records**

This general schedule covers accountable officers\' returns and related
records, including records under the cognizance of the General
Accounting Office (GAO). This schedule does not apply to the copies of
schedules and related papers held by the Chief Disbursing Officer of the
Treasury. Any records created prior to January 1, 1921, must be offered
to the National Archives and Records Administration (NARA) before
applying these disposition instructions.

Accountable officers\' accounts include record copies of all records
concerned with the accounting for, availability, and status of public
funds. There are several types of \"accountable officers,\" such as: (a)
the collecting officer, who receives monies owed to the Federal
Government and ensures that it is credited to the proper account; (b)
the disbursing officer who is responsible for providing documentation to
GAO, since he/she accomplishes the actual payment of public monies to
proper Federal creditors; and (c) the certifying officer, whose
signature on a summary attests to the authenticity of vouchers listed on
the schedule.

Disbursements for most civilian Government agencies are made by the
Chief Disbursing Officer of the Treasury, who heads the Division of
Disbursement of the Bureau of Government Financial Operations within the
Department of Treasury. Since July 1949, disbursements have been made
for most agencies on the basis of certified schedules, with the detailed
vouchers transferred to GAO from the agency or held in agency space if a
site audit was involved. This procedure was extended and confirmed by
GAO General Regulation No. 115, issued January 29, 1952, which
promulgated a standard form voucher and schedule of payments (Standard
Form (SF) 1166 and SF 1167) for use by all agencies, effective July 1,
1952, and formally eliminated the transfer of vouchers of the Chief
Disbursing Officer of the Treasury.

This schedule includes records held for onsite audit by GAO, as
described in item 1a below. Under onsite audit, vouchers, contracts,
schedules, statements of transactions and accountability, and other
related supporting documents are retained in agency space for GAO
auditors. Section 5 of the Post Office Department Financial Control Act
of 1950 and Section 117(b) of the Budget and Accounting Procedures Act
of 1950 (whenever the Comptroller General determines that an audit shall
be conducted at the site) require agencies to retain these records,
which are under GAO cognizance. GAO has given general authority to the
agencies, if the records are no longer required for administrative
purposes, to transfer all audited records and any unaudited records more
than 1 full fiscal year old to Federal records centers. However, to
transfer unaudited accountable officers\' accounts less than one year
old, permission must be obtained from the Director, Records Management,
GAO. Because the records previously transferred to GAO are retained in
the agency, some agencies have eliminated the creation of memorandum
copies as described in item 1b of this schedule.

Records relating to the availability, collection, and custody of funds
include (1) the appropriation warrants, (2) other documents that deposit
funds into the Treasury, and (3) documents that provide accountable
officers with status reports on funds in their custody, such as the
proofs of depository account and statements of funds to their credit.
Agency copies of these deposit and status documents are so intimately
related to the accounts of these officers that they are included in this
schedule. The copies received by the Fiscal Service of the Department of
Treasury are not covered by this schedule and are provided for in
separate schedules.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Accountable Officers\' Files]{.underline}. \[See note after item
1b.\]

> a\. Original or ribbon copy of accountable officers\' accounts
> maintained in the agency for site audit by GAO auditors, consisting of
> statements of transactions, statements of accountability, collection
> schedules, collection vouchers, disbursement schedules, disbursement
> vouchers, and all other schedules and vouchers or documents used as
> schedules or vouchers, exclusive of commercial passenger
> transportation and freight records and payroll records, EXCLUDING
> accounts and supporting documents pertaining to American Indians. If
> an agency is operating under an integrated accounting system approved
> by GAO, certain required documents supporting vouchers and/or
> schedules are included in the site audit records. These records
> document only the basic financial transaction, money received and
> money paid out or deposited in the course of operating the agency. All
> copies [except]{.underline} the certified payment or collection copy,
> usually the original or ribbon copy, and all additional or supporting
> documentation not involved in an integrated system are covered by
> succeeding items in this schedule.
>
> Site audit records include, but are not limited to, the Standard and
> Optional Forms listed below. Also included are equivalent agency forms
> that document the basic financial transaction as described above.

SF 215 Deposit Ticket

SF 224 Statement of Transactions

SF 1012 Travel Voucher

> SF 1034 Public Voucher for Purchases and Services Other Than Personal
>
> SF 1036 Statement of Certificate and Award
>
> SF 1038 Advance of Funds Application and Account

SF 1047 Public Voucher for Refunds

> SF 1069 Voucher for Allowance at Foreign Posts of Duty
>
> SF 1080 Voucher for Transfer Between Appropriations and/or Funds
>
> SF 1081 Voucher and Schedule of Withdrawals and Credits
>
> SF 1096 Schedule of Voucher Deductions
>
> SF 1097 Voucher and Schedule to Effect Correction of Errors
>
> SF 1098 Schedule of Canceled Checks
>
> SF 1113 Public Voucher for Transportation Charges
>
> SF 1129 Reimbursement Voucher
>
> SF 1143 Advertising Order
>
> SF 1145 Voucher for Payment Under Federal Tort Claims Act
>
> SF 1154 Public Voucher for Unpaid Compensation Due a Deceased Civilian
> Employee
>
> SF 1156 Public Voucher for Fees and Mileage
>
> SF 1164 Claim for Reimbursement for Expenditures on Official Business
>
> SF 1166 Voucher and Schedule of Payments
>
> SF 1185 Schedule of Undeliverable Checks for Credit to Government
> Agencies

SF 1218 Statement of Accountability (Foreign Service Account)

SF 1219 Statement of Accountability

> SF 1220 Statement of Transactions According to Appropriation, Funds,
> and Receipt Accounts

SF 1221 Statement of Transactions According to Appropriation, Funds, and
Receipt Accounts (Foreign Service Account)

OF 1114 Bill of Collection

OF 1114A Official Receipt

OF 1114B Collection Voucher

Destroy 6 years and 3 months after period covered by account.

> b\. Memorandum copies of accountable officers\' returns including
> statements of transactions and accountability, all supporting
> vouchers, schedules, and related documents not covered elsewhere in
> this schedule, EXCLUDING freight records covered by Schedule 9 and
> payroll records covered by Schedule 2.

Destroy when 1 year old.

\[**NOTE**: Accounts and supporting documents pertaining to American
Indians are not authorized for disposal. Such records must be retained
indefinitely since they may be needed in litigation involving the
Government\'s role as trustee of property held by the Government and
managed for the benefit of Indians.\]

2\. [GAO Exceptions Files]{.underline}.

> GAO notices of exceptions, such as SF 1100, formal or informal, and
> related correspondence.

Destroy 1 year after exception has been reported as cleared by GAO.

3\. [Certificates Settlement Files]{.underline}.

> Copies of certificates and settlement of accounts of accountable
> officers, statements of differences, and related records.
>
> a\. Certificates covering closed account settlements, supplemental
> settlements, and final balance settlements

Destroy 2 years after date of settlement.

> b\. Certificates covering period settlements.

Destroy when subsequent certificate of settlement is received.

4\. [General Fund Files]{.underline}.

> Records relating to availability, collection, custody, and deposit of
> funds including appropriation warrants and certificates of deposit,
> other than those records covered by Item 1 of this schedule.

Destroy when 3 years old.

5\. [Accounting Administrative Files]{.underline}.

> Correspondence, reports, and data relating to voucher preparation,
> administrative audit, and other accounting and disbursing operations.
>
> a\. Files used for workload and personnel management purposes.

Destroy when 2 years old.

b\. All other files.

Destroy when 3 years old.

6\. [Federal Personnel Surety Bond Files]{.underline}.

> a\. Official copies of bond and attached powers of attorney.
>
> \(1\) Bonds purchased before January 1, 1956.

Destroy 15 years after bond becomes inactive.

> \(2\) Bonds purchased after December 31, 1955.

Destroy 15 years after end of bond premium period.

> b\. Other bond files including other copies of bonds and related
> documents.

Destroy when bond becomes inactive or after the end of the bond premium
period.

7\. [Gasoline Sales Tickets]{.underline}.

> Hard copies of sales tickets filed in support of paid vouchers for
> credit card purchases of gasoline.

Destroy after GAO audit or when 3 years old, whichever is sooner.

8\. [Telephone Toll Tickets]{.underline}.

Originals and copies of toll tickets filed in support of telephone toll
call payments.

Destroy after GAO audit or when 3 years old, whichever is sooner.

9\. [Telegrams]{.underline}.

Originals and copies of telegrams filed in support of telegraph bills.

Destroy after GAO audit or when 3 years old, whichever is sooner.

10\. [Administrative Claims Files]{.underline}.

> a\. Claims against the United States. Records relating to claims
> against the United States for moneys that have been administratively
> (1) disallowed in full or (2) allowed in full or in part, and final
> payment of the amount awarded, EXCLUDING claims covered by subitem c.
> below.

Destroy when 6 years, 3 months old.

> b\. Claims by the United States subject to the Federal Claims
> Collection Standards and 28 U.S.C. 2415 or 31 U.S.C. 3716(c)(1).
>
> Records relating to claims for money or property that were
> administratively determined to be due and owing to the United States
> and that are subject to the Federal Claims Collection Standards (4 CFR
> Chapter II), EXCLUDING claims covered under subitem c. below.
>
> \(1\) Claims that were paid in full or by means of a compromise
> agreement pursuant to 4 CFR Part 103.

Destroy when 6 years, 3 months old.

> \(2\) Claims for which collection action has been terminated under 4
> CFR Part 104.
>
> \(a\) Claims for which the Government\'s right to collect was not
> extended.
>
> Destroy 10 years, 3 months after the year in which the Government\'s
> right to collect first accrued.
>
> \(b\) Claims for which the Government is entitled (per 28 U.S.C. 2415)
> to additional time to initiate legal action.

Destroy 3 months after the end of the extended period.

> \(3\) Claims that the agency administratively determines are not owed
> to the United States after collection action was initiated.

Destroy when 6 years, 3 months old.

> c\. Claims files that are affected by a court order or that are
> subject to litigation proceedings.
>
> Destroy when the court order is lifted, litigation is concluded, or
> when 6 years, 3 months old, whichever is later.

11\. [Waiver of Claims Files]{.underline}.

> Records relating to waiver of claims of the United States against a
> person arising out of an erroneous payment of pay allowances, travel
> expenses, or relocation expenses to an
>
> employee of an agency or a member or former member of the uniformed
> services or the National Guard, including bills of collection,
> requests for waiver of claim, investigative reports, decisions by
> agency and/or GAO approving or denying the waiver, and related
> records.
>
> a\. Approved waivers (agencies may approve amounts not aggregating to
> more than \$500 or GAO may approve any amount).
>
> Destroy 6 years, 3 months after the close of the fiscal year in which
> the waiver was approved.

b\. Denied waivers.

> Destroy with related claims files in accordance with items 10b and 10c
> of this schedule.

12\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 7**

**Expenditure Accounting Records**

Expenditure accounting records are the ledgers and related documents
maintained by all Federal agencies to show in summary fashion how their
funds, appropriated and nonappropriated, are spent after allotment by
the Office of Management and Budget (OMB), and the sources and nature of
any receipts. The key records are the general ledger accounts, which
constitute, as a unit, the heart of the agency accounting system. These
ledgers summarize the financial status and financial transactions of the
agency, showing the current status of funds available for expenditure,
the amounts due and collected for the account of the Government,
accumulated expenditures and liabilities, and the values of stock,
equipment, and other property in agency custody. They are controls that
serve not only as central fiscal records, but also as a primary source
of data for top management concerned with agency solvency, expenditures,
and program costs.

The general ledgers are subdivided into arbitrarily created account
titles, which are based on programs, projects, costs, and funds.
Supporting them are a group of subsidiary ledgers and documents further
detailing the information in the general ledgers or serving as posting
media to the ledgers themselves. To the extent that they reflect
appropriation expenditures, the general ledgers are supported by
allotment ledgers, which at all times show the current unobligated
balance of funds allotted for specific agency purposes and thereby
provide a safeguard against overexpenditure by operating officials. The
allotment ledgers are general controls over expenditures, and they, in
turn, summarize and are supported by more detailed controls that
normally take the form of project or job orders that authorize exact and
specific expenditures.

The sources of data that are posted to the ledger files are somewhat
diverse, but they fall into two general groups:

> a\. Copies of various obligation or expenditure documents, such as
> vouchers and schedules, that flow through the ledger unit for posting.
>
> b\. Journal vouchers and similar internal control documents created to
> authorize and convey entries to the general ledger.

As the centralized fiscal record, the general ledgers ultimately
summarize stores, plant, and cost accounting data, which are treated in
a separate schedule, but these are only several aspects of the total
ledger accounts. Consequently, the ledgers are the source of the data
included in the basic apportionment reports to the OMB and the
Department of Treasury, and overall reports of agency fiscal condition
which may be required by the General Accounting Office (GAO) (Schedules
6 and 8). The adequacy for audit purposes of the general ledger accounts
is normally considered by GAO auditors to be indicative of the agency\'s
entire accounting system and the reliability of its financial data.

This schedule does not apply to such records maintained on a
Government-wide basis by the Department of Treasury and the OMB, or to
those formerly maintained by the GAO. Any records created prior to
January 1, 1921, must be offered to the National Archives and Records
Administration (NARA) before applying these disposition instructions.

When a claim is filed by or against the Government, records relating to
the claim should be retained without regard to the otherwise applicable
records retention schedules that would have authorized destruction of
the records prior to the time when the claim is finally resolved, unless
the agency has received written approval from the GAO (44 U.S.C. Section
3309 and 62 Comp. Gen. 42 (1982)). A claim is finally resolved: (1) when
it is disallowed and the time for appealing the denial or instituting
suit on the claim has expired; or (2) when it is allowed and paid or the
amount offered in compromise is accepted and paid; or (3) when the
amount found due and owing proves uncollectible because time limits for
collecting the indebtedness through legal proceedings or by way of
setoff have expired.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Expenditures Accounting General Correspondence and Subject
Files]{.underline}.

> Correspondence or subject files maintained by operating units
> responsible for expenditures accounting, pertaining to their internal
> operations and administration.

Destroy when 2 years old.

2\. [General Accounting Ledgers]{.underline}.

> General accounts ledgers, showing debit and credit entries, and
> reflecting expenditures in summary.

Destroy 6 years and 3 months after the close of the fiscal year
involved.

3\. [Appropriation Allotment Files]{.underline}.

> Allotment records showing status of obligations and allotments under
> each authorized appropriation.Destroy 6 years and 3 months after the
> close of the fiscal year involved.

4\. [Expenditure Accounting Posting and Control Files]{.underline}.

> Records used as posting and control media, subsidiary to the general
> and allotment ledgers, and not covered elsewhere in this schedule.

a\. Original records.

Destroy when 3 years old.

b\. Copies.

Destroy when 2 years old.

5\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 8**

**Stores, Plant, and Cost Accounting Records**

Specialized stores, plant, and cost accounting records are maintained by
most agencies, particularly those with extensive plant and stock
inventories. These records, which reflect the net monetary worth of an
agency and its assets, are periodically reconciled with the supply data
found in stock inventory records, but they do not include procurement
papers. Any records created prior to January 1, 1921, must be offered to
the National Archives and Records Administration (NARA) before applying
these disposition instructions.

a\. Stores Accounting. These records are maintained to provide personal
accountability for the receipt and custody of materials and to document
the monetary worth of such materials. Completed copies of material
movement documents show custody, and stores accounting data are normally
reviewed and consolidated by means of records and returns submitted to
agency headquarters. There the information is used for procurement
planning, budget, and other management purposes. These records do not
include records reflecting the physical movements of material to and
from storage points, although they may be involved in posting. Summary
data on plant value are also available in pertinent ledger accounts.

b\. Plant Accounting. These records document principal characteristics
of each item of physical plant and equipment, including real property.
They constitute primarily a type of inventory control, but in addition
are a principal source of data on the capital investment in physical
plant (as distinguished from maintenance or operating costs) and other
items not normally represented in a store or stock inventory system.
Summary data on plant value are also maintained.

c\. Cost Accounting. These records are designed to show accumulated data
on the costs of agency operation, the direct and indirect costs of
production, administration, and performance of program functions of the
agency. The data, which are normally accumulated by means of cost
reports and statistics accumulated by operating personnel, are
ultimately integrated into the accounts concerned with operating and
program costs. Material cost information is collected by posting
requisitions for material or procurement documents to intermediate
records, and labor cost information is obtained by charging time
expended on individual jobs and projects assigned control numbers for
cost control purposes. Cost data are used in evaluating economy of
agency operation and in preparing budget estimates.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic

mail and word processing records that are needed in addition to the
recordkeeping copy for dissemination, revision, or updating.

1\. [Plant, Cost, and Stores General Correspondence Files]{.underline}.

Correspondence files of units responsible for plant, cost, and stores
accounting operations.

Destroy when 3 years old.

2\. [Stores Invoice Files]{.underline}.

Invoices or equivalent papers used for stores accounting purposes.

Destroy when 3 years old.

3\. [Stores Accounting Files]{.underline}.

Stores accounting returns and reports.

Destroy when 3 years old.

4\. [Stores Accounting Background Files]{.underline}.

Working files used in accumulating stores accounting data.

Destroy when 2 years old.

5\. [Plant Accounting Files]{.underline}. \[See note after this item.\]

Plant account cards and ledgers, other than those pertaining to
structures.

Destroy 3 years after item is withdrawn from plant account.

\[**NOTE**: Plant accounting cards and ledgers pertaining to structures
are not disposable under the GRS. Agencies must submit a Standard Form
(SF) 115 to NARA to schedule these records.\]

6\. [Cost Accounting Reports]{.underline}.

a\. Copies in units receiving reports.

Destroy when 3 years old.

b\. Copies in reporting units and related work papers.

Destroy when 3 years old.

7\. [Cost Report Data Files]{.underline}.

Ledgers, forms, and electronic records used to accumulate data for use
in cost reports.

a\. Ledgers and forms.

Destroy when 3 years old.

> b\. Automated records.

\(1\) Detail cards.

Destroy when 6 months old.

\(2\) Summary cards.

Destroy when 6 months old.

\(3\) Tabulations.

Destroy when 1 year old.

8\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.

a.  Copies that have no further administrative value after the
    recordkeeping copy is made. Includes copies maintained by
    individuals in personal files, personal electronic mail directories,
    or other personal directories on hard disk or network drives, and
    copies on shared network drives that are used only to produce the
    recordkeeping copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

###  {#section-2 .unnumbered}

### GENERAL RECORDS SCHEDULE 9 {#general-records-schedule-9 .unnumbered}

**Travel and Transportation Records**

This schedule covers records documenting the movement of goods and
persons under Government orders. The records include bills of lading,
transportation requests, transportation vouchers, per diem vouchers,
travel authorizations, and all supporting documentation, including that
prescribed by Title 5 of the General Accounting Office Policy and
Procedures Manual. Record copies of all travel, transportation, and
freight documents used to support payments become components of the
accountable officers\' accounts. Disposition for commercial
transportation and freight site audit records is covered by item 1 of
this schedule. Individual, noncommercial, reimbursable travel site audit
records are covered by General Records Schedule 6, item 1a, item 10, or
item 11. Some copies become accounting posting media, which are covered
by General Records Schedule 7, item 4.

a.  Movement of goods. The key record is the bill of lading, of which
    there are copies for consignors, consignees, and the carriers
    themselves. The documents related to and normally filed with the
    bill of lading are varied and often voluminous. These may consist of
    shortage and demurrage reports, invoices, and other data that
    document the transaction. Included are records relating to the
    shipment of household effects, authorized by law and regulations for
    military personnel and for civilian employees of the Government.
    Agencies shipping certain valuables under the Government Losses in
    Shipment Act, which insures against loss, retain copies of schedules
    of material shipped, documents relating to claims which may ensue,
    and other pertinent records.

b.  Movement of persons. The movement of persons is documented by copies
    of travel orders, authorizing travel and subsequent payment, and
    standard-form vouchers showing payment for official travel. The two
    primary copies of travel orders are the administrative copy
    maintained by the transportation unit controlling the authorization
    of travel and the copy used for encumbrance of funds. Vouchers
    documenting cash advances for travel purposes are covered by General
    Records Schedule 6, item 1a, only after the advance has been
    properly liquidated and can be included in a settled fiscal account.
    Unliquidated cash advances for travel purposes are covered by
    General Records Schedule 6, item 10.

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1.  [Commercial Freight and Passenger Transportation Files.]{.underline}

    a\. Original vouchers and support documents covering commercial
    freight and passenger transportation charges of settled fiscal
    accounts, including registers and other control documents, but
    EXCLUDING those covered by item 1b of this schedule.

    Destroy 6 years after the period of the account.

    b\. Records covering payment for commercial freight and passenger
    transportation charges for services for which 1) notice of
    overcharge has been or is expected to be issued, or if a rail
    freight overpayment is involved, 2) deduction or collection action
    has been taken, 3) the voucher contains inbound transit
    shipment(s), 4) parent voucher has print of paid supplemental bill
    associated, 5) the voucher has become involved in litigation, or 6)
    any other condition arises, such as detection of overcharge, that
    prevents the settling of the account, requiring the voucher to be
    retained beyond the 6 year retention period.

    Destroy when 10 years old.

    c\. Issuing office copies of Government or commercial bills of
    lading, commercial passenger transportation vouchers (Standard Form
    (SF) 1113A) and transportation requests (SF 1169), travel
    authorizations, and supporting documents.

    Destroy 6 years after the period of the account.

    d\. Obligation copy of commercial passenger transportation vouchers.

    Destroy when funds are obligated.

    e\. Unused ticket redemption forms, such as SF 1170.

    Destroy 3 years after the year in which the transaction is
    completed.

    2\. Lost or Damaged Shipments Files.

    Schedules of valuables shipped, correspondence, reports, and other
    records relating to the administration of the Government Losses in
    Shipment Act.

    Destroy when 6 years old.

    3\. Noncommercial, Reimbursable Travel Files.

    Copies of records relating to reimbursing individuals, such as
    travel orders, per diem vouchers, and all other supporting documents
    relating to official travel by officers, employees, dependents, or
    others authorized by law to travel.

    a\. Travel administrative office files.

    Destroy when 6 years old.

    Obligation copies.

    Destroy when funds are obligated.

    4\. General Travel and Transportation Files.

    a\. Routine administrative records including correspondence, forms,
    and related records pertaining to commercial and noncommercial
    agency travel and transportation and freight functions not covered
    elsewhere in this schedule.

    Destroy when 2 years old.

    b\. Accountability records documenting the issue or receipt of
    accountable documents.

    Destroy 1 year after all entries are cleared.

    5\. Records Relating to Official Passports. \[See notes after item
    5c.\]

    a\. Application files.

    Documents relating to the issuance of official passports, including
    requests for passports, transmittal letters, receipts, and copies of
    travel authorizations.

    Destroy when 3 years old or upon separation of the bearer, whichever
    is sooner.

    b\. Annual reports concerning official passports.

    Reports to the Department of State concerning the number of official
    passports issued and related matters.

    Destroy when 1 year old.

    c\. Passport registers.

    Registers and lists of agency personnel who have official passports.

    Destroy when superseded or obsolete.

    \[NOTES: (1) Official passports should be returned to the Department
    of State upon expiration or upon the separation of the employee. (2)
    Item 5b does not pertain to copies of the annual reports held by the
    Department of State.\]

    6\. RESERVED

    7\. Federal Employee Transportation Subsidy Records.

    Documents in either paper or electronic form relating to the
    disbursement of transportation subsidies to employees, including
    applications of employees no longer in the program, superseded
    applications, certification logs, vouchers, spreadsheets, and other
    forms used to document the disbursement of subsidies.

    Destroy when 3 years old.

    8\. Electronic Mail and Word Processing System Copies.

    Electronic copies of records that are created on electronic mail and
    word processing systems and used solely to generate a recordkeeping
    copy of the records covered by the other items in this schedule.
    Also includes electronic copies of records created on electronic
    mail and word processing systems that are maintained for updating,
    revision, or dissemination.

    a\. Copies that have no further administrative value after the
    recordkeeping copy is made. Includes copies maintained by
    individuals in personal files, personal electronic mail directories,
    or other personal directories on hard disk or network drives, and
    copies on shared network drives that are used only to produce the
    recordkeeping copy.

    Destroy/delete within 180 days after the recordkeeping copy has been
    produced.

    b\. Copies used for dissemination, revision, or updating that are
    maintained in addition to the recordkeeping copy.

    Destroy/delete when dissemination, revision, or updating is
    completed.

    **GENERAL RECORDS SCHEDULE 10**

    **Motor Vehicle and Aircraft Maintenance and Operation Records**

    These records pertain to the management, maintenance, and operation
    of motor vehicles and aircraft used by agencies.

[Motor vehicles]{.underline}. Items 1 through 7 pertain to motor
vehicles used by agencies. 41 CFR 101‑34 prescribes policies and
procedures. Standard Form (SF) 82, which is an annual motor vehicle
report required by the Federal Acquisition Service, General Services
Administration, is the only standar­dized record. Certain cost and
inventory control forms have been developed, but they are not mandatory.
This portion of the schedule covers agency records pertaining to the
daily use and operation of the vehicles.

In general, records pertaining to motor vehicles reflect a threefold
responsibility: (a) the accumulation of cost and operating data for
internal accounting and management purposes and for reports submitted to
the Federal Acquisition Service (SF 82, Agency Report of Motor Vehicle
Data); (b) the maintenance of the vehicles themselves; and (c)
protecting the interest of the Government in accident claims against it.
The records themselves consist of chauffeur service logs and reports,
vehicle repair and maintenance checkoff sheets, cost ledgers, and claims
correspon­dence and forms.

[Aircraft]{.underline}. Items 9 through 13 pertain to the management,
maintenance, and operation of aircraft used by Federal agencies. 41 CFR
102-33 prescribes policies and procedures. These items include Federal
records accumulated in connection with the use of leased aircraft as
well as records provided by contractors for government agencies.
Specifically excluded from this schedule are previously approved records
series from the Federal Aviation Administration, Department of the Air
Force, Department of the Navy, and the Department of the Army.

\[**Note:** Some of these records may be necessary for the investigation
and preparation of accident/incident reports. Agencies conducting their
own internal accident/incident investigation congruent with those
conducted by the Federal Aviation Administration and the National
Transportation Safety Board must maintain those records in accordance
with item 13 of this schedule. The records of the Federal Aviation
Administration and the National Transportation Safety Board are excluded
from item 13 of this schedule.\]

1\. [Motor Vehicle Correspondence Files]{.underline}.

> Correspondence in the operating unit responsible for maintenance and
> operation of motor vehi­cles not otherwise cover­ed in this schedule.

Destroy when 2 years old.

2\. [Motor Vehicle Oper­ating and Maintenance Files]{.underline}.

> a\. Operating records including those relating to gas and oil
> consump­tion, dispatching, and scheduling.

Destroy when 3 months old.

> b\. Maintenance records, including those relating to service and
> repair.

Destroy when 1 year old.

3\. [Motor Vehicle Cost Files]{.underline}.

Motor vehicle ledger and worksheets providing cost and expense data.

Destroy 3 years after discontinuance of ledger or date of worksheet.

4\. [Motor Vehicle Report Files]{.underline}.

> Reports on motor vehicles (other than accident, operating, and
> maintenance reports), including SF 82, Agency Report of Motor Vehicle
> Data.

Destroy 3 years after date of report.

5\. [Motor Vehicle Accident Files]{.underline}.

> Records relating to motor vehicle accidents, maintained by
> transportation offices, including SF 91, Motor Vehicle Accident
> Report, investigative reports, and SF 94, Statement of Witness.

Destroy 6 years after case is closed.

6\. [Motor Vehicle Release Files]{.underline}.

> Records relating to transfer, sale, donation, or exchange of vehicles,
> including SF 97, The United States Government Certificate to Obtain
> Title to a Motor Vehicle.

Destroy 4 years after vehicle leaves agency custody.

7\. [Motor Vehicle Operator Files]{.underline}.

> Records relating to individual employee operation of Government‑owned
> vehicles, including driver tests, authorization to use, safe driving
> awards, and related correspondence.
>
> Destroy 3 years after separation of employee or 3 years after
> rescission of authorization to operate Government‑owned vehicle,
> whichever is sooner.

8\. Reserved.

9\. [Routine Aircraft Operations]{.underline}.

Records that pertain to the day-to-day operation of aircraft operated by
Federal agencies.

Included are records documenting departures, takeoffs, and destinations,
passengers on

board, requests for flights, flight orders, aircraft flight logs, flight
plans, and similar records.

Destroy when 2 years old.

10\. [Logistical Support for Flight Operations]{.underline}.

Records that document logistical support relating to flying activities,
such as furnishing

supplies, equipment, administrative assistance, and other needed
logistics services. Also

included are comments on regulations, directives or other publications
that relate to logistics

matters, program and budget information, management improvement reports,
cost reduction

reports, and requests for substantive information that relate to
logistics matters.

Destroy when 6 years old or when superseded, whichever is later.

11\. [General Aircraft Maintenance and Modifications
Records]{.underline}.

Records relating to fleet-wide general maintenance activities,
modifications, or

improvements designed to meet programmed requirements (as opposed to
maintenance

activities performed on a specific aircraft; see item 12 for records
relating to maintenance

activities involving specific aircraft). Included are records related to
servicing,

manufacturing, rebuilding and testing of equipment and classifying the
condition status

of materiel, non-technical correspondence that pertains to aircraft
maintenance and

related organizational matters and overhaul and rework projects as well
as technical

correspondence pertaining to aircraft, aircraft components, engines,
propellers, instruments,

accessories, and their maintenance. Also included in this category are
maintenance manuals

for aircraft that have been customized from the standard production
model design in order

to meet agency-specific needs or manuals that have been annotated and
are different from

those issued by the manufacturer. Additionally, this category includes
preventive

maintenance records; aircraft inventories that account for the aircraft
held by, or assigned

to, an agency or agency component, especially as counted and classified
into categories;

and bulletins that direct a one-time inspection to determine whether a
given condition

exists and specify what action should be/has been taken.

1.  Recordkeeping copies of maintenance manuals for unique or customized
    aircraft:

    Permanent. Transfer to the National Archives in 5-year blocks after
    they become superseded or obsolete.

2.  All other records: Destroy when 6 years old or when superseded or
    obsolete,

    whichever is later.

    12\. [Individual Aircraft Maintenance and Airframe Modifications
    Records]{.underline}.

    Records relating to maintenance activities performed on specific
    aircraft. Included are

    aircraft logbooks, aircraft engine records, inspection and
    maintenance records, preventive

    maintenance inspections, diagnostic checkouts, spot check
    inspections, and maintenance

    requests. Also included are records relating to configuration change
    to a specific aircraft that is a material change, modification, or
    an alteration in the characteristics of the equipment.

    Destroy 6 years after aircraft disposal or clearance of related
    equipment from the program.

    13\. [Records Required for Accident/Incident Reports]{.underline}.

    Records requested by authorities conducting the investigation of
    accidents/incidents

    involving aircraft used by Federal agencies, including leased
    aircraft used by Federal

    agencies.

    Keep for the duration of investigation and then destroy 1 year after
    completion of

    investigation and preparation of required reports.

    **GENERAL RECORDS SCHEDULE 11**

    **Space and Maintenance Records**

This schedule provides for the disposal of all copies, wherever located
in an agency, of records relating to space and maintenance, except as
indicated below. Records documenting these functions pertain to the
acquisition, allocation, utilization, and release of space and include
related correspondence and reports submitted to the General Services
Administration (GSA) (or equivalent agency with similar Government-wide
responsibilities) as directed by law and regulation (41 CFR 101‑17);
correspondence and forms relating to the compilation of directory
service listings; identification credentials and related accountable
records; requests for building and equipment services; and
correspondence files reflecting the activities of the unit responsible
for handling space and related matters within the agency.

This schedule does not cover (a) copies of these records that are an
integral part of accountable officers\' accounts (Schedule 6); (b)
records of procurement and supply (Schedule 3); (c) records that reflect
Government-wide programs (such as the records held by the GSA Public
Buildings Service). Any records created prior to the establishment of
the Public Buildings Administration in 1939 must be offered to the
National Archives and Records Administration (NARA) before applying
these disposition instructions.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Space and Maintenance General Correspondence Files]{.underline}.

> Correspondence files of the unit responsible for space and maintenance
> matters, pertaining to its own administration and operation, and
> related papers.

Destroy when 2 years old.

2\. [Agency Space Files]{.underline}.

> Records relating to the allocation, utilization, and release of space
> under agency control, and related reports to GSA.
>
> a\. Building plan files, surveys, and other records utilized in agency
> space planning, assignment, and adjustment.
>
> Destroy 2 years after termination of assignment, or when lease is
> canceled, or when plans are superseded or obsolete.
>
> b\. Correspondence with and reports to staff agencies relating to
> agency space holdings and requirements.
>
> \(1\) Agency reports to the GSA, including Standard Form (SF) 81,
> Request for Space, and related documents.

Destroy when 2 years old.

> \(2\) Copies in subordinate reporting units and related work papers.

Destroy when 1 year old.

3\. [Directory Service Files]{.underline}.

> Correspondence, forms, and other records relating to the compilation
> of directory service listings.

Destroy 2 months after issuance of listing.

4\. [Credentials Files]{.underline}.

Identification credentials and related papers.

> a\. Identification credentials including cards, badges, parking
> permits, photographs, agency permits to operate motor vehicles, and
> property, dining room and visitors passes, and other identification
> credentials.

Destroy credentials 3 months after return to issuing office.

b\. Receipts, indexes, listings, and accountable records.

Destroy after all listed credentials are accounted for.

5\. [Building and Equipment Service Files]{.underline}.

Requests for building and equipment maintenance services, excluding
fiscal copies.

Destroy 3 months after work is performed or requisition is canceled.

6\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 12**

**Communications Records**

The principal records documenting communication functions include
messenger service data; telecommunications service control and
operational records; long distance telephone reports; postal records,
consisting of post office forms and supporting papers; mail control
records and supporting and related papers; agency copies of penalty mail
reports; and records relating to private delivery service (such as
United Parcel Service).

This schedule covers the records described below, wherever located in an
agency but does not cover records that reflect Government-wide programs,
such as records held by the U.S. Postal Service and the Information
Technology Service of the General Services Administration (GSA), other
than those documenting their own internal administrative management
functions. In addition, item 4, telephone use records, has been reserved
pending development of disposition standards acceptable to both the GSA
and the General Accounting Office. Any records created prior to January
1, 1921, must be offered to the National Archives and Records
Administration before applying the disposition instructions in this
schedule.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Messenger Service Files]{.underline}.

> Daily logs, assignment records and instructions, dispatch records,
> delivery receipts, route schedules, and related records.

Destroy when 2 months old.

2\. [Communication General Files]{.underline}.

> a\. Correspondence and related records pertaining to internal
> administration and operation.

Destroy when 2 years old.

> b\. Telecommunications general files, including plans, reports, and
> other records pertaining to equipment requests, telephone service, and
> like matters.

Destroy when 3 years old.

> c\. Telecommunications statistical reports including cost and volume
> data.

Destroy when 1 year old.

> d\. Telecommunications voucher files.
>
> \(1\) Reference copies of vouchers, bills, invoices, and related
> records.

Destroy when 1 fiscal year old.

> \(2\) Records relating to installation, change, removal, and servicing
> of equipment.

Destroy 1 year after audit or when 3 years old, whichever is sooner.

> e\. Copies of agreements with background data and other records
> relating to agreements for telecommunications services.

Destroy 2 years after expiration or cancellation of agreement.

3\. [Telecommunications Operational Files]{.underline}. \[See note after
item 3b.\]

> a\. Message registers, logs, performance reports, daily load reports,
> and related and similar records.

Destroy when 6 months old.

> b\. Copies of incoming and original copies of outgoing messages,
> including Standard Form (SF) 14, Telegraphic Message maintained by
> communications offices or centers, and EXCLUDING the copies maintained
> by the originating program office.

Destroy when 2 years old.

\[**NOTE**: Master files and data bases created to supplement or replace
the records covered by item 3 are not authorized for disposal under the
GRS. Such files must be scheduled on an SF 115.\]

4\. [Telephone Use (Call Detail) Records]{.underline}.

> Initial reports of use of telephone lines (e.g., telephone calls,
> facsimile transmissions and electronic mail) during a specified period
> provided by a telephone company, the General Services Administration,
> the Defense Information Systems Agency, or a private sector exchange
> on an agency\'s premises, as well as records generated from initial
> reports from administrative, technical, or investigative follow-up.
> Included is such information as the originating number, destination
> number, destination city and state, date and time of use, duration of
> the use, and the estimated or actual cost of the use. EXCLUDED are
> records accumulated in connection with substantive investigations and
> audits that are covered by GRS 22, Inspector General Records or GRS 6,
> Accountable Officers\' Accounts Records.
>
> Destroy when 3 years old. Initial reports may be destroyed earlier if
> the information needed to identify abuse has been captured in other
> records.

5\. [Post Office and Private Mail Company Records]{.underline}.

> Post Office and private mail company forms and supporting papers,
> exclusive of records held by the United States Postal Service.
>
> a\. Records relating to incoming or outgoing registered mail pouches,
> registered, certified, insured, overnight, express, and special
> delivery mail including receipts and return receipts.

Destroy when 1 year old.

> b\. Application for registration and certification of declared value
> mail.

Destroy when 1 year old.

> c\. Report of loss, rifling, delayed or late delivery, wrong delivery,
> or other improper treatment of mail.

Destroy when 1 year old.

6\. [Mail and Delivery Service Control Files]{.underline}.

> a\. Records of receipt and routing of incoming and outgoing mail and
> items handled by private delivery companies such as United Parcel
> Service, EXCLUDING both those covered by item 5 and those used as
> indexes to correspondence files.

Destroy when 1 year old.

> b\. Statistical reports of postage used on outgoing mail and fees paid
> for private deliveries (special delivery, foreign, registered,
> certified, and parcel post or packages over 4 pounds).

Destroy when 6 months old.

> c\. Requisition for stamps (exclusive of copies used as supporting
> documents to payment vouchers).

Destroy when 6 months old.

> d\. Statistical reports and data relating to handling of mail and
> volume of work performed.

Destroy when 1 year old.

> e\. Records relating to checks, cash, stamps, money orders, or any
> other valuables remitted to the agency by mail.

Destroy when 1 year old.

> f\. Records of and receipts for mail and packages received through the
> Official Mail and Messenger Service.

Destroy when 6 months old.

> g\. General files including correspondence, memoranda, directives, and
> guides relating to the administration of mail room operations.

Destroy when 1 year old or when superseded or obsolete, whichever is
applicable.

> h\. Locator cards, directories, indexes, and other records relating to
> mail delivery to individuals.
>
> Destroy 5 months after separation or transfer of individual or when
> obsolete, whichever is applicable.

7\. [Metered Mail Files]{.underline}.

Official metered mail reports and all related papers.

Destroy when 6 years old.

8\. [Postal Irregularities File]{.underline}.

> Memoranda, correspondence, reports and other records relating to
> irregularities in the handling of mail, such as loss or shortage of
> postage stamps or money orders, or loss or destruction of mail.

Destroy 3 years after completion of investigation.

9\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 13**

**Printing, Binding, Duplication, and Distribution Records**

This schedule provides for the disposal of all copies, [wherever located
in the agency]{.underline}, of records relating to printing, binding,
duplication, and distribution, except as indicated. The principal
records documenting these functions are (a) records pertaining to
requests for service, control, production, and distribution of
individual jobs or projects (this material normally consists of
requisitions requesting service and registers or similar media utilized
to control the receipt of the requisitions and to record the production,
distribution, and cost analysis within the operating units); and (b)
correspondence and report files reflecting the activities of the unit
responsible for handling, printing, binding, duplication, and
distribution matters within the agency. Any records created prior to
January 1, 1921, must be offered to the National Archives and Records
Administration (NARA) before applying these disposition instructions.

This schedule does not cover (a) the record copy of printed materials;
(b) records retained by agencies for onsite audit by the General
Accounting Office, and agency memorandum copies which are part of the
accountable officers\' accounts (Schedule 6); and (c) records that
reflect agency programs (such as those of the Government Printing Office
and the Bureau of Engraving and Printing), rather than administrative
management functions.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Administrative Correspondence Files]{.underline}.

> Correspondence files pertaining to the administration and operation of
> the unit responsible for printing, binding, duplication, and
> distribution matters, and related documents.

Destroy when 2 years old.

2\. [Project Files]{.underline}. \[See note after item 2b.\]

> Job or project records containing information relating to planning and
> execution of printing, binding, duplication, and distribution jobs.
>
> a\. Files pertaining to the accomplishment of the job, containing
> requisitions, bills, samples, manuscript clearances, and related
> documents exclusive of (1) requisitions on the Public Printer and
> related records; and (2) records relating to services obtained outside
> the agency.

Destroy 1 year after completion of job.

> b\. Files pertaining to planning and other technical matters.

Destroy when 3 years old.

\[**NOTE**: The GRS does not cover the publications themselves. One copy
of each publication should be designated the record copy and scheduled
for transfer to NARA. Agencies should describe each series of
publications on an Standard Form (SF) 115 submitted to NARA. Extra
copies are nonrecord and may be destroyed when no longer needed.\]

3\. [Control Files]{.underline}.

Control registers pertaining to requisitions and work orders.

> Destroy 1 year after close of fiscal year in which compiled or 1 year
> after filling of register, whichever is applicable.

4\. [Mailing Lists]{.underline}.

> a\. Correspondence, request forms, and other records relating to
> changes in mailing lists.
>
> Destroy after appropriate revision of mailing list or after 3 months,
> whichever is sooner.

b\. Card lists.

Destroy individual cards when canceled or revised.

5\. [Joint Committee on Printing (JCP) Reports Files]{.underline}.

Reports to Congress and related records.

> a\. Agency report to JCP regarding operation of Class A and B Plants
> and inventories of printing, binding, and related equipment in Class A
> and B Plants or in storage.

Destroy when 3 years old.

> b\. Copies in subordinate reporting units and related work papers.

Destroy 1 year after date of report.

6\. [Internal Management Files]{.underline}.

Records relating to internal management and operation of the unit.

Destroy when 2 years old.

7\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 14**

**Information Services Records**

This schedule covers certain records pertaining to informational
services performed by Government agencies in their day-to-day affairs
and in their relations with the public, including records created in
administering Freedom of Information Act and Privacy Act (FOIA)
programs. Except as otherwise specified in individual items, it applies
to copies of these records wherever located in an agency. Item 4 applies
only to files maintained in the office responsible for the operation of
the information activities of the agency or subdivision thereof. Items
11 through 15 describe the files accumulated in carrying out the
provisions of the FOIA, and items 21 through 26 describe the files
created in administering the provisions of the Privacy Act. Items 31
through 35 cover records created in response to requests for mandatory
records declassification.

These records consist of inquiries, replies, and related correspondence;
in the case of FOIA, Privacy Act, and mandatory declassification files,
appeals and other records; administrative background files for formal
information releases, and records relating to inappropriate release of
privileged information. Closely related records such as records relating
to budget presentation, and printing, duplicating, and distribution are
covered by other General Records Schedules. Records created prior to
January 1, 1921, must be offered to the National Archives and Records
Administration (NARA) before applying this schedule.

Other information services records such as speeches and press releases
may have permanent value. As potentially archival records, these series
must be scheduled individually so NARA may appraise them. To schedule
these and other information services records not included in this
schedule, agencies submit a Standard Form (SF) 115, Request for Records
Disposition Authority, to NARA.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Information Requests Files]{.underline}.

> Requests for information and copies of replies thereto, involving no
> administrative actions, no policy decisions, and no special
> compilations or research and requests for and transmittals of
> publications, photographs, and other information literature.
>
> Destroy when 3 months old.

2\. [Acknowledgment Files]{.underline}.

> Acknowledgment and transmittals of inquiries and requests that have
> been referred elsewhere for reply.

Destroy 3 months after acknowledgment and referral.

3\. [Press Service Files]{.underline}.

Press service teletype news and similar materials.

Destroy when 3 months old.

4\. [Information Project Files]{.underline}.

Information service project case files maintained in formally designated
information offices.

Destroy 1 year after close of file or 1 year after completion of
project.

5\. [Commendation/Complaint Correspondence Files]{.underline}.

> Anonymous letters, letters of commendation, complaint, criticism and
> suggestion, and replies thereto, EXCLUDING those on the basis of which
> investigations were made or administrative action taken and those
> incorporated into individual personnel records.

Destroy when 3 months old.

6\. [Indexes and Check Lists]{.underline}.

> Bibliographies, checklists, and indexes of agency publications and
> releases, EXCLUDING those relating to record sets scheduled as
> permanent.

Destroy when superseded or obsolete.

Items 7 through 10. Reserved.

11\. [FOIA Requests Files]{.underline}.

> Files created in response to requests for information under the FOIA,
> consisting of the original request, a copy of the reply thereto, and
> all related supporting files which may include the official file copy
> of requested record or copy thereof.
>
> a\. Correspondence and supporting documents (EXCLUDING the official
> file copy of the records requested if filed herein).
>
> \(1\) Granting access to all the requested records.

Destroy 2 years after date of reply.

> \(2\) Responding to requests for nonexistent records; to requesters
> who provide inadequate descriptions; and to those who fail to pay
> agency reproduction fees.

\(a\) Request not appealed.

Destroy 2 years after date of reply.

\(b\) Request appealed.

Destroy as authorized under Item 12.

> \(3\) Denying access to all or part of the records requested.

\(a\) Request not appealed.

Destroy 6 years after date of reply.

\(b\) Request appealed.

Destroy as authorized under Item 12.

> b\. Official file copy of requested records.
>
> Dispose of in accordance with approved agency disposition instructions
> for the related records or with the related FOIA request, whichever is
> later.

12\. [FOIA Appeals Files]{.underline}.

> Files created in responding to administrative appeals under the FOIA
> for release of information denied by the agency, consisting of the
> appellant\'s letter, a copy of the reply thereto, and related
> supporting documents, which may include the official file copy of
> records under appeal or copy thereof.
>
> a\. Correspondence and supporting documents (EXCLUDING the file copy
> of the records under appeal if filed herein).
>
> Destroy 6 years after final determination by agency, 6 years after the
> time at which a requester could file suit, or 3 years after final
> adjudication by the courts, whichever is later.
>
> b\. Official file copy of records under appeal.
>
> Dispose of in accordance with approved agency disposition instructions
> for the related record or with the related FOIA request, whichever is
> later.

13\. [FOIA Control Files]{.underline}.

> Files maintained for control purposes in responding to requests,
> including registers and similar records listing date, nature, and
> purpose of request and name and address of requester.

a\. Registers or listing.

Destroy 6 years after date of last entry.

> b\. Other files.
>
> Destroy 6 years after final action by the agency or after final
> adjudication by courts, whichever is later.

14\. [FOIA Reports Files]{.underline}. \[See note after this item.\]

> Recurring reports and one‑time information requirements relating to
> the agency implementation of the Freedom of Information Act, EXCLUDING
> annual reports to the Congress at the departmental or agency level.

Destroy when 2 years old.

\[**NOTE**: The GRS does not cover departmental or agency level annual
reports to the Congress. These reports should be scheduled for transfer
to the National Archives of the United States by submitting an SF 115 to
NARA.\]

15\. [FOIA Administrative Files]{.underline}.

> Records relating to the general agency implementation of the FOIA,
> including notices, memoranda, routine correspondence, and related
> records.

Destroy when 2 years old.

16 through 20. Reserved.

21\. [Privacy Act Requests Files]{.underline}.

> Files created in response to requests from individuals to gain access
> to their records or to any information in the records pertaining to
> them, as provided for under 5 U.S.C. 552a(d)(1). Files contain
> original request, copy of reply thereto, and all related supporting
> documents, which may include the official file copy of records
> requested or copy thereof.
>
> a\. Correspondence and supporting documents (EXCLUDING the official
> file copy of the records requested if filed herein).
>
> \(1\) Granting access to all the requested records.

Destroy 2 years after date of reply.

> \(2\) Responding to requests for nonexistent records; to requesters
> who provide inadequate descriptions; and to those who fail to pay
> agency reproduction fees.

\(a\) Requests not appealed.

Destroy 2 years after date of reply.

\(b\) Requests appealed.

Destroy as authorized under Item 22.

> \(3\) Denying access to all or part of the records requested.
>
> \(a\) Requests not appealed.

Destroy 5 years after date of reply.

\(b\) Requests appealed.

Destroy as authorized under Item 22.

> b\. [Official file copy of requested records]{.underline}.
>
> Dispose of in accordance with approved agency disposition instructions
> for the related records or with the related Privacy Act request,
> whichever is later.

22\. [Privacy Act Amendment Case Files]{.underline}.

> Files relating to an individual\'s request to amend a record
> pertaining to that individual as provided for under 5 U.S.C.
> 552a(d)(2); to the individual\'s request for a review of an agency\'s
> refusal of the individual\'s request to amend a record as provided for
> under 5 U.S.C. 552a(d)(3); and to any civil action brought by the
> individual against the refusing agency as provided under 5 U.S.C.
> 552a(g).
>
> a\. Requests to amend agreed to by agency. Includes individual\'s
> requests to amend and/or review refusal to amend, copies of agency\'s
> replies thereto, and related materials.
>
> Dispose of in accordance with the approved disposition instructions
> for the related subject individual\'s record or 4 years after
> agency\'s agreement to amend, whichever is later.
>
> b\. Requests to amend refused by agency. Includes individual\'s
> requests to amend and to review refusal to amend, copies of agency\'s
> replies thereto, statement of disagreement, agency justification for
> refusal to amend a record, and related materials.
>
> Dispose of in accordance with the approved disposition instructions
> for the related subject individual\'s record, 4 years after final
> determination by agency, or 3 years after final adjudication by
> courts, whichever is later.
>
> c\. Appealed requests to amend. Includes all files created in
> responding to appeals under the Privacy Act for refusal by any agency
> to amend a record.
>
> Dispose of in accordance with the approved disposition instructions
> for related subject individual\'s record or 3 years after final
> adjudication by courts, whichever is later.

23\. [Privacy Act Accounting of Disclosure Files]{.underline}.

> Files maintained under the provisions of 5 U.S.C. 552a(c) for an
> accurate accounting of the date, nature, and purpose of each
> disclosure of a record to any person or to another agency, including
> forms for showing the subject individual\'s name, requester\'s name
> and address, purpose and date of disclosure, and proof of subject
> individual\'s consent when applicable.
>
> Dispose of in accordance with the approved disposition instructions
> for the related subject individual\'s records or 5 years after the
> disclosure for which the accountability was made, whichever is later.

24\. [Privacy Act Control Files]{.underline}.

> Files maintained for control purposes in responding to requests,
> including registers and similar records listing date, nature of
> request, and name and address of requester.

a\. Registers or listings.

Destroy 5 years after date of last entry.

b\. Other files.

> Destroy 5 years after final action by the agency or final adjudication
> by courts, whichever is later.

25\. [Privacy Act Reports Files]{.underline}. \[See note after this
item.\]

> Recurring reports and one‑time information requirement relating to
> agency implementation, including biennial reports to the Office of
> Management and Budget (OMB), and the Report on New Systems at all
> levels.

Destroy when 2 years old.

\[**NOTE**: The GRS does not cover the biennial report to Congress from
OMB.\]

26\. [Privacy Act General Administrative Files]{.underline}.

> Records relating to the general agency implementation of the Privacy
> Act, including notices, memoranda, routine correspondence, and related
> records.

Destroy when 2 years old.

27 through 30. Reserved.

31\. [Mandatory Review For Declassification Requests Files]{.underline}.

> Files created in response to requests for information under the
> mandatory review provisions of Executive Order 12356 consisting of the
> original request, a copy of the reply thereto, and all related
> supporting files, which may include the official file copy of
> requested records or a copy thereof.
>
> a\. Correspondence and supporting documents (EXCLUDING the official
> file copy of the records if filed herein, and sanitizing instructions,
> if applicable).
>
> \(1\) Granting access to all the requested records.

Destroy 2 years after date of reply.

> \(2\) Responding to requests for nonexistent records; to requesters
> who provide inadequate descriptions; and to those who fail to pay
> agency reproduction fees.
>
> \(a\) Request not appealed.

Destroy 2 years after date of reply.

> \(b\) Request appealed.

Destroy as authorized under Item 32.

> \(3\) Denying access to all or part of the records requested.
>
> \(a\) Request not appealed.

Destroy 5 years after date of reply.

> \(b\) Request appealed.

Destroy as authorized under Item 32.

> b\. Official file copy of requested records.
>
> Dispose of in accordance with approved disposition instructions for
> the related records or with the related mandatory review request,
> whichever is later.
>
> c\. Sanitizing instructions.

Destroy when superseded or when requested documents are declassified or
destroyed.

32\. [Mandatory Review for Declassification Appeals Files]{.underline}.

> Files created in responding to administrative appeals under the
> mandatory review provisions of Executive Order 12356 and its
> predecessors for release of information denied by the agency. Files
> consist of the appellant\'s letter, a copy of the reply thereto, and
> related supporting documents, which may include the official file copy
> of records under appeal or copy thereof.
>
> a\. Correspondence and supporting documents (EXCLUDING the official
> file copy of the records under appeal if filed herein).

Destroy 4 years after final determination by agency.

> b\. Official file copy of records under appeal.
>
> Dispose of in accordance with approved agency disposition instructions
> for the related records, or with the related mandatory review request,
> whichever is later.

33\. [Mandatory Review for Declassification Control Files]{.underline}.

> Files maintained for control purposes in responding to requests,
> including registers and similar records listing date, nature, and
> purpose of request and name and address of requester.

a\. Registers or listing.

Destroy 5 years after date.

> b\. Other files.

Destroy 5 years after final action by the agency.

34\. [Mandatory Review for Declassification Reports Files]{.underline}.

> Reports relating to agency implementation of the mandatory review
> provisions of the current Executive order on classified national
> security information, including annual reports submitted to the
> Information Security Oversight Office.

Destroy when 2 years old.

35\. [Mandatory Review for Declassification Administrative
Files]{.underline}.

> Records relating to the general agency implementation of the mandatory
> review provisions of the current Executive order on classified
> national security information, including notices, memoranda,
> correspondence, and related records.

Destroy when 2 years old.

36\. [Erroneous Release Files]{.underline}.

> Files relating to the inadvertent release of privileged information to
> unauthorized parties, containing information the disclosure of which
> would constitute an unwarranted invasion of personal privacy. Files
> contain requests for information, copies of replies thereto, and all
> related supporting documents, and may include the official copy of
> records requested or copies thereof.
>
> a\. Files that include the official file copy of the released records.
>
> Follow the disposition instructions approved for the released official
> file copy or destroy 6 years after the erroneous release, whichever is
> later.
>
> b\. Files that do not include the official file copy of the released
> records.
>
> Destroy 6 years after the erroneous release.

37\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 15**

**Housing Records**

The housing records covered by this schedule include files and data
accumulated in the maintenance and management of Federally owned and
operated housing facilities within the continental United States for
civilian employees of the Federal Government, military personnel, and
others eligible by law to reside in the projects. These facilities may
consist of low cost quarters located either within or adjacent to the
confines of Federal installations or in a critical defense or other
area. This schedule includes housing records maintained by housing
managers and housing or quarters offices, but does not cover the
headquarters or staff office files of the supervising agency, or the
files of the Department of Housing and Urban Development, the Department
of Health and Human Services, or the Department of Veterans Affairs
pertaining to program operations in planning and financing housing
facilities.

Maintenance records reflect repair and general upkeep of the housing
project or units. Management involves the assignment and rental of
units, rent collection and other fiscal operations, and overall
supervision. However, rental charges for military personnel are normally
represented by checkages made against pay accounts.

Certain housing records are subject to the provisions of other General
Records Schedules. Supply and fiscal files are covered by General
Records Schedules 3 and 6. Schedules 1, 2, 8, and 10 may also be
involved. Many records of agent cashiers serving as housing rental
managers are similar to those of other Federal accountable officers and
are disposable under General Records Schedule 6.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Housing General Correspondence Files]{.underline}.

Correspondence files pertaining to the maintenance and management of
housing projects.

Destroy when 2 years old.

2\. [Housing Maintenance and Repair Files]{.underline}.

Maintenance and repair records for individual units.

> a\. Summary card or ledger record.
>
> Destroy 3 fiscal years following close of fiscal year in which unit is
> closed to tenancy or leaves agency control.

Work orders, requisitions, and related papers involved in repair and
maintenance work.

Destroy 3 fiscal years following close of fiscal year in which work is
done.

3\. [Housing Management Files]{.underline}.

> Reports pertaining to housing management, including expenditure,
> survey, collection, and other statistical and narrative data.

Destroy when 2 years old.

4\. [Housing Lease Files]{.underline}.

Copies of leases, renewals, termination notices, and related documents.

> Destroy 3 fiscal years following close of fiscal year in which (a)
> lease termination, lapse, or cancellation occurs or (b) litigation is
> concluded, whichever is later.

5\. [Housing Assignment and Vacancy Card Files]{.underline}.

a\. Individual tenant cards.

Destroy when tenant vacates unit.

42. Individual housing unit cards.

> Destroy 3 fiscal years after close of fiscal year in which unit is
> closed to tenancy or leaves agency control.

6\. [Housing Inventory Files]{.underline}.

Furnishing inventory files, pertaining to items included in furnished
units.

Destroy 3 fiscal years after close of fiscal year in which inventory is
superseded.

7\. [Housing Application Files]{.underline} (other than copies in lease
files).

Rejected application files.

Destroy 1 year from date of rejection.

b\. All others.

Destroy when 2 years old.

8\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

# GENERAL RECORDS SCHEDULE 16 {#general-records-schedule-16 .unnumbered}

**Administrative Management Records**

This schedule provides for the disposal of certain records relating to
administrative management activities in Federal agencies, excluding
records of operating personnel, budget, accounting, and printing
functions, which are covered by other General Records Schedules.
Included within the scope of the schedule are disposable records created
in the course of organizational planning, development, and
simplification of procedures; records management activities; and
administration of management improvement programs. General Records
Schedule 1 (Items 12 and 13) provide for the disposition of case files
on individuals involved in incentive award and similar types of
management improvement programs. Any records created prior to January 1,
1939, must be offered to the National Archives and Records
Administration (NARA) before applying these disposition instructions.

The organizational locations and titles of administrative management
units vary from agency to agency. They may be scattered at numerous
levels or locations, or may be centralized. For the purposes of this
schedule, the nomenclature standards set forth by the Senate Committee
on Government Operations in Senate Report No. 245, 80th Congress, 1st
session, are followed: the first organizational level within an agency
is the bureau level; subordinate components are, successively, division,
branch, section, and unit.

This schedule is based on the presumption that management activities are
carried on by a specialized person or unit with, at least, division-wide
and usually bureau-wide or agency-wide responsibilities or by a group of
such persons or units in an agency, although its provisions are
applicable to exactly comparable records of agencies without such formal
assignments of responsibility. Many similar or comparable records
created at lower organizational levels or in field offices vary so
greatly in content, value, and arrangement that they are not covered by
this schedule.

Because of the nature of the activities documented by administrative
management records, a relatively large proportion of them is of
continuing value. Files with potential archival value are not covered by
the General Records Schedules. They must be scheduled individually by
submission of a Standard Form (SF) 115 to NARA. These records include
organizational charts and reorganization studies, functional statements,
delegations of authority, and agency histories. However, related
temporary or ephemeral materials include working papers that do not have
a direct bearing on the transaction, intermediate drafts of documents
and worksheets that do not represent significant basic steps in the
preparation of final drafts, letters or memoranda of transmittal and
acknowledgment, routing slips, and extra copies of documents.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Administrative Issuances]{.underline}. \[See note after item 1b.\]

> a\. Notices and other types of issuances related to routine
> administrative functions (e.g., payroll, procurement, personnel).

Destroy when superseded or obsolete.

> b\. Case files related to (a) above that document aspects of the
> development of the issuance.

Destroy when issuance is destroyed.

\[**NOTE**: Record sets of formal directives, procedural and operating
manuals, publications, and management improvement reports submitted to
the Office of Management and Budget (OMB), and the case files
documenting their development are potentially permanent records and must
be scheduled by submission of an SF 115 to NARA.\]

2\. [Records Disposition Files]{.underline}.

Descriptive inventories, disposal authorizations, schedules, and
reports.

> a\. Basic documentation of records description and disposition
> programs, including SF 115, Request for Records Disposition Authority;
> SF 135, Records Transmittal and Receipt; SF 258, Agreement to Transfer
> Records to National Archives of the United States; and related
> documentation.

\(1\) SF 115s that have been approved by NARA.

Destroy 2 years after supersession.

\(2\) Other records.

> Destroy 6 years after the related records are destroyed or after the
> related records are transferred to the National Archives of the United
> States, whichever is applicable.
>
> b\. Routine correspondence and memoranda.

Destroy when 2 years old.

3\. [Forms Files]{.underline}.

> a\. One record copy of each form created by an agency with related
> instructions and documentation showing inception, scope, and purpose
> of the form.

Destroy 5 years after related form is discontinued, superseded, or
canceled.

> b\. Background materials, requisitions, specifications, processing
> data, and control records.

Destroy when related form is discontinued, superseded, or canceled.

4\. [Records Holdings Files]{.underline}.

> Statistical reports of agency holdings, including feeder reports from
> all offices and data on the volume of records disposed of by
> destruction or transfer.
>
> a\. Records held by offices that prepare reports on agency-wide
> records holdings.

Destroy when 3 years old.

b\. Records held by other offices.

Destroy when 1 year old.

5\. [Project Control Files]{.underline}.

> Memoranda, reports, and other records documenting assignments,
> progress, and completion of projects.

Destroy 1 year after the year in which the project is closed.

6\. [Reports Control Files]{.underline}.

> Case files maintained for each agency report created or proposed,
> including public use reports. Included are clearance forms, including
> OMB 83 (formerly SF 83); copies of pertinent forms or descriptions of
> format; copies of authorizing directives; preparation instructions;
> and documents relating to the evaluation, continuation, revision, and
> discontinuance of reporting requirements.

Destroy 2 years after the report is discontinued.

7\. [Records Management Files]{.underline}.

> Correspondence, reports, authorizations, and other records that relate
> to the management of agency records, including such matters as forms,
> correspondence, reports, mail, and files management; the use of
> microforms, ADP systems, and word processing; records management
> surveys; vital records programs; and all other aspects of records
> management not covered elsewhere in this schedule.

Destroy when 6 years old.

8\. [Reserved]{.underline}.

9\. [Feasibility Studies]{.underline}.

> Studies conducted before the installation of any technology or
> equipment associated with information management systems, such as word
> processing, copiers, micrographics, and communications. Studies and
> system analyses for the initial establishment and major changes of
> these systems. Such studies typically include a consideration of the
> alternatives of the proposed system and a cost/benefit analysis,
> including an analysis of the improved efficiency and effectiveness to
> be expected from the proposed system.

Destroy 5 years after completion or cancellation of study.

10\. [Microform Inspection Records]{.underline}.

> a\. Agency copy of inventories, logs, and reports documenting the
> inspection of permanent microform records, as required by 36 CFR Part
> 1230. \[See notes after item 10a.\]
>
> Destroy 1 year after the records are transferred to the National
> Archives of the United States.
>
> \[**NOTES**: (1) This item does not cover the copy of logs and reports
> that are attached to the SF 135 when records are transferred to a
> Federal records center or the SF 258 when records are transferred to
> the National Archives of the United States. (2) Inspection records for
> unscheduled records that are converted to microform are also
> unscheduled and may not be destroyed.\]
>
> b\. Agency copy of logs and other records documenting the inspection
> of temporary microform records, as recommended by 36 CFR Part 1230.

Destroy when 2 years old or when superseded, whichever is later.

11\. [IRM Triennial Review Files]{.underline}.

> Reports required by the GSA concerning reviews of information
> resources management (IRM) practices. Included are associated
> correspondence, studies, directives, feeder reports, and monitoring
> surveys and reports.

Destroy when 7 years old.

12\. [Information Collection Budget Files]{.underline}.

> Reports required by the OMB under the Paperwork Reduction Act about
> the number of hours the public spends fulfilling agency reporting
> requirements. Included are associated feeder reports, report exhibits,
> correspondence, directives, and statistical compilations.

Destroy when 7 years old.

13\. [Documents Published in the Federal Register]{.underline}. \[See
note after item 13b.\]

> a\. Files documenting the processing of notices announcing committee
> meetings, including meetings open to the public under the Government
> in Sunshine Act (5 U.S.C. 552b(e)(3)); hearings and investigations;
> filing of petitions and applications; issuance or revocation of a
> license; grant application deadlines, the availability of certain
> environmental impact statements; delegations of authority; and other
> matters that are not codified in the Code of Federal Regulations.

Destroy when 1 year old.

> b\. Files documenting the processing of semiannual regulatory agenda.

Destroy when 2 years old.

\[**NOTE**: Agency files documenting the development, clearance, and
processing of proposed and final rules for publication in the Federal
Register are not covered by the General Records Schedules. These records
may be, but are not necessarily, permanent. They must be scheduled
individually by each agency so NARA can conduct an analysis and
appraisal to determine their appropriate disposition.\]

14\. [Management Control Records]{.underline}.

> Records created in accordance with procedures mandated by OMB Circular
> A-123, Management Accountability and Control Systems, and Pub.L.
> 97-255, the Federal Managers\' Financial Integrity Act. Under these
> authorities, agencies are required to perform evaluations of their
> accounting and administrative controls to prevent waste, fraud, and
> mismanagement.
>
> a\. Policy, procedure, and guidance files.
>
> Copies of internal directives maintained by the agency\'s internal
> control staff (but not those copies maintained in the agency\'s
> official file of internal directives); external directives such as OMB
> Circular A-123; and correspondence outlining policy and procedure for
> performing management reviews.

Destroy when superseded.

> b\. Management control plans.
>
> Comprehensive plans documenting the agency\'s efforts to ensure
> compliance with OMB Circular A-123.

Destroy when superseded.

c\. Risk analyses.

> Reports and supporting materials used to document review of program
> areas for susceptibility to loss or unauthorized use of resources,
> errors in reports and information, and illegal and unethical actions.

Cut off closed files annually. Destroy after next review cycle.

> d\. Annual reports and assurance statements created by organizational
> components below the agency (department or independent agency) level
> and compiled by the agency into a single unified report for direct
> submission to the President or Congress. \[See note after item 14d.\]

Cut off closed files annually. Destroy after next reporting cycle.

> \[**NOTE**: This item does not cover the consolidated final reports
> submitted directly to the President or Congress. The final reports
> must be scheduled by submitting an SF 115 to NARA.\]

e\. Tracking files.

> Files used to ensure the completion and timeliness of submission of
> feeder reports, including schedules of evaluations, interim reporting,
> lists of units required to report, and correspondence relating to the
> performance of the reviews.

Destroy 1 year after report is completed.

> f\. Review files. \[See note after item 14f(2).\]
>
> Correspondence, reports, action copies of audit findings, and other
> records that identify program internal control weaknesses, and
> corrective actions taken to resolve such problems. Since A-123
> provides for alternative internal control reviews under OMB Circulars
> A-76, A‑127, or A-130, this item also applies to copies of these
> reviews, provided they are identified as alternative reviews in the
> management control plan.
>
> \(1\) Office with responsibility for coordinating internal control
> functions.
>
> Cut off when no further corrective action is necessary. Destroy 5
> years after cutoff.
>
> \(2\) Copies maintained by other offices as internal reviews.
>
> Cut off when no further corrective action is necessary. Destroy 1 year
> after cutoff.
>
> \[**NOTE**: Alternative reviews such as computer security reviews and
> management and consultant studies may need to be kept longer than
> provided in item 14f(2). This item applies only to **copies**
> maintained as internal reviews.\]

15\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

**GENERAL RECORDS SCHEDULE 17**

**Cartographic, Aerial Photographic, Architectural, and Engineering
Records**

Federal agencies create or receive cartographic, aerial photographic,
architectural, and engineering design records in connection with their
official activities. Many of these records have continuing historical
value after they are no longer being used by the agency. Descriptions of
both historically valuable and temporary records were formerly included
in General Records Schedule 17, Cartographic, Remote Sensing Imagery,
and Related Records, and in General Records Schedule 22, Design and
Construction Drawings and Related Records. The General Records Schedules
have been revised to cover only temporary records, and this schedule
covers temporary records formerly included in those two schedules.
Guidelines for identifying and scheduling the records of continuing
value are now provided in \"Managing Cartographic and Architectural
Records: An Instructional Guide.\" The Guide must be used in conjunction
with the General Records Schedule to ensure proper disposition of all
cartographic, aerial photographic, architectural, and engineering design
records held by an agency.

This schedule relates to cartographic records prepared during
intermediate stages of publication, unannotated aerial photographic
negatives and prints, and architectural and engineering drawings.
Cartographic and aerial photographic records created before January 1,
1950, and architectural or engineering drawings created before January
1, 1921, must be brought to the attention of the National Archives and
Records Administration (NARA) before applying the disposition
instructions in this schedule.

1\. [Cartographic Records Prepared During Intermediate Stages of
Publication]{.underline}.

> Scribed plastic sheets, color separation sheets, composites prepared
> as a step in the making of color separation sheets, photographic
> negatives, glass plate negatives, enlargements or reductions, color
> pulls, proof copies subject to final revision, \"correction file\"
> maps annotated to show corrections to be incorporated into the next
> edition of the published map, and similar items whose informational
> content is duplicated by the final published map.

Destroy when no longer needed for revision.

2\. [Reserved]{.underline}.

3\. [Architectural Drawings of Temporary Structures and Buildings or of
Buildings Not Critical to the Mission of the Agency]{.underline}.

> Drawings of structures and buildings such as telephone and electric
> lines, storage sheds, parking lots, and comfort stations.

Destroy when superseded or after the structure or object has been
retired from service.

4\. [Drawings of Electrical, Plumbing, Heating, or Air Conditioning
Systems]{.underline}.

Destroy when superseded or after the structure or object has been
retired from service.

5\. [Contract Negotiation Drawings]{.underline}.

> Drawings prepared during contract negotiation for buildings or objects
> lacking historical, architectural, or technological significance;
> drawings related to electrical, plumbing, heating, or air conditioning
> projects; or drawings superseded by final working/as built drawings.

Destroy when the final working/as-built drawings have been produced.

6\. [Space Assignment Plans]{.underline}.

Outline floor plans indicating occupancy of a building.

Destroy when superseded or after the structure or object has been
retired from service.

7\. [Reserved]{.underline}.

8\. [Engineering Drawings of Routine Minor Parts]{.underline}.

> Drawings of such objects as fasteners, nuts, bolts, wires, screws,
> nails, pipe fittings, brackets, struts, plates, and beams, if
> maintained separately or if segregable from a larger file.

Destroy when superseded or after the structure or object has been
retired from service.

9\. [Drawings Reflecting Minor Modifications]{.underline}.

> Repetitive engineering drawings showing minor modifications made
> during research and development, and superseded by final drawings, if
> filed separately or if readily segregable from a larger file.

Destroy when superseded or after the structure or object has been
retired from service.

10\. [Paint Plans and Samples]{.underline}. \[See note after this
item.\]

> Plans and paint samples for painting all areas of buildings lacking
> historical, architectural, or technological significance and plans and
> samples for painting appliances, elevators, and other mechanical parts
> of buildings.

Destroy when superseded or after the structure or object has been
retired from service.

\[**NOTE**: Paint plans and samples for the interior and exterior walls
of buildings significant for historical, architectural, or technological
reasons are not disposable under this item and must be scheduled by
submitting a Standard Form (SF) 115 to NARA.\]

**GENERAL RECORDS SCHEDULE 18**

**Security and Protective Services Records**

Security and protective services records include the various files
created by agencies to control and protect classified information; to
protect Government facilities from unauthorized entry, sabotage, or
loss; to ensure the adequacy of protective measures at privately owned
plants given security cognizance by the Government; to determine loyalty
and fitness of individuals employed by, or seeking employment from the
Government; and to develop and implement plans for the protection of
life and property under emergency conditions. Included are selected
files of offices having Government-wide or agencywide responsibility for
security and protective services programs. Also included are files of
security units, guard forces, and other organizational elements
documenting the control of classified information, access to facilities,
and like matters.

This schedule authorizes for disposal records documenting administrative
actions relating to the above functions. Records documenting
Government-wide or agencywide security and protective services planning
and programming, reflecting basic overall policies and determinations
are not authorized for disposal by this schedule. Variations among
agencies in methods of implementing statutory requirements for security
and protective services result in dissimilarities in program
documentation. The application of standard techniques of filing and
disposition to such records through the medium of a General Records
Schedule is therefore impractical. Any records created prior to January
1, 1921, must be offered to the National Archives and Records
Administration (NARA) before applying these disposition instructions.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

**[Classified Information Accounting and Control Records]{.smallcaps}**

Records accumulating from measures taken by agencies to protect
classified information from unauthorized disclosure in accordance with
Executive orders and statutory or regulatory requirements.

1\. [Classified Documents Administrative Correspondence
Files]{.underline}. \[See note after this item.\]

> Correspondence files pertaining to the administration of security
> classification, control, and accounting for classified documents, not
> covered elsewhere in this schedule.

Destroy when 2 years old.

\[**NOTE**: This item does not cover records documenting policies and
procedures accumulated in offices having agencywide responsibilities for
security and protective services programs.\]

2\. [Document Receipt Files]{.underline}.

Records documenting the receipt and issuance of classified documents.

Destroy when 2 years old.

3\. [Destruction Certificates Files]{.underline}.

Certificates relating to the destruction of classified documents.

Destroy when 2 years old.

4\. [Classified Document Inventory Files]{.underline}.

> Forms, ledgers, or registers used to show identity, internal routing,
> and final disposition made of classified documents, but exclusive of
> classified document receipts and destruction certificates and
> documents relating to Top Secret material covered elsewhere in this
> schedule.

Destroy when 2 years old.

5\. [Top Secret Accounting and Control Files]{.underline}. \[See note
after item 5b.\]

> a\. Registers maintained at control points to indicate accountability
> over Top Secret documents, reflecting the receipt, dispatch, or
> destruction of the documents.
>
> Destroy 5 years after documents shown on forms are downgraded,
> transferred, or destroyed.
>
> b\. Forms accompanying documents to ensure continuing control, showing
> names of persons handling the documents, intra‑office routing, and
> comparable data.

Destroy when related document is downgraded, transferred, or destroyed.

\[**NOTE**: Master files and data bases created to supplement or replace
the records covered by item 5 are not authorized for disposal under the
GRS. Such files must be scheduled on a Standard Form (SF) 115.\]

6\. [Access Request Files]{.underline}.

Requests and authorizations for individuals to have access to classified
files.

Destroy 2 years after authorization expires.

7\. [Classified Document Container Security Files]{.underline}. \[See
note after item 7b.\]

> a\. Forms or lists used to record safe and padlock combinations, names
> of individuals knowing combinations, and comparable data used to
> control access into classified document containers.

Destroy when superseded by a new form or list or upon turn-in of
containers.

> b\. Forms placed on safes, cabinets, or vaults containing security
> classified documents that record opening, closing, and routine
> checking of the security of the container, such as locking doors and
> windows, and activating alarms. Included are such forms as SF 701,
> Activity Security Checklist, and SF 702, Security Container Check
> Sheet.

Destroy 3 months following the last entry on the form (see note).

\[**NOTE**: Forms involved in investigations will be retained until
completion of the investigation.\]

**[Facilities Security and Protective Services Records]{.smallcaps}**

Records relating to measures taken for the protection of
Government‑owned facilities and privately operated facilities given
security cognizance by the Government from unauthorized entry, sabotage,
or loss.

8\. [Security and Protective Services Administrative Correspondence
Files]{.underline}. \[See note after this item.\]

> Correspondence files relating to administration and operation of the
> facilities security and protective services programs, not covered
> elsewhere in this schedule.

Destroy when 2 years old.

\[**NOTE**: This item does not cover records documenting policies and
procedures accumulated in offices having agencywide responsibilities for
security and protective services programs.\]

9\. [Survey and Inspection Files]{.underline}. (Government‑owned
facilities)

> Reports of surveys and inspections of Government‑owned facilities
> conducted to ensure adequacy of protective and preventive measures
> taken against hazards of fire, explosion, and accidents, and to
> safeguard information and facilities against sabotage and unauthorized
> entry.

Destroy when 3 years old or upon discontinuance of facility, whichever
is sooner.

10\. [Survey and Inspection Files]{.underline}. (privately owned
facilities)

> Reports of surveys and inspections of privately owned facilities
> assigned security cognizance by Government agencies and related
> documents.

Destroy when 4 years old or when security cognizance is terminated,
whichever is sooner.

11\. [Investigative Files]{.underline}.

> Investigative files accumulating from investigations of fires,
> explosions, and accidents, consisting of retained copies of reports
> and related documents when the original reports are submitted for
> review and filing in other agencies or organizational elements, and
> reports and related papers concerning occurrences of such a minor
> nature that they are settled locally without referral to other
> organizational elements.

Destroy when 2 years old.

12\. [Property Pass Files]{.underline}.

Property pass files, authorizing removal of property or materials.

Destroy 3 months after expiration or revocation.

13\. [Guard Assignment Files]{.underline}.

Files relating to guard assignments and strength.

a\. Ledger records.

Destroy 3 years after final entry.

> b\. Requests, analyses, reports, change notices, and other papers
> relating to post assignments and strength requirements.

Destroy when 2 years old.

14\. [Police Functions Files]{.underline}.

Files relating to exercise of police functions.

> a\. Ledger records of arrest, cars ticketed, and outside police
> contacts.

Destroy 3 years after final entry.

> b\. Reports, statements of witnesses, warning notices, and other
> documents relating to arrests, commitments, and traffic violations.

Destroy when 2 years old.

> c\. Reports on contact of outside police with building occupants.

Destroy when 1 year old.

15\. [Personal Property Accountability Files]{.underline}.

Files relating to accountability for personal property lost or stolen.

a\. Ledger files.

Destroy 3 years after final entry.

> b\. Reports, loss statements, receipts, and other documents relating
> to lost and found articles.

Destroy when 1 year old.

16\. [Key Accountability Files]{.underline}.

Files relating to accountability for keys issued.

> a\. For areas under maximum security.

Destroy 3 years after turn‑in of key.

> b\. For other areas.

Destroy 6 months after turn‑in of key.

17\. [Visitor Control Files]{.underline}.

> Registers or logs used to record names of outside contractors, service
> personnel, visitors, employees admitted to areas, and reports on
> automobiles and passengers.
>
> a\. For areas under maximum security.

Destroy 5 years after final entry or 5 years after date of document, as
appropriate.

> b\. For other areas.

Destroy 2 years after final entry or 2 years after date of document, as
appropriate.

18\. [Facilities Checks Files]{.underline}.

Files relating to periodic guard force facility checks.

> a\. Data sheets, door slip summaries, check sheets, and guard reports
> on security violations (except copies in files of agency security
> offices covered by item 24 of this schedule).

Destroy when 1 year old.

> b\. Reports of routine after‑hours security checks that either do not
> reflect security violations or for which the information contained
> therein is documented in the files defined in item 24 of this
> schedule.

Destroy when 1 month old.

19\. [Guard Service Control Files]{.underline}.

> a\. Control center key or code records, emergency call cards, and
> building record and employee identification cards.

Destroy when superseded or obsolete.

> b\. Round reports, service reports on interruptions and tests, and
> punch clock dial sheets.

Destroy when 1 year old.

> c\. Automatic machine patrol charts and registers of patrol and alarm
> services.

Destroy when 1 year old.

> d\. Arms distribution sheets, charge records, and receipts.

Destroy 3 months after return of arms.

20\. [Logs and Registers]{.underline}.

Guard logs and registers not covered elsewhere in this schedule.

a\. Central guard office master logs.

Destroy 2 years after final entry.

> b\. Individual guard post logs of occurrences entered in master logs.

Destroy 1 year after final entry.

**[Personnel Security Clearance Records]{.smallcaps}**

Records accumulating from investigations of personnel conducted under
Executive orders and statutory or regulatory requirements.

21\. [Security Clearance Administrative Subject Files]{.underline}.

> Correspondence, reports, and other records relating to the
> administration and operation of the personnel security program, not
> covered elsewhere in this schedule.

Destroy when 2 years old.

22\. [Personnel Security Clearance Files]{.underline}.

> Personnel security clearance case files created under Office of
> Personnel Management procedures and regulations and related indexes
> maintained by the personnel security office of the employing agency.
>
> a\. Case files documenting the processing of investigations on Federal
> employees or applicants for Federal employment, whether or not a
> security clearance is granted, and other persons, such as those
> performing work for a Federal agency under contract, who require an
> approval before having access to Government facilities or to sensitive
> data. These files include questionnaires, summaries of reports
> prepared by the investigating agency, and other records reflecting the
> processing of the investigation and the status of the clearance,
> exclusive of copies of investigative reports furnished by the
> investigating agency.
>
> Destroy upon notification of death or not later than 5 years after
> separation or transfer of employee or no later than 5 years after
> contract relationship expires, whichever is applicable.
>
> b\. Investigative reports and related documents furnished to agencies
> by investigative organizations for use in making security/suitability
> determinations.

Destroy in accordance with the investigating agency instructions.

> c\. Index to the Personnel Security Case Files.

Destroy with related case file.

23\. [Personnel Security Clearance Status Files]{.underline}.

Lists or rosters showing the current security clearance status of
individuals.

Destroy when superseded or obsolete.

24\. [Security Violations Files]{.underline}.

> Case files relating to investigations of alleged violations of
> Executive orders, laws, or agency regulations for the safeguarding of
> national security information.
>
> a\. Files relating to alleged violations of a sufficiently serious
> nature that they are referred to the Department of Justice or
> Department of Defense for prosecutive determination, exclusive of
> files held by the Department of Justice or Department of Defense
> offices responsible for making such determinations.

Destroy 5 years after close of case.

> b\. All other files, exclusive of documents placed in official
> personnel folders.

Destroy 2 years after completion of final action.

25\. [Classified Information Nondisclosure Agreements]{.underline}.

> Copies of nondisclosure agreements, such as SF 312, Classified
> Information Nondisclosure Agreement, signed by civilian and military
> personnel with access to information that is classified under
> standards put forth by Executive orders governing security
> classification. These forms should be maintained separately from
> personnel security clearance files. Agreements for civilian employees
> working for elements of the intelligence community must be maintained
> separately from the official personnel folder. For all other persons,
> these forms may be filed in the individual\'s official military
> personnel folder (for uniformed military personnel) or on the right
> side of the official personnel folder (for civilian employees).
>
> a\. If maintained separately from the individual\'s official personnel
> folder.

Destroy when 70 years old.

> b\. If maintained in the individual\'s official personnel folder.

Apply the disposition for the official personnel folder.

**[Emergency Planning Records]{.smallcaps}**

Records accumulating from the formulation and implementation of plans,
such as evacuation plans, for protection of life and property during
emergency conditions.

26\. [Emergency Planning Administrative Correspondence
Files]{.underline}. \[See note after this item.\]

> Correspondence files relating to administration and operation of the
> emergency planning program, not covered elsewhere in this schedule.

Destroy when 2 years old.

\[**NOTE**: This item does not cover records documenting policies and
procedures accumulated in offices having agencywide responsibilities for
emergency programs.\]

27\. [Emergency Planning Case Files]{.underline}. \[See notes after this
item.\]

> Case files accumulated by offices responsible for the preparation and
> issuance of plans and directives, consisting of a copy of each plan or
> directive issued, with related background documents, EXCLUDING one
> record copy of each plan or directive issued, if not included in the
> agency\'s permanent set of master directives files.

Destroy 3 years after issuance of a new plan or directive.

\[**NOTES**: (1) If the emergency plan is not included in the agency\'s
master set of directives files, a record set must be maintained and
scheduled for eventual transfer to the National Archives of the United
States by submission of an SF 115 to NARA. (2) Emergency planning
reports of operations tests, consisting of consolidated or comprehensive
reports reflecting agencywide results of tests conducted under emergency
plans are also permanent and must be scheduled for transfer to the
National Archives of the United States by submission of an SF 115.\]

28\. [Emergency Operations Tests Files]{.underline}.

> Files accumulating from tests conducted under agency emergency plans,
> such as instructions to members participating in test, staffing
> assignments, messages, tests of communications and facilities, and
> reports EXCLUDING consolidated and comprehensive reports.

Destroy when 3 years old.

29. [National Defense Executive Reserve (NDER) Case Files]{.underline}.

> Case files for NDER reservists or applicants, maintained by agencies
> with major mobilization responsibilities in cases of national security
> emergencies, including qualifications statement, other personnel and
> administrative records, skills inventory, training data, and other
> records relating to administration of the NDER program.
>
> a\. Case files on reservists.

Destroy 5 years after termination from NDER program.

> b\. Case files on individuals whose applications were rejected or
> withdrawn.

Destroy when 5 years old.

30\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. Copies that have no further administrative value after the
> recordkeeping copy is made. Includes copies maintained by individuals
> in personal files, personal electronic mail directories, or other
> personal directories on hard disk or network drives, and copies on
> shared network drives that are used only to produce the recordkeeping
> copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

##### GENERAL RECORDS SCHEDULE 20. {#general-records-schedule-20. .unnumbered}

#####  {#section-3 .unnumbered}

##### Electronic Records  {#electronic-records .unnumbered}

This schedule provides disposal authorization for certain electronic
records and for specified paper, microform, or other hard copy records
that are integrally related to the electronic records.

This schedule applies to electronic records created or received by
Federal agencies including those managed for agencies by contractors. It
covers records created by computer operators, programmers, analysts,
systems administrators, and all personnel with access to a computer.
Disposition authority is provided for certain master files, including
some tables that are components of data base management systems, and
certain files created from master files for specific purposes. In
addition, this schedule covers certain electronic records produced by
end users in office automation applications. These disposition
authorities apply to the categories of electronic records described in
GRS 20, regardless of the type of computer used to create or store these
records.

GRS 20 does not cover all electronic records. Disposition may not be
carried out for electronic records not covered by GRS 20 unless
authorized by a Standard Form (SF) 115, Request for Records Disposition
Authority, that has been approved by the National Archives and Records
Administration (NARA). The records covered by several items in this
schedule are authorized for erasure or deletion when the agency
determines that they are no longer needed for administrative, legal,
audit, or other operational purposes. NARA cannot establish a more
specific retention that would be appropriate in all applications. Each
agency should, when appropriate, determine a more specific disposition
instruction, such as \"Delete after X update cycles\" or \"Delete when X
years old,\" for inclusion in its records disposition directives or
manual. NARA approval is not needed to set retention periods for records
in the GRS that are authorized for destruction when no longer needed.

Items 1a (in part), 2a, and 16 of this schedule apply to hard copy
records used in conjunction with electronic files. Item 1 also covers
printouts produced to test, use, and maintain master files. Items 10 and
11 of this schedule should be applied to special purpose programs and
documentation for the referenced electronic records whatever the medium
in which such programs and documentation exist.

This schedule has been revised to expand the authority agencies have to
apply previously approved schedules to electronic records; grant broader
authority to agencies to dispose of hard copy records that have been
converted to an electronic format; and provide disposition instructions
for ad hoc printouts and for documentation associated with permanent
electronic records. Additionally, because copies of system security
records are now covered by GRS 24, item 5, a cross-reference has been
provided for item 11b to that effect. The items affected by the
revisions to this GRS 20 schedule are 2, 3, 3.1, 11, and 16.

Electronic versions of most records authorized for disposal elsewhere in
the GRS may be deleted under the provisions of item 3 of GRS 20. See
also 36 CFR Part 1234 for NARA regulations on electronic records
management.

1\. [Files/Records Relating to the Creation, Use, and Maintenance of
Computer Systems,]{.underline} [Applications, or Electronic
Records.]{.underline}

a\. Electronic files or records created solely to test system
performance, as well as

hard copy printouts and related documentation for the electronic
files/records.

Delete/destroy when the agency determines that they are no longer needed
for administrative, legal, audit, or other operational purposes.

b.  Electronic files or records used to create or update a master file,
    including, but not

    limited to, work files, valid transaction files, and intermediate
    input/output

    records.

    Delete after information has been transferred to the master file and
    verified.

c.  Electronic files and hard copy printouts created to monitor system
    usage,

    including, but not limited to, log-in files, password files, audit
    trail files, system

    usage files, and cost-back files used to assess charges for system
    use.

    Delete/destroy when the agency determines they are no longer needed
    for

    administrative, legal, audit, or other operational purposes.

2\. [Input/Source Records.]{.underline}

a.  Hard copy (non-electronic) documents used to create, update, or
    modify electronic records when the electronic records are retained
    to meet recordkeeping requirements and are covered by a
    NARA-approved schedule. Included are such records as hard copy forms
    used for data input as well as hard copy documents that are scanned
    into an electronic recordkeeping system (e.g., correspondence,
    reports, still pictures, maps, etc.).

    1.  Hard copy documents that NARA has specifically designated as
        permanent records that must be transferred to NARA in hard copy
        format, even if records have been copied/converted to an
        electronic format.

> Permanent. Transfer to NARA in accordance with previously approved
>
> schedule.

2.  Hard copy records previously approved as permanent that are
    converted to electronic records where the electronic records do not
    meet NARA's transfer standards for permanent electronic records in
    effect at the time of conversion.

> Permanent. Transfer to NARA in accordance with previously approved
>
> schedule.

3.  Hard copy documents that contain information that is not or cannot
    be captured in the electronic version of the records (e.g., certain
    handwritten annotations).

> Apply previously approved schedule.

4.  Hard copy documents other than those covered by Items 2(a) (1) --
    (3).

> Destroy after the information has been converted to an electronic
> medium
>
> and verified, when no longer needed for legal or audit purposes or to
> support the reconstruction of, or serve as a backup to, the electronic
> records, or 60 days after NARA has been provided the notification
> required by 36 CFR 1228.31(b)(1)(i), whichever is later.

\[NOTE: The term hard copy records or non-electronic records as used in
this schedule includes, in addition to traditional textual files: still
picture negatives, prints, slides, and transparencies; aerial
photography, maps, charts, and drawings; motion picture film and analog
videotape; and analog sound recordings.\]

b.  Electronic records, except as noted in item 2c, entered into the
    system during an update process, and not required for audit and
    legal purposes.

    Delete when data have been entered into the master file or database
    and verified, or

    when no longer required to support reconstruction of, or serve as
    backup to, a master

    file or database, whichever is later.

c.  Electronic records received from another agency and used as input/
    source records by the receiving agency, EXCLUDING records produced
    by another agency under the terms of an interagency agreement, or
    records created by another agency in response to the specific
    information needs of the receiving agency.\
    \
    Delete when data have been entered into the master file or database
    and verified, or when no longer needed to support reconstruction of,
    or serve as backup to, the master file or database, whichever is
    later.

d.  Computer files or records containing uncalibrated and unvalidated
    digital or analog data collected during observation or measurement
    activities or research and development programs and used as input
    for a digital master file or database.\
    \
    Delete after the necessary data have been incorporated into a master
    file.

3\. [Electronic Records That Replace Temporary Hard Copy
Records.]{.underline}

> Electronic records that replace temporary hard copy records covered by
> previously approved schedules that do not explicitly exclude
> electronic records. (If a previously approved schedule explicitly
> excludes electronic records, an SF 115 must be submitted to NARA. None
> of the authorities provided below may be applied.)

a.  Scanned images

> Delete after the expiration of the retention period authorized for the
> hard copy records.

b.  Electronic formats other than scanned images

    1.  Records covered by temporary items in the GRS other than GRS 1,
        Item 21 (Employee Medical Folders); GRS 1, Item 22 (Statistical
        Summaries); GRS 1, Item 25f (Equal Employment Opportunity
        Statistics Files); GRS 12, Item 3 (Telecommunications
        Operational Files); and GRS 18, Item 5 (Top Secret Accounting
        and Control Files)

OR

> Records covered by temporary items in an agency-specific schedule that
> pertain to administrative housekeeping activities.

Delete after the expiration of the retention period authorized for the
hard copy records.

2.  Records covered by GRS 1, Item 21 (Employee Medical Folders); GRS 1,
    Item 22 (Statistical Summaries); GRS 1, Item 25f (Equal Employment
    Opportunity Statistics Files); GRS 12, Item 3 (Telecommunications
    Operational Files); and GRS 18, Item 5 (Top Secret Accounting and
    Control Files).

Submit SF 115 to NARA.

3.  Digital versions of temporary still pictures, sound recordings,
    motion picture film, and video recordings.

Delete after the expiration of the retention period authorized for the
hard copy records.

4.  Program records approved for destruction in a previously approved
    schedule that is media neutral and does not explicitly exclude
    electronic records.

Delete after the expiration of the retention period specified in the
previously approved schedule .

5.  Program records maintained in an electronic format that are not
    covered by Items 3(a), 3(b)(1), 3(b)(3), or 3(b)(4).

Submit SF 115 to NARA.

\[NOTES: (1) Items 3(b)(1) and 3(b)(3) may be applied to electronic
records consisting of information drawn from multiple previously
scheduled hard copy series of administrative housekeeping records. In
such instances, the electronic records must be retained for the longest
retention period specified in the previously approved schedules. (2)
Disposition authorities included in Item 3 may be applied to copies of
records maintained on agency web sites only in the case of
administrative housekeeping records. These items may not be applied to
web site copies of program records, which must be scheduled
separately.\]

3.1 [Electronic Records That Replace Permanent Hard Copy
Records.]{.underline}

> Electronic records that replace hard copy records approved as
> permanent in a previously approved schedule.
>
> Permanent. Submit notification to NARA in accordance with 36 CFR
> 1228.31(b)(1)(i).

\[NOTES: (1) Electronic versions of permanent records that are retained
as recordkeeping copies must meet the standards contained in NARA
guidance concerning the creation, maintenance, and transfer of permanent
electronic records. (2) Item 3.1 may be applied if the electronic
records consist of information drawn from multiple previously scheduled
permanent series. In cases where the electronic records include
information drawn from both temporary and permanent hard copy series, an
agency may apply Item 3.1 or submit an SF 115 that proposes disposal of
the records if the agency believes the electronic records do not warrant
permanent retention. (3) This item does not cover copies of permanent
records maintained on agency web sites, which must be scheduled
separately.\]

4\. [Data Files Consisting of Summarized Information.]{.underline}

Records that contain summarized or aggregated information created by
combining

data elements or individual observations from a single master file or
data base that is disposable under a GRS item or is authorized for
deletion by a disposition job approved by NARA after January 1, 1988,
EXCLUDING data files that are created as disclosure-free files to allow
public access to the data which may not be destroyed before securing
NARA approval.

Delete when the agency determines that they are no longer needed for
administrative, legal, audit, or other operational purposes.

\[NOTE: Data files consisting of summarized information which were
created from a master file or data base that is unscheduled, or that was
scheduled as permanent but no longer exists or can no longer be
accessed, may not be destroyed before securing NARA approval.\]

5\. [Records Consisting of Extracted Information]{.underline}.

Electronic files consisting solely of records extracted from a single
master file or data

base that is disposable under GRS 20 or approved for deletion by a
NARA-approved

disposition schedule, EXCLUDING extracts that are:

● produced as disclosure-free files to allow public access to the data;
or

● produced by an extraction process which changes the informational
content of the

source master file or data base; which may not be destroyed before
securing NARA approval. For print and technical reformat files see items
6 and 7 of this schedule respectively.

Delete when the agency determines that they are no longer needed for

administrative, legal, audit, or other operational purposes.

\[NOTES: (1) Records consisting of extracted information that was
created from a master file or data base that is unscheduled, or that was
scheduled as permanent but no longer exists or can no longer be
accessed, may not be destroyed before securing NARA approval. (2) See
item 12 of this schedule for other extracted data.\]

6\. [Print File.]{.underline}

Electronic file extracted from a master file or data base without
changing it and used

solely to produce hard-copy publications and/or printouts of
tabulations, ledgers,

registers, and statistical reports.

Delete when the agency determines that they are no longer needed for
administrative,

legal, audit, or other operational purposes.

7\. [Technical Reformat File.]{.underline}

Electronic file consisting of data copied from a complete or partial
master file or data

base made for the specific purpose of information interchange and
written with

varying technical specifications, EXCLUDING files created for transfer
to the

National Archives.

Delete when the agency determines that they are no longer needed for
administrative,

legal, audit, or other operational purposes.

8\. [Backups of Files.]{.underline}

Electronic copy, considered by the agency to be a Federal record, of the
master copy

of an electronic record or file and retained in case the master file or
database is

damaged or inadvertently erased.

a\. File identical to records scheduled for transfer to the National
Archives.\
\
Delete when the identical records have been captured in a subsequent
backup file or

when the identical records have been transferred to the National
Archives and

successfully copied.

b\. File identical to records authorized for disposal in a NARA-approved
records

schedule.

Delete when the identical records have been deleted, or when replaced by
a

subsequent backup file.

9\. [Finding Aids (or Indexes).]{.underline}

Electronic indexes, lists, registers, and other finding aids used only
to provide access

to records authorized for destruction by the GRS or a NARA-approved SF
115,

EXCLUDING records containing abstracts or other information that can be
used as

an information source apart from the related records.

Delete with related records or when the agency determines that they are
no longer

needed for administrative, legal, audit, or other operational purposes,
whichever is

later.

10\. [Special Purpose Programs.]{.underline}

Application software necessary solely to use or maintain a master file
or database authorized for disposal in a GRS item or a NARA-approved
records schedule, EXCLUDING special purpose software necessary to use or
maintain any unscheduled master file or database or any master file or
database scheduled for transfer to the National Archives.

Delete when related master file or database has been deleted.

11\. [Documentation.]{.underline}

a.  Data systems specifications, file specifications, codebooks, record
    layouts, user guides, output specifications, and final reports
    (regardless of medium) relating to a master file, database or other
    electronic records.

    1.  Documentation relating to electronic records that are scheduled
        for destruction in the GRS or in a NARA-approved agency
        schedule.

        Destroy or delete upon authorized deletion of the related
        electronic records or upon the destruction of the output of the
        system if the output is needed to protect legal rights,
        whichever is later.

    2.  Documentation relating to electronic records that are scheduled
        for permanent retention in the GRS or in a NARA-approved agency
        schedule.

        Permanent. Transfer to the National Archives with the permanent
        electronic records to which the documentation relates.

        b\. Copies of records relating to system security.

        Use GRS 24, item 5.

        12\. [Downloaded and Copied Data.]{.underline}

        Derived data and data files that are copied, extracted, merged,
        and/or calculated from

        other data generated within the agency, when the original data
        is retained.

a\. Derived data used for ad hoc or one-time inspection, analysis or
review, if the

derived data is not needed to support the results of the inspection,
analysis or review.

Delete when the agency determines that they are no longer needed for
administrative,

legal, audit, or other operational purposes.

b.  Derived data that provide user access in lieu of hard copy reports
    that are authorized for disposal.\
    \
    Delete when the agency determines that they are no longer needed for
    administrative, legal, audit, or other operational purposes.

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c.  Metadata or reference data, such as format, range, or domain
    specifications which is transferred from a host computer or server
    to another computer for input, updating, or transaction processing
    operations.

    Delete from the receiving system or device when no longer needed for
    processing.

    \[NOTE: See item 5 of this schedule for other extracted data.\]

    13\. [Word Processing Files.]{.underline}

    Documents such as letters, memoranda, reports, handbooks,
    directives, and manuals recorded on electronic media such as hard
    disks or floppy diskettes after they have

    been copied to an electronic recordkeeping system, paper, or
    microform for

    recordkeeping purposes.

    Delete from the word processing system when no longer needed for
    updating or

    revision.

    14\. [Electronic Mail Records.]{.underline}

    Senders\' and recipients\' versions of electronic mail messages that
    meet the definition

    of Federal records, and any attachments to the record messages after
    they have been

    copied to an electronic recordkeeping system, paper, or microform
    for

    recordkeeping purposes.

    Delete from the e-mail system after copying to a recordkeeping
    system.

    \[NOTE: Along with the message text, the recordkeeping system must
    capture the names of sender and recipients and date (transmission
    data for recordkeeping purposes) and any receipt data when
    required.\]

    15\. [Electronic Spreadsheets.]{.underline}

    Electronic spreadsheets generated to support administrative
    functions or generated by an individual as background materials or
    feeder reports.

    a\. When used to produce hard copy that is maintained in organized
    files.

    Delete when no longer needed to update or produce hard copy.

    b\. When maintained only in electronic form.

    Delete after the expiration of the retention period authorized for
    the hard copy by the

    GRS or a NARA-approved SF 115. If the electronic version replaces
    hard copy

    records with differing retention periods and agency software does
    not readily permit

    selective deletion, delete after the longest retention period has
    expired.

    16\. [Hard copy printouts created to meet ad hoc business
    needs.]{.underline}

    Printouts derived from electronic records created on an ad hoc basis
    for reference purposes or to meet day-to-day business needs.

    Destroy when the agency determines that they are no longer needed
    for administrative, legal, audit, or other operational purposes,
    provided the printouts do not contain substantive information, such
    as substantive annotations, that is not included in the electronic
    records. (Printouts that contain substantive information should be
    disposed of in accordance with the NARA-approved schedule that
    covers the series in which they are filed.)

#  {#section-4 .unnumbered}

# GENERAL RECORDS SCHEDULE 21 {#general-records-schedule-21 .unnumbered}

**Audiovisual Records**

This schedule covers audiovisual and related records created by or for
agencies of the Federal Government as well as those acquired in the
course of business. For audiovisual records that are not described in
this schedule, agencies must request disposition authority by submitting
a Standard Form (SF) 115, Request for Records Disposition Authority, to
the National Archives and Records Administration (NARA) Life Cycle
Management Division (NWML).

Audiovisual records include still and motion picture photography,
graphic materials, and sound and video recordings. Related documentation
includes (1) production files or other files documenting the creation,
justification, ownership, and rights to the records and (2) finding aids
used to identify or access the records.

This schedule does [not]{.underline} cover: (1) cartographic records,
(2) remote sensing imagery recorded on film or magnetic tape, or (3)
microform copies of textual records. Disposable cartographic records and
remote sensing imagery recorded on film are covered by GRS 17; temporary
computerized data are covered by GRS 20 and GRS 23; and microform copies
of textual records that have been authorized by NARA for destruction
need not be separately scheduled, in accordance with 36 CFR 1230.10(b).

This schedule does not include descriptions of permanent or potentially
permanent records. Guidance about the identification, maintenance, use,
and disposition of potentially permanent audiovisual records is provided
in the NARA publication, \"Managing Audiovisual Records: An
Instructional Guide\" and NARA records management regulations at 36 CFR
1228.184, Audiovisual Records.

The word \"destroy\" is used to authorize the destruction of data or
information. Erasable media such as audio tape should be reused whenever
practical. Silver‑bearing photographic film must be destroyed in
accordance with 41 CFR 101‑45.10, \"Recovery of Precious Metals.\"

This General Records Schedule authorizes the disposal of certain records
without further concurrence from NARA. Agencies are encouraged to
include specific series descriptions for such records in their
comprehensive schedules while citing the applicable disposition
instruction from this General Records Schedule as the authority for
destroying the records.

**[Still Photography]{.smallcaps}**

1\. [Photographs of Routine Award Ceremonies, Social Events, and
Activities not Related to the Mission of the Agency]{.underline}.

Destroy when 1 year old.

2\. [Personnel Identification or Passport Photographs]{.underline}.

Destroy when 5 years old or when superseded or obsolete, whichever is
later.

3\. [Internal Personnel and Administrative Training Filmstrips and
Slides of Programs that do not Reflect the Mission of the
Agency]{.underline}.

Destroy 1 year after completion of training program.

4\. Reserved.

**[Graphic Arts]{.smallcaps}**

5\. [Viewgraphs]{.underline}.

Destroy 1 year after use.

6\. [Routine Artwork for Handbills, Flyers, Posters, Letterhead, and
other Graphics]{.underline}.

Destroy when no longer needed for publication or reprinting.

7\. [Line and Halftone Negatives, Screened Paper Prints and Offset
Lithographic Plates Used for Photomechanical Reproduction]{.underline}.

Destroy when no longer needed for publication or reprinting.

8\. [Line Copies of Graphs and Charts]{.underline}.

Destroy when no longer needed for publication or reprinting.

**[Motion Pictures]{.smallcaps}**

9\. [Films Acquired from Outside Sources for Personnel and Management
Training]{.underline}.

Destroy 1 year after completion of training program.

10\. Reserved.

11\. [Routine Surveillance Footage]{.underline}.

Destroy when 6 months old.

12\. [Routine Scientific, Medical, or Engineering Footage]{.underline}.

Destroy when 2 years old.

13\. Reserved.

**[Video Recordings]{.smallcaps}**

14\. [Programs Acquired from Outside Sources for Personnel and
Management Training]{.underline}.

Destroy 1 year after completion of training program.

15\. Reserved.

16\. [Rehearsal or Practice Tapes]{.underline}.

Destroy immediately.

17\. [Internal Personnel and Administrative Training Programs that do
not Reflect the Mission of the Agency]{.underline}. (These include
\"role‑play\" sessions, management and supervisory instruction, etc.)

Destroy 1 year after completion of training program.

18\. [Routine Surveillance Recordings]{.underline}.

> Destroy when 6 months old.

19\. [Routine Scientific, Medical, or Engineering
Recordings]{.underline}.

Destroy when 2 years old.

20\. [Recordings that Document Routine Meetings and Award
Presentations]{.underline}.

Destroy when 2 years old.

21\. Reserved.

**[Audio (Sound) Recordings]{.smallcaps}**

22\. [Recordings of Meetings Made Exclusively for Note Taking or
Transcription]{.underline}, EXCLUDING recordings of proceedings of
Presidential commissions and other executive commissions. \[See note
after this item.\]

Destroy immediately after use.

**\[NOTE**: Recordings of Presidential and other executive commissions
are not covered by the GRS. Such records are usually appraised as
permanent, and they must be described on an SF 115 submitted to NARA for
final disposition approval.

23\. [Dictation Belts or Tapes]{.underline}.

Destroy immediately after use.

24\. [Premix Sound Elements Created During the Course of a Motion
Picture, Television, or Radio Production]{.underline}.

Destroy immediately after use.

25\. Reserved.

26\. [Daily or Spot News Recordings Available to Local Radio Stations on
a Call‑in Basis]{.underline}.

> Destroy when 6 months old.

27\. Reserved.

**[Related Documentation]{.smallcaps}**

28\. [Production Files or Similar Files that Document Origin,
Development, Acquisition, Use, and Ownership of Temporary Audiovisual
Records]{.underline}.

Dispose of according to the instructions covering the related
audiovisual records.

29\. [Finding Aids for Identification, Retrieval, or Use of Temporary
Audiovisual Records]{.underline}.

Dispose of according to the instructions covering the related
audiovisual records.

**GENERAL RECORDS SCHEDULE 22**

**Inspector General Records**

Prior to issuance of the 1998 edition, the General Records Schedules
included in GRS 22 coverage of investigative and audit case files
maintained in the Offices of Inspector General (OIG) of civilian
agencies other than the Central Intelligence Agency. The National
Archives and Records Administration (NARA) first issued a general
records schedule for OIG records in 1986. Over a period of ten years,
NARA (on a case by case basis) granted a number of agencies authority to
deviate from the p­rovisions of GRS 22, which in many instances involved
scheduling some or all of the records in a series as permanent.

A study of the disposition of OIG records in Federal agencies conducted
by NARA demonstrated that GRS 22 does not provide effective disposition
authority for most agencies\' OIG audit and investigation case files.
The many exceptions, exclusions, and deviations approved for agency use
demonstrate that for practical purposes the GRS standards no longer had
Government-wide application. Also, in some agencies the OIG has assumed
additional specialized responsibilities (e.g., the conduct of external
audits) which were not reflected in GRS 22. As a result of the study,
NARA determined that the disposition of OIG records should not be
governed by a General Records Schedule. This approach will ensure that
all agency OIG records are properly appraised by NARA.

GRS 22 is therefore WITHDRAWN.

**GENERAL RECORDS SCHEDULE 23.**

**Records Common to Most Offices Within Agencies**

This schedule provides for the disposal of certain records common to
most offices in Federal agencies. It covers administrative subject
files; facilitative records such as suspense files, tracking and control
records, calendars, and indexes; and transitory documents. This schedule
does not apply to any materials that the agency has determined to be
nonrecord or to materials, such as calendars or work schedules, claimed
as personal.

Office Administrative Files described under item 1 are records retained
by an originating office as its record of initiation of an action,
request, or response to requests for information. This item may be
applied only to separate administrative files containing such records as
copies of documents submitted to other offices for action including
budget feeder documents, purchase orders, and training requests. Item 1
may not be applied to files that also contain program records, and it
may not be applied by an office that receives and takes action on
documents submitted by other offices.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

1\. [Office Administrative Files]{.underline}. \[See note after this
item.\]

> Records accumulated by individual offices that relate to the internal
> administration or housekeeping activities of the office rather than
> the functions for which the office exists. In general, these records
> relate to the office organization, staffing, procedures, and
> communications, including facsimile machine logs; the expenditure of
> funds, including budget records; day‑to‑day administration of office
> personnel including training and travel; supplies and office services
> and equipment requests and receipts; and the use of office space and
> utilities. They may also include copies of internal activity and
> workload reports (including work progress, statistical, and narrative
> reports prepared in the office and forwarded to higher levels) and
> other materials that do not serve as unique documentation of the
> programs of the office.
>
> Destroy when 2 years old.

\[**NOTE**: This schedule is not applicable to the record copies of
organizational charts, functional statements, and related records that
document the essential organization, staffing, and procedures of the
office, which must be scheduled prior to disposition by submitting a
Standard Form (SF) 115 to the National Archives and Records
Administration (NARA).\]

2-4. Reserved.

5\. [Schedules of Daily Activities]{.underline}.

> Calendars, appointment books, schedules, logs, diaries, and other
> records documenting meetings, appointments, telephone calls, trips,
> visits, and other activities by Federal employees while serving in an
> official capacity, EXCLUDING materials determined to be personal.
>
> a\. Records containing substantive information relating to official
> activities, the substance of which has not been incorporated into
> official files, EXCLUDING records relating to the official activities
> of high Government officials. \[See note after item 5a.\]

Destroy or delete when 2 years old.

\[**NOTE**: High level officials include the heads of departments and
independent agencies; their deputies and assistants; the heads of
program offices and staff offices including assistant secretaries,
administrators, and commissioners; directors of offices, bureaus, or
equivalent; principal regional officials; staff assistants to those
aforementioned officials, such as special assistants, confidential
assistants, and administrative assistants; and career Federal employees,
political appointees, and officers of the Armed Forces serving in
equivalent or comparable positions. Unique substantive records relating
to the activities of these individuals must be scheduled by submission
of an SF 115 to NARA.

> b\. Records documenting routine activities containing no substantive
> information and records containing substantive information, the
> substance of which has been incorporated into organized files.

Destroy or delete when no longer needed for convenience of reference.

6\. [Suspense Files]{.underline}.

> Documents arranged in chronological order as a reminder that an action
> is required on a given date or that a reply to action is expected and,
> if not received, should be traced on a given date.
>
> a\. A note or other reminder to take action.

Destroy after action is taken.

> b\. The file copy or an extra copy of an outgoing communication, filed
> by the date on which a reply is expected.
>
> Withdraw documents when reply is received. (1) If suspense copy is an
> extra copy, destroy immediately. (2) If suspense copy is the file
> copy, incorporate it into the official files.

7\. [Transitory Files]{.underline}.

> Records of short-term (180 days or less) interest, including in
> electronic form (e.g., email messages), which have minimal or no
> documentary or evidential value. Included are such records as:

b.  Routine requests for information or publications and copies of
    replies which require no administrative action, no policy decision,
    and no special compilation or research for reply;

c.  Originating office copies of letters of transmittal that do not add
    any information to that contained in the transmitted material, and
    receiving office copy if filed separately from transmitted material;

d.  Quasi-official notices including memoranda and other records that do
    not serve as the basis of official actions, such as notices of
    holidays or charity and welfare fund appeals, bond campaigns, and
    similar records;

e.  Records documenting routine activities containing no substantive
    information, such as routine notifications of meetings, scheduling
    of work-related trips and visits, and other scheduling related
    activities;

f.  Suspense and tickler files or "to-do" and task lists that serve as a
    reminder that an action is required on a given date or that a reply
    to action is expected, and if not received, should be traced on a
    given date.

> Destroy immediately, or when no longer needed for reference, or
> according to a predetermined time period or business rule (e.g.,
> implementing the auto-delete feature of electronic mail systems).

8\. [Tracking and Control Records]{.underline}.

> Logs, registers, and other records used to control or document the
> status of correspondence, reports, or other records that are
> authorized for destruction by the GRS or a NARA-approved SF 115.
>
> Destroy or delete when 2 years old, or 2 years after the date of the
> latest entry, whichever is applicable.

9\. [Finding Aids (or Indexes)]{.underline}.

> Indexes, lists, registers, and other finding aids used only to provide
> access to records authorized for destruction by the GRS or a
> NARA-approved SF 115, EXCLUDING records containing abstracts or other
> information that can be used as an information source apart from the
> related records.
>
> Destroy or delete with the related records.

10\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.

-   Copies that have no further administrative value after the
    recordkeeping copy is made. Includes copies maintained by
    individuals in personal files, personal electronic mail directories,
    or other personal directories on hard disk or network drives, and
    copies on shared network drives that are used only to produce the
    recordkeeping copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

-   Copies used for dissemination, revision, or updating that are
    maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is completed.

GENERAL RECORDS SCHEDULE 24

Information Technology Operations and Management Records

This schedule provides disposal authorization for certain files created
and maintained in the operation and management of information technology
(IT) and related services. As defined in the Information Technology
Management Reform Act of 1996 (now the Clinger-Cohen Act),

"information technology" includes computers, ancillary equipment,
software, firmware and similar procedures, services (including support
services), and related resources.

This GRS does not cover all records relating to information technology
operations and management. Offices with responsibility for IT operations
also maintain administrative records covered by other GRS and records
not in the GRS that must be scheduled by the agency. In

addition, this GRS does not apply to system data or information content,
which must be scheduled separately by submitting an SF 115, Request for
Records Disposition Authority, to NARA.

The disposition instructions apply to records regardless of physical
form or characteristics. Records may be maintained on paper, in
microform, or electronically. Dispositions apply, however, only to
records that are maintained as described in each item or subitem. If
documents are part of a larger case file or recordkeeping system that
contains records not covered in this GRS, agencies must separately
schedule that file or system by submitting an SF 115 to NARA. If records
covered by more than one item in this schedule are maintained together
in one file or recordkeeping system, agencies must retain the records
for the longest retention period authorized for those items.

Note that GRS 20, Electronic Records, remains in effect. GRS 20 covers
certain temporary files associated with data base management. This new
schedule supplements GRS 20 by providing disposal authority for
temporary records relating to overall IT management, as opposed to

the operation and use of specific systems. NARA is reviewing
alternatives to GRS 20 and will develop revised requirements as it
explores new approaches to managing electronic records.

1.  [Oversight and Compliance Files]{.underline}.

> Records in offices with agency-wide or bureau-wide responsibility for
> managing IT operations relating to compliance with IT policies,
> directives, and plans including recurring and special reports,
> responses to findings and recommendations, and reports of follow-up
> activities.

a.  Performance measurements and benchmarks.

Destroy/delete when 5 years old or 1 year after responsible office
determines that there are no unresolved issues, whichever is longer.

b.  All other oversight and compliance records, including certification
    and accreditation of equipment, quality assurance reviews and
    reports, reports on implementation of plans, compliance reviews, and
    data measuring or estimating impact and compliance.

Destroy/delete when 3 years old or 1 year after responsible office
determines that there are no unresolved issues, whichever is longer.

\[**Note**: See item 3b for performance files relating to systems.\]

2\. [IT Facility, Site Management, and Equipment Support Services
Records]{.underline}.

Records maintained by offices responsible for the control and operation
of buildings and rooms where IT equipment, systems, and storage media
are located, including files identifying IT facilities and sites, and
files concerning implementation of IT facility and site management and
equipment support services provided to specific sites, including
reviews, site visit reports, trouble reports, equipment service
histories, reports of follow-up actions, and related

correspondence.

Destroy/delete when 3 years old, or when superseded or obsolete,
whichever is longer.

3.  [IT Asset and Configuration Management Files]{.underline}.

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a.  Inventories of IT assets, network circuits, and building or
    circuitry diagrams, including equipment control systems such as
    databases of barcodes affixed to IT physical assets.

> Destroy/delete 1 year after completion of the next inventory.

b.  Records created and retained for asset management, performance and
    capacity management, system management, configuration and change
    management, and planning, follow-up, and impact assessment of
    operational networks and systems. Includes, but is not limited to:

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(1) Data and detailed reports on implementation of systems, applications
    and modifications; application sizing, resource and demand
    management; documents identifying, requesting, and analyzing
    possible changes, authorizing changes, and documenting
    implementation of changes; documentation of software distribution
    and release or version management.

Destroy/delete 1 year after termination of system.

\(2\) Records of routine IT maintenance on the network infrastructure
documenting preventative, corrective, adaptive and perfective
(enhancement) maintenance actions, including requests for service, work
orders, service histories, and related records.

Destroy/delete when 3 years old or 1 year after termination of system,
whichever is sooner.

\[**Note**: If any maintenance activities have a major impact on a
system or lead to a significant change, those records should be
maintained as part of the item 3b(1).\]

4.  [System Backups and Tape Library Records]{.underline}.

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a.  Backup tapes maintained for potential system restoration in the
    event of a system failure or other unintentional loss of data.

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(1) Delete/destroy incremental backup tapes when superseded by a full
    backup, or when no longer needed for system restoration, whichever
    is later.

(2) Delete/destroy full backup tapes when second subsequent backup is
    verified as successful or when no longer needed for system
    restoration, whichever is later.

\[**Note**: See GRS 20, item 8, for backups of master files and
databases.\]

b.  Tape library records including automated files and manual records
    used to control the location, maintenance, and disposition of
    magnetic media in a tape library including list of holdings and
    control logs.

Destroy/delete when superseded or obsolete.

5.  [Files Related to Maintaining the Security of Systems and
    Data]{.underline}.

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a.  System Security Plans and Disaster Recovery Plans.

> Destroy/delete 1 year after system is superseded.

b.  Documents identifying IT risks and analyzing their impact, risk
    measurements and assessments, actions to mitigate risks,
    implementation of risk action plan, service test plans, test files
    and data.

Destroy/delete 1 year after system is superseded.

6.  [User Identification, Profiles, Authorizations, and Password
    Files,]{.underline} EXCLUDING records relating to electronic
    signatures.

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a.  Systems requiring special accountability, e.g., those containing
    information that may be needed for audit or investigative purposes
    and those that contain classified records.

Destroy/delete inactive file 6 years after user account is terminated or
password is altered, or when no longer needed for investigative or
security purposes, whichever is later.

b.  Routine systems, i.e., those not covered by item 6a.

See GRS 20, item 1c.

7\. [Computer Security Incident Handling, Reporting and Follow-up
Records.]{.underline}

Destroy/delete 3 years after all necessary follow-up actions have been
completed.

8.  [IT Operations Records]{.underline}.

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a.  Workload schedules, run reports, and schedules of maintenance and
    support activities.

Destroy/delete when 1 year old.

b.  Problem reports and related decision documents relating to the
    software infrastructure of the network or system.

> Destroy/delete 1 year after problem is resolved.

c.  Reports on operations, including measures of benchmarks, performance
    indicators, and critical success factors, error and exception
    reporting, self-assessments, performance monitoring; and management
    reports.

> Destroy/delete when 3 years old.

9\. [Financing of IT Resources and Services]{.underline}.

\[**Note**: Copies of records needed to support contracts should be in
procurement files, which are scheduled under GRS 3.\]

a.  Agreements formalizing performance criteria for quantity and quality
    of service, including definition of responsibilities, response times
    and volumes, charging, integrity guarantees, and non-disclosure
    agreements.

> Destroy/delete 3 years after agreement is superseded or terminated.

b.  Files related to managing third-party services, including records
    that document control measures for reviewing and monitoring
    contracts and procedures for determining their effectiveness and
    compliance.

Destroy/delete 3 years after control measures or procedures are
superseded or terminated.

c.  Records generated in IT management and service operations to
    identify and allocate charges and track payments for computer usage,
    data processing and other IT services EXCLUDING records that are
    part of the agency\'s cost accounting system, which are covered in
    GRS 8, items 6 and 7.

Destroy/delete records with no outstanding payment issues when 3 years
old.

10. [IT Customer Service Files]{.underline}.

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a.  Records related to providing help desk information to customers,
    including pamphlets, responses to "Frequently Asked Questions,"\'
    and other documents prepared in advance to assist customers.

> Destroy/delete 1 year after record is superseded or obsolete.

b.  Help desk logs and reports and other files related to customer query
    and problem response; query monitoring and clearance; and customer
    feedback records; and related trend analysis and reporting.

> Destroy/delete when 1 year old or when no longer needed for review and
> analysis, whichever is later.

11. [IT Infrastructure Design and Implementation Files]{.underline}.

Records of individual projects designed to provide and support new
agency IT infrastructure (see Note), systems, and services. Includes
records documenting (1) requirements for and implementation of functions
such as maintaining network servers, desktop computers, and other
hardware, installing and upgrading network operating systems and shared
applications, and

providing data telecommunications; (2) infrastructure development and
maintenance such as

acceptance/accreditation of infrastructure components, analysis of
component options, feasibility, costs and benefits, and work associated
with implementation, modification, and

troubleshooting; (3) models, diagrams, schematics, and technical
documentation; and (4) quality assurance reviews and test plans, data,
and results.

a.  Records for projects that are not implemented.

Destroy/delete 1 year after final decision is made.

b.  Records for projects that are implemented.

Destroy/delete 5 years after project is terminated.

c.  Installation and testing records.

> Destroy/delete 3 years after final decision on acceptance is made.

\[**Note**: IT Infrastructure means the basic systems and services used
to supply the agency and its staff with access to computers and data
telecommunications. Components include hardware such as printers,
desktop computers, network and web servers, routers, hubs, and network
cabling, as well as software such as operating systems (e.g., Microsoft
Windows and Novell NetWare) and shared applications (e.g., electronic
mail, word processing, and database programs). The services necessary to
design, implement, test, validate, and maintain such components are also
considered part of an agency\'s IT infrastructure. However, records
relating to specific systems that support or document mission goals are
not covered by this item and

must be scheduled individually by the agency by submission of an SF 115
to NARA.\]

12. [Electronic Mail and Word Processing System Copies]{.underline}.

Electronic copies of records that are created on electronic mail and
word processing systems and used solely to generate a recordkeeping copy
of the records covered by the other items in this GRS 24 schedule. Also
includes electronic copies of records created on electronic mail and
word processing systems that are maintained for updating, revision, or
dissemination.

a.  Copies that have no further administrative value after the
    recordkeeping copy is made. Includes copies maintained by
    individuals in personal files, personal electronic mail directories,
    or other personal directories on hard disk or network drives, and
    copies on shared network drives that are used only to produce the
    recordkeeping copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

b.  Copies used for dissemination, revision, or updating that are
    maintained in addition to the recordkeeping copy.

> Destroy/delete when dissemination, revision, or updating is completed.

+-----------------------------------------------+----------------------+
| **GRS 24 Implementation Aid**                 |                      |
+-----------------------------------------------+----------------------+
| **GRS 24 Schedule Items**                     | **Examples of Types  |
|                                               | of Records**         |
+-----------------------------------------------+----------------------+
| **1. Oversight and Compliance Files**         | *Statistical*        |
|                                               |                      |
| Records in offices with agency-wide or        | *performance data    |
| bureau-wide responsibility for managing IT    | for systems and      |
| operations relating to compliance with IT     | networks;*           |
| policies, directives, and plans including     |                      |
| recurring and special reports, responses to   | *System availability |
| findings and recommendations, and reports of  | reports; Sample      |
| follow-up activities.                         | performance          |
|                                               | indicators*          |
| a.  Performance measurements and benchmarks.  |                      |
|                                               | *Target IT           |
| > Destroy/delete when 5 years old or 1 year   | architecture         |
| > after responsible office determines that    | reports; Systems     |
| > there are no unresolved issues, whichever   | development          |
| > is longer.                                  | lifecycle handbooks; |
|                                               | Network assessments; |
| b\. All other oversight and compliance        | Contractor           |
| records, including certification and          | evaluation reports;  |
| accreditation of equipment, quality assurance | Market analyses;     |
| reviews and reports, reports on               | Performance surveys; |
| implementation of plans, compliance reviews,  | Cost-benefit         |
| and data measuring or estimating impact and   | analyses;            |
| compliance.                                   | Histograms;          |
|                                               | Corrective action    |
| > Destroy/delete when 3 years old or 1 year   | reports*             |
| > after responsible office determines that    |                      |
| > there are no unresolved issues, whichever   |                      |
| > is longer.                                  |                      |
|                                               |                      |
| \[Note: See item 3b for performance files     |                      |
| relating to systems.\]                        |                      |
+-----------------------------------------------+----------------------+
| **2. IT Facility, Site Management, and        | *Listings of         |
| Equipment Support Services**                  | facilities;*         |
|                                               |                      |
| **Records.**                                  | *Inspection reports* |
|                                               |                      |
| Records maintained by offices responsible for |                      |
| the control and operation of buildings and    |                      |
| rooms where IT equipment, systems, and        |                      |
| storage media are located, including files    |                      |
| identifying IT facilities and sites, and      |                      |
| files concerning implementation of IT         |                      |
| facility and site management and equipment    |                      |
| support services provided to specific sites,  |                      |
| including reviews, site visit reports,        |                      |
| trouble reports, equipment service histories, |                      |
| reports of follow-up actions, and related     |                      |
| correspondence.                               |                      |
|                                               |                      |
| Destroy/delete when 3 years old, or when      |                      |
| superseded or obsolete,                       |                      |
|                                               |                      |
| whichever is longer.                          |                      |
+-----------------------------------------------+----------------------+
| **3. IT Asset and Configuration Management    | *Maintenance IT      |
| Files.**                                      | assets:*             |
|                                               |                      |
| a\. Inventories of IT assets, network         | *Inventories of      |
| circuits, and building or circuitry diagrams, | assets,*             |
| including equipment control systems such as   |                      |
| databases of barcodes affixed to IT physical  | *Equipment control   |
| assets.                                       | systems; Databases   |
|                                               | of barcodes; Bar     |
| Destroy/delete 1 year after completion of the | code reports;        |
| next inventory.                               | Maintenance service  |
|                                               | histories;*          |
| b\. Records created and retained for asset    |                      |
| management, performance and capacity          | *Asset management    |
| management, system management, configuration  | guides,*             |
| and change management, and planning,          |                      |
| follow-up, and impact assessment of           | *Service;            |
| operational networks and systems. Includes,   | Requisitions for     |
| but is not limited to:                        | equipment            |
|                                               | maintenance; Change  |
| \(1\) Data and detailed reports on            | orders; Purchase     |
| implementation of systems, applications and   | orders for           |
| modifications; application sizing, resource   | maintenance;         |
| and demand management; documents identifying, | Property transfer    |
| requesting, and analyzing possible changes,   | control systems;*    |
| authorizing changes, and documenting          |                      |
| implementation of changes; documentation of   | *Flow                |
| software distribution and release or version  | reconfiguration      |
| management.                                   | requests;*           |
|                                               |                      |
| Destroy/delete 1 year after termination of    | *Standardization     |
| system.                                       | requests and         |
|                                               | justifications.*     |
| \(2\) Records of routine IT maintenance on    |                      |
| the network infrastructure documenting        |                      |
| preventative, corrective, adaptive and        |                      |
| perfective enhancement) maintenance actions,  |                      |
| including requests for service, work orders,  |                      |
| service histories, and related records.       |                      |
|                                               |                      |
| Destroy/delete when 3 years old or 1 year     |                      |
| after termination of system, whichever is     |                      |
| sooner.                                       |                      |
|                                               |                      |
| NOTE: If any maintenance activities have a    |                      |
| major impact on a system or lead to a         |                      |
| significant change, those records should be   |                      |
| maintained as part of the item 3b(1).         |                      |
+-----------------------------------------------+----------------------+
| **4. System Backups and Tape Library          | *Backup tapes;*      |
| Records.**                                    |                      |
|                                               | *Backups of system   |
| a\. Backup tapes maintained for potential     | software*            |
| system restoration in the event of a system   |                      |
| failure or other unintentional loss of data.  | *Location vault      |
|                                               | lists;*              |
| \(1\) Delete/destroy incremental backup tapes |                      |
| when superseded by a full backup, or when no  | *Offsite storage     |
| longer needed for system restoration,         | facilities;*         |
| whichever is later.                           |                      |
|                                               | *Bin location*       |
| \(2\) Delete/destroy full backup tapes when   |                      |
| second subsequent backup is verified as       |                      |
| successful or when no longer needed for       |                      |
| system                                        |                      |
|                                               |                      |
| restoration, whichever is later.              |                      |
|                                               |                      |
| \[Note: See GRS 20, item 8, for backups of    |                      |
| master files and                              |                      |
|                                               |                      |
| databases.\]                                  |                      |
|                                               |                      |
| b\. Tape library records including automated  |                      |
| files and manual records used to control the  |                      |
| location, maintenance, and disposition of     |                      |
|                                               |                      |
| magnetic media in a tape library including    |                      |
| list of holdings and control logs.            |                      |
|                                               |                      |
| Destroy/delete when superseded or obsolete.   |                      |
+-----------------------------------------------+----------------------+
| **5. Files Related to Maintaining the         | *Computer technical  |
| Security of Systems and Data.**               | manuals; Continuity  |
|                                               | of Operations plans; |
| a\. System Security Plans and Disaster        | Disaster exercise    |
| Recovery Plans.                               | evaluations;         |
|                                               | Disaster exercises;  |
| Destroy/delete 1 year after system is         | Disaster recovery    |
| superseded.                                   | plans; Risk surveys; |
|                                               | Security plans for   |
| b\. Documents identifying IT risks and        | IT infrastructure;   |
| analyzing their impact, risk                  | Vulnerability        |
|                                               | assessments by IG;   |
| measurements and assessments, actions to      | Vulnerability        |
| mitigate risks, implementation of risk action | assessments/studies* |
| plan, service test plans, test files and      |                      |
| data.                                         | *Risk management     |
|                                               | analyses; Security   |
| Destroy/delete 1 year after system is         | directives; Security |
| superseded.                                   | policy analysis;     |
|                                               | Virus handbooks;     |
|                                               | Vulnerability        |
|                                               | analyses*            |
+-----------------------------------------------+----------------------+
| **6. User Identification, Profiles,           | *User                |
| Authorizations, and Password Files**          | identification; User |
|                                               | profiles;*           |
| EXCLUDING records relating to electronic      |                      |
| signatures.                                   | *User passwords*     |
|                                               |                      |
| a\. Systems requiring special accountability, | *Profiles; User      |
| e.g., those containing                        | authorizations*      |
|                                               |                      |
| information that may be needed for audit or   |                      |
| investigative purposes and                    |                      |
|                                               |                      |
| those that contain classified records.        |                      |
|                                               |                      |
| Destroy/delete inactive file 6 years after    |                      |
| user account is terminated or password is     |                      |
| altered, or when no longer needed for         |                      |
| investigative or security purposes, whichever |                      |
| is later.                                     |                      |
|                                               |                      |
| b\. Routine systems, i.e., those not covered  |                      |
| by item 6a.                                   |                      |
|                                               |                      |
| See GRS 20, item 1c.                          |                      |
+-----------------------------------------------+----------------------+
| **7. Computer Security Incident Handling,     | *Reports and         |
| Reporting and Follow-up Records**             | documen-tation of    |
|                                               | Web site defacement; |
| Destroy/delete 3 years after all necessary    | Hacks; Break-in      |
| follow-up actions have been completed.        | records; Improper    |
|                                               | usage by staff;      |
|                                               | Misuse of system;    |
|                                               | Security breaches;   |
|                                               | Security break-ins;  |
|                                               | Security failures;   |
|                                               | Unauthorized         |
|                                               | intrusions; Virus    |
|                                               | threats*             |
+-----------------------------------------------+----------------------+
| **8. IT Operations Records**                  | *Cycle time reports; |
|                                               | Maintenance          |
| a\. Workload schedules, run reports, and      | schedules; Run       |
| schedules of maintenance                      | reports; Workload    |
|                                               | schedules*           |
| and support activities.                       |                      |
|                                               | *Software problem    |
| Destroy/delete when 1 year old.               | reports*             |
|                                               |                      |
| b\. Problem reports and related decision      | *Benchmark measures; |
| documents relating to the software            | Operation reports;   |
| infrastructure of the network or system.      | Performance          |
|                                               | monitoring*          |
| Destroy/delete 1 year after problem is        |                      |
| resolved.                                     |                      |
|                                               |                      |
| c\. Reports on operations, including measures |                      |
| of benchmarks, performance indicators, and    |                      |
| critical success factors, error and exception |                      |
| reporting, self-assessments, performance      |                      |
| monitoring; and management reports.           |                      |
|                                               |                      |
| Destroy/delete when 3 years old.              |                      |
+-----------------------------------------------+----------------------+
| **9. Financing of IT Resources and Services** | *Acquisition;        |
|                                               | Contract award fees; |
| \[Note: Copies of records needed to support   | Financial mgmt;      |
| contracts should be                           | Financial records;   |
|                                               | Payment for software |
| in procurement files, which are scheduled     | and services;        |
| under GRS 3.\]                                | Performance          |
|                                               | agreements; Service  |
| a\. Agreements formalizing performance        | level agreements;    |
| criteria for quantity and                     | Service support      |
|                                               | levels; Third party  |
| quality of service, including definition of   | agreements*          |
| responsibilities, response                    |                      |
|                                               |                      |
| times and volumes, charging, integrity        |                      |
| guarantees, and non-disclosure                |                      |
|                                               |                      |
| agreements.                                   |                      |
|                                               |                      |
| > Destroy/delete 3 years after agreement is   |                      |
| > superseded or terminated.                   |                      |
|                                               |                      |
| b\. Files related to managing third-party     |                      |
| services, including records that document     |                      |
| control measures for reviewing and monitoring |                      |
|                                               |                      |
| contracts and procedures for determining      |                      |
| their effectiveness and compliance.           |                      |
|                                               |                      |
| > Destroy/delete 3 years after control        |                      |
| > measures or procedures are superseded or    |                      |
| > terminated.                                 |                      |
|                                               |                      |
| c\. Records generated in IT management and    |                      |
| service operations to identify and allocate   |                      |
| charges and track payments for computer       |                      |
| usage,                                        |                      |
|                                               |                      |
| data processing and other IT services         |                      |
| EXCLUDING records that are part of the        |                      |
| agency\'s cost accounting system, which are   |                      |
| covered in GRS 8, items 6 and 7.              |                      |
|                                               |                      |
| > Destroy/delete records with no outstanding  |                      |
| > payment issues when 3 years old.            |                      |
+-----------------------------------------------+----------------------+
| **10. IT Customer Service Files**             | *Customer queries;   |
|                                               | Customer service;    |
| a\. Records related to providing help desk    | End-user inquiries;  |
| information to customers, including           | Feedback records;    |
| pamphlets, responses to \`\`Frequently Asked  | FAQs; Help Desk      |
| Questions,\'\' and other documents prepared   | logs; Pamphlets;     |
| in advance to assist customers.               | Requests for         |
|                                               | assistance; Trend    |
| Destroy/delete 1 year after record is         | analysis; Trouble    |
| superseded or obsolete.                       | reports; User        |
|                                               | guides*              |
| b\. Help desk logs and reports and other      |                      |
| files related to customer query and problem   |                      |
| response; query monitoring and clearance; and |                      |
| customer feedback records; and related trend  |                      |
| analysis and reporting.                       |                      |
|                                               |                      |
| > Destroy/delete when 1 year old or when no   |                      |
| > longer needed for review and analysis,      |                      |
| > whichever is later.                         |                      |
+-----------------------------------------------+----------------------+
| **11. IT Infrastructure Design and            | *Acquisition;        |
| Implementation Files**                        | Implementation of    |
|                                               | new systems;         |
| Records of individual projects designed to    | Installation and     |
| provide and support new agency IT             | testing;             |
| infrastructure (see Note), systems, and       | Installation         |
| services. Includes records documenting (1)    | reviews; New         |
| requirements for and implementation of        | enterprise projects; |
| functions such as maintaining network         | Quality assurance    |
| servers, desktop computers, and other         | plans; Requirements  |
| hardware, installing and upgrading network    | specifications;      |
| operating systems and shared applications,    | Technology refresh   |
| and providing data telecommunications; (2)    | plans; Test plans*   |
| infrastructure development and maintenance    |                      |
| such as acceptance/ accreditation of          |                      |
| infrastructure components, analysis of        |                      |
| component options, feasibility, costs and     |                      |
| benefits, and work associated with            |                      |
| implementation, modification, and             |                      |
| troubleshooting; (3) models, diagrams,        |                      |
| schematics, and technical documentation; and  |                      |
| (4) quality assurance reviews and test plans, |                      |
| data, and results.                            |                      |
|                                               |                      |
| a\. Records for projects that are not         |                      |
| implemented.                                  |                      |
|                                               |                      |
| > Destroy/delete 1 year after final decision  |                      |
| > is made.                                    |                      |
|                                               |                      |
| b\. Records for projects that are             |                      |
| implemented.                                  |                      |
|                                               |                      |
| Destroy/delete 5 years after project is       |                      |
| terminated.                                   |                      |
|                                               |                      |
| c\. Installation and testing records.         |                      |
|                                               |                      |
| Destroy/delete 3 years after final decision   |                      |
| on acceptance is made.                        |                      |
|                                               |                      |
| \[Note: IT Infrastructure means the basic     |                      |
| systems and services                          |                      |
|                                               |                      |
| used to supply the agency and its staff with  |                      |
| access to computers and                       |                      |
|                                               |                      |
| data telecommunications. Components include   |                      |
| hardware such as                              |                      |
|                                               |                      |
| printers, desktop computers, network and web  |                      |
| servers, routers, hubs,                       |                      |
|                                               |                      |
| and network cabling, as well as software such |                      |
| as operating systems                          |                      |
|                                               |                      |
| (e.g., Microsoft Windows and Novell NetWare)  |                      |
| and shared applications (e.g., electronic     |                      |
| mail, word processing, and database           |                      |
| programs). The services necessary to design,  |                      |
| implement, test, validate, and maintain such  |                      |
| components are also considered part of an     |                      |
| agency\'s IT infrastructure. However, records |                      |
| relating to specific systems that             |                      |
|                                               |                      |
| support or document mission goals are not     |                      |
| covered by this item and                      |                      |
|                                               |                      |
| must be scheduled individually by the agency  |                      |
| by submission of an SF                        |                      |
|                                               |                      |
| 115 to NARA.\]                                |                      |
+-----------------------------------------------+----------------------+
| **12. Electronic Mail and Word Processing     | *Copies of records   |
| System Copies.**                              | in this GRS 24       |
|                                               | created using        |
| Electronic copies of records that are created | electronic mail and  |
| on electronic mail and word processing        | word processing*     |
| systems and used solely to generate a         |                      |
| recordkeeping copy of the records covered by  |                      |
| the other items in this GRS 24 schedule. Also |                      |
| includes electronic copies of records created |                      |
| on electronic mail and word processing        |                      |
| systems that are maintained for updating,     |                      |
| revision, or dissemination.                   |                      |
|                                               |                      |
| a\. Copies that have no further               |                      |
| administrative value after the recordkeeping  |                      |
| copy is made. Includes copies maintained by   |                      |
| individuals in personal files, personal       |                      |
| electronic mail directories, or other         |                      |
| personal directories on hard disk or network  |                      |
| drives, and copies on shared network drives   |                      |
| that are used only to produce the             |                      |
| recordkeeping copy.                           |                      |
|                                               |                      |
| > Destroy/delete within 180 days after the    |                      |
| > recordkeeping copy has been produced.       |                      |
|                                               |                      |
| b\. Copies used for dissemination, revision,  |                      |
| or updating that are maintained in addition   |                      |
| to the recordkeeping copy.                    |                      |
|                                               |                      |
| > Destroy/delete when dissemination,          |                      |
| > revision, or updating is completed.         |                      |
+-----------------------------------------------+----------------------+

**GENERAL RECORDS SCHEDULE 25**

**Ethics Program Records**

Title IV of the Ethics in Government Act of 1978 as amended, 5 U.S.C.
appendix, title IV, authorizes the development of an executive
branch-wide ethics program to ensure that decisions made by employees
are neither tainted by, nor appear to be tainted by, any question of
conflicts of interest. Under the relevant sections of title IV and
Office of Government Ethics (OGE) executive branch-wide regulation at 5
C.F.R. part 2638, each agency is required to establish an ethics
program. This schedule covers records documenting the activities of
executive branch agency ethics program offices and provides disposition
for financial disclosure reports; ethics agreements; outside employment
and activity records; referrals of violations of criminal conflict of
interest statutes; ethics determination, advice, consultation, and
training records; and other commonly held ethics program records.
Records pertaining to legislative branch and judicial ethics programs,
the Hatch Act, the Whistleblower Protection Act, procurement integrity
and other areas often associated with, but not expressly under the
authority of executive branch ethics programs, are not covered by this
schedule.

Master lists of financial disclosure report filers, individuals
requesting outside employment and activities approval, and other types
of ethics-related master lists are not included in this schedule.
Ethics-related master lists that are used solely for the purpose of
tracking and controlling ethics records should be disposed of in
accordance with GRS 23 Item 8, Tracking and Control Records. Master
lists that are used for purposes in addition to tracking and controlling
ethics records should be disposed of in accordance with the disposition
for the underlying records as listed in this schedule or as otherwise
scheduled.

Note: Executive branch ethics program records are sometimes needed in an
ongoing investigation. Such records should be retained beyond their
approved retention period until no longer needed in the investigation.

1\. [Ethics Program Implementation, Interpretation, Counseling, and
Development Files]{.underline}.

> Records maintained by ethics program offices relating to the
> development, review, implementation, and interpretation of proposed or
> established executive branch standards of ethical conduct and other
> ethics regulations; conflict of interest and other ethics related
> statutes and Executive Orders; and any agency supplemental standards
> of ethical conduct and other agency ethics-related regulations and
> directives. Including:

\- Records documenting the review of proposed or established
ethics-related statutes and regulations by ethics program officials,
including copies of proposed legislation, comments, and all related
records.

> \- Determinations, including advice and counseling to individual
> employees, and supporting records.
>
> \- Records relating to requests under agency supplemental standards of
> ethical conduct for prior approval of outside employment and
> activities.
>
> a\. Records such as determinations regarding attendance at
> widely-attended gatherings which appropriate agency ethics officials
> determine are related to the routine, non-precedential application of
> settled legal standards to common factual situations and are not
> interpretations of the conflict of interest statutes, 18 U.S.C. \'\'
> 202-209, and other ethics statutes the violation of which may result
> in criminal penalties or civil fines.
>
> Destroy when 3 years old or when superseded or obsolete, whichever is
> later.
>
> b\. All other records.
>
> Destroy when 6 years old or when superseded or obsolete, whichever is
> later.

2\. [Financial Disclosure Reporting Files]{.underline}.

> Financial disclosure reports submitted by individuals as required or
> authorized under the Ethics in Government Act of 1978 (Pub. L.
> 95-521), as amended, and related records, including records of late
> filing fee payments or requests for public reporting waivers of late
> filing fees and responses; comment sheets by report reviewers and
> filer responses; filing extension requests and determinations; and
> copies of applications for public release of financial disclosure
> report.
>
> a\. Executive Branch Personnel Public Financial Disclosure Reports (SF
> 278) and related records.
>
> \(1\) SF 278 reports for individuals filing in accordance with Section
> 101(b) or (c) of the Act, and not subsequently confirmed by the U.S.
> Senate or elected.
>
> Destroy 1 year after nominee or candidate ceases to be under
> consideration for the position; EXCEPT that documents needed in an
> ongoing investigation will be retained until no longer needed in the
> investigation.
>
> \(2\) All other SF 278s.
>
> Destroy when 6 years old; EXCEPT that documents needed in an ongoing
> investigation will be retained until no longer needed in the
> investigation.
>
> b\. Executive Branch Confidential Financial Disclosure Reports (OGE
> Form 450) and Confidential Certificates of No New Interests (OGE
> Optional Form 450-A) and related records.
>
> \(1\) OGE Form 450s for individuals not subsequently confirmed by the
> U.S. Senate.
>
> Destroy 1 year after nominee ceases to be under consideration for the
> position; EXCEPT that documents needed in an ongoing investigation
> will be retained until no longer needed in the investigation.
>
> \(2\) All other OGE Form 450s and OGE Optional Form 450-As.
>
> Destroy when 6 years old; EXCEPT that documents needed in an ongoing
> investigation will be retained until no longer needed in the
> investigation.

c\. Alternative or additional financial disclosure reports and related
records.

> \(1\) Reports for individuals not subsequently confirmed by the U.S.
> Senate.
>
> Destroy 1 year after nominee ceases to be under consideration for the
> position; EXCEPT that documents needed in an ongoing investigation
> will be retained until no longer needed in the investigation.
>
> \(2\) All other alternative or additional financial disclosure
> reports.
>
> Destroy when 6 years old; EXCEPT that documents needed in an ongoing
> investigation will be retained until no longer needed in the
> investigation.

3\. [Ethics Agreement Records]{.underline}.

> Records documenting the review and issuance of ethics agreements used
> to remedy the appearance of potential or actual financial conflicts of
> interest, including:
>
> \- Records relating to the review and issuance of recusals
> (disqualifications), resignations, reassignments, and divestitures.
>
> \- Records relating to determinations, authorizations, and waivers
> under 5 C.F.R. \'\' 2635.502 and 2635.503.
>
> \- Records relating to the review and issuance of waivers of
> disqualifications under 18 U.S.C. \' 208 (b)(1) and (b)(3).
>
> Destroy 6 years after the waiver or other agreed-upon determination or
> action has been issued or undertaken or is no longer in effect,
> whichever is later.

4\. [Referrals and Notifications of Violations of Criminal Conflict of
Interest Statutes and Other Potential Violations Files]{.underline}.

> Referrals made to Inspectors General or the Department of Justice and
> notifications to OGE concerning ethics violations or suspected
> violations. This item also covers related background materials,
> including copies of disciplinary and corrective actions and
> disposition documents such as declinations of prosecution.

Destroy when 6 years old.

5\. [Non-Federally Funded Travel Files]{.underline}.

a\. Agency copies of Semiannual Expense Reports for Non‑Federally Funded
Travel submitted by all Executive branch agencies to the Office of
Government Ethics in accordance with guidance given at 31 U.S.C. \'
1353, as implemented by 41 C.F.R. chapter 304 and the use of Standard
Form (SF) 326 and SF 326A. Reports summarize payments made to the agency
from non‑Federal sources for travel, subsistence, and related expenses
of an employee who attends a meeting or similar function relating to
official duties.

Destroy when 3 years old.

b\. Statements, forms, and other records used to compile Semiannual
Expense Reports for Non‑Federally Funded Travel.

> Destroy 1 year after submission of report to the Office of Government
> Ethics.

6\. [Ethics Program Review Files]{.underline}.

> Reports, correspondence, and other records relating to OGE reviews of
> agency compliance with executive branch ethics laws and regulations in
> such areas as financial disclosure, education and training, and advice
> and counseling.

a\. OGE program review reports, agency 60-day response letters, and
other follow-up records sent to OGE on the resolution of program
deficiencies.

> Destroy when 6 years old.

b\. All other records produced during OGE program reviews, including
notes and background materials.

> Destroy 1 year after the date of the OGE program review report or, if
> there are recommendations, one year after they are closed.

7\. [Annual Agency Ethics Program Questionnaire Files]{.underline}.

a\. Questionnaire completed by ethics officials on an annual basis in
compliance with Section 402(e)(1) of the Ethics in Government Act of
1978, as amended, and associated records.

> Destroy 3 years after submission.

b\. All other records related to responses to annual agency ethics
program questionnaires.

> Destroy 1 year after submission of associated annual agency ethics
> program questionnaire.

8\. [Ethics Program Employee Training and Education Files]{.underline}.

> a\. Records relating to the administration of new employee ethics
> orientations, annual, and other types of ethics training and
> education. Records include, but are not limited to, annual plans,
> schedules of classes, rosters of employees required to attend,
> verification of training completion and other related records.

Destroy when 6 years old.

b\. Record copy of materials used in providing new employee ethics
orientations, annual, and other types of ethics training and education
including, but not limited to, instructors= guides, handbooks, handouts
and other materials used in training classes, bulletins, and
newsletters.

> Destroy when 6 years old or when superseded or obsolete, whichever is
> later.

9\. [Ethics Program Procedures Files]{.underline}.

> Procedures and related supporting records on the administration of
> ethics programs including, but not limited to, public and confidential
> financial disclosure reports systems, outside employment and
> activities approval systems, and referrals of violations of criminal
> conflict of interest statutes.
>
> Destroy when 6 years old or when superseded or obsolete, whichever is
> later.

10\. [Electronic Mail and Word Processing System Copies]{.underline}.

> Electronic copies of records that are created on electronic mail and
> word processing systems and used solely to generate a recordkeeping
> copy of the records covered by the other items in this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.

a\. Copies that have no further administrative value after the
recordkeeping copy is made. Includes copies maintained by individuals in
personal files, personal electronic mail directories, or other personal
directories on hard disk or network drives, and copies on shared network
drives that are used only to produce the recordkeeping copy.

> Destroy/delete within 180 days after the recordkeeping copy has been
> produced.

b\. Copies used for dissemination, revision, or updating that are
maintained in addition to the recordkeeping copy.

> Destroy/delete when dissemination, revision, or updating is completed.

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**GENERAL RECORDS SCHEDULE 26**

> **Temporary Commissions, Boards, Councils and Committees**
>
> **Note: This schedule covers records created and maintained by
> temporary commissions, boards, councils and committees (including
> continuing entities governed by renewable charters such as agency
> advisory committees). In the case of interagency bodies, this schedule
> covers the records maintained by the designated secretariat as well as
> records accumulated by other commission members.**
>
> **This schedule does not apply to the records of Presidential
> commissions, boards, councils and committees covered by the
> Presidential Records Act.**
>
> **For convenience, the term "commission" is used in this schedule to
> cover all types of temporary organizations.**

The record series described in this schedule are created and maintained
in different media and formats, therefore this schedule is written to
authorize the disposition of the records in any media (media neutral).
Agencies are required to refer to the most current version of the Code
of Federal Regulations (CFR) and other relevant guidance to ensure that
the media and format that is chosen by the agency meets NARA's transfer
requirements for permanent records. See 36 CFR Sections: 1228.266 --
Audiovisual Records; 1228.268 -- Cartographic and Architectural Records;
1228.270 -- Electronic Records; 1230.026 -- Microform Records

When records are created and maintained electronically, NARA prefers
that the archival copy be transferred to the National Archives in an
approved electronic format.

1\. [Internal Agency Committees]{.underline}

a\. Internal agency committees unrelated to an agency's mission

> Committees established by an agency for facilitative or operational
> purposes unrelated to the agency's mission, composed wholly of
> full-time officers or employees of the Federal government, and not
> subject to the Federal Advisory Committee Act, e.g. committees tasked
> with organizing events, selecting of interior furnishings, overseeing
> volunteer activities or employee recreational activities.

Any files created and/or maintained by the committee

Destroy/delete when no longer needed for administrative purposes.

> b\. Internal agency committees related to an agency's mission
>
> Committees established by agency authority (not established by Public
> Law or Executive Order) for facilitative or operational purposes,
> related to the agency's mission, composed wholly of full-time officers
> or employees of the Federal government, and not subject to the Federal
> Advisory Committee Act, e.g. committees tasked with reviewing policy,
> studying reorganizations, recommending new actions or developing
> multi-year plans.
>
> Any files created and/or maintained by the committee including agenda,
> minutes, final reports, and related records documenting
> accomplishments of official boards and committees.
>
> These records are potentially permanent and must be scheduled by
> submission of an SF 115 to NARA.

2\. [Records Created by Advisory Commissions, Committees, Councils,
Boards and Other Groups Established under the Federal Advisory Committee
Act (FACA)]{.underline}

\[**NOTE**: The term "advisory committee" as defined by FACA means any
committee, board, commission, council, conference, panel, task force, or
other similar group, or any subcommittee or other subgroup which is (1)
established by statute or reorganization plan or (2) established or
utilized by the President, or (3) established or utilized by one or more
agencies or officers of the Federal government. This term does not apply
to any committee which is composed wholly of full-time officers or
employees of the Federal government.\]

a\. Files documenting the Commission's establishment, membership,
policy, organization, deliberations, findings, and recommendations,
including such records as

-   original charter, renewal and amended charters, organization charts,
    functional statements, directives or memorandums to staff concerning
    their responsibilities, and other materials that document the
    organization and functions of the Commission and its components

-   agendas, briefing books, minutes, testimony, and transcripts of
    meetings and hearings as well as audiotapes and/or videotapes of
    meetings and hearings which were not fully transcribed

-   one copy each of reports, studies, pamphlets, posters (2 copies) and
    other publications produced by or for the commission as well as news
    releases, commissioners' speeches, formal photographs and other
    significant public affairs files

-   correspondence, subject and other files maintained by key commission
    staff, such as the chair, executive director, and legal counsel,
    documenting the functions of the commission

-   substantive records relating to research studies and other projects,
    including unpublished studies and reports and substantive research
    materials (may include electronic data).

-   questionnaires, surveys and other raw data accumulated in connection
    with research studies and other projects where the information has
    been consolidated or aggregated in analyses, reports, or studies
    covered by Item 2(a) (may include data maintained electronically).

-   Records created to comply with the provisions of the Government in
    the Sunshine Act, annual reports to Congress describing the
    agency\'s compliance with the act.

-   Documentation of subcommittees, working groups, or other subgroups
    of advisory committees, that support their reports and
    recommendations to the full or parent committee. This documentation
    may include, but is not limited to minutes, transcripts, reports,
    correspondence, briefing materials, and other related records.

-   Documentation of formally designated subcommittees and working
    groups. This documentation may include, but is not limited to
    minutes, transcripts, reports, correspondence, briefing materials,
    and other related records.

> Permanent. Transfer to the National Archives on termination of the
> Commission. Earlier periodic transfers are authorized for commissions
> operating for 3 years or longer.

\[**NOTE**: Non-textual records transferred to NARA must follow NARA
published guidance for transfer of required elements.\]

> b\. Files that relate to day-to-day Commission activities and/or do
> not contain unique information of historical value, including such
> records as

-   correspondence, reference and working files of Commission staff
    \[excluding files covered by Item 2(a)\]

-   audiotapes and videotapes of Commission meetings and hearings that
    have been fully transcribed, informal still photographs and slides
    of Commission members and staff, meetings, hearings, and other
    events

-   other routine records, such as public mail, requests for
    information, consultant personnel files, records relating to
    logistical aspects of Commission meetings and hearings, etc.

-   extra copies of records described in Item 2(a), e.g. copies of
    meeting agenda and minutes distributed to commission members and
    staff, files accumulated by agencies on interagency bodies other
    than the secretariat or sponsor.

Destroy/delete when 3 years old (see NOTES).

\[**NOTE**: Prior to destruction/deletion, NARA, in consultation with
Commission staff, will review records covered by this item and may
identify files that warrant permanent retention. Such records will be
transferred to the National Archives at the time that related permanent
records are transferred.\]

\[**NOTE**: Administrative records generated by an advisory committee --
records relating to budget, personnel, supply or similar housekeeping or
facilitation functions -- may be disposed of in accordance with the
General Records Schedules since they do not pertain to the subject
matter advice that the advisory committee is providing to the
Government. Administrative records authorized for disposal by the GRS
and having retention periods outlasting the life of the commission (such
as payroll, personnel and fiscal records) should be transferred to the
agency providing administrative support.\]

c\. Web site records

\(1\) Electronic version of web site(s).

Destroy/delete on termination of commission or when no longer needed,

excluding records covered by the NOTE following this item.

\(2\) Design, management, and technical operation records.

Destroy/delete on termination of commission or when no longer needed.

\(3\) Electronic version of content records duplicated in textual series
of commission records.

Destroy/delete on termination of commission or when no longer needed.

\[**NOTE**: Prior to destruction/deletion, NARA, in consultation with
Commission staff, will review records covered by Item 2(c)(1) and may
identify portions (including a web snapshot) that warrant permanent
retention. Such records will be transferred to the National Archives at
the time that related permanent records are transferred along with any
records covered by Item 2(c)(2) that NARA requires to maintain and
access permanent web content records.\]

3\. [Committee Records Not Maintained by the Sponsor or
Secretariat]{.underline}

> Copies of committee records, such as agendas, meeting minutes, final
> reports and related records created by or documenting the
> accomplishments of official boards and commissions, excluding those
> kept by the sponsor or Secretariat.
>
> Destroy when 3 years old.

\[**NOTE**: The records of an international committee held by the U.S.
member or representative when the U.S. is not the sponsor or Secretariat
should be described on a SF 115 and submitted to NARA for disposition
authority.\]

\[**NOTE**: Some temporary commissions, especially operational
commissions related to an agency's mission, may have records that are
not covered by the series herein described. Such series should be
described on a SF 115 and submitted to NARA for disposition authority.\]

4\. [Committee Management Records]{.underline}

> Records maintained by agency Committee Management Officers for
> committees established under the Federal Advisory Committee Act (FACA)
> as amended (5U.S.C. Appendix 2). \[See note after this item.\]
> Committee Management activities include the establishment, appointment
> of members, and operation and termination of chartered Federal
> advisory committees.
>
> Committee management records include copies of charters, membership
> lists, agendas, policy statements, statistical data files, financial
> operating plans, General Service Administration reports and other
> statistical reports on the number of committees, types of committees,
> membership rosters, requests for approval of committee nominees,
> appointment documents for individual committee members, financial
> disclosure documents, material required to be available for public
> information and other related topics maintained by the Committee
> Management Officer.
>
> Destroy/delete when 6 years old.

[\[]{.underline}**NOTE**: This item does not apply to records maintained
at the General Services Administration (GSA) or records covered
elsewhere in this schedule.\]

\[**NOTE:** Disposition authority for any commission records not covered
by items above or elsewhere in the General Records Schedule must be
requested by submitting s SF 115 to NARA.\]

**GENERAL RECORDS SCHEDULE** **27**

**Records of the Chief Information Officer**

This schedule provides disposal authorization for certain records
created and maintained by Federal Chief Information Officers (CIO) and
their program offices. This schedule applies to the records of CIOs at
agency or departmental headquarters as well as those of deputy and
subordinate CIOs at the bureau or field office level. This schedule does
not apply to officials with Government-wide responsibilities for
information resources management (IRM) and information technology (IT)
governance.

In accordance with the Clinger-Cohen Act (originally the Information
Technology Management Reform Act), CIOs of 24 major departments and
agencies have IRM as their primary duty. They are responsible for
advising and assisting the agency's executive with IT acquisition and
management; developing and maintaining the agency's IT architecture;
promoting the efficient design and operation of the agency's major
information resources management processes; monitoring the performance
of IT programs of the agency; and developing the knowledge and skill of
IT staff. CIOs may also lead, coordinate, or participate in programs to
support the mandates of the Paperwork Reduction Act, Government
Paperwork Elimination Act, Federal Records Act, E-Government Act of
2002, Privacy Act, Government Performance and Results Act, and other
Federal laws and regulations relating to IRM.

This schedule does not cover all records relating to the work of CIOs.
CIOs are often responsible for programs and activities whose records are
already covered by an approved GRS. Records not described in this or any
other GRS must be scheduled by submission to NARA of an SF 115, Request
for Records Disposition Authority. If records are part of a larger case
file or recordkeeping system that contains records not covered in this
schedule, agencies must separately schedule those records or systems by
submitting an SF 115 to NARA. If records covered by more than one item
in this schedule are maintained together in one file or recordkeeping
system, agencies must retain the records for the longest retention
period authorized for those items.

The disposition instructions apply to records regardless of physical
form or characteristics. Records may be maintained in any format on any
medium.

Note that GRS 20, Electronic Records, remains in effect. GRS 20 covers
certain temporary files associated with database management. This
schedule supplements GRS 20 by providing disposal authority for records
relating to the administration of a CIO's office, as opposed to the
operation and use of specific systems. This schedule does not apply to
the data or information content of IT systems. Records relating to
specific systems that support or document the agency's mission must be
scheduled individually by submission of an SF 115 to NARA.

1\. [Information Technology (IT) Program Planning Records]{.underline}

> Records relating to the development of agency IT programs. Included
> are records that document agency-wide IT goals; specify milestones to
> be achieved; identify performance measures for the agency's IT
> portfolio; or summarize the underlying principles and approach by
> which the agency will plan for and manage its IT resources. Records
> may include strategic and tactical plans documenting the
> implementation and maintenance of IT systems in support of the agency
> mission and also may include records supporting formally issued plans,
> such as records of concurrence, comments, clearances, justifications,
> and other issuance records.
>
> Cut off annually. Destroy/delete when 7 years old or when no longer
> needed, whichever is later.

\[**Note**: This item does not apply to the data content or design of
individual IT systems. Records relating to specific mission-related
systems must be scheduled individually by submission of an SF 115 to
NARA.\]

2\. [Enterprise Architecture Records]{.underline}

> Records identifying the IT systems and networks required to perform
> the agency's mission and the transitional processes required to
> implement comprehensive programs to support that mission. Records may
> include technical reference models, diagrams, graphics, models, and
> narratives that describe the agency's baseline architecture, target
> architecture, and related sequencing plans.
>
> Cut off when superseded by a new iteration of the enterprise
> architecture. Destroy/delete when 7 years old or when no longer
> needed, whichever is later.

3\. [IT Capital Investment Records]{.underline}

> Records documenting the integration of IT investments with agency-wide
> strategic planning, budgeting, procurement, and management. Records
> include routine and periodic reports on IT capital investments;
> capital asset plans; business cases for major investments, systems,
> acquisitions, or operational assets identified in the agency's capital
> investment portfolio; and clearance and review records.
>
> Cut off annually. Destroy/delete when 7 years old or when no longer
> needed, whichever is later.

\[**Note**: Records needed to support contracts are scheduled under GRS
3.\]

4\. [Legal and Regulatory Compliance Records]{.underline}

> Records documenting agency compliance with Federal IRM laws and
> regulations, including systems and reports created to support
> compliance with the mandates of OMB, GAO, and other Federal IRM and IT
> oversight agencies.
>
> Cut off annually. Destroy/delete when 5 years old.

5\. [CIO Committee Records]{.underline}

> Records maintained by committees, boards, task forces, conferences, or
> other IT advisory, governing, or policy bodies for which the CIO has
> designated sponsorship, leadership, or recordkeeping responsibilities.
> Records include meeting minutes, summaries, agendas, and transcripts;
> reports, studies, and publications; membership records;
> correspon­dence, mailing, and distribution records; and other
> administrative committee rec­ords.
>
> Cut off annually. Destroy/delete when 5 years old.

\[**Note**: Records of Government-wide committees sponsored by CIOs,
such as the Federal Chief Information Officers Council, are not covered
by this item.\]

6\. [CIO Subject and Office Records]{.underline}

> Records not otherwise identified in this GRS that include briefings,
> reports, presentations, studies, correspondence, and other documents
> created to support IT program objectives; responses to and decisions
> on matters affecting the IT program; or operational and managerial
> guidance to all organizational segments of the agency.
>
> Cut off annually. Destroy/delete when 5 years old.

\[**Note**: Official agency policy records generated by the CIO are not
covered by this item. They are considered agency policy and issuance
records and are scheduled elsewhere.\]

7\. [Schedules of Daily Activities]{.underline}

> Calendars, appointment books, schedules, logs, diaries, and other
> records documenting meetings, appointments, telephone calls, trips,
> visits, and other activities by the CIO while serving in an official
> capacity, EXCLUDING materials determined to be personal and those that
> have been incorporated into other recordkeeping systems.
>
> Cut off annually. Destroy/delete when not less than 2 years but not
> more than 5 years old.

\[**Note**: This item applies only to records of the CIO, not of the
office's subordinate staff. See GRS 23/5 for coverage of the latter.\]

8\. [Electronic Mail and Word Processing]{.underline}

> Electronic copies of records that are created on electronic and word
> processing systems and used solely to generate a recordkeeping copy of
> the records covered by the other items in this sched­ule. Also includes
> electronic copies of records created on electronic mail and word
> processing systems that are maintained for updating, revision, or
> dissemination.

-   Copies that have no further administrative value after the
    recordkeeping copy is made.

Includes copies maintained by individuals in personal files, personal
electronic mail directo­ries, or other personal directories on hard disk
or network drives that are used only to pro­duce the recordkeeping copy.

Destroy/delete within 180 days after the recordkeeping copy has been
produced.

-   Copies used for dissemination, revision, or updating that are
    maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is complete.

**GRS 27, *Records of the Chief Information Officer***

**Implementation Guide**

+----------------------+-----------------------------------------------+
| **Item title**       | **types of records**                          |
+======================+===============================================+
|                      |                                               |
+----------------------+-----------------------------------------------+
| **1. Information     | Strategic and tactical plans; reports and     |
| Technology (IT)      | statistics documenting quantitative and       |
| Program Planning     | qualitative performance measures; reports on  |
| Records**            | IT portfolio management; and related          |
|                      | clearance and review records.                 |
| Cut off annually.    |                                               |
| Destroy/delete when  | \[**Note**: This item does not apply to the   |
| 7 years old or when  | data content or design of individual IT       |
| no longer needed,    | systems. Records relating to specific         |
| whichever is later.  | mission-related systems must be scheduled by  |
|                      | submission of an SF 115 to the National       |
|                      | Archives.\]                                   |
+----------------------+-----------------------------------------------+
| **2. Enterprise      | Technical reference models, diagrams,         |
| Architecture         | graphics, models, sequencing plans, and       |
| Records**            | narratives that describe the agency's         |
|                      | baseline or target enterprise architecture    |
| Cut off when         | (EA).                                         |
| superseded by a new  |                                               |
| iteration of the     | \[**Note**: An "iteration" would typically be |
| enterprise           | the version of the EA (or its component)      |
| architecture.        | prepared and submitted to OMB as part of the  |
| Destroy/delete when  | budget and capital planning cycle. Some       |
| 7 years old or when  | agencies may produce and manage EA outside    |
| no longer needed,    | the budget process, which could result in     |
| whichever is later.  | other formal iterations of EA records.\]      |
|                      |                                               |
|                      | \[**Note**: This item does not cover such     |
|                      | records maintained by the Office of           |
|                      | Management and Budget as part of its          |
|                      | government-wide IRM and IT spending oversight |
|                      | responsibilities.\]                           |
+----------------------+-----------------------------------------------+
| **3. IT Capital      | Reports on IT capital investments; capital    |
| Investment Records** | asset plans; OMB Exhibit 300 business cases   |
|                      | for major investments, systems, acquisitions, |
| Cut off annually.    | or operational assets identified in the       |
| Destroy/delete when  | agency's capital investment portfolio; and    |
| 7 years old or when  | related clearance and review records.         |
| no longer needed,    |                                               |
| whichever is later.  | \[**Note**: Contract support records are      |
|                      | covered more fully by GRS 3. Offices outside  |
|                      | the CIO are likely to maintain similar        |
|                      | records to support individual capital         |
|                      | investments. GRS 24/9, "Financing of IT       |
|                      | Resources and Services," covers many such     |
|                      | records.\]                                    |
+----------------------+-----------------------------------------------+

+----------------------+---+-----------------------------------------------+
| **4. Legal and       | R |                                               |
| Regulatory           | e |                                               |
| Compliance Records** | c |                                               |
|                      | o |                                               |
| Cut off annually.    | r |                                               |
| Destroy/delete when  | d |                                               |
| 5 years old.         | s |                                               |
|                      | o |                                               |
|                      | f |                                               |
|                      | a |                                               |
|                      | g |                                               |
|                      | e |                                               |
|                      | n |                                               |
|                      | c |                                               |
|                      | y |                                               |
|                      | - |                                               |
|                      | w |                                               |
|                      | i |                                               |
|                      | d |                                               |
|                      | e |                                               |
|                      | c |                                               |
|                      | o |                                               |
|                      | m |                                               |
|                      | p |                                               |
|                      | l |                                               |
|                      | i |                                               |
|                      | a |                                               |
|                      | n |                                               |
|                      | c |                                               |
|                      | e |                                               |
|                      | w |                                               |
|                      | i |                                               |
|                      | t |                                               |
|                      | h |                                               |
|                      | F |                                               |
|                      | e |                                               |
|                      | d |                                               |
|                      | e |                                               |
|                      | r |                                               |
|                      | a |                                               |
|                      | l |                                               |
|                      | l |                                               |
|                      | a |                                               |
|                      | w |                                               |
|                      | s |                                               |
|                      | a |                                               |
|                      | n |                                               |
|                      | d |                                               |
|                      | r |                                               |
|                      | e |                                               |
|                      | g |                                               |
|                      | u |                                               |
|                      | l |                                               |
|                      | a |                                               |
|                      | t |                                               |
|                      | i |                                               |
|                      | o |                                               |
|                      | n |                                               |
|                      | s |                                               |
|                      | g |                                               |
|                      | o |                                               |
|                      | v |                                               |
|                      | e |                                               |
|                      | r |                                               |
|                      | n |                                               |
|                      | i |                                               |
|                      | n |                                               |
|                      | g |                                               |
|                      | i |                                               |
|                      | n |                                               |
|                      | f |                                               |
|                      | o |                                               |
|                      | r |                                               |
|                      | m |                                               |
|                      | a |                                               |
|                      | t |                                               |
|                      | i |                                               |
|                      | o |                                               |
|                      | n |                                               |
|                      | r |                                               |
|                      | e |                                               |
|                      | s |                                               |
|                      | o |                                               |
|                      | u |                                               |
|                      | r |                                               |
|                      | c |                                               |
|                      | e |                                               |
|                      | s |                                               |
|                      | m |                                               |
|                      | a |                                               |
|                      | n |                                               |
|                      | a |                                               |
|                      | g |                                               |
|                      | e |                                               |
|                      | m |                                               |
|                      | e |                                               |
|                      | n |                                               |
|                      | t |                                               |
|                      | . |                                               |
+----------------------+---+-----------------------------------------------+
| **5. CIO Committee   |   | Meeting minutes, summaries, agendas, and      |
| Records**            |   | transcripts; reports, studies, and            |
|                      |   | publications; membership records;             |
| Cut off annually.    |   | correspon­dence, mailing, and distribution     |
| Destroy/delete when  |   | records; and other administrative committee   |
| 5 years old.         |   | rec­ords.                                      |
|                      |   |                                               |
|                      |   | \[**Note**: Records of Government-wide        |
|                      |   | committees sponsored by CIOs, such as the     |
|                      |   | Federal Chief Information Officers Council,   |
|                      |   | are not covered by this item.\]               |
+----------------------+---+-----------------------------------------------+
| **6. CIO Subject and |   | Other mission-related briefings, reports,     |
| Office Records**     |   | presentations, studies, and correspondence of |
|                      |   | the CIO not directly related to the schedule  |
| Cut off annually.    |   | items described above.                        |
| Destroy/delete when  |   |                                               |
| 5 years old.         |   | \[Note: Some records related to the           |
|                      |   | compliance of individual IT systems may be    |
|                      |   | maintained with and for as long as the        |
|                      |   | documentation for the system itself. See, for |
|                      |   | example, GRS 24/5, "Files Related to          |
|                      |   | Maintaining the Security of Systems and       |
|                      |   | Data."                                        |
+----------------------+---+-----------------------------------------------+
| **7. Schedules of    |   | Official calendars, appointment books,        |
| Daily Activities**   |   | schedules, logs, and diaries.                 |
|                      |   |                                               |
| Cut off annually.    |   | \[**Note**: This item applies only to records |
| Destroy/delete when  |   | of the CIO, not of the office's subordinate   |
| not less than 2      |   | staff. See GRS 23/5 for coverage of the       |
| years but not more   |   | latter.\]                                     |
| than 5 years old.    |   |                                               |
+----------------------+---+-----------------------------------------------+
| **8. Electronic Mail |   | Electronic copies of records described        |
| and Word             |   | elsewhere in this schedule.                   |
| Processing**         |   |                                               |
|                      |   |                                               |
| See GRS 27.          |   |                                               |
+----------------------+---+-----------------------------------------------+

**Frequently Asked Questions about General Records Schedule 27,**

***Records of the Chief Information Officer***

**1. To whom does General Records Schedule 27 apply?**

GRS 27 provides disposal authorization for certain records created and
maintained by Federal Chief Information Officers (CIO). This schedule
applies to the records of CIOs at agency or departmental headquarters as
well as those of deputy and subordinate CIOs at the bureau or field
office level.

**2. Does this schedule describe all of the records of Federal CIOs?**

Not necessarily. CIOs are often responsible for programs and activities
whose records are covered by another General Records Schedule or
approved agency records schedule.

**3. How does this schedule differ from GRS 20, *Electronic Records*,
and GRS 24, *Information Technology (IT) Operations and Management
Records*?**

GRS 20 and GRS 24 cover certain records associated with the day-to-day
operation of individual information systems and related support
services. GRS 27 provides disposal authority for records documenting the
administration of the office of the CIO and its agency-wide information
resources management.

**4. How does GRS 27/4, "Legal and Regulatory Compliance Records,"
differ from GRS 24/1, "Oversight and Compliance Files"?**

GRS 27/4 covers CIO records that document an agency's compliance with
Federal laws and regulations governing information resources management.
GRS 24/1 covers records that document an office's or a system's
compliance with the IT policies, directives, and plans that are
typically developed or issued by the agency CIO.

**5. Does this schedule cover records related to IT security?**

Insofar as they document agency-wide efforts to comply with the laws and
regulations that govern IT security, such CIO records would be covered
by 27/4, "Legal and Regulatory Compliance Records." However, records
that document the security of individual IT systems -- including
vulnerability assessments, audits, risk management analyses, and
security plans -- are covered by GRS 24/5, "Files Related to Maintaining
the Security of Systems and Data." Records related to specific security
breaches or incidents are covered by GRS 24/7, "Computer Security
Incident Handling, Reporting and Follow-up Records."

**6. Does this schedule cover system data?**

This schedule does not apply to the data or information content of IT
systems. Records relating to specific systems that support or document
the agency's mission must be scheduled individually by submission of an
SF 115 to the National Archives.

**7. Do records have to be arranged in these categories?**

No. If records covered by more than one item in this schedule are
maintained together in one file or recordkeeping system, keep the
records for the longest retention period authorized for those items.

**8. Is this schedule only for paper records?**

No. This schedule applies to records regardless of their physical form
or characteristics. Records may be maintained in any format on any
medium.

**Forms Index**

[]{#Standard_Forms .anchor}**STANDARD FORMS**

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

1 Printing and Binding Requisition 3 6

13 2

1A Binding Instructions 3 6

13 2

1B List of Books to be Bound 3 6

13 2

1C Printing and Binding Requisition for 3 6

Specialty Items 13 2

2 U.S. Government Lease for Real Property 3 3

2B U.S. Government Lease for Real Property

Short Form 3 3

7 Service Record 1 2

(obsolete as of Dec. 31, 1994)

7A Service Record ‑ Continuation 1 2

(obsolete as of Dec. 31, 1994)

7B Employee Record 1 6

(obsolete as of Dec. 31, 1994)

7D Position Identification Strip 1 11

(obsolete as of Dec. 31, 1994)

14 Telegraphic Message 12 3

15 Application for 10‑Point Veteran Preference 1 1

18 Request for Quotation 3 3,5

24 Bid Bond 3 3

25 Performance Bond 3 3

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

25A Payment Bond 3 3

25B Continuation Sheet

(For Standard Forms 24, 25, and 25A) 3 3

26 Award/Contract 3 3,5

28 Affidavit of Individual Surety 3 3

30 Amendment of Solicitation/Modification of 3 3,5

Contract

33 Solicitation, Offer and Award 3 3,5

34 Annual Bid Bond 3 3,5

35 Annual Performance Bond 3 3,5

39 Request for Referral of Eligibles 1 5,33

39A Request and Justification for Selective Factors

and Quality Ranking Factors 1 5,33

44 Purchase Order ‑ Invoice ‑ Voucher 3 3

6 1

44a‑d Purchase Order ‑ Invoice ‑ Voucher 3 3

6 15 50 Notification of Personnel Action 1 1,14

50B Notification of Personnel Action 1 1,14

52 Request for Personnel Action 1 1,33

59 Request for Approval of Non‑Competitive Action 1 1

61 Appointment Affidavits 1 1

61B Declaration of Appointee 1 1

62 Agency Request to Pass Over a Preference

Eligible or Object to an Eligible 1 5

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

66 Official Personnel Folder 1 1

71 Application for Leave 2 6

81 Request for Space 11 2

83 Request for OMB Review 16 6

(Replaced by OMB 83, Paperwork Reduction

Act Submission)

82 Agency Report of Motor Vehicle Data 10 4

85 Questionnaire for Non‑Sensitive Positions 18 22

86 Questionnaire for National Security Positions 18 22

91 Motor Vehicle Accident Report 10 5

94 Statement of Witness 10 5

97 The United States Government Certificate to 4 3

Obtain Title to a Vehicle 10 6

98 Notice of Intention to Make a Service Contract

and Response to Notice 3 11

98A Notice of Intention to Make a Service Contract

and Response to Notice (Attachment A) 3 11

99 Notice of Award of Contract 3 3

113A Monthly Report of Federal Civilian Employment 1 16

114 Sale of Government Property ‑ Bid and Award 4 3

114A Sale of Government Property ‑ Item Bid Page ‑

Sealed Bid 4 3

114B Sale of Government Property ‑ Item Bid Page

‑ Sealed Bid 4 3

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

114C Sale of Government Property ‑ General Sale Terms

and Conditions 4 3

114C‑1 Sale of Government Property ‑ Special Sealed

Bid Conditions 4 3

114C‑2 Sale of Government Property ‑ Special Sealed Bid

‑ Term Conditions 4 3

114C‑3 Sale of Government Property ‑ Special Spot

Bid Conditions 4 3

114C‑4 Sale of Government Property ‑ Special Auction

Conditions 4 3

114D Sale of Government Property ‑ Amendment of

Invitation for Bids/Modification of Contract 4 3

114E Sale of Government Property ‑ Negotiated

Sales Contract 4 3

114F Sale of Government Property ‑ Item Bid Page ‑

Spot Bid or Auction 4 3

115 Request for Records Disposition Authority 16 2

115A Request for Records Disposition Authority ‑

Continuation 16 2

119 Statement of Contingent or Other Fees 3 3,5,16

120 Report of Excess Personal Property 4 2

120A Continuation Sheet

(Report of Excess Personal Property) 4 2

121 Annual Report of Utilization and Disposal of

Excess and Surplus Personal Property 4 2

122 Transfer Order - Excess Personal Property 4 2

123 Transfer Order - Surplus Personal Property 4 2

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

123A Transfer Order - Surplus Personal Property

(Continuation Sheet) 4 2

126 Report of Personal Property for Sale 4 2

126A Report of Personal Property for Sale

(Continuation Sheet) 4 2

127 Request for Official Personnel Folder

(Separated Employee) 1 17

132 Apportionment and Reapportionment Schedule 5 4

133 Report on Budget Execution 5 3

135 Records Transmittal and Receipt 16 2

135A Records Transmittal and Receipt

(Continuation) 16 2

144 Statement of Prior Federal Service 1 1

145 Telephone Service Request 3 3

12 2

150 Deposit Bond ‑ Individual Invitation, Sale of

Government Personal Property 4 3

151 Deposit Bond ‑ Annual Sale of Government

Personal Property 4 3

152 Request for Clearance or Cancellation of a 16 3

Standard or Optional Forms or Exception

180 Request Pertaining to Military Records 14 21

182 Request, Authorization, Agreement and

Certification of Training 1 1

203 Annual Audiovisual Report 16 4

215 Deposit Ticket 6 1

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

224 Statement of Transactions (Classified According

to Appropriation, Fund and Receipt

Account, and Related Control Totals) 6 1

225 Report on Obligations 5 3

252 Architect‑Engineer Fixed‑Price Contract 3 3

254 Architect‑Engineer and Related Services

Questionnaire 3 3

255 Architect‑Engineer and Related Services

Questionnaire for Specific Project 3 3

258 Agreement to Transfer Records to National 16 2

Archives of the United States

269 Financial Status Report (Long Form) 3 3

270 Request for Advance or Reimbursement 3 3

271 Outlay Report and Request for Reimbursement

for Construction Programs 3 3

272 Federal Cash Transactions Report 3 3

272A Federal Cash Transactions Report - Continuation 3 3

273 Reinsurance Agreement for a Miller Act

Performance Bond 3 3

274 Reinsurance Agreement for a Miller Act

Payment Bond 3 3

275 Reinsurance Agreement in Favor of the

United States 3 3

278 Executive Branch Personnel - Public Financial

Disclosure Report 1 24

278A Assets and Income Public Financial Disclosure

Report 1 24

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

279 Federal Procurement Data System FPDS 3 3

Individual Contract Action Report

308 Request for Wage Determination and Response to 3 3

Request

311 Agency Information Security Program Data 18 1

312 Classified Information Nondisclosure Agreement 18 25

344 Multiuse Standard Requisitioning/Issue System

Document 3 8

360 Request to Approve an Interagency Reporting

Requirement 16 3

361 Transportation Discrepancy Report 9 2

362 U.S. Government Freight Loss/Damage Claim 9 2

364 Report of Discrepancy 9 2

701 Activity Security Checklist 18 7b

702 Security Container Check Sheet 18 7b

1012 Travel Voucher 6 1

1012A Travel Voucher (Memorandum) 9 1

1013A Payroll for Personal Services 2 2

1034 Public Voucher for Purchases and Services

Other Than Personal 6 1

1034A Public Voucher for Purchases and Services

Other Than Personal (Memorandum) 6 1

1035 Public Voucher for Purchases and Services

Other Than Personal (Continuation Sheet) 6 1

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

1035A Public Voucher for Purchases and Services 6 1

Other Than Personal (Memorandum)

(Continuation Sheet)

1038 Advance of Funds Application and Account 6 1

9 3

1047 Public Voucher for Refunds 6 1

1048 Memorandum - Public Voucher for Refunds 6 1

1049 Public Voucher for Refunds 6 1

1050 Public Voucher for Refunds (Memorandum) 6 1

1069 Voucher for Allowances at Foreign Posts of

Duty 6 1

1080 Voucher for Transfers Between Appropriations

and/or Funds 6 1

1081 Voucher and Schedule of Withdrawals and

Credits 6 1

1093 Schedule of Withholdings Under the

Davis‑Bacon Act (40 U.S.C. 276a) and/or

The Contract Work Hours and Safety Standards

Act (40 U.S.C. 327‑333) 3 3,11

1094 U.S. Tax Exemption Certificates 3 12

1094A U.S. Tax Exemption Certificate Accountability 3 12

Record

1096 Schedule of Voucher Deductions 6 1

1098 Schedule of Canceled or Undelivered Checks 6 1

1103A U.S. Government Bill of Lading ‑ Memorandum 9 1

Copy

1104 U.S. Government Bill of Lading ‑ Shipping 9 1

Order

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

1109A U.S. Government Bill of Lading ‑ Continuation 9 1

Sheet -- Memorandum

1113 Public Voucher for Transportation Charges 6 1

1113A Public Voucher for Transportation Charges 6 1

(Memorandum) 9 1

1128 Payroll for Personal Services ‑ Payroll

Certification and Summary 6 1

1128A Payroll for Personal Services ‑ Payroll

Certification and Summary ‑ Memorandum 2 2

1145 Voucher for Payment Under Federal Tort

Claims Act 6 1

1145A Voucher for Payment Under Federal Tort

Claims Act ‑ Memorandum 6 1

1150 Record of Leave Data 2 9a

1151 Nonexpenditure Transfer Authorization 6 1

1152 Designation of Beneficiary ‑ Unpaid

Compensation of Deceased Civilian Employee 1 1

1154 Public Voucher for Unpaid Compensation Due

a Deceased Civilian Employee 6 1

1156 Public Voucher for Fees and Mileage of

Witnesses 6 1

1156A Public Voucher for Fees and Mileage of

Witnesses ‑ Memorandum 6 1

9 3

1157 Claims for Witness Attendance Fees, Travel, 9 3

and Miscellaneous Expenses

1164 Claim for Reimbursement for Expenditures on

Official Business 6 1

9 3

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

1165 Receipt for Cash ‑ Subvoucher 6 1

1166 Voucher and Schedule of Payments 6 1

1166A Voucher and Schedule of Payments ‑

Memorandum 6 1

1167 Voucher and Schedule of Payments

(Continuation Sheet) 6 1

1167A Voucher and Schedule of Payments

(Continuation Sheet) - Memorandum 6 1

1169A U.S. Government Transportation Request ‑ 9 1

Memorandum Copy

1170 Redemption of Unused Tickets 9 1

1176 Public Voucher for Unpaid Pay and Allowances

Due a Deceased Member of the Armed Forces 6 1

1176A Public Voucher for Unpaid Pay and Allowances

Due a Deceased Member of the Armed Forces

‑ Memorandum 6 1

1177 U.S. Savings Bond Issue File Action Request 2 14c

1182 Subscriber List for Issuance of United States

Savings Bonds 2 14b

1183 Subscriber List for Issuance of United States

Savings Bonds 2 14b

1186 Transmittal for Transportation Schedules and

Related Basic Documents 9 1

1187 Request for Payroll Deductions for Labor

Organization Dues

2 15b

1188 Cancellation of Payroll Deductions for Labor 2 15b

Organization Dues

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

1198 Request by Employee for Allotment of Pay for

Credit to Savings Accounts with a Financial

Organization 2 15b

1199a Direct Deposit Sign-up Form 2 17

1203A U.S. Government Bill of Lading, Privately Owned 9 1

Personal Property ‑ Memorandum Copy

1204 U.S. Government Bill of Lading, Privately Owned 9 1

Personal Property ‑ Shipping Order

1205 U.S. Government Freight Waybill ‑ Privately

Owned Personal Property - Original 9 1

1218 Statement of Accountability (Foreign Service

Account) 6 1

1219 Statement of Accountability 6 1

1220 Statement of Transactions According to

Appropriations, Funds, and Receipt Accounts 6 1

6 5

1221 Statement of Transactions According to

Appropriations, Funds, and Receipt Accounts

(Foreign Service Account) 6 1

6 5

1303 Request for Federal Cataloging/Supply Support

Action 3 2

3 4

2800 Application for Death Benefits ‑ Civil Service

Retirement System 1 1

2801 Application for Immediate Retirement under the

Civil Service Retirement System 1 1

2801-1 Certified Summary of Federal Service - Civil

Service Retirement System 1 1

2802 Application for Refund of Retirement

Deductions - Civil Service Retirement System 1 1

[SF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

2803 Application to Make Deposit or Redeposit - Civil

Service Retirement System 1 1

2804 Application to Make Voluntary Contributions - 1 1

Civil Service Retirement System

2805 Request for Recovery of Debt Due the

United States 2 18

2808 Designation of Beneficiary ‑ Civil Service

Retirement System 1 1

2809 Health Benefits Registration Form ‑ Federal

Employees Health Benefits Program 1 1

2810 Notice of Change in Health Benefits Enrollment 1 1

2811 Transmittal and Summary Report to Carrier ‑

Federal Employees Health Benefits Program 2 22b

2812 Report of Withholdings and Contributions for

Health Benefits, Life Insurance, and Retirement 2 22b

2812A Report of Withholdings and Contributions for

Health Benefits by Enrollment Code 2 22b

2823 Designation of Beneficiary - Federal

Employees\' Group Life Insurance Program 6 1

5515 Debit Voucher 1 1

[]{#Optional_Forms .anchor}**OPTIONAL FORMS**

[OF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

7 Property Pass 11 4

8 Position Description 1 7

16 Sales Slip - Sale of Government Personal 4 3

Property

30 Motor Vehicle Service and Inspection Work

Orders 10 2

55 U.S. Government Identification (Card) 11 4

68 Record of Travel Expenses 9 3

101 Summary Worksheet for Estimating Reporting

Costs 16 6

108 Daily Vehicle Usage Report 10 2

112 Classified Material Receipt 18 5

116 Record of Top Secret Material 18 5

117 Notice of a Security Violation 18 24

118 Record of Violation 18 18,24

119 Record of Material Removed for Overnight

Custody 18 4,5

123 Top Secret Document Inventory Record 18 5

131 Stock Control Card 3 9

136 Application for Retirement ‑ Foreign Service

Retirement and Disability System 1 1

[OF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

137 Designation of Beneficiary 1 1

138 Application for Refund of Compulsory 1 1

Contributions - Foreign Service Retirement System

140 Election to Receive Extra Service Credit Towards

Retirement and Report of Residence of Spouse 1 1

141 Application for Service Credit 1 1

144 Temporary Duty (TDY) Official Travel 9 1

Authorization

153 Telegram 12 3

153A Telegram (Continuation Sheet) 12 3

158 General Receipt 6 1

164 Meritorious Service Increase Certificate 1 12

187 Telegram Repeat Request 12 3

189 Travel Reimbursement Voucher 6 1

189A Travel Reimbursement Voucher - Memorandum 6 1

9 1

189B Travel Reimbursement Voucher (Continuation 6 1

Sheet)

Schedule of Expenses and Amounts Claimed

189C Travel Reimbursement Voucher (Continuation 6 1

Sheet) - Memorandum 9 1

Schedule of Expenses and Amounts Claimed

190 Foreign Service Emergency Locator Information 1 6

191 Outgoing Telegram 12 3

[OF NUMBER]{.underline} [TITLE]{.underline} [Schedule]{.underline}
[Item]{.underline}

191A Outgoing Telegram - Continuation Sheet 12 3

199 Notice of Shipment of Effects - 9 1

Residence‑to‑Residence Method

200 Monthly Record of Vehicle Operation Costs 10 2

202 Leave Record 2 7

202A Leave Summary 2 7

205 Statement of Operating Cash Advance and

Replenishment Voucher 6 1

206 Purchase Order, Receiving Report and Voucher 3 3

206A Purchase Order, Receiving Report and Voucher

(Continuation Sheet) 3 3

208 Statement of Collections - Foreign Service of

the United States of America 6 1

612 Optional Application for Federal Employment 1 1,15,

32

1017G Journal Voucher 7 4

1121 Bill of Lading Accountability Record 9 1

1130 Time and Attendance Report 2 7

1135 Time and Attendance Report 2 7

1136 Time and Attendance Report 2 7

1137 Leave Record 2 9

[]{#OLE_LINK2 .anchor}**GENERAL RECORDS SCHEDULES**

**Subject Index**

[Schedule]{.underline} [Item]{.underline}

Accidents, General (see Investigative Files)

Accident/Incident Aircraft Reports 10 13

Accident, Motor Vehicle Report 10 5

Accountability

Classified documents 18 5

Forms, transportation requests 9 1,3

Keys, security, and protective 18 16

Personal property files 18 15

Transportation and travel 9 4

Accountable Officers' Returns 6 1

Accounting

Accountable officers' returns 6 1

Availability of funds 6 4

Collection of funds 6 4

Correspondence 6 5

Custody of funds 6 4

Deposit of funds 6 4

Exception, notices of GAO 6 2

Settlement, certificates of 6 3

Support documents 6 7-9

Surety, personnel bond 6 6

Accounts

Accounts, general 7 2

Allotment 7 3

Posting and control media 7 4

Acquisition of Real Property, Title Papers 3 1

Administrative Claim Files 6 10

Administrative Files (Office) 23 1

> [Schedule]{.underline} [Item]{.underline}

Administrative Management

Audits/reviews 16 11,14

Committees 26 1,2,3,4,

Feasibility studies 16 9

Forms 16 3

Notices and other issuance 16 1

Project control 16 5

Records management 16 2,4,7

Reports control 16 6

ADP (see Electronic Records)

Advisory Commissions, 26 2

Committees, Boards and Other Groups

Established under the Federal Advisory

Committee Act (FACA)

Affirmative Action Plans 1 25

Agreements

Ethics 25 3

Aircraft

Accident/Incident reports 10 13

General maintenance and modifications 10 11

Individual maintenance and 10 12

airframe modifications

Logistical support for flight operations 10 10

Routine operations 10 9

Allotment Ledgers 7 3

Analog Data (Uncalibrated) 20 2d

Annual Agency Ethics Program Questionnaires 25 7

Applications

Employment 1 33k,33l,33m,33n

Grants 3 13

Housing 15 7

[Schedule]{.underline} [Item]{.underline}

Apportionment and Reapportionment (see Budget)

Appropriation Warrants 6 4

Architectural Drawings 17 3,4,5

Arrests 18 14

Audiovisual

Contracts 21 28

Finding aids 21 29

Graphic arts 21 5-8

Artwork for

Flyers 21 6

Handbills 21 6

Letterhead 21 6

Posters 21 6

Line copies, charts & graphs 21 8

Photo-mechanical reproduction 21 7

Viewgraphs 21 5

Motion pictures 21 9,11,12

Engineering 21 12

Scientific, medical 21 12

Surveillance 21 11

Training 21 9

Production files 21 28

Scripts 21 28

Sound recordings 21 22-24,26

> Dictation 21 23
>
> Meetings 21 22
>
> Media production 21 24
>
> News recordings 21 26
>
> Pre-mix elements 21 24

Still photography 21 1-4

Ceremonial 21 1

Filmstrips (internal training) 21 3

Passports 21 2

Personnel identification 21 2

Slides (internal training) 21 3

Video recordings 21 14,16-20

Awards presentation 21 20

Engineering 21 19

Management instruction 21 17

> [Schedule]{.underline} [Item]{.underline}
>
> Medical 21 19
>
> Meetings 21 20

Practice tapes 21 16

> Surveillance 21 18
>
> Training 21 14,17

Authorizations (IT) 24 6

Automobile Permits 11 4

Awards (Personnel) 1 12,13

Bid and Proposal Files 3 5

Acceptable bidders 3 5d

Canceled 3 5c

Successful 3 5a

Unsuccessful 3 5b,13

Bills of Lading 9 1

Binding 13 2

Boards (Temporary/Advisory) 26 2

Bonds

Campaigns 23 7

Personnel surety 6 6

Savings 2 14

Budget

Apportionment 5 4

Correspondence files 5 1

Reports 5 3

Work papers 5 2

Building Space and Maintenance

Allocation/assignment 11 2

Correspondence 11 1,2b

Credentials 11 4a,13

Directory service 11 3

Environment 11 10

Maintenance and repair 11 5,6,8,9,12,13,15

[Schedule]{.underline} [Item]{.underline}

Plans 11 2a,5b

Release 11 2

Reports 11 2b,6,8,10,13

Request for services 11 5

Utilization 11 2

Utilities 11 16

Calendars 23 5

Carrier (see Transportation)

Cartographic

Color pulls 17 1

Color separation sheets 17 1

Composites 17 1

Maps 17 1

Case Files

Classification appeals 1 7d

Contract appeals 3 15

Emergency planning 18 27

Erroneous release 14 36

FOIA appeals 14 12

Informational services 14 4

Personnel

EEO complaint 1 25

Incentive awards 1 12a,13

Labor management 1 28

Security 18 22

Privacy Act amendment 14 22

Procurement 3 3

Real property 3 1

Surplus property 4 3

Certificates

Classified document destruction 18 3

Eligibles (employment) 1 5

Performance rating 1 23

Settlement 6 3

Tax exemption 3 12

Tax withholding 2 13a

Title 3 1

Transit 9 1

> [Schedule]{.underline} [Item]{.underline}

Charity appeals 23 7

Charts (see Cartographic)

Chief Information Officer

Committees 27 5

Compliance 27 4

Enterprise architecture 27 2

IT capital investment 27 3

IT program planning 27 1

Office records 27 6

Schedule of daily activities 27 7

Civilian Personnel (see Personnel)

Claims

Administrative 6 10

Health benefits, former spouse 1 35

Waiver of, administrative 6 11

Classified Documents, Information, and Control

Access control 18 6

Accounting 18 5

Administrative correspondence 18 1

Container security 18 7

Destruction certificates 18 3

Inventory 18 4

Receipt 18 2

Classified Information Nondisclosure Agreement 18 25

Clearance (see Personnel, Security clearance)

Commendation Letters 1 12c

Committee Management 26 4

Committees CIO 27 5

Temporary 26 1-4

Communications

Administrative 12 2

[Schedule]{.underline} [Item]{.underline}

Correspondence 12 2

Equipment 12 2b,2d(2)

Messages 12 3b

Operation 12 2,3a

Reports

Administrative 12 2b

Load 12 3a

Performance 12 3a

Statistical 12 2c

Telephone use (call detail) 12 4

Vouchers 12 2d

Complaints, Discrimination 1 25

Compliance

IT 24 1 Legal and regulatory 27 4

Computer Security 24 5-7

Configuration Management 24 3

Construction 17 4-10

Contract Appeals Case Files 3 15

Contractors' Employment Practices, EEO 1 25d(1)

Contractors' Payrolls 3 11

Contractor's Statement of Contingent or Other Fees 3 16

Contracts 3 3

Control Files

Classified documents 18 5

FOIA 14 13

General 23 8

Mandatory Review 14 33

Printing 13 3

Privacy Act 14 24

[Schedule]{.underline} [Item]{.underline}

Correspondence

Accounting 6 5

Building and space maintenance 11 1,2b

Communications 12 2

Cost accounting 8 1

Emergency planning 18 26

Expenditure accounting 7 1

Facilities, security 18 8

Grant 3 14

Housing 15 1

Informational services 14 1,2,5

Motor vehicle 10 1,7

Pay 2 24

Personnel 1 3,4,17a,17c,33b,33c,33f

Personnel security 18 21

Plant accounting 8 1

Printing, Administrative 13 1

Procurement 3 2

Property disposal 4 1

Security and protective service 18 8

Space and maintenance 11 1

Stores accounting 8 1

Surplus property 4 1

Transportation 9 4

Travel 9 4

Cost Accounting

Correspondence 8 1

Ledgers 8 7

Reports 8 6

Councils (Temporary) 26 2

Counseling (Ethics) 25 1

Credentials 11 4,13

18 12,19a

Credit Card Purchases 6 1,7,8

[Schedule]{.underline} [Item]{.underline}

Customer Service (IT) 24 10

Declassification (see Mandatory Review for

Declassification)

Deductions, Payroll 2 13a,15,16

Design and Construction 17 4-10

Direct Deposit, Payroll Authorization 2 17

Discrimination Complaints 1 25

Dispensary Control Files 1 20

Drawings 17 3-5,8-9

Driver Tests 10 7

Drug Testing 1 36

Electronic Fund Transfer, Payroll 2 17

Electronic Records

Backup tapes 20 8

24 4

Calendars 23 5

Copied data 20 12

Databases 20 3

Documentation 20 11

Downloaded data 20 12

Extracted data 20 5

Federal procurement data system 3 3d

Finding aids 20 9

23 9

Input data (see Source data)

Intermediate data 20 1b

Master data files

Administrative (routine) 20 3

[Schedule]{.underline} [Item]{.underline}

> Reformatted 20 7

Summarized data 20 4

Pay record, individual 2 1

Payroll files, noncurrent 2 2

Print files 20 6

Printouts 20 1a,1c

Programs, special purpose 20 10

Publications 20 6

Reports 20 6

Software 20 10

Source data 8 7

20 2

Specifications 20 11

Spreadsheets 20 15

System usage files 20 1c

System security files 24 5

Test data 20 1a

Test documentation 20 1a

Update records 20 1b

User identification files 24 6

Valid transaction files 20 1b

Work files 20 1b

Emergency Planning

Case files 18 27

Correspondence 18 26

Operations tests 18 28

Employee Performance 1 23

Employee Records (see Personnel and also Payroll)

Employee Transfer and Detail 1 14

Employee Training and Education (Ethics) 25 8

Engineering Drawings 17 8,9

Enterprise Architecture 27 2

Environment 11 10

Equal Employment Opportunity Complaints 1 25

> [Schedule]{.underline} [Item]{.underline}

Equipment 11 5d,8,9

Equipment Support Services (IT) 24 2

Erasable Media (see Electronic Records)

Erroneous Release 14 36

Ethics Program

Agreements 25 3

Conflict of interest violations 25 4

Financial disclosure reporting 25 2

Implementation and interpretation 25 1

Non-Federally funded travel 25 5

Procedures 25 9

Program review 25 6

Questionnaires 25 7

Training and education 25 8

Expenditure Accounting

Allotment 7 3

Correspondence 7 1

Ledgers 7 2

Posting and control 7 4

Facilities, Security

Correspondence 18 8

Inspections and surveys 18 9,10

Investigation 18 11

Facsimile Machine Logs 23 1

Feasibility Studies 16 9

Federal Activities Inventory Reform Act (FAIR) 3 18

Federal Advisory Committee Act 26 2

Federal Register, Documents Published in 16 13

Films

Engineering 21 12

Scientific and medical 21 12

[Schedule]{.underline} [Item]{.underline}

Surveillance 21 11

Training 21 9

Financial Disclosure Reporting 25 2

Financing of IT Resources and Services 24 9

Finding Aids

Audiovisual 21 29

General 23 9

Information services 14 6

Electronic 20 9

Flexitime Records (see Payroll)

Follow-up Files 23 6

Forms 16 3

Freedom of Information Act Files

Administrative 14 15

Appeals 14 12

Control 14 13

Erroneous release 14 36

Reports 14 14

Requests 14 11

Freight 9 1,2

Freight and Passenger Transportation Files 9 1,3

Gasoline Sales Tickets 6 7

General Accounting Office

Notices of exception 6 2

Site audit 6 1

Support documentation 6 7,8,9

Government Losses in Shipment Act 9 2

Grants 3 13,14

Graphic Arts (also see Audiovisual) 21 5-8

> [Schedule]{.underline} [Item]{.underline}

Guard

Assignment 18 13

Facility checks 18 18

Service control 18 19

Logs and registers 18 20

Health Benefits Claims, Former Spouse 1 35

Health Programs, Civilian

Dispensary logs 1 20

Employee medical folder 1 21

Health record card 1 19

Individual cases 1 21

Reports 1 22

Household Effects, Shipment of 9 1

Housing

Applications 15 7

Assignment 15 5

Correspondence 15 1

Furnishings inventory 15 6

Lease 15 4

Maintenance and repair 15 2

Reports 15 3

Requests (EEO) 1 25e

Tenant 15 5a

Vacancy 15 5

Identification Credentials 11 4

Immigration and Naturalization Service I-9 Forms 1 10b

Implementation Files

Ethics program 25 1

IT functions 24 11

Incentive Award Case Files 1 13

Indexes (see Finding Aids)

Information Collection Budget 16 12

[Schedule]{.underline} [Item]{.underline}

Information Resources Management

Information collection budget 16 12

Systems studies 16 9

Triennial reviews 16 11

Information Services

Acknowledgement files 14 2

Bibliographies 14 6

Correspondence 14 1,2,5

Erroneous release 14 36

Freedom of information 14 11-15

Information retrieval system 20 10

Press service files 14 3

Privacy Act files 14 21-25

Project case files 14 4

Publications indexes & bibliographies 14 6

Requests 14 1

23. 7a

Information Technology

Capital investment 27 3

Legal and regulatory compliance 27 4

Program planning 27 1

Site management 24 2

Information Technology Operations and Management

Asset and configuration management 24 3

Authorizations 24 6

Computer security incidents 24 7

Customer service 24 10

Facility

Equipment support 24 2

Site management 24 2

Financing 24 9

Infrastructure design and implementation 24 11

Operations 24 8

Oversight and compliance 24 1

Security of systems and data 24 5

System backups and tape library 24 4

User identification and authorization 24 6

Infrastructure Design (IT) 24 11

Injury and Illness, Occupational 1 31,35

[Schedule]{.underline} [Item]{.underline}

Inspections

Microform logs 16 10

Safety and Security

Government-owned facilities 18 9

Privately-owned facilities 18 10

Internal Agency Committees 26 1

Internal Control Review 16 14

Interview 1 8

Inventory, equipment, and supplies 3 9

Investigative Files 18 11

Invitations

Bid 3 5

Committee meetings 16 8b(2)

Invoices, Stores Accounting 8 2

Job Descriptions 1 7

Key Control, Security 18 16

Labor Management Relations 1 28

Leave 2 6-9

Donated 1 37

Ledgers

Allotment 7 3

Cost report 8 7

Electronic files to produce 20 6

General accounts 7 2

Plant accounting 8 5

Subsidiary 7 4

Levy and Garnishment 2 18

Losses in Shipment Act, Government 9 2

> [Schedule]{.underline} [Item]{.underline}

Mail

Administration 12 5g

Certified 12 5a

Control 12 5

Delayed delivery report 12 5c

Express 12 5a

Insured 12 5a

Loss report 12 5c,8

Messenger service 12 1,6h

Metered 12 7

Overnight 12 5a

Postal irregularities 12 8

Private mail companies 12 5

Receipt and routine 12 6a

Receipts 12 6a,6f

Registered mail 12 5a,6b

Stamps 12 6c,6e

Statistical reports 12 6b,6d

Mailing List 13 4

Maintenance 11 1,5

General aircraft maintenance 10 11

Individual aircraft 10 12

IT systems and data 24 5

Management (see Administrative Management)

Mandatory Review for Declassification

Administrative files 14 35

Appeals 14 32

Control 14 33

Reports 14 34 Requests 14 31

Maps (see Cartographic)

Measurement Data, Electronic 20 2d

Medical Records 1 19-21

Merit Promotion Case Files 1 32

> [Schedule]{.underline} [Item]{.underline}

Messenger Service 12 1

Microform Inspection 16 10

Motion Pictures (also see Audiovisual) 21 9,11-12

Motor Vehicle

Accidents 10 5

Correspondence 10 1,7

Cost and expense data 10 3

Maintenance 10 2b

Operation 10 2a

Operators 10 7

Releases 10 6

Reports 10 4

National Defense Executive Reserve Cases 18 29

Nondisclosure Agreements (Classified Information) 18 25

Non-Federally Funded Travel 25 5

Notices 16 1

23 7

Notification of Personnel Action 1 14

Notifications of Violations of 25 4

Criminal Conflicts of Interest Statutes

Observational Data, Electronic 20 2d

Occupational Injury and Illness 1 31,34

Office Records (CIO) 27 6

Official Personnel Folders 1 1,10

Operations Records (IT) 24 8

Overseas Employment 1 3

Oversight and Compliance (IT) 24 1

> [Schedule]{.underline} [Item]{.underline}

Parking Permits 11 4a

Passes 11 4a

18 12

Passports 9 5 Photographs 21 2

Password Files (IT User) 24 6

Pay and Payroll

Allotment authorizations 2 15,16

Bonds

Authorization 2 14

Purchase 2 14

Receipt and transmittal 2 14

Registration 2 14

Combined Federal Campaign 2 15a

Correction records 2 23

Correspondence 2 24

Direct deposit 2 17

Electronic fund transfer 2 17

Flexitime records 2 7

Individual employee pay record 2 1

Leave application 2 6

Leave record 2 9

Levy and garnishment 2 18

Pay comparability 1 40

Payrolls (copy) 2 2

Reports

Error 2 22a

Fiscal 2 22c

Management or workload 2 22b

Tax 2 13c

Retirement 2 28

Savings allotment authorizations 2 15b

Taxes 2 13

Thrift Savings Plan 2 16

Time and attendance reports 2 7,8

Union dues 2 15b

Wage survey 1 38

Performance Rating 1 23

> [Schedule]{.underline} [Item]{.underline}

Personal Injury 1 31

Personnel (Civilian)

Adverse action 1 30b

Affirmative Action Plans 1 25h

Alternative dispute resolution 1 27 Application record card 1 33e

Applications for employment 1 33k,33l,33m,33n

Appointments 1 4,41

Awards 1 12,13

Certificates of eligibles 1 5,33g,33p

Certification request control index 1 33q

Correspondence 1 3,4,17a,17c,33b,33c,33h

Counseling 1 26

Delegated agreements 1 33

Discrimination cases 1 25

Displaced employee program 1 33r,33s Dispensary logs 1 20

Driver tests 10 7

Drug testing 1 36

Employee interviews 1 8

Employee medical folder 1 21

Employee record card 1 6

Equal Employment Opportunity 1 25

Evaluations 1 7c(2)

Examination announcement cases 1 33f

Examinations 1 33d,33i

Financial disclosure reports 1 24

Grievance 1 30a

Handicapped individuals 1 41

Health benefits claims, denied 1 35

Health records cases 1 21

Health records, individual 1 19,21

Health unit control files 1 20

Incentive awards

Cases 1 12a

Reports 1 13

Informational files 1 18

Injury and illness 1 31,34

Interviews 1 8

Labor-management relations 1 28

Leave 2 6,7,8,9

Letters of reference 1 10

> [Schedule]{.underline} [Item]{.underline}

Motor vehicle operation 10 7

Notification of Personnel Action 1 14

Official Personnel Folder 1 1,10

Pay comparability 1 41

Performance ratings 1 23

Personnel security case files 18 22

Position classification

Appeals 1 7d

Standards 1 7a(1)

Survey 1 7c

Position descriptions 1 7b

Position identification strips 1 11

Reduction-In-Force (RIF) records 1 17b(1),30b

Registers of eligibles 1 33g

Reports

Affirmative action 1 25h(4)

Audits of delegated examining 1 33t

operations

Statistical 1 16,22,25f

Retention registers 1 17b

Retirement assistance 1 39

Retirement (payroll) 2 28

Security clearance 18 22,23

Security violation 18 24

Service record card 1 2

Standards of conduct 1 27

Temporary records 1 10

Test material - lost/exposed 1 33j

Test material stock control 1 33d

Time and attendance 2 6-9

Training 1 29

Vacancy announcements 1 32

Personnel Security

Case files 18 22

Correspondence 18 21

Status 18 23

Violations 18 24

Photographs (also see Audiovisual) 21 1-4

Plant Accounting

Account cards 8 5

> [Schedule]{.underline} [Item]{.underline}

Correspondence 8 1

Ledgers 8 5

Police Records 18 14

Position Descriptions 1 7b

Postal Irregularities 12 8

Postal Records 12 5,7

Press Service 14 3

Printing

Correspondence 13 1

Mailing lists 13 4

Management 13 6

Planning 13 2b

Projects 13 2a

Reports to Congress 13 5

Registers 13 3

Printouts 20 16

Privacy Act

Administrative 14 26

Amendment cases 14 22

Control records 14 24

Disclosure 14 23

Erroneous release 14 36

Reports 14 25

Requests 14 21

Procurement

Bids and proposals 3 5

Bond and surety 3 3

Contract appeals 3 15

Contractors' payrolls 3 11

Contracts 3 3

Correspondence 3 2

Federal Procurement Data System 3 3d

Inventories 3 9

Purchase orders 3 3

[Schedule]{.underline} [Item]{.underline}

Real property acquisition 3 1

Requisitions 3 3,6,7,8

Small and disadvantaged business utilization 3 17

Supply management 3 4

Survey, reports of 3 9c

Tax exemption certificates 3 12

Telephone statements 3 10

Production Files (Audiovisual) 21 28

Profiles (IT User) 24 6

Program Review (Ethics) 25 6

Employee training and education files 25 8

Procedure files 25 9

Questionnaire files 25 7

Promotion, Merit 1 3,32

Property Disposal

Correspondence 4 1

Excess personal property reports 4 2

Real property disposal 4 4

Surplus property 4 3

Proposals (see Bids and Proposals Files)

Property Pass 18 12

Publications, Electronic 20 6

Purchase Orders 3 3

Recordings

Sound (audio) 21 22-24,26

Video 21 14,16-20

Records Disposition Files 16 2

Records Holdings Files 16 4

Records Management Files 16 7

[Schedule]{.underline} [Item]{.underline}

Reduction-In-Force (RIF) Records (see Personnel)

Referrals and Notifications of Violations of 25 4

Criminal Conflicts of Interest Statutes

Regulatory Compliance Records 27 4

Reports

Accident, motor vehicle 10 5

Budget 5 3

Building space and maintenance 11 2b,6,8,10,13

Communications 12 2b

Computer security incident handling 24 7

Control Files 16 6

Cost accounting 8 6

Electronic files to produce 20 6

Financial disclosure 25 2

Freedom of Information 14 14

Health programs, civilian 1 22

Housing 15 3

Incentive award 1 13

Joint committee on printing 13 5a

Losses in shipment act, government 9 2

Mail 12 5c,6b,6d,7,8

Motor vehicle 10 4

Pay and payroll 2 22,28

Personnel 1 13,16,22,25f,25h(4),33q

Privacy Act 14 25

Property disposal 4 2

Security (facility) 18 18

Space and maintenance 11 2,6,8,10,13

Statistical

Communications 12 2c

Cost accounting 8 7

Health 1 22

Mail 12 6b,6d

Payroll 2 22

Personnel 1 16

Surplus property 4 2

Requisitions

Bindings 13 2

Control registers 13 3

> [Schedule]{.underline} [Item]{.underline}

Duplication 13 2

Housing maintenance and repair 15 2b

Non-personal 3 7

Printing 13 2a

Procurement 3 3,6,7,8

Public Printer 3 6

Stamps 12 6c

Supplies and equipment 3 8

Retirement 2 28

Assistance 1 39

Safety and Security Inspections 18 9,10

Schedules of Daily Activities 23 5

Scripts 21 28

Security and Protective Services

Correspondence 18 8

Guard assignment and strength 18 13

Guard force facility checks 18 18

Guard log and registers 18 20

Guard service control 18 19

Investigations 18 11

Key accountability 18 16

Lost or Stolen property 18 15

Police files 18 14

Property pass files 18 12

Survey and inspection 18 9,10

Visitor control files 18 17

Security Incident Handling (IT) 24 7

Security of Systems and Data (IT) 24 5

Selective Placement 1 5

Shortage and Demurrage Reports 9 1

Site Audit Records 6 1

2 1

9 1

> [Schedule]{.underline} [Item]{.underline}

Small and disadvantaged business utilization (see

Procurement)

Software 20 10

Sound Recordings (also see Audiovisual) 21 22-24, 26

Space and Maintenance

Allocation and utilization 11 2

Building plans 11 2

Correspondence 11 1,2b

Credentials 11 4,13

Directory service listings 11 3

Maintenance and repair 11 5,6,8,9,12,13,15

Reports 11 2b,5,6,8,10,

13

Specifications, Real Property 4 4

Spreadsheets 20 15

Statement of Employment and Financial Interest 1 24b

Statistical Files

Extracted data 20 5

Summarized data 20 4

Still Pictures (also see Audiovisual) 21 1-4

Stores Accounting

Correspondence 8 1

Invoices 8 2

Returns and reports 8 3

Work papers 8 4

Suggestions, Employee 1 12a(1)

Supply

Inventory 3 9

Requirements 3 4

Requisitions 3 8

> [Schedule]{.underline} [Item]{.underline}

Surety Bond Files 6 6

Surplus Property

Correspondence 4 1

Personal property 4 3

Real property 4 4

Reports 4 2

Suspense Files 23 6

System Backups and Tape Libraries 24 4

Tax Exemption Certificates 3 12

Tax Files 2 13

Telecommunications 12 2,3

Telegrams 6 9

Telephone

Statements and toll slips 3 10

6 8

Use 12 4

Temporary Commissions, Boards, Councils

and Committees

Day-to-day activities 26 2b

Establishment of 26 2a

Management 26 4

Web site records 26 2c

Thrift Savings Plan 2 16

Time and Attendance 2 6-9

Title Papers 3 1

Tracking Files (see Control Records)

Training Records 1 29

Transit Certificates 9 1

> [Schedule]{.underline} [Item]{.underline}

Transitory Files 23 7

Transportation

Accountability 9 4

Bills of Lading 9 1

Correspondence 9 4

Freight records 9 1

Lost or damaged shipment 9 2

Subsidies 9 7

Travel

Accountability 9 4

Authorization 9 1

Correspondence 9 4

Ethics related 25 5

Orders 9 3

Passports 9 5

Reimbursement 9 3

Requests 9 1

Vouchers 9 1,3

User Identification, Profiles, Authorizations, and 24 6

Password Files

U.S. Postal Service Records 12 5

U.S. Saving Bonds

Payroll savings 2 14

Receipt and transmittal 2 14

Registration 2 14

Utilities 11 16

Vacancy Announcement 1 32

Video Recordings (see also Audiovisual) 21 14,16-20

Viewgraphs 21 5

Violations (Ethics) 25 4

Visitors' Passes 11 4

[Schedule]{.underline} [Item]{.underline}

Vouchers

Communications 12 2d

General 6 1

Passenger transportation 9 1

Wage Survey 1 38

Waiver of Claims 6 11

Work Papers

Budget 5 2

Stores accounting 8 4