Last revised (Transmittal 10-034) March 21, 2022

Guide to Judiciary Policy

Vol. 10: Public Access and Records

Ch. 6: Records Management

Appx. 6C: Records Disposition Schedule 3

This schedule covers the disposition of federal records of the federal public defender 

organizations (FPDOs). This schedule has been approved by the Judicial Conference 

of the United States and the Archivist of the United States and is mandatory. The 

records covered by the schedule include the FPDO’s business activities in both district 

and appellate courts.

Under the Criminal Justice Act (CJA) (18 U.S.C. § 3006A), public defenders provide 

federal criminal defense services to individuals unable to afford legal representation. 

These services are provided by court-appointed attorneys from three different sources, 

only one of which is a federal organization: 

(a) FPDOs are federal entities and their staffs are federal employees.

(b) Community defender organizations (CDOs) operate much like an FPDO 

but are non-government, non-profit organizations incorporated under state 

laws and governed by boards of directors. Their staffs are not federal 

employees.

(c) Each district court maintains a panel of private, non-federal attorneys in 

accordance with its CJA Plan.

Client case files are the client’s property, held by the attorney, and regulated by the bar 

rules of each state. Court-appointed or public defender status makes no difference in 

the ethical standard. The case file belongs to the client and is held in trust by the 

attorney.

All other records created and maintained in a system of records by an FPDO are federal 

records and their retention is addressed in the records disposition schedule below.

The term “correspondence” as used in this schedule includes email. Email whose 

retention is required for more than three years under this schedule must be stored in a 

system outside the email program that is subject to records management requirements 

for the mandated retention period. When the retention period is three years or less, 

email may be retained inside the email program. The email system only serves as a 

recordkeeping system for general correspondence and email records that must be 

retained for three years or less from the date of creation. Email records that do not 

meet this criterion should be retained outside the email system.
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 2

Records Disposition Schedule 3

Type of Record Disposition

A. PROGRAM RECORDS

1. Audits. These records comprise the audit report and 

accompanying documentation received by the FPDOs, their 

response, and the documentation developed to resolve 

issues identified in the report.

Temporary. Destroy when 5 

years old or after receipt of 

the report of the following 

audit and after all audit 

exceptions noted in both 

reports have been resolved, 

whichever is later.

(DAA-0021-2013-0006-0001)

2. Assessments/Reviews. These records are evaluations of 

the FPDO and are comprised of the assessment report 

given to the FPDOs, their response, and the documentation 

developed to resolve issues identified in the report.

Temporary. Destroy when 5 

years old or after receipt of 

the report following the 

assessment and after all 

items noted in both reports 

have been resolved, 

whichever is later.

(DAA-0021-2013-0006-0002)

3. Training Files. Public Defender Curriculum. These files 

contain the syllabus and training materials developed and 

given by the FPDO to local attorneys.

Temporary. Destroy when 3 

years old or when 

superseded, whichever is 

later.

(DAA-0021-2019-0001-0001)

4. Employee Training Records. Correspondence, 

memoranda, reports, and other records relating to the 

availability of training and employee participation in training 

programs sponsored by other government agencies or nonGovernment institutions.

Temporary. Destroy after 4 

years or until the next 

assessment, whichever is 

sooner. 

(DAA-0021-2013-0006-0015)

5. Facility, Site Management, and Equipment Support 

Services Records. 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.

Temporary. Destroy when 4 

years old or when superseded 

or obsolete, whichever is 

later. 

(DAA-0021-2013-0006-0016)
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 3

Records Disposition Schedule 3

Type of Record Disposition

6. IT asset and configuration management files.

a. Inventories of IT assets, network circuits, and building or 

circuitry diagrams, including equipment control systems 

such as databased of barcodes affixed to IT physical 

assets.

Temporary. Destroy after 4 

years.

(DAA-0021-2013-0006-0017)

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 system, Includes, but is not 

limited to:

(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.

Temporary. Destroy after 4 

years.

(DAA-0021-2013-0006-0018)

(2) Records of routine IT maintenance on the network

infrastructure documenting preventative, corrective,

adaptive and perfective (enhancement) maintenance

actions, including requires for service, work orders, 

service histories, and related records.

Temporary. Destroy after 4 

years.

(DAA-0021-2013-00019)

7. Space Management Records. Records relating to the 

assignment, allocation, utilization, acquisition, and release 

of space under agency control, and related reports to GRS 

(or equivalent agency with similar Government-wide 

responsibilities). Building plan files, surveys, and other 

records utilized in agency space planning, assignment, and 

adjustment. Includes correspondence and reports to staff 

agencies relating to agency space holdings, reports to 

GSA, including Standard Form (SF) 81 (Request for Space)

and related documents. (Note: An occupancy agreement 

planner is prepared by the circuit executive’s office (for 

delegated circuits) and by the AO (for non-delegated 

circuits) and provided to the defender.)

Temporary. Destroy 5 years 

after termination of 

assignment, or when lease is 

cancelled, or when plans are 

superseded or obsolete. 

(Note: If lease contains 

parking space or trial prep 

room at courthouse that is 

relinquished, termination form 

must be retained with the 

records.)

(DAA-0021-2013-0006-0011)

8. FPDO Website Records. Records or information posted 

on local FPDO intranet or internet sites.

a. Web Content

(1) Unique Content. Non-policy related records/information 

that are unique to the website, and do not exist 

Temporary. Take annual 

snapshot of Web content. 
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 4

Records Disposition Schedule 3

Type of Record Disposition

elsewhere. Destroy when 5 years old but 

longer retention is authorized 

if required for business use. 

(DAA-0021-2013-0006-0035)

(2) Replicated Content. Records/information that exist 

elsewhere and there is no added functionality; the 

information is a convenience copy.

Temporary. Destroy when no 

longer needed for agency 

business.

(DAA-0021-2013-0006-0036)

b. Web Management and Operations Records. Website 

posting logs indicating when pages were posted, updated 

or removed.

Temporary. Destroy when 5 

years old or when 

superseded, obsolete, or no 

longer needed for agency 

business.

(DAA-0021-2013-0006-0037)

B. ADMINISTRATIVE RECORDS.

1. Local unofficial personnel/supervisor files. Local

personnel files include correspondence, forms, and other

records relating to positions, authorizations, pending 

actions, position descriptions, requests for personnel 

action; fingerprint and background check records; and other 

records on individual employees duplicated in or not 

appropriate for the Official Personnel File (OPF).

Temporary. Review annually 

and destroy superseded 

documents. Destroy 

remaining documents 1 year 

after employee separation or 

transfer.

(GRS 2.2, Item 080)

2. Fair employment practices.

a. Employment Dispute Resolution (EDR) administrative 

records. Includes:

• Prior EDR Plans

• Prior EEO Plans

• Orders or memoranda adopting EDR Plans or 

appointing EDR Coordinators

• Statistical records of Informal Advice contacts

Temporary. Destroy when 3 

years old, but longer retention 

is authorized if required for 

business use.

(GRS 2.3, Item 110)

b. EDR Assisted Resolution files. Includes:

• Request for Assisted Resolution

• Any agreement to mediate

• Records of process 

• Documentation of settlement or discontinuance of the 

Assisted Resolution process

Temporary. Destroy 7 years 

after case is closed, but 

longer disposition is 

authorized if required for 

business use.

(GRS 2.3, Item 110)
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 5

Records Disposition Schedule 3

Type of Record Disposition

 Also includes:

• Request for counseling under prior EDR Plans

• Request for mediation under prior EDR Plans

• Notice of designation of mediator

• Documentation of settlement

• Notice of conclusion of counseling period

• Notice of conclusion of mediation

Note: This item includes all records gathered in the 

informal process that became the formal process case file 

once a formal complaint is filed.

c. EDR Formal Complaint files. Includes:

• Formal Complaint (including complaint filed under prior 

EDR Plans)

• Response to Formal Complaint (including response to 

complaint filed under prior EDR Plans)

• Scheduling orders and notices of hearings

• Motions, filings, and responses

• Orders of chief judge and Presiding Judicial Officer

• Records of process

• Documents exchanged in discovery

• Investigation reports

• Documents presented at hearing

• Transcripts of hearing

• Written decision

• Petition for Review of decision

• Resolution of Petition for Review

Temporary. Destroy 7 years 

after case is closed, but 

longer disposition is 

authorized if required for 

business use.

(GRS 2.3, Item 111)

3. Administrative grievance, disciplinary, and adverse 

action files.

a. Local adverse action and/or grievance plan or procedure 

maintained by the court.

Temporary. Destroy when 

superseded, obsolete, or no 

longer needed for business, 

whichever is later

(GRS 5.7 Item 030)

b. Documents, memoranda, or other records related to an 

adverse action, disciplinary action, or grievance 

maintained by the FPDO.

Temporary. Destroy 7 years 

after case is closed.

(GRS 2.3, Item 060, 061, 062)

c. Copies of adverse action documents that are maintained 

in the OPF may also be maintained in a supervisor’s local 

Temporary. Review annually 

and destroy superseded 
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 6

Records Disposition Schedule 3

Type of Record Disposition

personnel folder (e.g., Request for Personnel Action, 

Remote Data Entry Notice). 

documents. Destroy 

remaining documents 1 year 

after employee separation or 

transfer.

(GRS 2.2, Item 080)

4. Performance management files.

a. Performance management plan, if applicable, including 

compensation strategy and appraisal tool with rating levels 

or tiers, and payout date for discretionary step increases.

Temporary. Destroy when 

superseded, obsolete, or no 

longer needed for business, 

whichever is later.

(GRS 5.7, Item 030)

b. Individual records of employee performance including 

performance evaluation, performance plan upon which it is 

based, and rating, among other performance related 

materials.

Temporary. Destroy when 4 

years old or after AO audit, 

whichever is later.

(DAA-0021-2014-0001-0001)

5. Awards and bonuses files.

a. Employee recognition and/or bonus plans, as applicable 

maintained by the FPDO.

Temporary. Destroy when 4 

years old, after AO audit, or 

when no longer needed for 

reference, whichever is later.

(DAA-0021-2014-0001-0002)

b. For each employee recognition award recipient, 

documentation that includes: name or ID, amount or cost 

of award, category or criteria, supporting justification, 

aggregate amount or cost of all awards received by the 

employee per year, and other related FPDO maintained 

documentation.

Temporary. Destroy when 4 

years old, after AO audit, or 

when no longer needed for 

reference, whichever is later.

(DAA-0021-2014-0001-0003)

c. For each recruitment, retention, or relocation bonus 

documentation that includes name or ID, amount of 

bonus, service agreement, authorization, and other 

related FPDO maintained documentation.

Temporary. Destroy when 4 

years old, after AO audit, or 

when no longer needed for 

reference, whichever is later.

(DAA-0021-2014-0001-0004)

6. Employee Medical Folder (EMF).
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 7

Records Disposition Schedule 3

Type of Record Disposition

a. Any FPDO maintained medical records related to Family 

and Medical Leave Act (FMLA), serious health condition 

for sick leave, medical emergency for VLTP donated 

leave, reasonable accommodation for disability, workplace 

injury not reported as, or related to, an Office of Workers 

Compensation Programs (OWCP) claim, fitness-for-duty 

or counseling records related to alcohol or drug treatment 

programs.

Temporary. Destroy 1 year 

after employee separation or 

transfer.

(GRS 2.7, Item 061)

b. OWCP claim. FPDO maintained documents related to an 

OWCP claim. Including medical reports, copies of letters 

and decisions, and any other material that is part of the 

case file, regardless of its source. These documents are 

considered an alternate location for OWCP claim records, 

and under the jurisdiction of OWCP.

See: Guide, Vol. 12, 

§ 750.30 (Workers' 

Compensation).

7. Telework files.

a. Telework Worksite Program Files. Records generated by 

the FPDO telework coordinators and other related staff. 

Includes:

• Correspondence

• Notes

• Policy implementation documents

• Form development files

• Planning records

• Program evaluation documentation/data

• Other related records generated by the FPDO or 

participating employees

Temporary. Destroy when 3 

years old, but longer retention 

is authorized if required for 

business use.

(GRS 2.3, Item 080)

b. Telework agreement for each employee who is eligible for 

telework, and duty station documentation, if applicable.

Temporary. Destroy 1 year 

after end of employee’s 

participation in the program, 

but longer retention is 

authorized if required for 

business use.

(GRS 2.3, Item 081)

8. Administrative training records. 

a. Individual employee training records. Records 

documenting training such as information system security 

and training to develop job skills. Records may include:

• Completion certificates or verification documents for 

mandatory 

• Mentoring or coaching agreements

Temporary. Destroy when 

superseded, 3 years old, or 1 

year after separation, 

whichever comes first, but 

longer retention is authorized 

if required for business use.
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 8

Records Disposition Schedule 3

Type of Record Disposition

Note: This item excludes academic transcripts, 

professional licenses, civil service exams, or 

documentation of mission-related training.

(GRS 2.6, Item 030)

b. Non-mission employee training program records. Records 

about planning, assessing, managing, and evaluating an 

agency’s training program:

• Plans, reports, and program evaluations

• Employee skills assessments

• Organizational and occupational needs assessments

• Notices about training opportunities schedules, or 

courses

• Employee training statistics

• Mandatory training tracking and reporting files

• Logistics and coordination documents

• Agreement and similar records

• Registration forms, employee attendance records

• Syllabi, presentations, instructor guides, handbooks, 

lesson plans

• Reference and working files on course content

• Other course materials, such as presentations and 

videos

• Student, class, or instructor evaluations

Temporary. Destroy when 3 

years old, or 3 years after 

superseded or obsolete, 

whichever is appropriate, but 

longer retention is authorized 

if required for business use.

(GRS 2.6, Item 010)

9. Position classification files. FPDO copies of 

• Organization chart at the time of position approval for 

supervisory or managerial positions, and 

• Other classification related documentation

Temporary. Destroy 2 years 

after position is abolished but 

longer retention is authorized 

if required for business use.

(GRS 2.1, Item 020)

10. Job vacancy files. FPDO recruitment files consisting of:

• Copy of the vacancy announcement, job analysis, if 

applicable

• Copy of newspaper advertisements (or other forms of 

advertising)

• List of recruitment sources

• Application materials with date of receipt 

• Ranking or rating criteria, if applicable (to include 

rating/scoring definitions and/or methodology)

• List of applicants with designation or not qualified, 

qualified, and best qualified

• List of applicants interviewed

• List of interview questions used

• Other relevant recruitment documentation

Temporary. Destroy 2 years 

after appointment.

(GRS 2.1, Item 051)
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 9

Records Disposition Schedule 3

Type of Record Disposition

11. Drug testing files. Includes records based on reasonable 

suspicion.

Temporary. Destroy when 

employee leaves the agency 

or when 3 years old, 

whichever is later.

(GRS 2.7, Item 130)

12. Employee Drug Test Acknowledgement of Notice 

Forms. Forms completed by employees whose positions 

are designated sensitive for drug testing purposes, 

acknowledging they have received notice and they may be 

tested.

Temporary. Destroy when 

employee separates from 

testing-designated position.

(GRS 2.7, Item 110)

C. PAYROLL, PAY AND BENEFITS ADMINISTRATION RECORDS.

1. Time and attendance files. Records maintained by the 

court upon which leave record is based, including:

• compensatory time,

• time on military leave, or

• using the Voluntary Leave Transfer Program (VLTP) 

donated leave.

Destroy when 6 years old or 

after AO audit, whichever is 

later.

(GRS 2.4, Item 030)

2. Leave files. Leave records. Leave balances and 

documentation of accrual and use.

Temporary. Destroy when 

superseded or obsolete, or 

upon separation or transfer of 

employee, whichever is 

earlier. 

(GRS 2.2, Item 041)

3. Voluntary Separation Incentive Program. Voluntary 

Separation Incentive Payment (VSIP) and Voluntary Early 

Retirement Authority (VERA) Files. VSIP or VERA 

restructuring plans, including target universe and selection 

criteria, organizational charts, offer notices, acceptance 

notices, VSIP payment calculations and documentation of 

how selection criteria was applied (if applicable). Retention 

is based on 5-year repayment requirements.

Temporary. Destroy when 3 

years old, but longer retention 

is authorized at the discretion 

of the principal records 

custodian. 

(GRS 2.2, Item 020)

4. Benefits files.

a. Request for health benefits under spouse equity – Denied 

applications.

Temporary. Destroy 1 year 

after original denial, denial of 

appeal, or final court order, 

whichever is appropriate.
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 10

Records Disposition Schedule 3

Type of Record Disposition

(GRS 2.4, Item 111)

b. Requests for health benefit under spouse equity –

Successful applications, including those successfully 

appealed.

Transfer to appropriate 

retirement system after 

enrollment is cancelled or 

terminated, or annuity 

payment begins.

(GRS 2.4, Item 110)

c. Documentation related to retirement assistance that 

includes correspondence, memoranda, annuity estimates, 

and other records used to assist retiring employees.

Temporary. Destroy 1 year 

after date of separation or 

transfer, but longer retention 

is authorized if required for 

business use.

(GRS 2.5, Item 020)

5. Reasonable accommodation files.

Documentation for an employee with a disability. Includes 

information created while receiving, coordinating, reviewing, 

processing, approving, and reporting requests for reasonable 

accommodation including request for personal assistance 

under 5 U.S.C. § 3102.

Temporary. Destroy 3 years 

after separation.

(GRS 2.3, Item 021)

D. PROCUREMENT, FINANCE, AND SUPPLY RECORDS.

1. Procurement Records. Contracts, requisitions, purchase 

orders, leases, and bond surety records, including 

correspondence and related paper pertaining to award, 

administration, receipt, inspection and payment.

Temporary. Destroy 7 years 

after final payment.

(DAA-0021-203-0006-0006)

2. Financial records. Records relating to payment of bills, 

collection of debts, accounting and processing travel 

vouchers/authorizations.

Temporary. Destroy 6 years 

after final payment or 

cancellation, but longer 

retention is authorized if 

required for business use.

(GRS 1.1, Item 010)

3. Personal property records. Includes documents relating 

to the acquisition and disposition of property.

Temporary. Destroy 7 years 

after date of final transaction.

(N1-021-86-1, Item C3)

E. BUDGET FILES.

1. Budget background records. Contains cost statements, 

financial system data, financial projections and similar 

Temporary. Destroy when 2 

years old, but longer retention 
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 11

Records Disposition Schedule 3

Type of Record Disposition

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.

is authorized if required for 

business use.

(GRS 1.3, Item 041)

2. Budget execution records. Records that offices create 

and receive in the course of implementing and tracking 

appropriations. 

Temporary. Destroy 6 years 

after close of fiscal year, but 

longer retention is authorized 

if required for business use.

(GRS1.3, Item 020)

F. SPACE, FACILITIES AND MAINTENANCE RECORDS.

Facility, space, and equipment inspection, maintenance, and 

service records. Records documenting inspection, 

maintenance, service, and repair activities relating to buildings, 

grounds, Federally owned and operated housing, equipment, 

and personal property. Includes repair and maintenance 

orders, requisitions, and related papers; maintenance and 

inspection logs and reports; job orders, service call records, 

action sheets, and repair logs; and work, shop, or job 

schedules.

1. Records documenting facility structure and long-term 

maintenance.

Temporary. Destroy when 3 

years old, but longer retention 

is authorized if required for 

business use.

(GRS 5.4, Item 70)

2. Records tracking completion of custodial and minor 

repair work.

Temporary. Destroy when 90 

days old, but longer retention 

is authorized if required for 

business use.

(GRS 5.4, Item 71)

3. Facility, space, vehicle, equipment, stock, and supply 

administrative and operational records. Records 

relating to administering and operating facilities, space, 

Federally owned and operated housing, land vehicles, 

water vessels, equipment, stocks, and supplies. Includes:

• Statistical and narrative reports

• Studies

• Requests for space using Standard Form-81 or 

equivalent

• Space assignments and directories

Temporary. Destroy when 3 

years old or 3 years after 

superseded, as appropriate, 

but longer retention is 

authorized if required for 

business use.

(GRS 5.4, Item 010)
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 12

Records Disposition Schedule 3

Type of Record Disposition

• Inventories of property, equipment, furnishings, stock 

and supplies

• Reports of survey regarding lost, damaged, missing, 

or destroyed property

• Requisitions for supplies and equipment

• Records tracking supply and procurement 

requirements

• Records scheduling and dispatching vehicles, 

monitoring use, and reporting use

• Related correspondence

Exclusion: This item excludes records of supply and 

property procurement.

G. ADMINISTRATIVE MANAGEMENT RECORDS.

1. Internal administrative accountability and operational 

management control records. Internal evaluations of 

accounting and administrative controls. Includes:

• Copies of internal and external directives outlining 

management control policy

• Management control plans and records of the planning 

process

• Records of management reviews

• Risk analyses and risk profiles

• Internal control over reports

• Records tracking assignments, tasks, and 

responsivities

• Administrative correspondence

Excludes: Reports related to agency mission activities

Temporary. Destroy 1 year 

after submission or when 

superseded, as appropriate, 

but longer retention is 

authorized if required for 

business use.

(GRS 5.7, Item 010)

2. Internal control review, response and mitigation 

management records. Includes copies of reports and 

audits identifying internal administrative program 

weaknesses, mitigation action plans, corrective actions, 

tracking records, correspondence, and other records held 

by the office responsible for coordinating internal control 

functions.

Note: This item excludes records held by offices 

contributing to internal control review response and 

mitigation, but not responsible for overseeing it.

Temporary. Destroy 5 years 

after no further corrective 

action is needed, but longer 

retention is authorized if 

required for business use.

(GRS 5.7, Item 020)
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 13

Records Disposition Schedule 3

Type of Record Disposition

H. ORGANIZATIONAL/GENERAL ADMINISTRATIVE FILES.

1. Files on internal administration and housekeeping 

activities. In general, these are records accumulated by 

individual offices that relate to office organization, staffing, 

procedures and communications and the expenditure of 

funds. Includes budget; day-to-day administration of office 

personnel such as travel and training; supplies, requests 

and receipts; and the use of office space. These papers do 

not serve as official documentation of the programs of the 

office.

Note: This item excludes records that relate only to the 

functions for which the office exists.

Temporary. Destroy when

business use ceases. 

(GRS 5.1, item 010)

2. General correspondence files. These files contain all the 

FPDO’s correspondence except correspondence between 

the FPDO and their clients. Examples include 

miscellaneous letters of inquiry, non-case related letters to 

other lawyers, letters to organization or committees seeking 

comments on proposals.

Temporary. Cut off at the end 

of the calendar year. Destroy 

5 years after cut-off.

(DAA-0021-2013-0006-0008)

I. RECORDS TRANSMITTAL AND RECEIPT FORM (SF 135). Temporary. Maintain for 50 

years. Do not transfer to an 

FRC.

(N1-021-86-1, Item C7)

J. INFORMATION TECHNOLOGY OPERATIONS AND MANAGEMENT 

RECORDS.

1. Systems and data security files. System and data 

security records. Records relate to maintaining the security 

of information technology (IT) systems and data. Records 

outline official procedures for securing and maintaining IT 

infrastructure and relate to the specific systems for which 

they were written. This series also includes analysis of 

security policies, processes, and guidelines as well as 

system risk management and vulnerability analyses. 

Includes records such as: 

• System Security Plans

• Disaster Recovery Plans

• Continuity of Operations Plans

• Published computer technical manuals and guides

• Example and references used to produce guidelines 

covering security issues related to specific systems 

and equipment

Temporary. Destroy 1 year 

after system is superseded by 

a new iteration or when no 

longer needed for agency/IT 

administrative purposes to 

ensure a continuity of security 

controls throughout the life of 

the system.

(GRS 3.2, Item 010)
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 14

Records Disposition Schedule 3

Type of Record Disposition

• Records on disaster exercise and resulting evaluations

• Risk surveys

• Service test plans

• Test files and data

2. IT customer service files. Technical and administrative 

help desk operational records. Includes:

• Records of incoming requests (and responses) made 

by phone, email, web portal, etc.

• Trouble tickets and tracking logs

• Quick guides and “Frequently Asked Questions” 

(FAQs)

• Evaluations and feedback about help desk services

• Analysis and reports generated from customer 

management data

• Customer/client feedback and satisfaction surveys, 

including survey instruments, data, background 

materials, and reports

Temporary. Destroy 1 year 

after resolved, or when no 

longer needed for business 

use, whichever is appropriate.

(GRS 5.8, item 010)

3. User identification, profiles, authorizations, and 

password files. Excludes records relating to electronic 

signatures.

a. Systems requiring special accountability for access (e.g., 

those containing information that may be needed for audit 

or investigative purposes and those that contain classified 

records).

Temporary. Destroy 6 years 

after password is altered or 

user account is terminated, 

but longer retention is 

authorized if required for 

business use.

(GRS 3.2, Item 031)

b. Systems not requiring special accountability for access. 

These are user identification records generated according 

to preset requirements, typically system generated. A 

system may, for example, prompt users for new 

passwords every 90 days for all users.

Temporary. Destroy when 

business use ceases. 

(GRS 3.2, Item 030)

4. Computer security incident handling, reporting and 

follow-up records.

Temporary. Destroy 3 years 

after all necessary follow-up 

actions have been completed, 

but longer retention is 

authorized if required for 

business use.

(GRS 3.2, Item 020) 
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 15

Records Disposition Schedule 3

Type of Record Disposition

5. System backups and tape library records.

a. Backup tapes maintained for potential system restoration 

in the event of a system failure or other unintentional loss 

of data.

(1) Incremental backup tapes. Temporary. Destroy when 

superseded by a full backup, 

or when no longer needed for 

system restoration, whichever 

is later.

(GRS 3.2, Item 040) 

(2) Full backup tapes. Temporary. Destroy when 

second subsequent backup is 

verified as successful or when 

no longer needed for system 

restoration, whichever is later.

(GRS 3.2, Item 041) 

b. Tape library records including automated files and manual 

records used to control the location, maintenance, and 

disposition of magnetic media in tape library. Also 

included list of holdings and control logs.

Temporary. Destroy when 

superseded by a full backup, 

or when no longer needed for 

system restoration, whichever 

is later.

(GRS 3.2, Item 040) 

6. Configuration and Change Management Records. 

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 operation 

networks and systems. Includes records such as:

• Data and detailed reports on implementation of 

systems, applications, and modifications

• Application sizing, resource and demand management 

records

• Documents identifying, requesting, analyzing, 

authorizing and documenting the implementation of 

possible changes and actual changes

• Documentation of software distribution (including 

COTS software license management files) and release 

or version management

Temporary. Destroy 5 years 

after system is superseded by 

a new iteration, or is 

terminated, defunded, or no 

longer needed for agency/IT 

administrative purposes, but 

longer retention is authorized 

if required for business use.

(GRS 3.1, Item 030)
Guide to Judiciary Policy, Vol. 10, Appx. 6C Page 16

Records Disposition Schedule 3

Type of Record Disposition

Note: If any maintenance activities have a major impact on 

a system or lead to a significant change, those records 

should be maintained according to this item.

Note: Per NARA practice, documentation for electronic 

records should be transferred with the related records using 

the disposition authority for the related electronic records 

rather than the GRS disposition authority.

Note: Agencies may retain a copy of documentation 

related to permanent electronic records. This copy may be 

destroyed at any time after the transfer request has been 

signed by the National Archives.