GRS as of Transmittal 33 containing only the schedules no

The General Records Schedules

As of Transmittal 33

containing only the schedules

(no crosswalks or FAQs)

National Archives and Records Administration

January 2023

NATlONAL

related documents.

Legal citations: 5 U.S.C. section 4303(d) and 5 CFR Part 293.404

Temporary. Destroy after

employee completes 1 year of

acceptable performance from

the date of written advance

notice of proposed removal or

reduction-in-grade notice.

This disposition instruction is

mandatory; deviations are not

allowed.

DAA-GRS-

2017-0007-

0009

Last updated in Transmittal No. 31 General Records Schedule 2.2

April 2020

Item

Records Description

Disposition Instruction

Disposition

Authority

072

of Presidential

appointees are not

covered by the GRS.

Such records must be

scheduled by

submitting an agency-

specific schedule to

NARA.

Records of senior executive service employees.

Performance records for employees as defined in 5 U.S.C. 3132a(2).

Includes records of performance ratings boards.

Exclusion: Performance records superseded through an administrative,

judicial, or quasi-judicial procedure are covered by item 073 of this

schedule.

Legal citation: 5 CFR Part 293.404

Temporary. Destroy no

sooner than 5 years after date

of appraisal, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0007-

0010

073

Performance records superseded through an administrative, judicial, or

quasi-judicial procedure.

Superseded performance records of both non-senior executive service

employees and senior executive service employees.

Legal citation: 5 CFR Part 293.404

Temporary. Destroy when

superseded. This disposition

instruction is mandatory;

deviations are not allowed.

DAA-GRS-

2017-0007-

0011

080

Supervisors' personnel files.

Records on positions, authorizations, pending actions, position descriptions, training records,

individual development plans, telework agreements, award recommendations, and records on

individual employees not duplicated in or not appropriate for the OPF. These records are sometimes

called supervisors’ working files, unofficial personnel files (UPFs), and employee work folders or

“drop” files.

Exclusion 1: Records that become part of a grievance file, an appeal or discrimination complaint file,

a performance-based reduction-in-grade or removal action, or an adverse action. These records are

covered under GRS 2.3, Employee Relations Records.

Exclusion 2: Employee medical documents, unless part of employee’s initial request for reasonable

accommodation. Following approval, the agency’s reasonable accommodation decision replaces

medical documentation and becomes the record. Reasonable accommodation employee case files

are covered under GRS 2.3, Employee Relations Records.

Temporary. Review annually

and destroy superseded

documents. Destroy

remaining documents 1 year

after employee separation or

transfer.

DAA-GRS-

2017-0007-

0012

Last updated in Transmittal No. 31 General Records Schedule 2.2

April 2020

Item

Records Description

Disposition Instruction

Disposition

Authority

090

Records related to official passports.

The Department of State issues official

passports to people traveling abroad to

carry out official duties on behalf of the U.S.

Government.

Exclusion: Agency and dependent requests

for passports maintained by the

Department of State are covered under an

agency-specific schedule.

Application records.

Records related to administering the application

or renewal of official passports and visas,

including:

• copies of passport and visa applications

• passport and visa requests

• special invitation letters

• visa authorization numbers

• courier receipts

• copies of travel authorizations

Temporary. Destroy when 3

years old or upon employee

separation or transfer,

whichever is sooner; but

longer retention is authorized

if required for business use.

DAA-GRS-

2017-0007-

0013

091

Official passport registers.

Registers and lists of agency personnel who have

official passports.

Temporary. Destroy when

superseded or obsolete.

DAA-GRS-

2017-0007-

0014

092

Official passports of transferred or separated agency

personnel.

Transfer to new agency or

return to the Department of

State upon expiration or upon

separation of the employee.

None; filing

instruction

only.

100

Volunteer service program administrative records.

Records documenting routine administration, internal procedures, and general activities, including:

• general correspondence

•

annual reports on volunteer activities

Temporary. Destroy when 3

years old, but longer retention

is authorized if required for

business use.

DAA-GRS-

2017-0007-

0015

110

Volunteer service case files.

Records documenting service performed without

compensation by people not under a Federal appointment.

Includes both students as defined in 5 U.S.C. 3111 and non-

students. Records include:

• volunteer agreements documenting position title, office

title, duty location, days/hours on duty

• parental approval forms

Case files on volunteers.

Exclusion: Records documenting

service for volunteers (students)

who receive Federal appointments

or for whom service is creditable

for leave or any other employee

benefits. Items 040 and 041 of

this schedule cover these records.

Temporary. Destroy 4 years

after volunteer departs

service, but longer retention is

authorized if required for

business use.

DAA-GRS-

2017-0007-

0016

Last updated in Transmittal No. 31 General Records Schedule 2.2

April 2020

Item

Records Description

Disposition Instruction

Disposition

Authority

111

• performance evaluations

• training information

• certificates of appreciation

• correspondence documenting inclusive dates of service

and total hours or days worked

Case files on individuals whose

applications were rejected or

withdrawn.

Temporary. Destroy when 1

year old.

DAA-GRS-

2017-0007-

0017

120

Skill set records.

Records detailing name, contact, and other information for people with specific skill sets, such as

foreign languages, notaries, and sign language; used to assign work-related duties to employees and

volunteers.

Exclusion: Associated testing records. Those related to non-mission functions are covered by GRS

2.6, Employee Training Records. Those related to agency mission functions must be scheduled by

the agency.

Temporary. Destroy when

business use ceases.

DAA-GRS-

2017-0007-

0018

Last updated in Transmittal No. 33 General Records Schedule 2.3

January 2023

GENERAL RECORDS SCHEDULE 2.3: Employee Relations Records

This schedule covers records documenting activities related to managing relationships between the agency, its employees, and its unions and bargaining units.

Additional copies of these records, when held by supervisors or managers in program offices, are supervisory files covered under GRS 2.2, item 080.

Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition

instructions in this schedule.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Employee relations programs’ administrative records.

Records documenting routine activities related to programs such as reasonable or religious

accommodation, displaced employees, telework/alternative worksite opportunities, anti-harassment,

Alternative Dispute Resolution (ADR), Equal Employment Opportunity (EEO), and other avenues for

settling disputes. Includes:

● program-related correspondence

● copies of statutes, regulations, directives, and instructions

● timetables and guidelines for processing case files and appealing decisions

● planning records

● meeting minutes

● program evaluations and reports to senior management

● statistical records tracking program participation and participants

● records tracking programs’ compliance with relevant Executive Orders and other requirements

● records arranging for outside mediator and facilitator involvement in case settlements

Exclusions:

1. Records specific to individual cases (covered by items 020 to 111 in this schedule).

2. Reports to external oversight agencies (covered by GRS 5.7, item 050).

3. Records created by offices responsible for monitoring employee relations programs government-

wide (must be scheduled individually by responsible offices).

Temporary. Destroy

when 3 years old, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2022-0001-

0001

020

Reasonable or religious accommodation case files.

Individual employee files created, received, and maintained by EEO reasonable accommodation,

diversity/disability programs, employee relations coordinators, supervisors, administrators, or Human

Resource specialists containing records of requests for religious accommodation, reasonable

Temporary. Destroy 3

years after employee

separation from the

agency or all appeals are

DAA-GRS-

2022-0001-

0002

Last updated in Transmittal No. 33 General Records Schedule 2.3

January 2023

Item

Records Description

Disposition Instruction

Disposition

Authority

accommodation and/or assistive technology devices and services that have been requested for or by

an employee. Includes:

● request, approvals and denials

● notice of procedures for informal dispute resolution or appeal processes

● forms, correspondence, records of oral conversations

● policy guidance documents

● medical records

● supporting notes and documentation

concluded, whichever is

later, but longer retention

is authorized if required

for business use.

030

Dislocated worker program case files.

Includes applications, registrations, supporting documentation.

Temporary. Destroy 1

year after employee

eligibility for program

expires, but longer

retention is authorized if

required for business use.

DAA-GRS-

2018-0002-

0003

040

Telework/alternate worksite program case files.

Includes:

• agency/employee agreements

• records such as questionnaires relating to the safety of the worksite

• records documenting worksite safety and equipment; hardware, and software installation and use;

and offsite use of secure, classified information or data subject to the Privacy Act or agencies’

Personally Identifiable Information policies

Temporary. Destroy

when superseded or

obsolete or 1 year after

end of employee’s

participation in program,

whichever is sooner, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2018-0002-

0004

050

Harassment complaint case files.

Records of complaints regarding unwelcome workplace conduct, filed in accordance with agency

policies and procedures. Includes:

• complaint, correspondence, notes, forms, and supporting material

• records of investigation, statements of witnesses

• determination as to whether harassment occurred

• documentation of preventive or corrective measures

Temporary. Destroy 7

years after close of case,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2018-0002-

0005

Last updated in Transmittal No. 33 General Records Schedule 2.3

January 2023

Item

Records Description

Disposition Instruction

Disposition

Authority

Note: If a harassment complaint is settled via the EEO, ADR, or grievance process, its records are

scheduled under the item specific to that process.

060

Administrative grievance, disciplinary, performance-based, and adverse action case files.

• Records of grievances filed by covered entities (for instance, employees who are not members of a

bargaining unit). Includes:

o statement of grievance, supporting documentation, and evidence

o statements of witnesses, records of interviews and hearings

o examiner’s findings, recommendations, decisions

• Records of disciplinary and performance-based actions against employees. Includes:

o performance appraisal, performance improvement plan, and supporting documents

o recommended action, employee’s reply

o records of hearings and decisions

o records of appeals

• Records of adverse actions (suspension, removal, reduction in grade, reduction in pay, or furlough)

against employees. Includes:

o proposed adverse action, employee's reply

o statements of witnesses

o records of hearings and decisions

o letters of reprimand

o records of appeals

Note 1: Letter of reprimand filed in an employee’s Official Personnel File is scheduled by GRS 2.2,

item 041.

Note 2: Per OPM, each agency must select one fixed retention period, between 4 and 7 years, for all

administrative grievance, adverse action, and performance-based action case files. Agencies may not

use different retention periods for individual cases.

Temporary. Destroy no

sooner than 4 years but

no later than 7 years (see

Note 2) after case is

closed or final settlement

on appeal, as appropriate.

DAA-GRS-

2018-0002-

0006

070

Alternative Dispute Resolution (ADR) case files.

Includes:

• agreements to use ADR

• records of intake and process

Informal process.

Records not associated with

another employee dispute,

complaint or grievance process.

Temporary. Destroy 3

years after case is closed,

but longer disposition is

authorized if required for

business use.

DAA-GRS-

2018-0002-

0007

Last updated in Transmittal No. 33 General Records Schedule 2.3

January 2023

Item

Records Description

Disposition Instruction

Disposition

Authority

071

• records of settlement or discontinuance of case

• parties’ written evaluations of the process

Formal process.

Records generated in response

to a referral from another

dispute, grievance or complaint

process, such as EEO complaints

or grievances.

Temporary. Destroy 7

years after case is closed,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2018-0002-

0008

080

Merit Systems Protection Board (MSPB) case files.

Civil Service Reform Act appeal case files involving actions appealable to MSPB per 5 CFR 1201.3. May

include:

• petitions for appeal, agencies’ responses to petitions

• hearing notices, transcripts, testimony, briefs, and exhibits

• MSPB initial decisions

• petitions for review, responses of opposing party to petition

• orders granting or denying intervention

• MSPB final opinions, orders, and decisions

Exclusion: Corresponding case files at MSPB (must be scheduled by MSPB).

Temporary. Destroy 3

years after final resolution

of case, but longer

retention is authorized if

required for business use.

DAA-GRS-

2018-0002-

0009

090

Labor arbitration (negotiated grievance procedure) case records.

Records of workplace disputes processed under negotiated grievance procedures and settled by

either agreement or binding arbitration.

Temporary. Destroy 3

years after close of case,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2018-0002-

0010

100

Federal Labor Relations Authority (FLRA) case files.

Records of cases filed under provisions of the Federal Labor Relations Act concerning representation,

unfair labor practices, negotiability, and review of arbitration awards. May include:

• records of representation proceedings

o petitions, notice of petitions, cross-petitions, motions

o records documenting adequate showing of interest

o challenges to the status of a labor organization

o records of meetings, hearings, and prehearing conferences

o statements of witnesses

o dismissals of petitions

Temporary. Destroy 3

years after final resolution

of case, but longer

retention is authorized if

required for business use.

DAA-GRS-

2018-0002-

0011

Last updated in Transmittal No. 33 General Records Schedule 2.3

January 2023

Item

Records Description

Disposition Instruction

Disposition

Authority

o decisions, orders

• records of unfair labor practices proceedings

o charges/allegations of unfair labor practices, amendments, and supporting evidence

o records of charges/allegations investigation, including subpoenas

o complaints by FLRA Regional Director

o motions, responses, stipulations

o records of hearings

o records of decisions and settlements

• records of negotiability proceedings

o petitions for review

o records of post-petition conferences

o agencies’ statements of position, unions’ responses, and agencies’ counter-responses

o records of post-petition conferences

o decisions, orders

• records of review of arbitration awards

o exceptions to arbitrators’ award rendered pursuant to arbitrations

o oppositions to exceptions

o determination of grounds for review

o decisions, orders

Exclusion: Corresponding case files at FLRA (must be scheduled by FLRA).

110

EEO discrimination

complaint case files.

Includes:

• intake sheet

• summary report

• notes

• supporting

documentation

• correspondence

Informal process.

Records of cases that do not result in an EEO complaint, and cases resulting

in a complaint but resolved prior to the formal process stage.

Temporary. Destroy 3

years after resolution of

case, but longer retention

is authorized if required

for business use.

DAA-GRS-

2018-0002-

0012

111

Formal process.

Records at originating agency generated in response to formal complaints

resolved within the agency, by the Equal Employment Opportunity

Commission, or by a U.S. Court. Includes records gathered in the preliminary

informal process, complaints, exhibits, withdrawal notices, copies of

decisions, and records of hearings and meetings.

Temporary. Destroy 7

years after resolution of

case, but longer retention

is authorized if required

for business use.

DAA-GRS-

2018-0002-

0013

Last updated in Transmittal No. 33 General Records Schedule 2.3

January 2023

Item

Records Description

Disposition Instruction

Disposition

Authority

Exclusion: Corresponding case files at EEOC (must be scheduled by EEOC).

120

Records documenting contractor compliance with EEO regulations.

Reviews, background documents, and correspondence relating to contractor employment practices.

Temporary. Destroy

when 7 years old, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2018-0002-

0014

130

Labor management relations agreement negotiation records.

Records relating to negotiations with labor unions. Includes:

• negotiation agreements

• requests to bargain

• bargaining session records/notes

• correspondence, memoranda, forms

• reports

• other records relating to the negotiated agreements and general relationship between

management, employee unions and other groups

Temporary. Destroy 5

years after expiration of

agreement or final

resolution of case, as

appropriate, but longer

retention is authorized if

required for business use.

DAA-GRS-

2018-0002-

0015

Last updated in Transmittal No. 32 General Records Schedule 2.4

March 2022

GENERAL RECORDS SCHEDULE 2.4: Employee Compensation and Benefits Records

This schedule covers records Federal agencies create while conducting agency payroll functions (items 010-061) and while managing specific programs that offer

employees monetary or other tangible benefits (items 070 to 141). See GRS 2.3 (Employee Relations Records) and GRS 2.7 (Employee Health and Safety

Records) for other programs that provide intangible benefits, protections, or assistance to employees.

Most payroll is processed electronically. Agencies create payroll system input records both electronically and on paper (brought into the system by scanning).

This schedule covers only versions the agency determines to be official payroll system records. GRS 5.2, item 020 (Intermediary records) covers paper

documents for which the agency designates their equivalent electronic versions to be the record copies.

This schedule does not cover Office of Personnel Management files that reflect its own or other agencies’ personnel needs and problems. Agencies must offer

records they created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition instructions in this schedule.

Item

Records Description

Disposition Instruction

Disposition

Authority

Payroll

010

Records used to calculate payroll, arrange paycheck deposit, and change previously issued paychecks.

Includes:

• additions to paychecks

o child care subsidies

o Internal Revenue Service form W-9 (Request for Taxpayer Identification Number)

o other additions

• deductions from paychecks

o insurance

o retirement accounts (e.g. Thrift Savings Plan, my Retirement Account, etc.)

o flexible spending accounts, such as medical savings and dependent care assistance

o union dues

o Combined Federal Campaign

o garnishments (IRS form 668A—Notice of Levy—and similar records)

o Treasury bond purchases

o other deductions

• authorizations for deposits into bank accounts

• changes or corrections to previous transactions either at paying agency or payroll processor

• Fair Labor Standards Act exemption worksheets

Temporary. Destroy 3 years

after paying agency or payroll

processor validates data, but

longer retention is authorized

if required for business use.

DAA-GRS-

2019-0004-

0001

Last updated in Transmittal No. 32 General Records Schedule 2.4

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

020

Tax withholding and adjustment documents.

Employee withholding allowance certificates such as Internal Revenue Service (IRS) W-4 series

forms and state equivalents, and records of fringe benefits and expense reimbursements provided

to employees.

Legal citation: IRS Publication 15 (2015), (Circular E), Employer's Tax Guide, section on

Recordkeeping.

Temporary. Destroy 4 years

after superseded or obsolete,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0015-

0002

030

Time and attendance records.

Sign-in/sign-out records, time cards, leave applications and approvals of all types (annual, sick,

family medical, military service, jury duty, leave donations, etc.); overtime, compensatory, and

credit time requests and approvals; premium pay authorizations; and other records documenting

employees’ presence at or absence from work.

Legal citation: 29 CFR 516.5a

Temporary. Destroy when 3

years old, but longer retention

is authorized if required for

business use.

DAA-GRS-

2019-0004-

0002

035

Phased-retirement employees’ overtime documentation.

Records documenting ordering or permitting phased-retirement employees to work overtime.

Legal citation: 5 CFR 831.1715, section 4

Temporary. Destroy when 6

years old, but longer retention

is authorized if required for

business use.

DAA-GRS-

2018-0001-

0001

040

Agency payroll record for each pay period.

Aggregate records documenting payroll disbursed in each pay period: base pay, additions to and

deductions from pay, and leave balances of all civilian employees within an agency or employing

entity.

Legal citation: 5 U.S.C. 8466

Temporary. Destroy when 56

years old.

DAA-GRS-

2016-0015-

0004

050

Wage and tax statements.

Agency copies of IRS form W-2 (Wage and Tax Statement, IRS form W-3 (Transmittal of Wage and

Tax Statements), IRS forms in the 1099 series, and state equivalents.

Legal citations:

Form W-3, Purpose of Form section states, “The IRS recommends retaining copies of these forms for

four years.” Agencies attach their copies of form W-2 to form W-3.

Temporary. Destroy when 4

years old, but longer retention

is authorized if required for

business use.

DAA-GRS-

2016-0015-

0005

Last updated in Transmittal No. 32 General Records Schedule 2.4

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

IRS Publication 15 (2014), (Circular E), Employer's Tax Guide, section on Recordkeeping (copies of

returns filed and confirmation numbers).

060

Payroll program

administrative records.

Records produced in

administering and

operating payroll

functions of a

general nature and

not linked to an

individual

employee’s pay.

Administrative correspondence between agency and payroll processor,

and system reports used for agency workload and or personnel

management purposes.

Temporary. Destroy when 2

years old, but longer retention

is authorized if required for

business use.

DAA-GRS-

2016-0015-

0006

061

Payroll system reports providing fiscal information on agency payroll.

Temporary. Destroy when 3

years old or after GAO audit,

whichever comes sooner, but

longer retention is authorized

if required for business use.

DAA-GRS-

2016-0015-

0007

Compensation and Benefits Administrative Program Records

070

Donated leave program administrative records.

Records related to managing the program, including:

• records of leave bank management

• records of leave bank governing board award decisions

• publicity and program announcements

• statistical and narrative reports

• similar records not linked to individual employee participation

Temporary. Destroy when 3

years old, but longer retention

is authorized if required for

business use.

DAA-GRS-

2016-0015-

0008

071

Donated leave program individual case files.

Records documenting leave donation and receipt, including recipient applications; agency approvals

or denials; medical or physician certifications; and records of leave donations, supervisor approvals,

leave transfers, payroll notifications, and terminations from the program.

Temporary. Destroy 1 year

after the employee receiving

leave is no longer

participating in the program,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0015-

0009

080

Wage survey files.

Records created while conducting periodic surveys of wages paid to non-Government workers in a

specified wage area to support and modify the Federal Wage System. Includes survey data,

background documents, correspondence and reports on area wages paid for each employee class;

Temporary. Destroy after

completing second succeeding

survey in the specific wage

area (i.e., retain records of the

DAA-GRS-

2016-0015-

0010

Last updated in Transmittal No. 32 General Records Schedule 2.4

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

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).

two most recently completed

surveys), but longer retention

is authorized if required for

business use.

090

Incentive package records.

Records of recruitment, relocation, and retention incentives; federal student loan repayment; and

supervisory differentials offered under the Federal Employees Pay Comparability Act.

Temporary. Destroy 3 years

after date of approval,

completion of service

agreement, or termination of

incentive or differential

payment, whichever is later,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0015-

0011

100

Workers’ Compensation (personnel injury compensation) records.

Federal Employees’ Compensation Act case files on injuries federal

employees sustain, while performing their duties that result in lost

time or death, whether or not the employee filed a workers’

compensation claim. Includes:

• forms, reports, correspondence, claims

• medical and investigatory records

• administrative determinations or court rulings

• payment records

Exclusion 1: Copies filed in the Employee Medical Folder.

Exclusion 2: Records created and maintained by the Department of

Labor’s Office of Workers’ Compensation.

Records of agencies that

forward case file material to

DOL for retention in DOL’s

master OWCP records.

Temporary. Destroy 3 years

after compensation ceases or

when deadline for filing a

claim has passed.

DAA-GRS-

2016-0015-

0012

101

Records of agencies that do

not forward case file

material to DOL for retention

in DOL’s master OWCP

records.

Temporary. Destroy 15 years

after compensation ceases or

when deadline for filing a

claim has passed.

DAA-GRS-

2016-0015-

0013

110

Requests for health benefits

under spouse equity.

Applications and related

papers. If applications are

denied, may include denial

Successful applications, including those denied and successfully

appealed.

Transfer to appropriate

retirement system after

enrollment is cancelled or

terminated, or annuity

payment begins.

Last updated in Transmittal No. 32 General Records Schedule 2.4

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

111

letters, appeal letters, and

court orders.

Denied applications.

Temporary. Destroy 1 year

after original denial, denial of

appeal, or final court order,

whichever is appropriate.

DAA-GRS-

2016-0015-

0014

120

Child care subsidy program administrative records.

Records related to managing the program, including:

• determining amount of subsidy available to employees

• verifying child care centers’ accreditation

• tracking funds disbursed to individual child care centers

• publicity and program announcements

• statistical and narrative reports

• similar records not linked to individual employee participation

Temporary. Destroy when 3

years old, but longer retention

is authorized if required for

business use.

DAA-GRS-

2016-0015-

0015

121

Child care subsidy program individual case files.

Case files of individual employee participation in child care subsidy programs, such as:

• enrollment documentation

• applications and supporting documents

• eligibility verification (employment, proof of income)

• records of other subsidies the employee received

• agreements between agencies and employees

• notice of approval or denial of participation in program

•

child care provider information

Temporary. Destroy 2 years

after employee participation

concludes, but longer

retention is authorized if

required for business use.

DAA-GRS-

2016-0015-

0016

130

Transportation subsidy program administrative records.

Records related to managing the program, including:

• determining subsidy amount available to employees

• publicity and program announcements

• records of program-wide benefit delivery and receipt

• statistical and narrative reports

•

similar records not linked to individual employee participation

Temporary. Destroy when 3

years old, but longer retention

is authorized if required for

business use.

DAA-GRS-

2016-0015-

0017

131

Transportation subsidy program individual case files.

Case files of individual employee participation in transportation subsidy programs, such as:

• applications and supporting documents

Temporary. Destroy 2 years

after employee participation

concludes, but longer

DAA-GRS-

2016-0015-

0018

Last updated in Transmittal No. 32 General Records Schedule 2.4

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

• eligibility verification

• notice of approval or denial of participation in program

• participant training documentation

• periodic estimates of transit expenses

• record of individual benefit delivery and receipt

• de-enrollment documents

•

settlement of outstanding debts by employee or Government when employee leaves program

retention is authorized if

required for business use.

140

Family Medical Leave Act program administrative records.

Records related to managing the program, including copies of policies and guidance describing

employee benefits and employee use of paid and unpaid leave under the FMLA, statistics, reports,

and other records not linked to individual employee participation.

Legal citation: 29 CFR 825.500

Temporary. Destroy 3 years

after superseded or obsolete,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0015-

0019

141

Family Medical Leave Act program individual case files.

Includes:

• employee eligibility to participate in program

• eligibility notice given to employee

• notice of employee rights and responsibilities, questions from employees about those rights and

responsibilities, and responses to them

• medical certifications

• employee identification data

• records of pay basis, compensation terms, normal hours per pay period, additions to or

deductions from wages, total compensation normally paid

• leave request, approval/non-approval

• leave records

• records of premium payments of employee benefits

• records of disputes between employers and eligible employees regarding designation of leave as

FMLA leave

• periodic reports of employee status and intent to return to work

Legal citation: 29 CFR 825.500

Temporary. Destroy 3 years

after conclusion of leave being

taken, but longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0015-

0020

Last updated in Transmittal No. 31 General Records Schedule 2.5

April 2020

GENERAL RECORDS SCHEDULE 2.5: Employee Separation Records

This schedule covers records created in the process of employees leaving Federal service whether that service status is career, temporary, or political

appointment. These records divide into two categories: records of managing an employee separation program in general, and case files specific to individual

separations. Bullet lists describe records that may be contained in these files. They do not mean to convey that all of these records must be contained in every

file. In particular, records pertinent to individual separating employees will vary depending on the type of service (career, temporary, or political appointment)

and an employee’s responsibilities.

Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition

instructions in this schedule.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Separation program management records.

Records documenting the general work process to release

career, temporary, and political-appointment employees from

employment status. Includes:

• registers of separation or transfers such as SF-2807, SF-

3103, or similar records

• retention registers and related records

• reports, correspondence, and control documents

• exit interview compilations identifying and tracking trends

Records not specific to an agency

separation initiative.

Temporary. Destroy

when no longer

required for business

use.

DAA-GRS-

2014-0004-

0001

011

Records specific to an agency separation

initiative such as reduction-in-force,

voluntary early retirement, voluntary

separation, and similar programs.

Temporary. Destroy 2

years after date of

program closure, but

longer retention is

authorized if required

for business use.

DAA-GRS-

2014-0004-

0002

020

Individual employee separation case files.

Records not included in separating employee’s Official Personnel Folder (OPF), documenting individual

employees’ transfer to another Federal agency or office or voluntary, involuntary, disability, early

retirement, retirement, or death separation from career, temporary, and political appointment service;

and legal and financial obligations of government to employee and employee to government. Includes:

• records of counseling activities and outplacement services

• exit interview records

• exit clearances

• checklists of returned property

Temporary. Destroy 1

year after date of

separation or transfer,

but longer retention is

authorized if required

for business use.

DAA-GRS-

2014-0004-

0003

Last updated in Transmittal No. 31 General Records Schedule 2.5

April 2020

Item

Records Description

Disposition Instruction

Disposition

Authority

• certifications of removal/non-removal of government records

• records documenting notification of appropriate third parties (e.g., benefits providers, payroll, facility

services, security, information technology) of impending separation

• records documenting terms and entitlements of separation (e.g., leave balance pay out or transfer of

account, severance, pension, temporary continuation of coverage, annuity estimates, assistance)

• records documenting employee financial obligations to government (e.g., salary offset notices in effect

at time of separation; student loan repayment; recruitment, retention, and relocation incentives;

determinations of settlement)

• copy of leave record (see “Record of employee leave,” item 040 of this schedule, for record copy)

retained for agency use

• Exclusion: Records required to be filed in employee’s OPF are excluded from this item.

030

Records documenting capture of institutional and specialized knowledge.

Includes status updates on current and pending assignments, contact information for sources, and other

job-related information an office may choose to obtain from a departing employee.

Exclusion: Formal oral histories recorded with an employee before his/her departure are not covered by

this item. These must be scheduled separately by the agency.

Temporary. Destroy

when no longer

required for business

use.

DAA-GRS-

2014-0004-

0004

040

Individual employee separation records required to be placed in separating employee’s OPF.

As identified in the Office of Personnel Management (OPM) Guide to Personnel Recordkeeping, includes

but is not limited to:

• resignation letter

• reason for separation (such as reduction in force)

• documentation of retirement-option elections and coverage

• documentation of indebtedness

• documentation of payment or repayment to, or refund from FERS or CSRS

• record of employee leave prepared upon transfer or separation

• records of most recent performance ratings

•

designation of beneficiary

File on left side (short-

term) or right side (long-

term) of the Official

Personnel Folder (OPF),

as appropriate.

Last updated in Transmittal No. 31 General Records Schedule 2.5

April 2020

Item

Records Description

Disposition Instruction

Disposition

Authority

050

Phased retirement administrative records.

Records related to managing the program, including:

• procedural guidance on program administration

• informational/marketing/publicizing materials

• general correspondence

• reports to OPM

• memoranda of understanding (MOU) and significant documentation of bargaining unit negotiations

• documentation of program structure and details as uniquely instituted by agency

Exclusion: This item does not cover records held at the OPM office overseeing the phased retirement

program for the entire Government.

Temporary. Destroy

when 3 years old or 3

years after revision or

replacement, as

appropriate, but longer

retention is authorized

if required for business

use.

DAA-GRS-

2016-0007-

0001

051

Phased retirement individual case files.

Case files of individual employee participation in phased retirement, such as:

• application for immediate retirement

• evidence of eligibility

• reviews/recommendations by supervisor and others

• notice of approval or disapproval

• retirement benefit estimates

• annuity calculations

• phased retirement agreement

• records documenting knowledge transfer activities

• confidentiality agreement with mentees

• action/project plans and logs

• correspondence

Note: Agencies may choose to file these records with the employee’s retirement file, in which case the

agency s

hould retain them according to the retention period for the retirement file, per GRS 2.5, item 020.

Exclusion: This item does not cover records held at OPM concerning staff at other agencies.

Temporary. Destroy 1

year after employee

participation concludes

or the employee retires,

but longer retention is

authorized if required

for business use.

DAA-GRS-

2016-0007-

0002

Last updated in Transmittal No. 31 General Records Schedule 2.6

April 2020

GENERAL RECORDS SCHEDULE 2.6: Employee Training Records

This schedule covers records about designing, developing, and implementing employee t

raining within Federal agencies that is not mission-related. Typically,

such training is routin

e or mandatory and covers general knowledge and actions all agencies expect of employees, such as training on information security, anti-

harassment, ethics, EEO compliance, drug-free workplace, records management, and travel card use. In other

words, training on administrative activities. It

does not include specialized training for firearms, health and safety, national defense, political appointees, or mission-specific training, which may document an

agency’s program objectives or illustrate program operations. This schedule includes documen

tation of employee training provided from any source (internally

or externally via private vendors or other agencies) and applies to all groups of Federal workers, civilian, military, and contractor

Agencies m

ust offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition

instructions in this schedule.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Non-mission employee training program records.

Exclusion: This item does not cover ethics-related training. Ethics training is scheduled by item 020.

Records about planning, assessing, managing, and evaluating an agency’s training program:

• plans, reports and program evaluations

• organizational and occupational needs assessments

• employee skills assessments

• employee training statistics

• notices about training opportunities, schedules, or courses

• mandatory training tracking and reporting files

• logistics and coordination documents

• Authorization, Agreement and Certification of Training (SF-182) and similar records

• registration forms, employee attendance records

• syllabi, presentations, instructor guides, handbooks, and lesson plans

• reference and working files on course content

• other course materials, such as presentations and videos

• student, class, or instructor evaluations

Note: Financial records related to purchase of training or travel for training are scheduled under GRS

1.1, item 010.

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.

DAA-GRS-2016-

0014-0001

020

Ethics training records.

Records include but are not limited to:

Temporary. Destroy

when 6 years old or

DAA-GRS-2016-

0014-0002

Last updated in Transmittal No. 31 General Records Schedule 2.6

April 2020

• administration of new employee ethics orientations. annual, and other types of ethics training

• agency’s annual written plans

• notices about training requirements and course offerings

• rosters of employees required to attend and verification of training completed

•

instructor guides, handbooks, handouts and other materials

when superseded,

whichever is later, but

longer retention is

authorized if required

for business use.

030

Individual employee training records.

Records documenting training required by all or most Federal agencies, such as information system

security and anti-harassment training, and training to develop job skills. Records may include:

• completion certificates or verification documents for mandatory training required of all Federal

employees or specific groups of employees (e.g., supervisors, contractors)

• Individual Development Plans (IDPs)

• mentoring or coaching agreements

Exclusion: Academic transcripts, professional licenses, civil service exams, or documentation of

mission-related training are not covered by this item.

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.

DAA-GRS-2016-

0014-0003

040

Senior Executive Service Candidate Development Program (SESCDP).

SESCDP is an OPM-approved training program designed to develop

employees with strong executive potential to qualify them for and

authorize their initial career appointment in the Senior Executive

Service.

Program records.

Records documenting

program scope, policies,

planning, budget, and

curriculum planning.

Temporary. Destroy

when no longer needed

for business use.

DAA-GRS-2016-

0014-0004

041

Case records on SESCDP

participants.

Records documenting

training, developmental

assignments, mentor

agreements and

evaluations, and SES

Development Plans.

Temporary. Destroy

upon certification by

OPM’s Qualifications

Review Board (QRB) or

1 year after separation

from SESCDP, but longer

retention is authorized

if required for business

use.

DAA-GRS-2016-

0014-0005

Last updated in Transmittal No. 32 General Records Schedule 2.7

March 2022

GENERAL RECORDS SCHEDULE 2.7: Employee Health and Safety Records

This schedule covers records about employee health and safety functions within federal agencies.

Conditions and Exclusions

The following conditions and exclusions apply to all disposition authorities in this schedule.

1. Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying

disposition instructions in this schedule.

2. This schedule does not apply to mission-related federal research, monitoring, standard-setting and enforcement activities to ensure environmental

protection, occupational safety, and public health. Such records are covered by agency-specific schedules.

3. The terms “non-occupational” and “patient” are used in this schedule to refer to nonwork-required health services and to health conditions not

causally connected to the employee’s work or workplace. The terms “workplace” and “safety” refer to occupational records.

Item

Records Description

Disposition

Instruction

Disposition

Authority

010

Clinic scheduling records.

Scheduling records of clinic visits, both occupational and non-occupational. Includes:

● patient's name, time of appointment, and type of work to be performed

● details for pending, confirmed, and upcoming appointments, including date, time, clinic, care team and

reason for visit

● notifications about appointment updates

● patient visit and other scheduling-related statistics

Temporary. Destroy

when 3 years old,

but longer retention

is authorized if

needed for business

use.

DAA-GRS-

2017-0010-

0001

Occupational Health Records

020

Occupational injury and illness program records.

Records documenting the planning, management, reporting, and routine operations undertaken by

occupational health and safety organizations. Includes:

● miscellaneous reports, annual summaries or reports to the Secretary of Labor

● correspondence with internal agency offices and Occupational Safety and Health Administration (OSHA)

● OSHA 300 Log

● OSHA 301 Incident Report

● OSHA 300A Summary or equivalent

Exclusion: Workers’ Compensation (personnel injury compensation) records are covered under items 100

and 101 of GRS 2.4, Employee Compensation and Benefits Records.

Temporary. Destroy

when 6 years old,

but longer retention

is authorized if

needed for business

use.

DAA-GRS-

2017-0010-

0002

Last updated in Transmittal No. 32 General Records Schedule 2.7

March 2022

Item

Records Description

Disposition

Instruction

Disposition

Authority

Legal Citations: 29 CFR Part 1904.33 and 29 CFR Part 1960.69.

030

Occupational health and safety training records.

Records of health and safety-related training on topics such as cardiopulmonary resuscitation (CPR),

automatic external defibrillators (AED), personal protective equipment (PPE) use, safe sampling techniques,

personal decontamination procedures, and emergency response procedures.

Exclusion 1: Records appropriate for long-term retention in an Official Personnel Folder, such as academic

transcripts and professional licenses. GRS 2.2, Employee Management Records, item 040 covers these.

Exclusion 2: Training records related to job-specific activities or that may impact individual occupational

health. Items 060 and 061 of this schedule cover these.

Legal Citation: 29 CFR Part 1910.120 App E(9)

Temporary. Destroy

5 years after training

participation or

when superseded,

whichever is

applicable, but

longer retention is

authorized if

required for

business use.

DAA-GRS-

2017-0010-

0003

040

Workplace environmental

monitoring and exposure

records.

Results or measurements of

monitoring workplace air,

toxic substances, or harmful

physical agents, including

personal, area, grab, wipe, or

other methods of sampling

results.

Note 1: Biological monitoring

results, such as blood and

urine analysis results,

designated as exposure

records by specific

OSHA-regulated substance monitoring and exposure records.

Area/general occupational exposure records and select carcinogen

exposure records from hazardous chemical use in laboratories. Includes

the Chemical Hygiene Plan.

Exclusion: Employee-specific occupational exposure records appropriate

for individual occupational medical case files are covered by item 060.

Legal Citations: 29 CFR Part 1910.1020(d)(1)(ii) and 29 CFR Part

1910.1020(d)(1)(iii)

Temporary. Destroy

no sooner than 30

years after

monitoring is

conducted, but

longer retention is

authorized if needed

for business use.

DAA-GRS-

2017-0010-

0004

041

Occupational noise monitoring and exposure records.

Exclusion: Employee-specific occupational exposure records appropriate

for individual occupational medical case files are covered by item 060.

Legal Citation: 29 CFR Part 1910.95(m)(3)(i)

Temporary. Destroy

no sooner than 2

years after

monitoring is

conducted, but

longer retention is

DAA-GRS-

2017-0010-

0005

Last updated in Transmittal No. 32 General Records Schedule 2.7

March 2022

Item

Records Description

Disposition

Instruction

Disposition

Authority

Occupational Safety and

Health Administration (OSHA)

standards are maintained as

required by the specific

standard governing their use.

For more information, refer to

29 CFR 1910.1020(c)(5) –

Employee exposure records

and 29 CFR

1910.1020(c)(5)(ii).

Note 2: These items are

intended for agencies subject

to Executive Order 12196,

Occupational Safety and

Health Programs for Federal

Employees. Entities excluded

from these requirements may

use these items or agency-

specific schedules.

authorized if needed

for business use.

042

Lead (Pb), Coke Oven emissions, Dibromochloropropane (DBCP),

Acrylonitrile, and Inorganic Arsenic monitoring and exposure records.

Exclusion: Employee-specific occupational exposure records appropriate

for individual occupational medical case files are covered by item 060.

Legal Citation: 29 CFR Part 1910.1045 App A(vi)(C)

Temporary. Destroy

no sooner than 40

years after monitor-

ing is conducted, but

longer retention is

authorized if needed

for business use.

DAA-GRS-

2017-0010-

0006

043

Background data.

Records, such as consensus standards or other regulatory/non-

regulatory documents, associated with related data.

Note: Use of this item requires that the agency retains the sampling

results, the collection methodology (sampling plan), a description of the

analytical and mathematical methods used, and a summary of other

background data relevant to interpretation of the results obtained, for at

least thirty (30) years.

Legal Citation: 29 CFR Part 1910.1020(d)(1)(ii)(A)

Temporary. Destroy

no sooner than 1

year after

monitoring is

conducted, but

longer retention is

authorized if needed

for business use.

DAA-GRS-

2017-0010-

0007

050

Safety Data Sheets (SDS).

Includes other specified records concerning the identity of a substance or agent. These records were formerly

called Material Safety Data Sheets (MSDS).

Exclusion: Copies placed in individual occupational medical case files to document substances or agents to

which employees are exposed are covered under item 060 of this schedule.

Note: Based on OSHA requirements in 29 CFR 1910.1020 under paragraph (d)(1)(ii)(B), employers may

discard safety data sheets if “some record of the identity (chemical name if known) of the substance or agent,

where it was used, and when it was used is retained for at least thirty (30) years.” Then, an employer may

Temporary. Destroy

when business use

ceases.

DAA-GRS-

2017-0010-

0008

Last updated in Transmittal No. 32 General Records Schedule 2.7

March 2022

Item

Records Description

Disposition

Instruction

Disposition

Authority

discard the original data sheet and retain only the new data sheet if a record on the original formulation is

maintained.

Legal citation: 29 CFR Part 1910.1020(d)(1)(ii)(B)

060

Occupational individual medical case files.

These records are also referred to as

Employee Medical Folders (EMFs),

Occupational Safety and Health

Administration (OSHA) medical records,

and medical surveillance records. Includes:

• personal and occupational health

histories

• opinions and written evaluations

generated in the course of diagnosis and

employment-related treatment/

examination by medical health care

professionals and technicians

• employee-specific occupational

exposure records, which include

employee-specific occupational records

(exposures include, but are not limited

to, gases, liquids, vapors, mists, dust

particles and noise)

• employee audiometric testing records

Note: For those entities subject to OPM's

requirements, OPM determines which of

these records are long-term and which are

short-term records. For guidance on which

records qualify for this category, follow

OPM guidance. Other entities should

follow agency policy.

Long-term records.

Exclusion: Individual non-occupational medical records are

covered by item 070.

Note 1: While non-occupational/patient records pertaining

to an employee are not required to be included as a record

within the individual occupational medical case files, under

certain conditions, copies of such records are

occupationally-related and, in those cases, may be included

in the individual occupational medical case files. (5 CFR

293.504)

Note 2: For transferred employees subject to OPM’s

requirements, see 5 CFR Part 293, Subpart E, Employee

Medical File System Records, for implementing instructions.

Note 3: For separated employees subject to OPM’s

requirements, see 5 CFR Part 293, Subpart E, Employee

Medical File System Records, for implementing instructions.

Legal Citations: 5 CFR Part 293.511(b), 29 CFR

1910.1020(d)(1)(i), and 29 CFR Part 1910.95(m)(3)(ii).

Temporary. Destroy

30 years after

employee

separation or when

the Official

Personnel Folder

(OPF) is destroyed,

whichever is longer.

DAA-GRS-

2017-0010-

0009

061

Short-term records.

Temporary. Destroy

1 year after

employee

separation or

transfer.

DAA-GRS-

2017-0010-

0010

Last updated in Transmittal No. 32 General Records Schedule 2.7

March 2022

Item

Records Description

Disposition

Instruction

Disposition

Authority

062

Exclusion: Records of claims filed under the

Federal Employees Compensation Act

(FECA) are covered under GRS 2.4, items

100 and 101.

Individual employee health case files created prior to

establishment of the Employee Medical File system in 1986.

Temporary. Destroy

60 years after

retirement to the

NARA records

storage facility.

DAA-GRS-

2017-0010-

0011

Workplace Health Assessments

063

Vaccination attestations and proof of

vaccination records.

Records attesting to an individuals’ current

vaccination status and providing proof or

certification of vaccination.

Federal employees and contractors.

Applies only to records related to federal employees and

contractors of the agency collecting the records.

Note: If agencies file these records in occupational health files,

use the disposition authority for occupational health files

instead.

Temporary. Destroy

when 3 years old.

DAA-GRS-

2021-0003-

0001

064

Visitors.

Includes federal employees and contractors visiting from other

agencies.

Temporary. Destroy

when 30 days old.

DAA-GRS-

2021-0003-

0002

065

Symptom screening and testing records.

Records related to screening and testing

intended to detect a possible communicable

or infectious disease, if collected. Includes:

● symptom check/screening data

● testing records/results

Federal Employees.

Applies only to records related to federal employees of the

agency collecting the records.

Temporary. Destroy

when 1 year old.

DAA-GRS-

2021-0003-

0003

066

Contractors and visitors.

Includes federal employees that are visiting from another

agency.

Temporary. Destroy

when 30 days old.

DAA-GRS-

2021-0003-

0004

Non-Occupational Health Records

070

Non-occupational individual medical case files.

Records of treatment or examination created and maintained by a health care facility or dispensary

documenting an individual’s medical history, physical condition, vaccinations, and first-aid visits for nonwork-

related purposes. Also referred to as “patient records” in Title 5 Part 293 Subpart E.

Temporary. Destroy

10 years after the

most recent

encounter, but

longer retention is

DAA-GRS-

2017-0010-

0012

Last updated in Transmittal No. 32 General Records Schedule 2.7

March 2022

Item

Records Description

Disposition

Instruction

Disposition

Authority

Legal Citations: AHIMA. "Retention and Destruction of Health Information." (Updated October 2013) and 31

U.S.C. 3731(b), False Claims Act.

authorized if needed

for business use.

080

Non-occupational health and wellness program records.

Records documenting the planning, management, reporting, correspondence with internal agency offices,

statistical summaries, and routine operations undertaken by employee health service organizations involving

non-occupational worksite health and wellness programs, such as nursing mothers, Automated External

Defibrillators (AEDs), alcohol and drug abuse programs, and tobacco cessation. Includes:

● health risk appraisals

● biometric testing

● health coaching

● disease management

● behavioral management

● preventive services

● fitness programs

Temporary. Destroy

3 years after the

project/activity/ or

transaction is

completed or

superseded, but

longer retention is

authorized if needed

for business use.

DAA-GRS-

2017-0010-

0013

090

Employee Assistance Program

(EAP) counseling records.

Records of individuals who

have sought or been referred

to counseling services

provided through the

Employee Assistance Program

(EAP). May include records of

family members and

dependents.

Records related to employee performance or conduct.

Records of counseling services provided through the EAP for

performance or conduct reasons. Records include documentation of:

● leave and attendance

● performance

● alleged inappropriate behavior or workplace violence

● reason for referral

● management interventions

● illegal drug or alcohol use

o test results for use of illegal drugs

o test results for alcohol consumption on the job

o substance abuse assessment, treatment, aftercare, and

monitoring records

Note: GRS 2.3, Employee Relations Records, covers adverse action files

under item 061 and performance-based action files under item 062.

Temporary. Destroy

once employee has

met condition(s)

specified by

agreement or

adverse action or

performance-based

action case file has

been initiated.

DAA-GRS-

2017-0010-

0014

Last updated in Transmittal No. 32 General Records Schedule 2.7

March 2022

Item

Records Description

Disposition

Instruction

Disposition

Authority

091

Records not related to performance or conduct.

Records documenting nature of an individual's problem and participation

in a treatment or rehabilitation program. Records may include

documentation of treatment by a private therapist or a therapist at a

federal, state, local government, or private institution. Includes:

● Privacy Act and signed written consent forms

● psychosocial history and assessments

● medical records

● correspondence with the client

● clinical and education interventions

● records of attendance at treatment, kinds of treatment, and

counseling programs

● identity and contact information of treatment providers

● name, address, and phone number of treatment facilities

● notes and documentation of internal EAP counselors

● insurance data

● intervention outcomes

Temporary. Destroy

7 years after

termination of

counseling for adults

or 3 years after a

minor reaches the

age of majority, or

when the state-

specific statute of

limitations has

expired for contract

providers subject to

state requirements,

but longer retention

is authorized if

needed for business

use.

DAA-GRS-

2017-0010-

0015

Drug-free Workplace Program Records

100

Employee drug test plans, procedures, and scheduling records.

Drug testing program records pertaining to the development of procedures, such as the determination of

testing incumbents in designated positions and selection of specific employees/applicants for testing.

Includes:

● agency copies of plans and procedures, with related drafts, correspondence, and memoranda

● lists of selectees

● notification letters

● testing schedules

Exclusion 1: Documents filed in record sets of formally issued documents, such as directives, procedure

handbooks, and operating manuals. Schedule these on agency-specific schedules.

Exclusion 2: 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), are covered in GRS 5.7, Agency

Accountability Records.

Temporary. Destroy

when 3 years old or

when superseded or

obsolete.

DAA-GRS-

2017-0010-

0016

Last updated in Transmittal No. 32 General Records Schedule 2.7

March 2022

Item

Records Description

Disposition

Instruction

Disposition

Authority

Exclusion 3: 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. Schedule these on agency-specific schedules.

110

Employee drug test acknowledgment 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.

DAA-GRS-

2017-0010-

0017

120

Employee drug testing specimen records.

Identifying data on each specimen, recorded at each collection site in the order in which the specimen was

collected. Includes records used to maintain control and accountability of specimens from the point of

collection to final disposition, e.g., chain-of-custody records.

Temporary. Destroy

3 years after date of

last entry or when 3

years old, whichever

is later.

DAA-GRS-

2017-0010-

0018

130

Employee drug test results.

Records documenting individual test results,

including testing reports, notification of

employees and employing offices, and

documents relating to follow-up testing.

Exclusion: Drug test results of applicants for

employment are covered by GRS 2.1,

Employee Acquisition Records, items 050 and

051.

Positive results.

Temporary. Destroy

when employee

leaves the agency or

when 3 years old,

whichever is later.

DAA-GRS-

2017-0010-

0019

131

Negative results.

Temporary. Destroy

when 3 years old.

DAA-GRS-

2017-0010-

0020

Last updated in Transmittal No. 26 General Records Schedule 2.8

September 2016

GENERAL RECORDS SCHEDULE 2.8: Employee Ethics Records

This schedule covers records documenting the activities of executive branch agency ethics program offices.

Records not covered by this schedule: Records pertaining to legislative branch and judicial branch 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.

Lists not included in this schedule: Master Lists of financial disclosure report filers, individuals requesting outside employment and activities approval, and other

types of ethics-related master lists. 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 4.1, Tracking and Control Records. Master Lists that are used for purposes other than 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. For ethics training records, see

GRS 2.6, Employee Training Records.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

General ethics program records.

Records created and maintained to coordinate and manage an agency’s ethics program. Records

relate to the development, review, implementation, and interpretation of proposed or established

executiv

e 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-relate

d regulations and directives. Includes:

• Records documenting the review of proposed or established ethics-related statutes and

regulations by ethics program officials, including copies of pr

oposed legislation, comments, and

all related records.

• Determinations, including advice and counseling to individual employees, and supporting

record

• R

ecords relating to requests under agency supplemental standards of ethical conduct for prior

approv

al of outside employment and activities.

Temporary. Destroy 6 years

following the conclusion of an

ethics regulatory review,

provision of advice to an

employee, making a

determination regarding

outside employment or after

such determination is no

longer in effect or applicable,

or when no longer needed for

an active investigation;

whichever is later, but longer

retention is authorized if

required for business use.

DAA-GRS-

2016-0006-

0001

020

Referrals and notifications of violations of criminal conflict of interest statutes and other potential

violations files.

Referrals to Inspectors General or the Department of Justice concerning ethics violations or

suspected violations. This item also covers related background materials, including copies of

Temporary. Destroy 6 years

after final disposition of the

referral to either the IG or

DOJ, but longer retention is

DAA-GRS-

2014-0005-

0002

Last updated in Transmittal No. 26 General Records Schedule 2.8

September 2016

Item

Records Description

Disposition Instruction

Disposition

Authority

disciplinary and corrective actions and disposition documents such as declinations of prosecution,

and copies of OGE Form 202, Notification of Conflict of Interest Referral.

authorized if required for

business use.

030

Reports of

payments accepted

from non-Federal

sources.

Agency reports.

Reports, including the “Semiannual Report of Payments Accepted from a

Non-Federal Source,” submitted by agencies to the Office of Government

Ethics and reported on the OGE Form 1353 (SF 326). 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.

Temporary. Destroy 3 years

following submission of the

report to OGE, but longer

retention is authorized if

required for business use.

DAA-GRS-

2014-0005-

0003

031

Supporting documentation.

Documentation, such as statements and forms, used to complete the

submitted reports.

Temporary. Destroy 1 year

following submission of the

report to OGE, but longer

retention is authorized if

required for business use.

DAA-GRS-

2014-0005-

0004

040

Office of Government Ethics program questionnaire records.

Questionnaires completed by ethics officials, such as the “Annual Agency Ethics Program

Questionnaire,” the “Annual Agency Ethics Officer (DAEO) Survey,” and other questionnaires and

surveys, including records created or collected to prepare responses to ethics program

questionnaires and surveys.

Temporary. Destroy 3 years

after submission, but longer

retention is authorized if

required for business use.

DAA-GRS-

2014-0005-

0005

050

Ethics program review records.

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.

This includes OGE program review reports, notes and background materials produced during OGE

program reviews, agency 60-day response letters, and other follow-up records sent to OGE on the

resolution of program deficiencies.

Temporary. Destroy 6 years

after all outstanding ethics

program review deficiencies

have been resolved or when

the documentation for the

next program review is on file,

whichever is later. Longer

retention is authorized if

needed for business use.

DAA-GRS-

2014-0005-

0006

Last updated in Transmittal No. 26 General Records Schedule 2.8

September 2016

Item

Records Description

Disposition Instruction

Disposition

Authority

060

Public financial

disclosure reports.

Executive Branch

Personnel Public

Financial Disclosure

Reports (OGE Form

278) (formerly SF

278), OGE Form

278e, and related

records.

Reports for individuals filing in accordance with the Ethics in Government

Act, as amended (5 U.S.C. app.), including the Stop Trading on

Congressional Knowledge Act of 2012 (STOCK Act) (Pub. L. 112-105), and

not subsequently confirmed by the U.S. Senate.

Legal Citation: 5 U.S.C. app. section 105, 5 CFR 2634.603

Temporary. Destroy 1 year

after nominee ceases to be

under consideration for the

position or when no longer

needed for active

investigation, whichever is

later. This disposition

instruction is mandatory;

deviations are not allowed.

DAA-GRS-

2014-0005-

0007

061

All other reports.

Legal Citation: 5 U.S.C. app. section 105, 5 CFR part 2634.603

Temporary. Destroy 6 years

after receipt of the OGE Form

278 or 278e by the agency or

when no longer needed for

active investigation,

whichever is later. This

disposition instruction is

mandatory; deviations are not

allowed.

DAA-GRS-

2014-0005-

0008

062

Periodic transaction reports.

OGE 278-T forms filed by reporting individuals in accordance with the

STOCK Act of 2012, and related records.

Legal Citation: STOCK Act, Pub. L. 112-105

Temporary.

Destroy 7 years

after receipt by the agency or

when the related subsequent

OGE Form 278 (SF 278) is

ready for destruction 6 years

later. The reports may be

retained longer if needed for

active investigation. This

disposition instruction is

mandatory; deviations are not

allowed.

DAA-GRS-

2014-0005-

0009

Last updated in Transmittal No. 26 General Records Schedule 2.8

September 2016

Item

Records Description

Disposition Instruction

Disposition

Authority

063

Requests to inspect or receive copies of executive branch personnel public

financial disclosure reports or other covered records (OGE Form 201 or

agency equivalent form).

Legal Citation: 5 U.S.C. app. section 105(b)(2)

Temporary. Destroy when

the requested report is

destroyed. This disposition

instruction is mandatory;

deviations are not allowed.

DAA-GRS-

2014-0005-

0010

070

Confidential financial

disclosure reports.

Executive Branch

Confidential

Financial Disclosure

Reports (OGE Form

450) and

Confidential

Certificates of No

New Interests (OGE

Optional Form 450-

A), and related

records.

Reports for individuals not subsequently confirmed by the U.S. Senate.

Legal Citation: 5 CFR 2634.604

Temporary. Destroy 1 year

after nominee ceases to be

under consideration for the

position or when no longer

needed for active

investigation, whichever is

later. This disposition

instruction is mandatory;

deviations are not allowed.

DAA-GRS-

2014-0005-

0011

071

All other reports.

Legal Citation: 5 CFR 2634.604

Temporary. Destroy 6 years

after receipt of the OGE Form

450 by the agency, except

when the OGE Form 450

supports one or more

subsequent Optional OGE

Form 450-As then destroy 6

years after receipt of the last

related OGE Form 450-A by

the agency, or when no longer

needed for active

investigation, whichever is

later. This disposition

instruction is mandatory;

deviations are not allowed.

DAA-GRS-

2014-0005-

0012

Last updated in Transmittal No. 26 General Records Schedule 2.8

September 2016

Item

Records Description

Disposition Instruction

Disposition

Authority

072

OGE Optional Form 450-A reports.

Legal Citation: 5 CFR 2634.604, 5 CFR 2634.905

Note: The OGE Form 450-A, filed for up to 3 consecutive years

following the filing of an OGE Form 450, is an alternative disclosure

report to the OGE Form 450 when there are no new interests to be

reported by the filer. The “supporting OGE Form 450” cannot be

destroyed until the last OGE Form 450-A report is ready for destruction.

Temporary. Destroy 6 years

after receipt of the OGE Form

450-A report by the agency,

along with the associated OGE

Form 450, or when no longer

needed for active

investigation, whichever is

later. This disposition

instruction is mandatory;

deviations are not allowed.

DAA-GRS-

2014-0005-

0013

080

Alternative or

additional financial

disclosure reports and

related records.

Reports for individuals not subsequently confirmed by the U.S. Senate.

Legal Citation: 5 U.S.C. app. section 105

Temporary. Destroy 1 year

after nominee ceases to be

under consideration for the

position or when no longer

needed for active

investigation, whichever is

later. This disposition

instruction is mandatory;

deviations are not allowed.

DAA-GRS-

2014-0005-

0014

081

All other reports.

Legal Citation: 5 U.S.C. app. section 105

Temporary. Destroy 6 years

after receipt of the financial

disclosure report by the

agency or when no longer

needed for active

investigation, whichever is

later. This disposition

instruction is mandatory;

deviations are not allowed.

DAA-GRS-

2014-0005-

0015

Last updated in Transmittal No. 26 General Records Schedule 2.8

September 2016

Item

Records Description

Disposition Instruction

Disposition

Authority

090

Financial disclosure supporting documentation.

Supporting documentation used to review and verify the filer’s report submission. Includes

records such as:

• reviewer’s notes

• background research reports

• memorialized verbal comments of filer in response to reviewer questions

Temporary. Destroy at the

same time an individual’s

related financial disclosure

report is destroyed or 6 years

after the individual has

submitted their last financial

disclosure report; or when no

longer needed for active

investigation, whichever is

later.

DAA-GRS-

2014-0005-

0016

100

Ethics agreements records.

Records documenting the review and issue of ethics agreements

used to remedy the appearance of potential or actual financial

conflicts of interest. Includes:

• review of recusals, resignations, reassignments, and divestitures

• determinations

• authorizations

• waivers

• waivers of disqualifications

Note: Ethics Pledges and associated waiver certifications are filed in the

politic

al appointee's Official Personne

l Folder or equivalent folder under

the authority of Executive Order 13490 (Jan. 21, 2009): Prescribing

Standards of Ethical Conduct for Government Officers and Employees.

Agreements for

employees who do not

file financial disclosure

reports.

Temporary. Destroy 6 years

after the waiver or other

agreed-upon determination or

action has been issued or

undertaken, or 6 years after it

is no longer in effect, or when

no longer needed for active

investigation, whichever is

later. Longer retention is

authorized if needed for

business use.

DAA-GRS-

2014-0005-

0017

101

Agreements for

employees who file

financial disclosure

reports.

Temporary. Destroy at the

same time as the employee’s

last related financial report is

destroyed or when no longer

needed for active

investigation, whichever is

later. Longer retention is

authorized if needed for

business use.

DAA-GRS-

2014-0005-

0018

Last updated in Transmittal No. 30 General Records Schedule 3.1

November 2019

GENERAL RECORDS SCHEDULE 3.1: General Technology Management Records

This schedule covers records created and maintained by Federal agencies related to the general management of technology. It includes records related to

developing, operating, and maintaining computer software, systems, and infrastructure improvements; complying with information technology policies and

plans; and maintaining data standards.

This schedule does not apply to system data or content. This schedule does not apply to records documenting the Office of Management and Budget and the US

Federal Chief Information Officers Council government-wide information management planning and programming. There may be copies of the Exhibit 300

records within these case files. However, agencies should continue to file the recordkeeping copy as part of IT Capital Investment Records. Records needed to

support contracts should be in procurement files, which are scheduled under the GRS for General Financial Management Records.

Item

Records Title/Description

Disposition

Instruction

Disposition

Authority

001

Technology management administrative records.

Records on day-to-day, routine information technology management. Records include:

• correspondence

• subject files, including briefings, reports, presentations, and studies that do not relate to high-level decision-

making

• data calls

• operational and managerial guidance to organizational segments of the agency

Exclusion: This item does not apply to the records of the Chief Information Officer. These records must be

scheduled by the agency on an agency-specific schedule.

Temporary.

Destroy when 5

years old, but

longer retention

is authorized if

needed for

business use.

DAA-GRS-

2016-0013-

0002

010

Information

technology

development

project

records.

Infrastructure project records.

Information Technology (IT) infrastructure, systems, and services project records document the

basic systems and services used to supply the agency and its staff with access to computers and

data telecommunications. Includes 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; and infrastructure development and maintenance such as

acceptance/authorization of infrastructure components, analysis of component options,

feasibility, costs and benefits, and work associated with implementation, modification, and

troubleshooting.

Temporary.

Destroy 5 years

after project is

terminated, but

longer retention

is authorized if

required for

business use.

DAA-GRS-

2013-0005-

0006

Last updated in Transmittal No. 30 General Records Schedule 3.1

November 2019

Item

Records Title/Description

Disposition

Instruction

Disposition

Authority

Includes records such as:

• installation and testing records

• installation reviews and briefings

• quality assurance and security review

• requirements specifications

• technology refresh plans

• operational support plans

• test plans

• models, diagrams, schematics, and technical documentation

Exclusion: 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 a

records schedule to NARA.

Note: Records concerning the development of each information technology (IT) system and

software application are covered under the item for System Development Records.

011

System development records.

These records relate to the development of information technology (IT) systems and software

applications through their initial stages up until hand-off to production which includes planning,

requirements analysis, design, verification and testing, procurement, and installation. Records

include case files containing documentation of planning, decision making, designing,

programming, testing, evaluation, and problem solving. Includes records such as:

• project plans

• feasibility studies

• cost analyses

• requirements documents

• compliance documents including:

o Privacy Threshold Analyses (PTAs)

o Privacy Impact Assessments (PIAs)

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

DAA-GRS-

2013-0005-

0007

Last updated in Transmittal No. 30 General Records Schedule 3.1

November 2019

Item

Records Title/Description

Disposition

Instruction

Disposition

Authority

o Security Plan

o Information Protection Plan

• change control records

• Project Schedule

• Plan of Action and Milestones (POA&M)

• Configuration Management Plan

• Resource Management Plan

• Risk Assessment/Mitigation Plan

• Security Plan

• Disaster Recovery Plan

• Test /Acceptance Plan

• Quality Control Plan

• Deployment Guide

• User Guide

• Training Guide

Exclusion: This item does not apply to system data or content.

Note 1: For certain technical documentation (e.g., data dictionaries, file specifications, code

books, record layouts, etc.) related to the detailed, as-built design or maintenance of an

electronic system containing permanent records, use the GRS item Documentation Necessary for

Preservation of Permanent Electronic Records.

Note 2: This is consistent with the fact that the most complete version of system documentation

is retained within the maintenance phase.

required for

business use.

012

Special purpose computer programs and applications.

Computer software programs or applications that are developed by the agency or under its

direction solely to use or maintain a master file or database authorized for disposal in a GRS item

or a NARA-approved records schedule.

Temporary.

Delete when

related master

file or database

has been

DAA-GRS-

2013-0005-

0008

Last updated in Transmittal No. 30 General Records Schedule 3.1

November 2019

Item

Records Title/Description

Disposition

Instruction

Disposition

Authority

Exclusion 1: This item does not include software or applications necessary to use or maintain

any unscheduled master file or database or any master file or database scheduled for transfer to

the National Archives.

Exclusion 2: This item does not cover commercial, off-the-shelf (COTS) programs or applications,

unless the agency has modified such programs or applications considerably to perform a mission-

related function.

Note: Computer software needs to be kept as long as needed to ensure access to, and use of,

the electronic records in the system throughout the authorized retention period to comply with

36 CFR Sections 1236.10, 1236.12, 1236.14, and 1236.20.

deleted, but

longer retention

is authorized if

required for

business use.

020

Information technology operations and maintenance records.

Information Technology Operations and Maintenance records relate to the activities associated with the

operations and maintenance of the basic systems and services used to supply the agency and its staff with access

to computers and data telecommunications. Includes the activities associated with IT equipment, IT systems, and

storage media, IT system performance testing, asset and configuration management, change management, and

maintenance on network infrastructure.

Includes records such as:

• files identifying IT facilities and sites

• files concerning implementation of IT facility and site management

• equipment support services provided to specific sites:

o reviews

o site visit reports

o trouble reports

o equipment service histories

o reports of follow-up actions

o related correspondence

• inventories of IT assets, network circuits, and building or circuitry diagrams

• equipment control systems such as databases of barcodes affixed to IT physical assets, and tracking of

[approved] personally-owned devices

Temporary.

Destroy 3 years

after agreement,

control

measures,

procedures,

project, activity,

or transaction is

obsolete,

completed,

terminated or

superseded, but

longer retention

is authorized if

required for

business use.

DAA-GRS-

2013-0005-

0004

Last updated in Transmittal No. 30 General Records Schedule 3.1

November 2019

Item

Records Title/Description

Disposition

Instruction

Disposition

Authority

• requests for service

• work orders

• service histories

• workload schedules

• run reports

• schedules of maintenance and support activities

• problem reports and related decision documents relating to the software infrastructure of the network or

system

• reports on operations

o measures of benchmarks

o performance indicators

o critical success factors

o error and exception reporting

o self-assessments

o performance monitoring

o management reports

• website administration

o frames

o templates

o style sheets

o site maps

o codes that determine site architecture

o change requests

o site posting logs

o clearance records

o requests for correction of incorrect links or content posted

o requests for removal of duplicate information

o user logs

o search engine logs

o audit logs

• records to allocate charges and track payment for software and services

Last updated in Transmittal No. 30 General Records Schedule 3.1

November 2019

Item

Records Title/Description

Disposition

Instruction

Disposition

Authority

Note 1: 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 Configuration and Change Management Records.

Note 2: Records needed to support contracts should be in procurement files, which are scheduled under the GRS

for General Financial Management Records.

030

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

operational 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, and analyzing possible changes, authorizing changes, and documenting

implementation of changes

• documentation of software distribution (including COTS software license management files) and release or

version management

Note 1: 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 Configuration and Change Management Records.

Note 2: Per NARA practice, documentation for permanent 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 3: 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.

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.

DAA-GRS-

2013-0005-

0005

040

Information technology oversight and compliance records.

Information Technology (IT) Oversight and Compliance records relate to compliance with IT policies, directives,

and plans. Records are typically found in offices with agency-wide or bureau-wide responsibility for managing IT

operations. Includes records such as:

Temporary.

Destroy 5 years

after the

project/activity/

DAA-GRS-

2013-0005-

0010

Last updated in Transmittal No. 30 General Records Schedule 3.1

November 2019

Item

Records Title/Description

Disposition

Instruction

Disposition

Authority

• recurring and special reports

• responses to findings and recommendations

• reports of follow-up activities

• statistical performance data

• metrics

• inventory of web activity

• web use statistics

• comments/feedback from web site or application users

• internal and external reporting for compliance requirements relating to the Privacy Act, and electronic and

information technology accessibility under Section 508 of the Rehabilitation Act

• system availability reports

• target IT architecture reports

• systems development lifecycle handbooks

• computer network assessments and follow-up documentation

• vulnerability assessment reports

• assessment and authorization of equipment

• Independent Verification and Validation (IV&V) reports

• contractor evaluation reports

• quality assurance reviews and reports

• market analyses and performance surveys

• benefit-cost analyses

• make vs. buy analysis

• reports on implementation of plans

• compliance reviews

• data measuring or estimating impact and compliance

Note 1: Copies of security plans are scheduled under GRS 3.2, Information Systems Security Records. There may

be copies interfiled within this series.

Note 2: SORNs are scheduled under GRS 4.2, item 150.

transaction is

completed or

superseded, but

longer retention

is authorized if

required for

business use.

Last updated in Transmittal No. 30 General Records Schedule 3.1

November 2019

Item

Records Title/Description

Disposition

Instruction

Disposition

Authority

050

Data administration

records.

Data

Administration

includes

maintenance of

data standards,

corporate data

models,

registries, and

data definitions

and dictionaries.

Records relate to

administrative

support for the

maintenance of

data standards,

data definitions

and data

dictionaries. This

schedule includes

records that

explain the

meaning,

purpose, logical

relationships, and

use and origin of

data. It also

includes any

documentation

related to

electronic

Documentation necessary for preservation of permanent electronic records.

Data administration records and documentation relating to electronic records scheduled as

permanent in the GRS or in a NARA-approved agency schedule must be transferred to the

National Archives to allow for continued access to the records, including:

• data/database dictionary records

• data systems specifications

• file specifications

• code books

Note 1: Per NARA practice, documentation for permanent electronic records must be

transferred with the related records using the disposition authority for the related

electronic records rather than the GRS disposition authority.

Note 2: 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.

Permanent.

Transfer to the

National Archives

with the

permanent

electronic

records to which

the document-

tation relates.

DAA-GRS-

2013-0005-

0002

051

All documentation for temporary electronic records and documentation not necessary for

preservation of permanent records.

Data administration records and documentation relating to electronic records that are

scheduled as temporary in the GRS or in a NARA-approved agency schedule or any types of

data administration records not listed as permanent in item DAA-GRS-2013-0005-0002,

including

• data/database dictionary records

• data systems specifications

• file specifications

• code books

and also the following records for all electronic records whether scheduled as temporary

or permanent

• software operating manuals

• data standards

Temporary.

Destroy 5 years

after the

project/activity/

transaction is

completed or

superseded, or

the associated

system is

terminated, or

the associated

data is migrated

to a successor

system, but

longer retention

DAA-GRS-

2013-0005-

0003

• record layouts

• metadata

• user guides

• output specifications

• record layouts

• metadata

• user guides

• output specifications

Last updated in Transmittal No. 30 General Records Schedule 3.1

November 2019

Item

Records Title/Description

Disposition

Instruction

Disposition

Authority

records, whether

the records are

part of an

electronic system

or stand-alone,

that allows a user

to understand or

access the

information.

• table and dependency descriptions

• taxonomies

• schemas

• registries

• source code

• physical data model

• logical data model

is authorized if

required for

business use

Last updated in Transmittal No. 33 General Records Schedule 3.2

January 2023

GENERAL RECORDS SCHEDULE 3.2: Information Systems Security Records

This schedule covers records created and maintained by Federal agencies related to protecting the security of information technology systems and data, and

responding to computer security incidents. This schedule does not apply to system data or content.

Item

Records Title/Description

Disposition Instruction

Disposition

Authority

010

Systems and data security records.

These are records related 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

• examples and references used to produce guidelines covering security issues related to specific

systems and equipment

• records on disaster exercises and resulting evaluations

• network vulnerability assessments

• risk surveys

• service test plans

• test files and data

Temporary. Destroy 1

year(s) 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.

DAA-GRS-

2013-0006-

0001

020

Computer security incident handling, reporting and follow-up records.

A computer incident within the Federal Government as defined by NIST Special Publication 800-61,

Computer Security Incident Handling Guide, Revision 2, (August 2012) is a violation or imminent threat

of violation of computer security policies, acceptable use policies, or standard computer security

practices. This item covers records relating to attempted or actual system security breaches, including

break-ins ("hacks," including virus attacks), improper staff usage, failure of security provisions or

procedures, and potentially compromised information assets. It also includes agency reporting of such

incidents both internally and externally. Includes records such as:

• reporting forms

• reporting tools

Temporary. Destroy 3

year(s) after all necessary

follow-up actions have

been completed, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2013-0006-

0002

Last updated in Transmittal No. 33 General Records Schedule 3.2

January 2023

Item

Records Title/Description

Disposition Instruction

Disposition

Authority

• narrative reports

• background documentation

Note: Any significant incidents (e.g., a major system failure or compromise of critical government data)

must be documented in program records, such as those in the office of the Inspector General, which

must be scheduled separately by submitting an SF 115 to NARA.

030

System access records.

These records are created as part of the user

identification and authorization process to gain

access to systems. Records are used to monitor

inappropriate systems access by users.

Includes records such as:

• user profiles

• log-in files

• password files

• audit trail files and extracts

• system usage files

• cost-back files used to assess charges for

system use

Exclusion 1. Excludes records relating to

electronic signatures.

Exclusion 2. Does not include monitoring for

agency mission activities such as law

enforcement.

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.

DAA-GRS-

2013-0006-

0003

031

Systems requiring special accountability for

access.

These are user identification records associated

with systems which are highly sensitive and

potentially vulnerable.

Temporary. Destroy 6

years after password is

altered or user account is

terminated, but longer

retention is authorized if

required for business

use.

DAA-GRS-

2013-0006-

0004

035

Cybersecurity logging records.

For additional information about these records, see

OMB Memo M-21-31.

Note: The requirements in OMB Memo M-21-31 do

not apply to national security systems. Agencies may

Full packet capture data.

Packet capture (PCAP) results from the interception

and copying of a data packet that is crossing or

moving over a specific computer network.

Legal citation: OMB Memo M-21-31

Temporary. Destroy

when 72 hours old.

Longer retention is

authorized for business

use.

DAA-GRS-

2022-0005-

0001

Last updated in Transmittal No. 33 General Records Schedule 3.2

January 2023

Item

Records Title/Description

Disposition Instruction

Disposition

Authority

use this GRS for national security systems or submit

an agency-specific schedule.

Not media neutral. Applies to electronic records

only.

036

Cybersecurity event logs.

Logs required by OMB Memo M-21-31 to capture

data used in the detection, investigation, and

remediation of cyber threats.

Legal citation: OMB Memo M-21-31

Not media neutral. Applies to electronic records

only.

Temporary. Destroy

when 30 months old.

Longer retention is

authorized for business

use.

DAA-GRS-

2022-0005-

0002

040

System backups and tape library records.

Backup files maintained for potential system

restoration in the event of a system failure or

other unintentional loss of data.

Incremental backup files.

Temporary. Destroy

when superseded by a

full backup, or when no

longer needed for system

restoration, whichever is

later.

DAA-GRS-

2013-0006-

0005

041

Full backup files.

Temporary. Destroy

when second subsequent

backup is verified as

successful or when no

longer needed for system

restoration, whichever is

later.

DAA-GRS-

2013-0006-

0006

050

Backups of master files and databases.

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.

File identical to permanent records scheduled for

transfer to the National Archives.

Temporary. Destroy

immediately after the

identical records have

been captured in a

subsequent backup file

or at any time after the

transfer request has

been signed by the

DAA-GRS-

2013-0006-

0007

Last updated in Transmittal No. 33 General Records Schedule 3.2

January 2023

Item

Records Title/Description

Disposition Instruction

Disposition

Authority

National Archives, but

longer retention is

authorized if required

for business use.

051

File identical to temporary records authorized for

destruction by a NARA-approved records

schedule.

Temporary. Destroy

immediately after the

identical records have

been deleted or replaced

by a subsequent backup

file, but longer retention

is authorized if required

for business use.

DAA-GRS-

2013-0006-

0008

060

PKI administrative records.

Records are PKI-unique administrative records that establish or support authentication by

tying the user to a valid electronic credential and other administrative non-PKI records that

are retained to attest to the reliability of the PKI transaction process. Included are policies

and procedures planning records; stand-up configuration and validation records; operation

records; audit and monitor records; and termination, consolidation, or reorganizing

records. Policies and procedures planning records relate to defining and establishing PKI

systems. Records relate to such activities as determining that a PKI should be established;

creating project implementation plans; creating the certificate policy (CP), certification

practice statement (CPS), and other key operating documents; developing procedures in

accordance with the CP and CPS; conducting risk analyses; developing records

management policies (including migration strategies); and selecting the entity that will

serve as registration authority (RA). Stand-up configuration and validation records relate to

installing and validating both the Certification Authority (CA) and Registration Authority

(RA), obtaining final approval or rejection from the agency's oversight or authorizing body,

creating and generating a CA signature key, testing security procedures for the CA and RA,

validating certification revocation procedures, and establishing back-up and storage for the

PKI system. Operation records relate to the certification application; certificate issuance

and key generation (including key pair generation and private key loading and storage of

FBCA CAs.

Temporary.

Destroy/delete when 7

years 6 months, 10 years

6 months, or 20 years 6

months old, based on the

maximum level of

operation of the CA, or

when no longer needed

for business, whichever

is later.

N1-GRS-

07-3, item

13a1

061

Other

(non-

FBCA et.

al.) CAs.

Temporary.

Destroy/delete when 7

years 6 months to 20

years 6 months old,

based on the maximum

level of operation of the

CA, or when no longer

needed for business,

whichever is later.

N1-GRS-

07-3 , item

13a2

Last updated in Transmittal No. 33 General Records Schedule 3.2

January 2023

Item

Records Title/Description

Disposition Instruction

Disposition

Authority

private keys and components of private keys); certificate acceptance, validation,

revocation, suspension, replacement, and renewal; creating and maintaining an event log;

and installing and validating software updates. Audit and monitor records relate to

conducting periodic internal and external reviews of auditable events specified in the

Federal Bridge Certification Authority (FBCA) X.509 Certificate Policy and other Entity CA

policies, monitoring compliance with security requirements specified in the CPS and other

operating procedures, investigating internal fraud or misconduct, and conducting internal

and external audits of software and systems security. Termination, consolidation, or

reorganization records relate to terminating, consolidating, or reorganizing a PKI; notifying

subscribers of decisions, transferring inactive keys and revocation certificate lists to

storage repositories, transferring consenting subscribers' and certificates and related

materials to a new Certificate Authority, destroying sensitive records involving privacy (in

accordance with an authorized records schedule), and shutting down and disposing of RA

hardware and CA software.

Note: Select PKI administrative records serve as transaction records that must be retained

as part of the trust documentation set with transaction-specific records. Agencies must

determine which PKI administrative records are embedded with transaction-specific

records as transaction records. These administrative records may vary from transaction-to-

transaction.

062

PKI transaction-specific records.

Records relate to transaction-specific records that are generated for each transaction using PKI digital

signature technology. Records are embedded or referenced within the transaction stream and may be

appended to the transaction content or information record. Along with PKI administrative and other

administrative records, transaction-specific records are part of the PKI trust documentation set that

establish or support the trustworthiness of a transaction. They may vary from transaction-to-

transaction and agency-to-agency. When retained to support the authentication of an electronic

transaction content record (information record), PKI digital signature transaction records are program

records.

Note: Extreme care must be taken when applying the GRS-PKI to transaction records. Destruction of the

transaction-specific and administrative records embedded in the transaction stream prior to the

authorized retention of the information record that they access/protect will render the PKI incapable of

Temporary.

Destroy/delete when 7

years 6 months to 20

years 6 months old,

based on the maximum

level of operation of the

appropriate CA and after

the information record

the PKI is designed to

protect and/or access is

destroyed according to

an authorized schedule,

or in the case of

N1-GRS-

07-3, item

13b

Last updated in Transmittal No. 33 General Records Schedule 3.2

January 2023

Item

Records Title/Description

Disposition Instruction

Disposition

Authority

performing what it is designed to do-protect and provide access to the information record. Due to the

relative newness of PKI technology, both from an implementation and a litigation perspective, it is

recommended that agencies identify all PKI transaction records (including PKI select administrative

records embedded in the transaction stream and transaction-specific records) to be retained as part of

the trust documentation for the records the PKI is designed to protect and or access and link the

retention of the transaction records with that of the information record it protects/accesses.

Transaction records must be retained as trust documentation set records together with the

content/information record.

permanent records,

when the record is

transferred to NARA legal

custody. Longer

retention is authorized if

the agency determines

that transaction-specific

PKI records are needed

for a longer period.

Last updated in Transmittal No. 31 General Records Schedule 4.1

April 2020

GENERAL RECORDS SCHEDULE 4.1: Records Management Records

This schedule covers records created and maintained by Federal agencies that relate to the management of records and information. It includes records

related to tracking and controlling agency records and documents, records management, forms management, and managing vital or essential records.

Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying

disposition instructions in this schedule.

Item

Records Title/Description

Disposition Instruction

Disposition

Authority

010

Tracking and control records.

Records used to provide access to and control of records authorized for destruction by the GRS or a

NARA-approved records schedule. Includes:

• indexes

• lists

• registers

Exclusion 1: This schedule excludes records containing abstracts of records content or other information

that can be used as an information source apart from the related records.

Exclusion 2: This authority does not apply to tracking and control records related to records scheduled

as permanent. The value of these records varies, so tracking and control records related to permanent

records must be scheduled.

Temporary. Destroy

when no longer needed.

DAA-GRS-

2013-0002-

0016

020

Records management program records.

Records related to the policies, procedures, and management of agency business records from creation

to eventual disposition. Includes records created and maintained while planning, managing, evaluating,

administering, and performing the function of agency records management. Activities include:

• providing oversight of entire records management program

• transferring, destroying, and retrieving records

• inventorying records and conducting records surveys

• scheduling records

• providing other records management services to customer units (such as records storage/reference

assistance, and technical assistance with files plans and other records management questions)

•

conducting records "clean out" days

Temporary. Destroy no

sooner than 6 years after

the project, activity, or

transaction is completed

or superseded, but longer

retention is authorized if

needed for business use.

DAA-GRS-

2013-0002-

0007

• inventories

• logs

Last updated in Transmittal No. 31 General Records Schedule 4.1

April 2020

Item

Records Title/Description

Disposition Instruction

Disposition

Authority

• conducting special projects

Records include:

• agency records management program surveys or evaluations

• reports of surveys or evaluations

• reports of corrective action taken in response to agency program surveys or evaluations

• disposal authorizations, schedules, and reports

• records schedules, legacy records schedules (SF 115, Request for Records Disposition Authority)

• SF 135, Records Transmittal and Receipt

• OF 11, Reference Request

• Transfer Request (TR); Legal Transfer Instrument (LTI); SF 258, Agreement to Transfer Records to the

National Archives of the United States

Exclusion: This schedule item covers copies of the records schedule, transfer request, legal transfer

instrument, and similar forms maintained by agencies—not the copies maintained by NARA.

030

Vital or essential records program records.

Records involved in planning, operating, and managing the agency’s vital or essential records program.

Includes:

• vital records inventories

• vital records cycling plans

• results of tests, surveys, or evaluations

• reports of corrective action taken in response to agency vital records tests

Temporary. Destroy 3

years after project,

activity, or transaction is

completed or superseded,

but longer retention is

authorized if needed for

business use.

DAA-GRS-

2013-0002-

0008

031

Copies of vital records.

Copies of agency records deemed essential to restore agency functions in case of emergency.

Temporary. Destroy

when superseded by the

next cycle.

DAA-GRS-

2013-0002-

0015

040

Forms management records.

Records involved with ensuring use of standard Federal and agency forms to support effective record-

keeping and ensuring that Federal standard forms are available and used as appropriate to support

Federal record-keeping requirements. Includes:

• registers or databases used to record and control the numbers and other identifying data assigned to

each form

Temporary. Destroy 3

years after form is

discontinued, superseded,

or cancelled, but longer

retention is authorized if

needed for business use.

DAA-GRS-

2013-0002-

0009

Last updated in Transmittal No. 31 General Records Schedule 4.1

April 2020

Item

Records Title/Description

Disposition Instruction

Disposition

Authority

• official case files consisting of the record copy of each agency-originated form with related

instructions and documentation showing inception, scope, and purpose of the form

• background materials and specifications

Digitizing Records

050

Validation records for digitized temporary records.

Records used to document (validate) that the digitized versions of temporary records are of suitable

quality to replace original source records. Includes, but is not limited to:

• standards and procedures records used to document that the agency has met validation process

requirements, such as:

o quality management plans describing quality assurance objectives

o quality control (QC) protocols

o format-specific instructions

• records documenting validation actions, such as:

o equipment calibration and test reports

o image quality testing results

o QC plans, procedures, and reports

Exclusion 1: Validation records for digitized permanent records.

Exclusion 2: Original source records the agency has digitized and validated; GRS 5.2, Transitory and

Intermediary Records, Item 020, or a current, approved agency-specific records schedule that covers

the records once digitized covers these.

Exclusion 3: Digital surrogates (the newly digitized records); the appropriate current, approved agency-

specific records schedule or applicable GRS item covers these.

Legal citation: 36 CFR Part 1236.34

Temporary. Destroy the

validation documentation

associated with each

record that has been

digitized when the records

digitized using that

validation process are

destroyed, but longer

retention is authorized if

required for business use.

DAA-GRS-

2019-0003-

0001

Last updated in Transmittal No. 32 General Records Schedule 4.2

March 2022

GENERAL RECORDS SCHEDULE 4.2: Information Access and Protection Records

This schedule covers records created in the course of agencies (1) responding to requests for access to Government information and (2) protecting information

that is classified or controlled unclassified, or contains personal data that is required by law to be protected.

Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition

instructions in this schedule.

Item

Records Description

Disposition Instruction

Disposition

Authority

001

FOIA, Privacy Act, and classified documents administrative records.

Records on managing information access and protection activities. Records include:

• correspondence related to routine implementation of the FOIA and Privacy Act and

administration of document security classification

• associated subject files

• feeder and statistical reports

Exclusion: This item does not cover records documenting policies and procedures accumulated in

offices having agency-wide responsibilities for FOIA, Privacy Act, and classified documents. These

records must be scheduled by the agency on an agency-specific schedule.

Temporary. Destroy when 3

years old, but longer retention

is authorized if needed for

business use.

DAA-GRS-

2019-0001-

0001

010

General information request files.

Requests for information, publications, photographs, and other information involving no

administrative action, policy decision, or special compilations or research. Also includes

acknowledgements, replies, and referrals of inquiries to other offices for response.

Temporary. Destroy when 90

days old, but longer retention is

authorized if required for

business use.

DAA-GRS-

2013-0007-

0001

020

Access and disclosure request files.

Case files created in response to requests for information under the Freedom of Information Act

(FOIA), Mandatory Declassification Review (MDR) process, Privacy Act (PA), Classification

Challenge, and similar access programs, and completed by:

• granting the request in full

• granting the request in part

• denying the request for any reason including:

o inability to fulfill request because records do not exist

o inability to fulfill request because request inadequately describes records

Temporary. Destroy 6 years

after final agency action or 3

years after final adjudication by

the courts, whichever is later,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0002-

0001

Last updated in Transmittal No. 32 General Records Schedule 4.2

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

o inability to fulfill request because search or reproduction fees are not paid

• final adjudication on appeal to any of the above original settlements

• final agency action in response to court remand on appeal

Includes:

• requests (either first-party or third-party)

• replies

• copies of requested records

• administrative appeals

• related supporting documents (such as sanitizing instructions)

Note 1: Record copies of requested records remain covered by their original disposal authority, but

if disposable sooner than their associated access/disclosure case file, may be retained under this

item for disposition with that case file.

Note 2: Agenci

es may wish to retain redacted copies of requested records for business use after

the rest of the associated request case file is destroyed.

030

Information

access and

protection

operational

records.

Records tracking and controlling access to protected information.

Includes:

• records documenting receipt, internal routing, dispatch, or destruction of

classified and controlled unclassified records

• tracking databases and other records used to manage overall access program

• requests and authorizations for individuals to have access to classified and

controlled unclassified records and information

Note: Records documenting individuals’ security clearances are covered under GRS

5.6, items 180 and 181.

Temporary. Destroy 2 years

after last form entry, reply, or

submission; or when associated

documents are declassified,

decontrolled, or destroyed; or

when an individual’s

authorization expires;

whichever is appropriate.

Longer retention is authorized

if required for business use.

DAA-GRS-

2019-0001-

0002

031

Access control records.

Includes:

• safe and padlock combinations

•

names or other personal identifiers of individuals who know combinations

Temporary. Destroy when

superseded or obsolete, but

longer retention is authorized if

required for business use.

DAA-GRS-

2013-0007-

0020

Last updated in Transmittal No. 32 General Records Schedule 4.2

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

• comparable data used to control access into classified document containers

032

Records relating to classified or controlled unclassified document containers.

Includes forms placed on safes, cabinets, or vaults that record opening, closing, and

routine checking of container security, such as SF-701 and SF-702.

Note: Forms involved in investigations are not covered by this item. They are

instead retained according to the schedule item for records of the investigation.

Temporary. Destroy 90 days

after last entry on form, but

longer retention is authorized if

required for business use.

DAA-GRS-

2016-0002-

0003

040

Records of accounting for and controlling access to records requested under FOIA, PA, and MDR.

Records documenting identity of, and internal routing, control points, and accountability for

information to which access has been requested. Includes:

• forms, registers, ledgers, logs, and tracking systems documenting requester identity and contact

information, request date, and nature or purpose of request

• inventories

• forms accompanying documents to ensure continuing control, showing names of people

handling the documents, inter-office routing, and comparable data

• agent and researcher files

Temporary. Destroy 5 years

after date of last entry or final

action by agency, as

appropriate, but longer

retention is authorized if

required for business use.

DAA-GRS-

2019-0001-

0003

050

Privacy Act accounting of disclosure files.

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. Includes:

• forms with the subject individual's name

• records of the requester's name and address

• explanations of the purpose for the request

• date of disclosure

• proof of subject individual's consent

Temporary. 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.

NC1-64-77-

1 item 27

Last updated in Transmittal No. 32 General Records Schedule 4.2

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

060

Erroneous release records.

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. Includes:

• requests for information

• copies of replies

• all related supporting documents

May include:

• official copy of records requested or copies

Records filed with the record-keeping

copy of the erroneously released

records.

Temporary. Follow the

disposition instructions

approved for the released

record copy or destroy 6 years

after the erroneous release,

whichever is later.

DAA-GRS-

2015-0002-

0001

061

Records filed separately from the

record-keeping copy of the released

records.

Temporary. Destroy 6 years

after the erroneous release,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2015-0002-

0002

065

Privacy complaint files.

Records of privacy complaints (and responses) agencies receive in these categories:

• process and procedural (consent, collection, and appropriate notice)

• redress (inquiries seeking resolution of difficulties or concerns about privacy matters not

specifically outlined in the Privacy Act)

• operational (inquiries regarding Privacy Act matters but not including Privacy Act requests for

access and/or correction)

• complaints referred to another organization

Temporary. Destroy 3 years

after resolution or referral, as

appropriate, but longer

retention is authorized if

required for business use.

DAA-GRS-

2019-0001-

0004

070

Agency reports to the Congress, Department of Justice, or other entities regarding FOIA, MDR, PA,

and similar access and disclosure programs.

Note: This item does not apply to summary reports incorporating government-wide statistics.

These must be scheduled separately by the summarizing agent.

Temporary. Destroy 2 years

after date of report, but longer

retention is authorized if

required for business use.

DAA-GRS-

2013-0007-

0006

080

Legal and regulatory compliance reporting records.

Reports prepared in compliance with federal laws and

regulations, such as the E-Government Act (Public Law

107-347), Federal Information Security Modernization

Act of 2014, and Title V (Confidential Information

Annual reports by agency CIO, Inspector

General, or Senior Agency Official for

Privacy.

Legal citation: OMB M-07-16.

Temporary. Destroy 5 years

after submission of report, but

longer retention is authorized if

required for business use.

DAA-GRS-

2013-0007-

0022

Last updated in Transmittal No. 32 General Records Schedule 4.2

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

081

Protection and Statistical Efficiency Act), as codified in

44 U.S.C. §101.

All other agency reports and internal

reports by individual system owners to

the Senior Agency Official for Privacy

(SAOP).

Temporary. Destroy 2 years

after submission of report, but

longer retention is authorized if

required for business use.

DAA-GRS-

2013-0007-

0023

090

Privacy Act amendment request files.

Files relating to an individual’s request to amend a record pertaining to that individual under 5

U.S.C. §552a(d)(2), to the individual’s request for review of an agency’s refusal to amend a record

under 5 U.S.C. §552a(d)(3), and to any civil action or appeal brought by the individual against the

refusing agency under 5 U.S.C. §552a(g). Includes:

• requests to amend and to review refusal to amend

• copies of agency’s replies

• statement of disagreement

• agency justification for refusal to amend a record

• appeals

•

related materials

Temporary. Destroy with the

records for which amendment

was requested or 4 years after

close of case (final

determination by agency or

final adjudication, whichever

applies), whichever is later.

Longer retention is authorized

if required for business use.

DAA-GRS-

2013-0007-

0007

100

Automatic and systematic declassification review program records.

Files related to the review of permanent records in anticipation of automatic declassification at 25,

50, or 75 years per Executive Order 13526, and the periodic review of records exempted from

automatic declassification. Files include program records documenting declassification decisions.

Temporary. Destroy or delete

after conducting next review or

when subject records are

transferred to NARA, but

longer retention is authorized if

required for business use.

DAA-GRS-

2020-0002-

0001

110

Fundamental classification guidance review files.

Reports, significant correspondence, drafts, received comments, and related materials responding

to “fundamental classification guidance review” as required by Executive Order 13526 Section 1.9.

Note: This item does not cover reports and correspondence received at the Information Security

Oversight Office (ISOO).

Temporary. Destroy 5 years

after report is submitted to

ISOO, but longer retention is

authorized if required for

business use.

DAA-GRS-

2013-0007-

0011

120

Classified information nondisclosure agreements.

Copies of nondisclosure agreements, such as SF 312,

Classified Information Nondisclosure Agreement,

Records maintained in the individual’s

official personnel folder.

Apply the disposition for the

official personnel folder.

Last updated in Transmittal No. 32 General Records Schedule 4.2

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

121

signed by civilian and military personnel with access to

information that is classified under standards put forth

by executive orders governing security classification.

Records maintained separately from the

individual’s official personnel folder.

Legal citations:

ICD 703, Protection of Classified National

Intelligence; 32 CFR 2001.80(d)(2)(vii).

Temporary. Destroy when 50

years old.

DAA-GRS-

2015-0002-

0003

130

Personally identifiable information extracts.

System-generated or hardcopy print-outs generated for business purposes that contain Personally

Identifiable Information.

Legal citation: OMB M-07-16 (May 22, 2007), Attachment 1, Section C, bullet “Log and Verify.”

Temporary. Destroy when 90

days old or no longer needed

pursuant to supervisory

authorization, whichever is

appropriate.

DAA-GRS-

2013-0007-

0012

140

Personally identifiable information extract logs.

Logs that track the use of PII extracts by authorized users, containing some or all of: date and time

of extract, name and component of information system from which data is extracted, user

extracting data, data elements involved, business purpose for which the data will be used, length

of time extracted information will be used. Also includes (if appropriate): justification and

supervisory authorization for retaining extract longer than 90 days, and anticipated disposition

date.

Temporary. Destroy when

business use ceases.

DAA-GRS-

2013-0007-

0013

150

Privacy Act System of Records Notices (SORNs).

Agency copy of notices about the existence and character of systems of records, documenting

publication in the Federal Register when the agency establishes or revises the system, per the

Privacy Act of 1974 [5 U.S.C. 552a(e)(4) and 5 U.S.C. 552a(e)(11)], as amended. Also significant

material documenting SORN formulation, other than Privacy Impact Assessment records (see item

161).

Temporary. Destroy 2 years

after supersession by a revised

SORN or after system ceases

operation, but longer retention

is authorized if required for

business use.

DAA-GRS-

2016-0003-

0002

160

Records analyzing Personally Identifiable

Information (PII).

Records documenting whether certain privacy

and data security laws, regulations, and

agency policies are required; how the agency

collects, uses, shares, and maintains PII; and

incorporation of privacy protections into

Records of Privacy Threshold Analyses (PTAs)

and Initial Privacy Assessments (IPAs).

Records of research on whether an agency

should conduct a Privacy Impact Assessment

(PIA).

Temporary. Destroy 3 years

after associated PIA is

published or determination

that PIA is unnecessary, but

longer retention is authorized if

required for business use.

DAA-GRS-

2016-0003-

0003

Last updated in Transmittal No. 32 General Records Schedule 4.2

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

161

records systems as required by the E-

Government Act of 2002 (Public Law 107-347,

section 208), the Privacy Act of 1974 (5 U.S.C.

552a), and other applicable privacy laws,

regulations, and agency policies. Includes

significant background material documenting

formulation of final products.

Records of Privacy Impact Assessments (PIAs).

Temporary. Destroy 3 years

after a superseding PIA is

published, after system ceases

operation, or (if PIA concerns a

website) after website is no

longer available to the public,

as appropriate. Longer

retention is authorized if

required for business use.

DAA-GRS-

2016-0003-

0004

170

Computer matching program notices and agreements.

Agency copy of notices of intent to share data in systems of records with other federal, state, or

local government agencies via computer matching programs, and related records documenting

publication of notice in the Federal Register per the Privacy Act of 1974 [5 U.S.C. 552a(e)(12)], as

amended. Also agreements between agencies, commonly referred to as Computer Matching

Agreements, prepared in accordance with Office of Management and Budget Final Guidance.

Includes documentation of Data Integrity Board (DIB) review and approval of matching programs

and agreements, and significant background material documenting formulation of notices and

agreements.

Temporary. Destroy upon

supersession by a revised

notice or agreement, or 2 years

after matching program ceases

operation, but longer retention

is authorized if required for

business use.

DAA-GRS-

2016-0003-

0005

180

Virtual public access library records.

Records published by an agency on line to fulfill the requirement in 5 U.S.C. 552(a)(2)(A) through 5

U.S.C. 552(a)(2)(D) and 5 U.S.C. 552(g)(1) through 5 U.S.C. 552(g)(3) that agencies must make those

records available for public inspection and copying. Includes:

• final concurring and dissenting opinions and orders agencies issue when adjudicating cases

• statements of policy and interpretations the agency adopts but does not publish in the Federal

• administrative staff manuals and instructions to staff that affect a member of the public

• copies of records requested under the Freedom of Information Act (FOIA) which, because of the

nature of their subject matter, the agency determines are, or are likely to become, the subject of

subsequent requests for substantially the same records or which have been requested three or

more times

•

indexes of agency major information systems

Temporary. Destroy when no

longer needed.

DAA-GRS-

2016-0008-

0001

Last updated in Transmittal No. 32 General Records Schedule 4.2

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

• descriptions of agency major information and record locator systems

• handbooks for obtaining various types and categories of agency public information

Exclusion: This item refers only to copies an agency publishes on line for public reference. The

agency record copy of such material may be of permanent value and the agency must schedule it.

Not media neutral. Applies to electronic records only.

Controlled Unclassified Information (CUI) program records.

Exclusion: Records of the Controlled Unclassified Information Executive Agent office at the National Archives (NARA must schedule these records

separately).

190

CUI program implementation records.

Records of overall program management. Includes:

• records documenting the process of planning agency policy and procedure

• agency submissions to the CUI Executive Agent of authorities (laws, federal regulations, or

Government-wide policies containing safeguarding or dissemination controls) the agency

proposes to include in the CUI Registry to designate unclassified information as CUI

• agency submissions to the CUI Executive Agent of proposed laws, federal regulations, or

Government-wide policies that would establish, eliminate, or modify a category of CUI, or

change information controls applicable to CUI

• correspondence with CUI Executive Agent

Exclusion 1: CUI directives and formal policy documents (agencies must schedule these

separately).

Exclusion 2: Reco

rds of CUI self-inspections (GRS 5.7, item 020 covers these).

Exclusion 3: Records of annual program reports to the CUI Executive Agent (GRS 5.7, item 050

covers these).

Temporary. Destroy when 7

years old, but longer retention

is authorized if required for

business use.

DAA-GRS-

2019-0001-

0005

191

CUI information sharing agreements.

Agreements in which agencies agree to share CUI with non-executive branch entities (e.g., state

and local police) and foreign entities that agree to protect the CUI.

Temporary. Destroy 7 years

after canceled or superseded,

but longer retention is

DAA-GRS-

2019-0001-

0006

Last updated in Transmittal No. 32 General Records Schedule 4.2

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

Exclusion: Contracts involving CUI and contractor access to CUI; GRS 1.1, item 010 covers

contracts.

authorized if required for

business use.

192

Records of waivers of CUI requirements.

Description of and rationale for each waiver, documentation of alternate steps the agency takes to

ensure it sufficiently protects the CUI covered by the waiver, and records of the agency notifying

authorized recipients and the public of the waiver.

Temporary. Destroy when

waiver is rescinded, system is

no longer in use, or all affected

records are destroyed, as

applicable, but longer retention

is authorized if required for

business use.

DAA-GRS-

2019-0001-

0007

193

Records of requests for decontrol and challenges to CUI

designations.

Requests to decontrol CUI or challenging a CUI marking as

incorrect (either improperly assigned or lacking), responses to

requests, records of adjudication, and records of dispute

resolution if adjudication is appealed.

Records filed with the record-

keeping copy of the CUI-

marked records.

Follow the disposition

instructions approved for the

records at issue.

194

Records filed separately from

the record-keeping copy of the

CUI-marked records.

Temporary. Destroy 6 years

after change in CUI status, but

longer retention is authorized if

required for business use.

DAA-GRS-

2019-0001-

0008

195

Records of CUI misuse.

Allegations of CUI misuse, records of internal investigations, communications with and reports of

findings from the CUI Executive Agent, and records of corrective actions.

Exclusion: If the agency assigns such investigations to its Inspector General (IG), the agency

schedule for IG records covers the records created in the IG office.

Temporary. Destroy 5 years

after completing the

investigation or completing all

corrective actions, whichever is

later, but longer retention is

authorized if required for

business use.

DAA-GRS-

2019-0001-

0009

Last updated in Transmittal No. 32 General Records Schedule 4.4

March 2022

GENERAL RECORDS SCHEDULE 4.4: Library Records

Agency library and information centers collect material related to their agency’s mission or focus. This schedule only applies to library or information centers

within agencies, not agencies that are themselves libraries. Library services include administering the program, collecting data and information, and transferring

collected data and information to the end customer. This schedule covers records that document agency library and information center administration and daily

operations.

Exclusions:

1. Records of standalone libraries such as the Presidential libraries, the Library of Congress, the National Agricultural Library, the National Library of

Education, the National Library of Medicine, and the National Transportation Library.

2. Non-record material such as library and museum material agencies make or acquire and preserve solely for reference or exhibition purposes, extra copies

of documents agencies preserve only for convenient reference, and stocks of publications and processed documents.

3. Unique or special collections of data, technical information, or other records, which agencies must schedule based on their content.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Library administrative records.

Records documenting a library’s planning and management. Records may document library policies,

procedures, and statistics. Includes records such as:

● strategic plans, project plans

● policies and procedures for developing collections, acquisitions, patron privacy, loans, and restricting

library material

● promotional material describing library services and resources

● correspondence and records on library staffing and relations with other libraries

● quick guides to library databases and resources, topical or customized reading lists, and bibliographies

Note: For records on purchasing licenses, subscriptions, vendor services, or interagency agreements, see

GRS 1.1, Financial Management and Reporting Records.

Temporary. Destroy

when 3 years old or 3

years after superseded or

obsolete, whichever is

applicable. Longer

retention is authorized for

business use.

DAA-GRS-

2015-0003-

0001

020

Library operations records.

Records documenting the daily activities of running a library. Includes:

● reference inquiries and responses

● correspondence and records about normal cataloging, circulation, and document delivery activities

● visitor logs, sign-in sheets, computer sign-up sheets, and equipment or facility registration forms

● photocopying and digitization requests

Temporary. Destroy

when business use ceases.

DAA-GRS-

2015-0003-

0002

Last updated in Transmittal No. 32 General Records Schedule 4.4

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

030

Inter Library-Loan (ILL) requests.

Temporary. Destroy 5

years after completing the

transaction.

DAA-GRS-

2015-0003-

0003

Last updated in Transmittal No. 28 General Records Schedule 5.1

July 2017

GENERAL RECORDS SCHEDULE 5.1: Common Office Records

This schedule covers certain records common to most offices in Federal agencies, whether those offices are involved in administrative or mission-related

activities. Most of these records are administrative housekeeping records. Agencies create and maintain administrative records when carrying out general, non-

mission-related activities that keep an office operating. In contrast, agencies create mission records when carrying out the unique activities for which the agency

was established. The only mission-related records this schedule covers are non-recordkeeping copies of electronic records (item 020) that are maintained for

decision-making purposes or taking action. Copies maintained solely for convenience of reference are considered non-record materials. This schedule may be

applied to records in offices that carry out mission-related activities, but only those records that are described here.

This schedule does not apply to transitory records, which are scheduled in GRS 5.2. The distinction between transitory and the records covered in this schedule is

that the records here generally have a longer period of business use than transitory records. This schedule also does not cover materials an agency determines

to be non-record or personal.

Item

Records Description

Disposition

Instruction

Disposition

Authority

010

Administrative records maintained in any agency office.

Records accumulated by individual offices that relate to routine day-to-day administration and management of

the office rather than the mission-specific activities for which the office exists. Records include:

• staff locators, unofficial organizational charts, and office seating charts (see Exclusion 1)

• office-level administrative policies and procedures and files related to their development (see Note 1)

• calendars or schedules of daily activities of non-high-level officials (high-level officials are defined in GRS 6.1;

this item covers those positions not defined as high-level)

• informal requests and tracking of personnel training, travel, supplies, and equipment, excluding

procurement and payment records and forms requesting training (e.g. SF-182)

• internal office activity and workload reports

• studies and analyses of office administrative functions and activities

• non-mission related management reviews and surveys

• minutes of meetings related to administrative activities

Exclusion 1: This item does not apply to recordkeeping copies of organizational charts, functional

statements, and related records that document the mission-related organization, staffing, and procedures of

the office. Agencies must schedule those records on an agency-specific schedule.

Temporary.

Destroy when

business use

ceases.

DAA-GRS-

2016-0016-

0001

Last updated in Transmittal No. 28 General Records Schedule 5.1

July 2017

Item

Records Description

Disposition

Instruction

Disposition

Authority

Note 1: This item covers administrative policies and procedures at the office/unit level. GRS 5.7 covers

agency-level administrative issuances or directives.

020

Non-recordkeeping copies of electronic records.

Non-recordkeeping copies of electronic records agencies maintain in email systems, computer hard drives or

networks, web servers, or other locations after agencies copy the records to a recordkeeping system or

otherwise preserve the recordkeeping version. This includes:

• documents such as letters, memoranda, reports, handbooks, directives, manuals, briefings, or presentations

created on office applications, including those in Portable Document Format (PDF) or its equivalent

• senders’ and recipients’ versions of electronic mail messages that meet the definition of Federal records,

and any related attachments

• electronic spreadsheets

• digital still pictures or posters

• digital video or audio files

• digital maps or architectural drawings

• copies of the above electronic records maintained on websites or web servers, but EXCLUDING web pages

themselves

Note 1: Non-recordkeeping copies may be Federal records. Often, copies are non-records and can be

immediately destroyed, but not always. Copies are non-record if they are kept only for convenience of

reference. If copies are used in the course of agency business to make decisions or take action, they are

Federal records. The copies described here are Federal records if they are still being used by the agency for

such business purposes, but are not recordkeeping copies of those records.

Note 2: For electronic mail records, the recordkeeping system must capture the names of sender and

recipients, date (transmission data for recordkeeping purposes), and any receipt data, along with the message

text. Sender/recipient information should be individual account information, not the name of a distribution list.

Temporary.

Destroy

immediately

after copying to

a recordkeeping

system or

otherwise

preserving, but

longer retention

is authorized if

required for

business use.

DAA-GRS-

2016-0016-

0002

030

Records of non-mission related internal agency committees.

Records created and maintained by committees established by an agency for facilitative or operational

purposes unrelated to the agency’s mission, such as organizing events, selecting interior furnishings,

overseeing volunteer activities, or employee recreational activities. Records include:

• meeting minutes, summaries, agendas, and transcripts

Temporary.

Destroy when

business use

ceases.

DAA-GRS-

2016-0016-

0003

Last updated in Transmittal No. 28 General Records Schedule 5.1

July 2017

Item

Records Description

Disposition

Instruction

Disposition

Authority

• reports and studies

• membership records

• correspondence, mailing, and distribution records

Exclusion: These items do not cover records of Federal Advisory Committee Act or interagency committees.

GRS 6.2 covers Federal Advisory Committee Act committee records.

Note: Records of mission-related committees are potentially permanent and agencies must schedule them by

an agency-specific records schedule.

Last updated in Transmittal No. 28 General Records Schedule 5.2

July 2017

GENERAL RECORDS SCHEDULE 5.2: Transitory and Intermediary Records

This schedule covers records of a transitory or intermediary nature. Transitory records are routine records of short term value (generally less than 180 days).

Intermediary records are those involved in creating a subsequent record. These records do not document significant decisions or actions an agency takes.

Note that this schedule does not cover original hardcopy still pictures, graphic materials or posters, aerial film, maps, plans, charts, sound recordings, motion

picture film, or video recordings that are scheduled as permanent or unscheduled and that have been converted to an electronic format. Electronic versions of

special media records such as these often do not adequately replace the original and therefore the original records may not be destroyed as “input records.”

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Transitory records.

Records required only for a short time (generally less than 180 days) and that are not required to

meet legal or fiscal obligations, or to initiate, sustain, evaluate, or provide evidence of decision-

making. Records include, but are not limited to:

• messages coordinating schedules, appointments, and events

• transmittal documents such as e-mail, letters, cover memos, and facsimile cover sheets that do

not provide evidence of approval, concurrence, or decision-making, or include substantive

comments

• received copies of circulated internal information such as agency instructions, notifications,

circulars, newsletters, and email blasts to employees

• messages received from agency distribution lists or listservs

•

“to-do” or task lists and assignments

Temporary. Destroy when

no longer needed for

business use, or according

to agency predetermined

time period or business rule.

DAA-GRS-

2017-0003-

0001

020

Intermediary records.

Records of an intermediary nature, meaning that they are created or used in the process of

creating a subsequent record. To qualify as an intermediary record, the record must also not be

required to meet legal or fiscal obligations, or to initiate, sustain, evaluate, or provide evidence of

decision-making. Records include:

• non-substantive working files: collected and created materials not coordinated or disseminated

outside the unit of origin that do not contain information documenting significant policy

development, action, or decision making. These working papers do not result directly in a final

product or an approved finished report. Included are such materials as rough notes and

Temporary. Destroy upon

verification of successful

creation of the final

document or file, or when

no longer needed for

business use, whichever is

later.

DAA-GRS-

2017-0003-

0002

Last updated in Transmittal No. 28 General Records Schedule 5.2

July 2017

calculations and preliminary drafts produced solely for proof reading or internal discussion,

reference, or consultation, and associated transmittals, notes, reference, and background

materials.

• audio and video recordings of meetings that have been fully transcribed or that were created

explicitly for the purpose of creating detailed meeting minutes (once the minutes are created)

• dictation recordings

• input or source records, which agencies create in the routine process of creating, maintaining,

updating, or using electronic information systems and which have no value beyond the input or

output transaction:

o hardcopy input source documents where all information on the document is incorporated in

an electronic system (See Exclusion 1 and Note 1)

o electronic input source records such as transaction files or intermediate input/output files

• ad hoc reports, including queries on electronic systems, whether used for one-time reference or

to create a subsequent report

• data files output from electronic systems, created for the purpose of information sharing or

reference (see Exclusion 2)

Exclusion 1: This item does not allow destruction of original hardcopy still pictures, graphic

materials or posters, aerial film, maps, plans, charts, sound recordings, motion picture film, or

video recordings once they are digitized. Agencies must follow agency-specific schedules for these

records. If the records are unscheduled, the agency must submit a schedule for them.

Exclusion 2: This item does not include the following data output files (agencies must follow

agency-specific schedules for these records, except for the final bullet, which the GRS covers in

another schedule):

• files created only for public access purposes

• summarized information from unscheduled electronic records or inaccessible permanent

records

• data extracts produced by a process that results in the content of the file being significantly

different from the source records. In other words, the process effectively creates a new

database file significantly different from the original

• data extracts containing Personally Identifiable Information (PII). Such records require

additional tracking and fall under GRS 4.2, item 130 (DAA-GRS-2013-0007-0012)

Last updated in Transmittal No. 28 General Records Schedule 5.2

July 2017

Note 1: An agency must submit a notification to NARA per 36 CFR 1225.24(a)(1) prior to destroying

hardcopy input records previously scheduled as permanent. An agency must schedule the

electronic version of unscheduled hardcopy input records prior to destroying the input record.

Legal citations: 36 CFR 1225.22 (h)(2); 36 CFR 1225.24 (a)(1)

Last updated in Transmittal No. 32 General Records Schedule 5.3

March 2022

GENERAL RECORDS SCHEDULE 5.3: Continuity and Emergency Planning Records

This schedule covers records related to federal agency internal emergency planning to protect people, government facilities, equipment, and records; safeguard

classified or controlled unclassified information; ensure continuity of agency operations in the face of potential natural and man-made disasters; and facilitate

timely recovery and return to normal agency operations once the emergency or disaster has passed.

Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition

instructions in this schedule.

This schedule does not include the following:

• external emergency planning records related to providing emergency response and recovery services to the public

• records related to high-level Government-wide Continuity of Government (COG) planning

• emergency response planning related to mission activities in the agency, e.g. NASA emergency plans for when a rocket explodes

• records related to a national disaster or incident response

These records may be of permanent value and must be scheduled on an agency-specific records schedule.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Continuity planning and related emergency planning files.

Records may include:

• records on continuity and emergency planning administrative and operational activities:

o briefing materials and presentations

o status reports

o informational papers

o files documenting policy or plan development, including policy studies

o procedures, operational manuals, and related development records

o implementation guidance

o related correspondence

o Memorandum (s) of Understanding

o Delegations of Authority/Orders of Succession

• continuity plans or directives and supporting documentation, including but not limited to:

o Continuity of Operations (COOP) plans

o Devolution Plans

Temporary. Destroy

when 3 years old or 3

years after superseded

or obsolete, whichever is

applicable, but longer

retention is authorized if

required for business

use.

DAA-GRS-

2016-0004-

0001

Last updated in Transmittal No. 32 General Records Schedule 5.3

March 2022

Item

Records Description

Disposition Instruction

Disposition

Authority

o Occupant Emergency Plans (OEP)

o Emergency Action Plans (EAP)

o Facility Emergency Action Plans (FEAPS)

o Records Emergency Plans (REMT)

o Disaster Recovery Plans (DRP)

o Pandemic Influenza Plans

• records on continuity or emergency tests or exercises, such as:

o instructions to members participating in tests

o staffing assignments

o records of tests of communications and facilities

• evaluative reports on continuity or emergency tests or exercises, such as:

o result reports

o readiness reports

o risk and vulnerability assessments

o site evaluations and inspections

o corrective action plans

o after action reports/improvement plans

Note 1: Continuity or emergency plans that are acted upon in the event of a national emergency may be

of permanent value. If an agency has such records that document response to significant events, it may

submit a records schedule for NARA review. If an agency believes its continuity records generally

warrant permanent retention, it must submit a records schedule to NARA to cover these records.

Note 2: Records on employee training for COOP are scheduled in GRS 2.6. Records on essential records

management are scheduled in GRS 4.1.

Exclusion 1: This item does not include incident response records. These records may be of permanent

value and should be scheduled by an agency-specific records schedule approved by NARA.

Exclusion 2: This item does not include high-level Government-wide Continuity of Government (COG)

records, although it can cover agency specific COG records.

Last updated in Transmittal No. 32 General Records Schedule 5.3

March 2022

100

Item

Records Description

Disposition Instruction

Disposition

Authority

Exclusion 3: This item does not include the records of high-level officials (Capstone officials) as defined

in GRS 6.1, item 010, or emergency plans that are part of a series of directives. Emergency plans issued

as directives should be disposed of according to the disposition authority for agency directives.

020

Employee emergency contact information.

Records used to account for and maintain communication with personnel during emergencies, office

dismissal, and closure situations. Records include name and emergency contact information such as

phone numbers or addresses. Records may also include other information on employees such as

responsibilities assigned to the individual during an emergency situation.

Exclusion: This item does not include employee directories that contain information about where

employees are located in facilities and work phone numbers (covered under GRS 5.5, item 020).

Temporary. Destroy

when superseded or

obsolete, or upon

separation or transfer of

employee.

DAA-GRS-

2016-0004-

0002

Last updated in Transmittal No. 31 General Records Schedule 5.4

April 2020

101

GENERAL RECORDS SCHEDULE 5.4: Facility, Equipment, Vehicle, Property, and Supply Records

This schedule covers records Federal agencies create and receive while managing, operating, and maintaining Government-owned and -leased real property,

facilities, equipment, vehicles (land, water and air), personal property, and supplies. This includes allocating space and managing supply stock.

Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition

instructions in this schedule.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Facility, space, vehicle, equipment, stock, and supply administrative and operational records.

Records relating to administering and operating facilities, spaces, 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

• 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 1: Records of aircraft operations (item 110 in this schedule covers these).

Exclusion 2: Records of supply and property procurement (GRS 1.1, item 010 covers these).

Exclusion 3: Requisition and supply records of the General Services Administration’s GSA Global Supply

program and Defense Logistics Agency records on military supply provision (supply is these agencies’

mission so they must schedule the records separately).

Temporary. Destroy

when 3 years old or 3

years after superseded, as

appropriate, but longer

retention is authorized if

required for business use.

DAA-GRS-

2016-0011-

0001

Last updated in Transmittal No. 31 General Records Schedule 5.4

April 2020

102

Item

Records Description

Disposition Instruction

Disposition

Authority

Ownership

020

Real property ownership records.

Abstract or certificate of title documenting Federal real property ownership, surveys, easements,

rights-of-way, and chain of title for property the Government acquired after December 31, 1920, by

purchase, condemnation, donation, exchange, or otherwise.

Exclusion 1: Records relating to property acquired prior to January 1, 1921 (agencies must schedule

these separately).

Exclusion 2: Reports of Excess Real Property (Standard Form 118) and associated real property case

files (agencies must schedule these separately).

Temporary. Transfer to

new owner after

unconditional sale or

Government release of

conditions, restrictions,

mortgages, or other liens.

DAA-GRS-

2016-0011-

0002

030

Vehicle and equipment ownership records and operation manuals.

Vehicle and equipment identification, registration, and warranty records. Also manuals and similar

documentation, whether produced locally or by the manufacturer.

Temporary. Transfer

with vehicle or item to

new owner or destroy

when item is excessed, as

appropriate.

DAA-GRS-

2016-0011-

0003

040

Excess personal property, equipment, and vehicle records.

Records agencies create when disposing of excess or surplus personal property by sale, donation, or

destruction. Includes:

• excess property inventories and lists

• lists and other records identifying approved receivers of excess property

• donation receipts

• destruction certificates

• documentation of vehicle transfer by sale, donation, or exchange, including Standard Form 97,

United States Government Certificate to Obtain Title to a Motor Vehicle

• related correspondence

Exclusion: Records documenting financial management of surplus property disposal by sale (GRS

1.1, item 010 covers these).

Temporary. Destroy

when 3 years old, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0011-

0004

Last updated in Transmittal No. 31 General Records Schedule 5.4

April 2020

103

Item

Records Description

Disposition Instruction

Disposition

Authority

Facilities and equipment

050

Facility design, engineering, and construction records.

Architectural and engineering drawings and other

design and construction records of buildings and

structures not critical to agency mission, including

office buildings, storage sheds, parking lots,

maintenance shops, and service structures.

Includes:

• site maps and surveys

• plot plans

• structural drawings

• architectural renderings

• electricity, plumbing, communication services,

and heating/ventilation/air conditioning (HVAC)

drawings

• exterior delivery of utilities drawings

• materials plans and drawings

• minor routine part drawings such as fasteners,

nuts, bolts, wires, screws, nails, pipe fittings,

brackets, struts, plates, and beams

• construction progress photographs

• construction inspection reports

• equipment location plans

• paint plans and samples

• furniture design and layout drawings and plans

• space occupancy plans

Exclusion 1: Records documenting financial

management of construction contracts (GRS 1.1,

item 010 covers these).

Draft, preliminary, intermediate, working, and

contract negotiation drawings.

Temporary. Destroy

when superseded, or

when project terminates,

as appropriate.

DAA-GRS-

2016-0011-

0005

051

Final and as-built drawings, plans, and

designs; and all other records.

Temporary. Destroy

when superseded, or

transfer to new owner, or

destroy when structure is

removed from Federal

inventory, as appropriate.

DAA-GRS-

2016-0011-

0006

Last updated in Transmittal No. 31 General Records Schedule 5.4

April 2020

104

Item

Records Description

Disposition Instruction

Disposition

Authority

Exclusion 2: Records documenting buildings

deemed historically, architecturally, or

technologically significant (agencies must schedule

these because they may be of permanent value).

060

Facility design, engineering, and construction operations records.

Records documenting operational support of facility design, engineering, and construction projects.

Includes:

• project requests and approvals

• meeting agendas, minutes, and other records

• budget and cost working files

• task, punch, and action item lists

• work logs

• progress reports and presentation materials

•

related correspondence and notes

Temporary. Destroy 5

years after project

completion or

termination, but longer

retention is authorized if

required for business use.

DAA-GRS-

2016-0011-

0007

070

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 work orders, requisitions, and related papers

• maintenance and inspection logs and reports

• job orders, service call records, action sheets, and repair logs

• work, shop, or job schedules

Note 1: Agencies that contract out facility management may wish to retain

records longer than this item’s disposition instruction to document contract

performance.

Note 2: Agencies must offer any records created prior to January 1, 1939,

to the National Archives and Records Administration (NARA) before

applying this disposition authority.

Records documenting

facility structure and

long-term

maintenance.

Temporary. Destroy

when 3 years old, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0011-

0008

071

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.

DAA-GRS-

2016-0011-

0009

Last updated in Transmittal No. 31 General Records Schedule 5.4

April 2020

105

Item

Records Description

Disposition Instruction

Disposition

Authority

Exclusion: Records agencies hold to document expenditure of

appropriated or non-appropriated funds (GRS 1.1, item 010 covers these).

080

Housing rental and lease records.

Applications, leases, renewals, assignments, termination notices, and related documents regarding

Federally owned and operated housing facilities.

Temporary. Destroy 3

years after lease

termination, lapse,

reassignment, rejection of

application, cancellation

of lease, or conclusion of

litigation, as applicable.

DAA-GRS-

2016-0011-

0010

Vehicle maintenance and inspection records

090

Land vehicle and water vessel inspection, maintenance, and service records.

Records documenting inspection, maintenance, service, and repair activities relating to land vehicles

and watercraft. Includes:

• work orders, service and repair requisitions, and logs

• descriptions of provided service and repair, and related papers

Exclusion: Records agencies hold to document expenditure of appropriated or non-appropriated funds

(GRS 1.1, item 010 covers these).

Temporary. Destroy

when 3 years old, but

longer retention is

authorized if required for

business use. Transfer of

extant records to new

owner at sale or donation

is authorized.

DAA-GRS-

2016-0011-

0011

100

Aircraft inspection, maintenance, and modification records.

Records documenting general maintenance and inspection of and modifications to aircraft, aircraft

components, engines, propellers, instruments, and accessories regarding:

• servicing, manufacturing, rebuilding and testing equipment

• classifying material’s condition status

• preventive maintenance

• aircraft or equipment configuration and material alteration

• logistics services

Includes records such as:

Temporary. Destroy 6

years after disposing of

aircraft or removing

equipment from

inventory, but longer

retention is authorized if

required for business use.

DAA-GRS-

2016-0011-

0013

Last updated in Transmittal No. 31 General Records Schedule 5.4

April 2020

106

Item

Records Description

Disposition Instruction

Disposition

Authority

• technical and non-technical correspondence

• maintenance manuals

• documentation of mechanical defects and evidence of repair

• annotated manuals or manuals different from those the manufacturer issued

• bulletins directing specific inspections and records of action

• logbooks

• diagnostic checkouts

• spot check inspections

• maintenance requests

Exclusion 1: Maintenance manuals of unique or customized aircraft must be scheduled by the agency.

Exclusion 2: Records of the Air Force, Navy, Army, and Federal Aviation Administration must be

scheduled by those agencies.

Vehicle and equipment operations and use records

110

Vehicle and heavy equipment operator records.

Records of individual employee operation of Government-owned vehicles and equipment, including

tests, certifications, use authorization, safe driving/use awards, and related records.

Exclusion: Records of operating vehicles and equipment specifically designed for military use (the

agency must schedule these).

Temporary. Destroy 3

years after separation of

employee or 3 years after

rescission of

authorization to operate

vehicles or equipment,

whichever is sooner.

DAA-GRS-

2016-0011-

0014

120

Aircraft flight operations records.

Records of day-to-day aircraft operations documenting flight requests, departures, takeoffs,

destinations, and passengers; flight orders; flight plans; load manifests; dispatch releases; flight logs;

and similar records.

Exclusion: Records of the Air Force, Navy, Army, and Federal Aviation Administration must be

scheduled by those agencies.

Temporary. Destroy

when 3 years old, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0011-

0015

Last updated in Transmittal No. 31 General Records Schedule 5.4

April 2020

107

Item

Records Description

Disposition Instruction

Disposition

Authority

130

Aircraft operational support records.

Records documenting logistical support to flying activities, such as furnishing supplies, equipment,

administrative assistance, and other needed logistics services. Includes:

• comments on regulations

• directives and other records regarding logistics

• management improvement reports

• cost reduction reports

• requests for substantive information regarding logistics

•

aircraft inventories

Temporary. Destroy

when 6 years old, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0011-

0016

140

Vehicle and vessel accident and incident records.

Records about vehicle and vessel accidents—land, water, and air—that vehicle management offices

maintain, including:

• Standard Form 91, Motor Vehicle Accident Report

• Standard Form 94, Statement of Witness

• Standard Form 95, Claim for Damage, Injury, or Death

• copies of investigative reports (see Exclusion for original investigative reports)

Exclusion: Original formal accident and incident investigation records (covered under GRS 5.6).

Temporary. Destroy 3

years after case is closed,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0011-

0017

Last updated in Transmittal No. 31 General Records Schedule 5.5

April 2020

108

GENERAL RECORDS SCHEDULE 5.5:

Mail, Printing, and Telecommunication Service Management Records

This schedule covers records related to:

• organizing, planning, administering, controlling, and overseeing agency communications it sends and receives through any mail, messenger, courier, or

shipping service

• administering and using all landline and mobile telecommunication equipment and devices that transmit and receive UHF, VHF, short-wave, satellite,

and other radio frequencies

• administering printing/binding/duplicating services

Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition

instructions in this schedule.

This schedule specifically excludes certain records from coverage:

• objects relayed by any delivery system: hard copy mail, packages, and messages the agency sends or receives by telephone, email, text, or radio (the

agency must schedule these according to the item’s subject matter content)

• records documenting agency contracts with shipping, delivery, and telecommunication services (covered under GRS 1.1, item 010)

• information technology (IT) records (covered under GRS 3.1)

• unique agency publications produced by a printing service (the publishing agency must schedule these records)

• records documenting agency programs that provide printing services (e.g. the Government Printing Office and the Bureau of Engraving and Printing) and

radio/broadcasting services (e.g. the Armed Forces Radio and Television Service) (those agencies must schedule these records)

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Mail, printing, and telecommunication services administrative and operational records.

Records of internal mail room, printing/duplication services, and radio/telecommunication services

administration and operation. Includes:

• agreements and related background data and other records regarding mail, printing,

telecommunication, and radio services, the agency retains for administrative (not fiscal) use

• records that document acquiring, installing, changing, removing, and servicing mail, printing,

telecommunication, and radio service equipment

Temporary. Destroy

when 3 years old, or 3

years after applicable

agreement expires or is

cancelled, as appropriate,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0012-

0001

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April 2020

109

Item

Records Description

Disposition Instruction

Disposition

Authority

• telephone and mobile device use records with details on call origin/destination, date, time, duration,

downloads, messaging, cost, and other data

• records documenting allocation, distribution, and use of telephone calling cards

• statistical reports on mail and package shipment volume and costs

• related correspondence

Exclusion: Agreements used to support payment vouchers (GRS 1.1, item 010 covers these)

020

Mail, printing, and telecommunication services control records.

Records of general day-to-day communication service administration and specific transmission tracking.

Includes:

• records that track shipment, routing, registration, certification, declared value, insurance, and

receipt of incoming and outgoing mail, including overnight, express, special delivery, and specially

tracked packages

• messenger and courier service logs, assignment records and instructions, dispatch records, delivery

receipts, route schedules, and related records documenting messenger and courier service activity

• reports of loss, rifling, delayed or late delivery, wrong delivery, or other improper mail treatment

• records that document requisitioning and receiving stamps and postage meter balances

• documentation and tracking to intended destination of valuables (e.g. checks, cash, stamps, money

orders, etc.) the agency receives by mail or private delivery/messenger

• staff and office directories the agency uses to ensure correct mail and package delivery

• printing requisitions, work orders, samples, manuscript clearances, and related documents

• mailing and contact lists a mailroom or similar office manages

• telephone message registers and logs

Exclusion 1: United States Postal Service records tracking shipment, etc. (first bullet) and reports of

loss, etc. (third bullet). USPS must schedule these separately.

Exclusion 2: Requisitions used to support payment vouchers (GRS 1.1, item 010 covers these)

Exclusion 3: Mailing lists for public distribution of material (GRS 6.5, item 020 covers these)

Temporary. Destroy

when 1 year old or when

superseded or obsolete,

whichever is applicable,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0012-

0002

Last updated in Transmittal No. 31 General Records Schedule 5.5

April 2020

110

Item

Records Description

Disposition Instruction

Disposition

Authority

030

Metered mail records.

Official metered mail reports such as GSA-1390A, “Quarterly Postage Mail Report / Record of

Accountable Metered Mail Report,” and all related papers.

Temporary. Destroy

when 6 years old, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0012-

0003

040

Lost, destroyed, or damaged shipment records.

Records documenting shipment of valuables under the Government Losses in Shipment Act, including

consignee and carrier identification; shipment description; value or replacement value declaration, and

registry or lock number; date and time of delivery; registry and carrier receipts; shipment notice;

shipment inspection; report of loss, destruction, or damage; and claim for replacement.

Temporary. Destroy

when 6 years old, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2016-0012-

0004

Last updated in Transmittal No. 32 General Records Schedule 5.6

March 2022

111

GENERAL RECORDS SCHEDULE 5.6: Security Management Records

Security Management involves the physical protection of an organization’s personnel, assets, and facilities (including security clearance management). Activities

include: security operations for protecting agency facilities, staff, and property; managing personnel security; and insider threat protection.

Conditions and Exclusions

The following conditions and exclusions apply to all disposition authorities in this schedule.

1. Agencies must offer any records covered by this schedule that were created prior to January 1, 1921, to the National Archives and Records

Administration (NARA) before applying disposition instructions in this schedule, except records covered by items 120 and 130. Agencies must offer

records covered by items 120 and 130 to the National Archives if they were created prior to January 1, 1939.

2. This schedule does not apply to records related to federal law enforcement activities and federal correctional activities (including records about their

uniforms and equipment, body camera records, criminal surveillance records, records on accidents or incidents in incarceration or detention facilities,

etc). Law enforcement and correctional functions differ from security functions and include border and transportation security and immigration and

naturalization services. For additional description of these activities, see the FAQs for GRS 5.6. Agencies engaging in these activities must schedule such

records on agency-specific schedules.

3. This schedule does not apply to records related to securing data and information systems. GRS 3.2, Information Systems Security Records, covers such

records.

4. This schedule does not apply to records about protecting and accessing information. GRS 4.2, Information Access and Protection Records, covers such

records.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Security management administrative records.

Records about routine facility security, protective services, and personnel security program

administration not covered elsewhere in this schedule. Includes:

● administrative correspondence

● reports, including status reports on cleared individuals

● staffing level and work planning assessments, such as guard assignment records

● administrative subject files

Temporary. Destroy when

3 years old, but longer

retention is authorized if

required for business use.

DAA-GRS-

2021-0001-

0001

020

Key and card access accountability records.

Records accounting for keys and electronic

access cards.

Areas requiring highest level security awareness.

Includes areas designated by the Interagency

Security Committee as Facility Security Level V.

Temporary. Destroy 3

years after return of key,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2017-0006-

0002

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March 2022

112

Item

Records Description

Disposition Instruction

Disposition

Authority

021

All other facility security areas.

Includes areas designated by the Interagency

Security Committee as Facility Security Levels I

through IV.

Temporary. Destroy 6

months after return of key,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2017-0006-

0003

030

Security uniform and equipment tracking records.

Records tracking uniforms and equipment issued to security management personnel, including:

● firearms (type, serial number, manufacturer, caliber, firearm registration date, storage location data,

etc.)

● communication devices issued to security personnel, such as mobile radios and walkie-talkies

● body armor such as bullet-proof vests

● police baton and holder

● handcuffs and keys

Exclusion: Does not apply to uniform and equipment tracking records for federal law enforcement and

correctional officers. federal law enforcement includes border and transportation security and

immigration and naturalization services.

Temporary. Destroy 3

months after return of

equipment, but longer

retention is authorized if

required for business use.

DAA-GRS-

2021-0001-

0002

040

Property pass records.

Records authorizing removal of government and privately owned property or materials off premises

owned or leased by the federal government. Also includes hand receipts when used by staff to

physically remove property.

Temporary. Destroy 3

months after expiration or

revocation, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0006-

0005

050

Records of credit card abuse and postal irregularities.

Records about irregularities in handling mail and improper use or misuse of telephone calling cards and

government charge or purchase cards. Includes:

● postal irregularities reports, such as loss or shortage of postage stamps or money orders, or loss or

destruction of mail

● semi-annual reports on government charge card violations

Exclusion: Mail service records; covered under GRS 5.5, Mail, Printing, and Telecommunication Service

Management Records, item 020.

Temporary. Destroy 3

years after completion of

investigation or when 3

years old, whichever is

later, but longer retention

is authorized if required for

business use.

DAA-GRS-

2017-0006-

0006

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113

Item

Records Description

Disposition Instruction

Disposition

Authority

060

Unclaimed personal property records.

Records accounting for non-government, personally

owned property lost, abandoned, unclaimed, or believed

stolen on premises owned or leased by the federal

government. Includes:

● lost-and-found logs and release forms

● loss statements

● receipts

● reports

Records for property valued over $500.

Legal Citation: 41 CFR 102

-41.130

Temporary. Destroy when

3 years old or 3 years after

the date title to the

property vests in the

government, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0006-

0007

061

Records for property valued at $500 or

less.

Legal citation: 41 CFR 102-41.130

Temporary. Destroy 30

days after the property is

found, but longer retention

is authorized if required for

business use.

DAA-GRS-

2017-0006-

0008

Facility and physical security records.

070

Interagency Security Committee member records.

Records are agency copies of committee records documenting the administration, operation, and

decisions of the committee. Includes:

● agendas

● meeting minutes

● best practice and standards documents

● funding documents for security countermeasures

Exclusion: Records documenting the committee's establishment, organization, policy, membership,

meetings, findings, recommendations, and accomplishments maintained by the Department of

Homeland Security (DHS). DHS covers these records under an agency-specific schedule.

Temporary. Destroy when

10 years old, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0006-

0009

080

Facility security assessment records.

Surveys and inspections of security and safety

measures at government or privately owned

facilities assigned a security awareness status

by government agencies. Includes:

● facility notes

● inspector notes and reports

Areas requiring highest level security awareness.

Includes areas designated by the Interagency

Security Committee as Facility Security Level V.

Temporary. Destroy 5

years after updating the

security assessment or

terminating the security

awareness status,

whichever is sooner, but

longer retention is

DAA-GRS-

2017-0006-

0010

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114

Item

Records Description

Disposition Instruction

Disposition

Authority

● vulnerability assessments

authorized if required for

business use.

081

All other facility security areas.

Includes areas designated by the Interagency

Security Committee as Facility Security Levels I

through IV.

Temporary. Destroy 3

years after updating the

security assessment or

terminating the security

awareness status,

whichever is sooner, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2017-0006-

0011

090

Facility security management operations records.

Records about detecting potential security risks, threats, or prohibited items carried onto federal

property or impacting assets, including records documenting access control, screening, patrol and

response, and control center operations. Includes:

● control center key or code records

● registers of patrol and alarm services

● service reports on interruptions and tests

● emergency alarm contact call lists

● temporary identification cards

● correspondence or lists of facility occupants authorized to

enter with a prohibited or controlled item

on an identified date

● round and perimeter check reports, including facility patrol tour data

● surveillance records that do not document accidents or incidents

o recordings of protective mobile radio transmissions

o video surveillance recordings

o closed circuit television (CCTV) records

● door slip summaries

Exclusions:

The following records are excluded and must be scheduled on agency-specific schedules:

Temporary. Destroy when

30 days old, but longer

retention is authorized if

required for business use.

DAA-GRS-

2021-0001-

0003

Last updated in Transmittal No. 32 General Records Schedule 5.6

March 2022

115

Item

Records Description

Disposition Instruction

Disposition

Authority

1. Records related to federal law enforcement and federal correctional activities, such as body camera

recordings and criminal surveillance records. federal law enforcement includes border and

transportation security and immigration and naturalization services.

2. Records related to accident or incident investigations (see note 1 below). Surveillance recordings

that include accidents or incidents may be destroyed using this disposition authority provided a

copy is retained in the accident or incident investigation records.

Notes:

1. Item 100 covers records of accidents and incidents.

2. Items 110 and 111 cover records of visitor processing.

100

Accident and incident records.

Records documenting accidents and incidents occurring on, in, or at government-owned or -leased

facilities, vehicles (land, water, and air), and property used by federal agencies. Includes:

● statements of witnesses

● warning notices

● records about arrests, commitments, and traffic violations

● accident and incident reports

● law enforcement agency requests for information

Exclusions:

1. Records of the Federal Aviation Administration (FAA) and the National Transportation Safety Board

(NTSB) relating to aircraft used by federal agencies, including leased aircraft used by federal

agencies. The FAA and NTSB cover these records under agency-specific schedules.

2. Records related to federal law enforcement and federal correctional activities. Federal law

enforcement includes border and transportation security and immigration and naturalization

services. Agencies that create these records must schedule them on agency-specific schedules.

3. Records of accidents or incidents in federal facilities involved in incarcerating or detaining

individuals. Agencies that create these records must schedule them on agency-specific schedules.

4. Workers’ compensation (personnel injury compensation) records. GRS 2.4, Employee

Compensation and Benefits Records, items 100 and 101, covers these records.

5. Records that vehicle management offices maintain about vehicle and vessel accidents—land, water,

and air. GRS 5.4, Facility, Equipment, Vehicle, Property, and Supply Records, item 140, covers these

records.

Temporary. Destroy 3

years after final

investigation or reporting

action or when 3 years old,

whichever is later, but

longer retention is

authorized for business

use.

DAA-GRS-

2021-0001-

0004

Last updated in Transmittal No. 32 General Records Schedule 5.6

March 2022

116

Item

Records Description

Disposition Instruction

Disposition

Authority

110

Visitor processing records.

Registers or logs recording names of outside

contractors, service personnel, foreign national and

other visitors, employees admitted to areas, and

reports on vehicles and passengers.

Note: GRS 4.2, Information Access and Protection

Records, item 030, covers requests and authorizations

for individuals to have access to classified files.

Areas requiring highest level security

awareness.

Includes areas designated by the

Interagency Security Committee as Facility

Security Level V.

Temporary. Destroy when

5 years old, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0006-

0014

111

All other facility security areas.

Includes areas designated by the

Interagency Security Committee as Facility

Security Levels I through IV.

Temporary. Destroy when

2 years old, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0006-

0015

120

Personal identification credentials and cards.

Records about credential badges (such as

smart cards) that are (1) based on the HSPD-

12 standards for identification cards issued to

federal employees, contractors, and affiliates,

and (2) used to verify the identity of

individuals seeking physical access to

federally controlled government facilities,

and logical access to government information

systems. Also referred to as Common Access

Cards (CAC) cards, Personal Identity

Verification (PIV) cards, and Homeland

Security Presidential Directive 12 (HSPD-12)

credentials.

Exclusion: Records of certain classes of

government employee identification cards,

such as those covered under special-risk

security provisions or 44 U.S.C. Section 3542.

Agencies must schedule these records on

agency-specific schedules.

Application and activation records.

Applications and supporting documentation, such

as chain-of-trust records, for identification

credentials. Includes:

● application for identification card

● a log of activities that documents who took the

action, what action was taken, when and where

the action took place, and what data was

collected

● lost or stolen credential documentation or police

report

Note 1: Agencies must offer any records created

prior to January 1, 1939, to the National Archives

and Records Administration (NARA) before applying

this disposition authority.

Note 2: GRS 3.2, Information Systems Security

Records, covers applications for access to

information systems.

Temporary. Destroy 6

years after the end of an

employee or contractor’s

tenure, but longer

retention is authorized if

required for business use.

DAA-GRS-

2021-0001-

0005

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117

Item

Records Description

Disposition Instruction

Disposition

Authority

121

Cards.

Temporary. Destroy after

expiration, confiscation, or

return.

DAA-GRS-

2017-0006-

0017

130

Temporary and local facility identification and card access records.

Temporary employee, contractor, and occasional visitor facility and network identification access card

and identity management system records. Identification verification credentials issued by facility or

building managers to provide local verification credentials and cards issued by facility or building

managers to provide local identification and access. Includes:

● temporary identification cards issued to temporary employees, contractors, and occasional visitors

who do not meet the FIPS 201 Standard requirements for PIV issuance

● supplemental cards issued to access elevators

● personnel identification records stored in an identity management system for temporary card

issuance

● parking permits

Note: Agencies must offer any records created prior to January 1, 1939, to the National Archives and

Records Administration (NARA) before applying this disposition authority.

Temporary. Destroy upon

immediate collection once

the temporary credential

or card is returned for

potential reissuance due to

nearing expiration or not

to exceed 6 months from

time of issuance or when

individual no longer

requires access, whichever

is sooner, but longer

retention is authorized if

required for business use.

DAA-GRS-

2021-0001-

0006

140

Sensitive Compartmented Information Facility (SCIF) accreditation records.

Physical security plans for SCIF construction, expansion, or modification. Includes:

● initial Fixed Facility Checklist

● pre-accreditation inspection report

● Construction Security Plan (CSP)

● TEMPEST Checklist

Temporary. Destroy when

SCIF receives final

accreditation, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0006-

0019

150

Sensitive Compartmented Information Facility (SCIF) inspection records.

Inspection records required by Intelligence Community Directive (ICD) 705. Includes:

● Fixed Facility Checklists

● accreditation authorization documents

● inspection reports, including Technical Surveillance Counter Measures (TCSM) reports, for the entire

period of SCIF accreditation

● operating procedures

● Special Security Officer/Contractor Special Security Officer (SSO/CSSO) appointment letters

● memoranda of agreements (MOAs)

● Emergency Action Plans

Temporary. Destroy when

5 years old or after SCIF

has been de-accredited for

at least one year,

whichever occurs sooner,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2017-0006-

0020

Last updated in Transmittal No. 32 General Records Schedule 5.6

March 2022

118

Item

Records Description

Disposition Instruction

Disposition

Authority

● copies of any waivers granted by the Cognizant Security Authority (CSA)

● co-utilization approvals

160

Canine (K-9) service records.

Records documenting acquisition, training, activities, care, and retirement of canine partners. Includes:

● acquisition records

● breeder and lineage records

● vaccination and medical history records

● microchip number and identification records

● deficiencies/remedies

● training courses taken and resulting grades and certifications

● initial report of positive detections and bite incidents

● end-of-service documentation (through retirement or death

Temporary. Destroy when

superseded or obsolete,

or 3 years after dog is

released from service,

whichever is sooner, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2017-0006-

0021

Personnel security records.

170

Personnel security investigative reports.

Investigative reports and related documents

agencies create or use to support initial

favorable eligibility determinations, fitness

determinations, and periodic

reinvestigations, or to implement a

continuous evaluation program.

Personnel suitability and eligibility investigative

reports.

Temporary. Destroy in

accordance with the

investigating agency

instruction.

DAA-GRS-

2017-0006-

0022

171

Reports and records created by agencies conducting

investigations under delegated investigative authority.

Temporary. Destroy in

accordance with delegated

authority agreement or

memorandum of

understanding.

DAA-GRS-

2017-0006-

0023

180

Personnel security and access clearance records.

Records about security clearances, and other clearances for

access to government facilities or to controlled unclassified

information, created to support initial favorable eligibility

determinations, periodic reinvestigations, or to implement a

continuous evaluation program. Includes:

● questionnaires

Records of people not issued

clearances.

Includes case files of applicants not

hired.

Exclusion: Copies of investigative

reports covered in items 170 and

171.

Temporary. Destroy 1 year

after consideration of the

candidate ends, but longer

retention is authorized if

required for business use.

DAA-GRS-

2021-0001-

0007

Last updated in Transmittal No. 32 General Records Schedule 5.6

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119

Item

Records Description

Disposition Instruction

Disposition

Authority

181

● summaries of reports prepared by the investigating

agency

● documentation of agency adjudication process and final

determination

Note: GRS 3.2, Information Systems Security Records, items

030 and 031, covers Information system access records.

Records of people issued clearances.

Exclusion: Copies of investigative

reports covered in items 170 and

171.

Temporary. Destroy 5

years after employee or

contractor relationship

ends, but longer retention

is authorized if required for

business use.

DAA-GRS-

2021-0001-

0008

190

Index to the personnel security case files.

Lists or reports showing the current security clearance status of individuals.

Temporary. Destroy when

superseded or obsolete.

DAA-GRS-

2017-0006-

0026

200

Information security violations records.

Case files about investigating alleged violations of executive orders, laws, or agency regulations on

safeguarding national security information. Includes allegations referred to the Department of Justice

or Department of Defense. Includes final reports and products.

Exclusion 1: Documents placed in Official Personnel Folders. GRS 2.2, Employee Management Records

covers these records.

Exclusion 2: Records of any subsequent investigations are covered under agency-specific schedules,

such as Office of the Inspector General schedules.

Temporary. Destroy 5

years after close of case or

final action, whichever

occurs sooner, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0006-

0027

Insider threat records.

210

Insider threat administrative and operations records.

Records about insider threat program and program activities. Includes:

● correspondence related to data gathering

● briefing materials and presentations

● status reports

● procedures, operational manuals, and related development records

● implementation guidance

● periodic inventory of all information, files, and systems owned

● plans or directives and supporting documentation, such as:

o independent and self-assessments

Temporary. Destroy when

7 years old, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0006-

0028

Last updated in Transmittal No. 32 General Records Schedule 5.6

March 2022

120

Item

Records Description

Disposition Instruction

Disposition

Authority

o corrective action plans

o evaluative reports

Note: GRS 2.6, Employee Training Records, covers records on mandatory employee training about

insider threats.

220

Insider threat inquiry records.

Records about insider threat program inquiries initiated or triggered due to derogatory information or

occurrence of an anomalous incident. Includes initiated and final reports, referrals, and associated data

sets.

Exclusion: Records of any subsequent investigations are covered under agency-specific schedules, such

as Office of the Inspector General schedules.

Temporary. Destroy 25

years after close of inquiry,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2017-0006-

0029

230

Insider threat information.

Data collected and maintained by insider threat programs undertaking analytic and risk-based data

collection activities to implement insider threat directives and standards. Includes, but is not limited to:

● Counterintelligence and security information

o personnel security files

o polygraph examination reports

o facility access records, including visitor records

o security violation files

o travel records

o foreign contact reports

o financial disclosure filings

o referral records

o intelligence records

● Information assurance information

o personnel usernames and aliases

o levels of network access

o levels of physical access

o enterprise audit data which is user attributable

o unauthorized use of removable media

o print logs

● Human resources information

Temporary. Destroy when

25 years old, but longer

retention is authorized if

required for business use.

DAA-GRS-

2017-0006-

0030

Last updated in Transmittal No. 32 General Records Schedule 5.6

March 2022

121

Item

Records Description

Disposition Instruction

Disposition

Authority

o personnel files

o payroll and voucher files

o outside work and activities requests

o disciplinary files

o personal contact records

o medical records/data

● Investigatory and law enforcement information

o statements of complainants, informants, suspects, and witnesses

o agency, bureau, or department data

● Public information

o court records

o private industry data

o personal biographical and identification data, including U.S. Government name check data

o generic open source and social media data

Exclusion: Case files of any subsequent investigations are covered under agency-specific schedules,

such as Office of the Inspector General schedules.

240

Insider threat user activity monitoring (UAM) data.

User attributable data collected to monitor user activities on a network to enable insider threat

programs and activities to:

● identify and evaluate anomalous activity involving National Security Systems (NSS)

● identify and assess misuse (witting or unwitting), or exploitation of NSS by insiders

● support authorized inquiries and investigations

Exclusion: Records of any subsequent investigations are covered under agency-specific schedules, such

as Office of the Inspector General schedules.

Legal authority: CNSSD No. 504, 4 February 2014

Temporary. Destroy no

sooner than 5 years after

inquiry has been opened,

but longer retention is

authorized if required for

business use.

DAA-GRS-

2017-0006-

0031

Last updated in Transmittal No. 32 General Records Schedule 5.7

March 2022

122

GENERAL RECORDS SCHEDULE 5.7: Administrative Management and Oversight Records

This schedule covers records about administrative management activities in Federal agencies. It includes activities such as internal controls oversight and

reporting, policies and procedures, and results management and reporting, but only when they relate to administrative functions. It also includes some records

related to the Federal Register.

Exclusions and Conditions

1. Excluded from this schedule are records about management and oversight of non-administrative activities, including agency mission-related

performance management records, strategic plans, risk management records, audit records, organizational charts and reorganization studies, functional

statements, delegations of authority, and agency histories.

2. Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying

disposition instructions in this schedule.

Item

Records Description

Disposition

Instruction

Disposition

Authority

Administrative Internal Controls

010

Administrative internal control management records.

Records related to internal evaluations of accounting and administrative controls, mandated or governed

by: OMB Circulars A-123, A-130, and A-76; Government Accountability Office’s (GAO) Standards for Internal

Control in the Federal Government (the “Green Book”); and similar requirements or directives. Includes:

● copies of internal and external directives outlining management control policy

● management control plans and records of the planning process

● comprehensive plans documenting agency efforts to comply with OMB Circular A-123 and similar

requirements

● 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

● feeder reports and compliance statements from agency components contributing to consolidated

reports the agency submits to the President/OMB or Congress (see Exclusion 2)

● records tracking assignments, tasks, and responsibilities

● related correspondence

Exclusion 1: Reports related to agency mission activities (agencies schedule these separately).

Temporary.

Destroy 1 year after

submission or when

superseded, as

appropriate, but

longer retention is

authorized if

required for

business use.

DAA-GRS-

2020-0001-

0001

Last updated in Transmittal No. 32 General Records Schedule 5.7

March 2022

123

Item

Records Description

Disposition

Instruction

Disposition

Authority

Exclusion 2: Consolidated final agency reports submitted to the President/OMB or Congress (agencies

schedule these separately).

Exclusion 3: Reports tha

t mandating agencies receive (these agencies must schedule them separately).

020

Internal control review, response, and mitigation management records.

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.

Exclusion: Records held by offices contributing to internal control review, response, and mitigation—but

not responsible for overseeing it (GRS 5.1, item 010 covers these).

Temporary.

Destroy 5 years

after no further

corrective action is

needed, but longer

retention is

authorized if

required for

business use.

DAA-GRS-

2017-0008-

0002

Administrative Policy, Standards, and Guidelines

030

Administrative directives and notices.

Policy documents on administrative functions such as payroll, procurement, facilities, equipment, and

human capital. Includes records documenting development.

Exclusion: Documents related to mission activities (agencies schedule these separately).

Temporary.

Destroy when

superseded,

obsolete, or no

longer needed for

business, whichever

is later.

DAA-GRS-

2017-0008-

0003

Administrative Results Management and Reporting

040

Administrative management report requirements records.

Processing and submission files on mandatory management reports an agency creates or proposes.

Includes:

• copies of authorizing directives

• preparation instructions

• descriptions of required or standardized formats

• clearance forms

•

documents on evaluating, continuing, revising, and discontinuing reporting requirements.

Temporary.

Destroy 2 years

after the report is

discontinued, but

longer retention is

authorized if

required for

business use.

DAA-GRS-

2020-0001-

0002

Last updated in Transmittal No. 32 General Records Schedule 5.7

March 2022

124

Item

Records Description

Disposition

Instruction

Disposition

Authority

This item applies only to management reports related to administrative activities.

Exclusion: Final reports created using these requirements. Use GRS 5.7, item 050, for mandatory reports

related to administrative matters.

050

Mandatory reports to external federal entities regarding administrative activities.

Agency-level reports that external federal oversight entities such as the White House, Congress, OMB, the

Office of Personnel Management (OPM), and General Services Administration (GSA), require under

authorities such as (but not limited to) OMB Circular A-123, the Federal Managers Financial Integrity Act

(FMFIA), the Chief Financial Officers Act (CFOA), the Paperwork Reduction Act (PRA), Joint Committee on

Printing requirements, and the FAIR Act. Examples include:

● Agency Financial Report (AFR)

● Statement of Assurance (per FMFIA), or equivalent

● information collection clearances

● report on financial management systems’ compliance with requirements (per FMFIA), or equivalent

● report on internal controls for corporations covered by the Government Corporation Control Act (per

CFOA)

● EEOC reports

● Analysis and Action Plans and other reports required by EEOC’s MD 715

● No FEAR Act reports

● service organization auditor report, or equivalent

● improper payments report

● premium class travel report

● report on property provided to non-federal recipients, schools, and nonprofit educational institutions

● feeder reports to the Status of Telework in the Federal Government Report to Congress

● feeder reports to GSA fleet reports

Includes ancillary records such as:

● background and research records

● submission packets and compilations

● related files

Exclusion 1: Oversight entities mandating the reports must separately schedule reports they receive.

Temporary.

Destroy 6 years

after report

submission or

oversight entity

notice of approval,

as appropriate, but

longer retention is

authorized if

required for

business use.

DAA-GRS-

2020-0001-

0003

Last updated in Transmittal No. 32 General Records Schedule 5.7

March 2022

125

Item

Records Description

Disposition

Instruction

Disposition

Authority

Exclusion 2: Mandatory reports and records related to agency management and oversight that are not

limited to administrative matters, such as agency Annual Performance Plans, Annual Performance Reports,

Performance and Accountability Reports (PAR), and strategic planning records (agencies schedule these

separately).

Exclusion 3: Mandatory external reports on finance matters (GRS 1.1, items 020 and 040, cover these);

mandatory external reports on employee ethics (various items in GRS 2.8 cover these); mandatory external

reports on information access and protection (GRS 4.2, item 080, covers these).

060

Records of allegations and claims that fall under U.S. Office of Special Counsel jurisdiction.

Case files of interactions with the Office of Special Counsel (OSC) responding to allegations of illegality,

waste, corruption, or other misconduct per the Civil Service Reform Act, Whistleblower Protection Act,

Hatch Act, and Uniformed Services Employment & Reemployment Rights Act (USERRA). Includes

correspondence with and reports to and from the OSC; copies of testimony or hearing transcripts; copies of

lists of corrective actions, orders or decisions, and appeals; and copies of final adjudications thereof.

Exclusion 1: Records the Merit Systems Protection Board and the Office of Special Counsel create and hold

(these entities schedule such records separately).

Exclusion 2: Records of allegations of illegality, waste, corruption, or other misconduct reported to

authorities within the whistleblower's own agency and handled without involving OSC (agencies must

schedule such records separately).

Temporary.

Destroy 3 years

after final order or

final adjudication of

appeal, as

appropriate, but

longer retention is

authorized if

required for

business use.

DAA-GRS-

2017-0008-

0006

Records Related to the Federal Register

070

Federal Register notices other than proposed and final rules.

Records of notices announcing public stakeholder meetings, hearings, investigations, petition filing,

application filing, license issuance, license revocation, grant application deadlines, environmental impact

statement availability, delegations of authority, hours of public opening, use of an agency’s seal, guidance,

System of Records Notices (SORNs), Paperwork Reduction Act Information Collection Requests (PRA ICRs),

and other matters not codified in the Code of Federal Regulations.

Note 1: SORNs per se are covered by GRS 4.2, item 150.

Temporary.

Destroy when 1

year old, but longer

retention is

authorized if

required for

business use.

DAA-GRS-

2017-0012-

0004

Last updated in Transmittal No. 32 General Records Schedule 5.7

March 2022

126

Item

Records Description

Disposition

Instruction

Disposition

Authority

Note 2: PRA Information Collection reports are covered by GRS 5.7, item 050.

Note 3: Notices of meetings of committees established under the Federal Advisory Committee Act (FACA)

are covered by GRS 6.2, item 050.

080

Agency input into the unified agenda.

Records that process agency input into the publication of:

● The Unified Agenda of Federal Regulatory and Deregulatory Actions (also known as the “unified agenda”

or “semiannual regulatory agenda”) published by General Services Administration (GSA) with input from

the Office of Management and Budget (OMB)

● agency regulatory flexibility agendas

● The Regulator

y Plan

Exclusion: Compiled records received by GSA, OMB, and the Office of the Federal Register; those entities

must schedule these records.

Temporary.

Destroy when 2

years old, but

longer retention is

authorized if

required for

business use.

DAA-GRS-

2017-0012-

0005

Last updated in Transmittal No. 28 General Records Schedule 5.8

July 2017

127

GENERAL RECORDS SCHEDULE 5.8: Administrative Help Desk Records

Help desk services are provided by service centers to respond to Government and contract employees' technical and administrative questions. This schedule

covers records on managing administrative, technical, and information technology (IT) help desks. It includes records on assistance provided both within the

agency and through inter-agency service agreements on functions such as IT help, security, parking, payroll, timekeeping, human resources, etc.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Technical and administrative help desk operational records.

• 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

Exclusion: Public customer service records scheduled under GRS 6.5.

Temporary. Destroy 1

year after resolved, or

when no longer needed

for business use,

whichever is

appropriate.

DAA-GRS-2017-

0001- 0001

Last updated in Transmittal No. 33 General Records Schedule 6.1

January 2023

128

GENERAL RECORDS SCHEDULE 6.1:

Email and Other Electronic Messages Managed under a Capstone Approach

This schedule applies only to federal agencies that implement a Capstone approach as described in this GRS. When implementing this GRS, agencies should

consult the FAQs about GRS 6.1, Email and Other Electronic Messages Managed under a Capstone Approach. Agencies are reminded that this GRS should not be

implemented in isolation and should be supplemented with agency-wide policies and training. Agencies must also incorporate this GRS into agency records

management implementation tools, such as manuals and file plans. Agencies adopting a Capstone approach should consult other resources related to email and

electronic message management, specifically the Capstone approach available on NARA’s email management page.

Agencies must not implement this GRS until obtaining approval of NARA form 1005 (NA-1005), Verification for Implementing GRS 6.1.

Agencies are required to

obtain approval of a resubmitted NA-1005 at least every four years. Additional information, including a link to the form, may be found in the FAQs and in the

instructions accompanying the form.

GRS Scope

This GRS pr

ovides disposition authority for email records and certain types of electronic messages. Agencies using this GRS must apply it to email records, but

may choose to also apply it to the other allowable types of electronic messages outlined below; this must be documented on the NA-1005. Agencies wishing to

schedule electronic messages outside the scope of this GRS may submit an agency-specific schedule proposing a different scope.

This GRS applies to all email, regardless of how the email messages are managed or what email technology is used. Email, in the context of this GRS, also

includes any associated attachments. This GRS may apply to records affiliated with other commonly available functions of email programs such as

calendars/appointments and tasks.

Other Types of Electronic Messages

The GRS does not cover all types of electronic messages. Agencies may choose to use this GRS for instant messages, text messages, and chat messages that

serve a similar purpose as email to facilitate communication and information sharing. This includes:

● messages affiliated with email system chat or messaging functions, and where the messages are managed independently from the email;

● messages from messaging services provided on mobile devices; and

● messages from messaging services on third-party applications.

Last updated in Transmittal No. 33 General Records Schedule 6.1

January 2023

129

Exclusions to all items below:

● messages affiliated with social media accounts/social media direct messaging services;

● messages affiliated with messaging services provided on video conferencing applications and services;

● voice mail (or similarly recorded) messages;

● messages affiliated with collaboration platforms; and

● messages from messaging systems that are ancillary to the purpose of a larger system (for example, a chat function built into a procurement system).

These records still require NARA-approved disposition authority but are not covered under this GRS. See the GRS 6.1 FAQ for specific examples of the inclusions

and exclusions.

Additional Scope

Each agency is responsible for determining the scope of implementation when using Capstone, including, 1) whether implementation is to include only email, or

to also include other types of electronic messages; 2) The range of implementation in an organization (agency-wide, specific office, etc.); and 3) the range of

implementation regarding email and/or other types of electronic messaging technology and system platforms. Brief information on the scope of an agency’s

Capstone implementation is also required on the NA-1005.

Agencies are also responsible for defining (and documenting through policy) the official recordkeeping version of email and/or other types of electronic

messages to be managed under a Capstone approach, especially when records are captured or retained in multiple locations (e.g., an email archive vs. the live

system). Agencies will need to determine the appropriate disposition for other versions of email and other types of records, whether disposable under GRS 5.1,

item 020, or as non-record.

Agencies are expected to apply documented selection criteria to cull the records of Capstone officials (permanent accounts) to the greatest extent possible

before transfer to NARA. Culling refers to the removal – or otherwise excluding from capture – of nonrecord, personal, or transitory messages and attachments.

Culling typically includes the removal of spam, message blasts received (such as agency-wide communications), and personal materials (such as emails or

messages to family members not related to agency business). Culling may be manual, automated, or a hybrid of both. Agencies may develop their own policies

and procedures for the culling of temporary accounts.

Applying this GRS

When applying this GRS in part, agencies must ensure that all other records are covered by another NARA-approved disposition authority. Agencies NOT

managing any of their email or other types of electronic messages under the Capstone approach are still responsible for managing these records by applying

NARA-approved records schedules.

If an agency is implementing a Capstone disposition approach different from what is provided in this GRS, the agency must submit a records schedule. For

Last updated in Transmittal No. 33 General Records Schedule 6.1

January 2023

130

example, an agency may want to narrow the list of required positions in item 010, use shorter retention lengths for temporary records, or extend the time frame

for transfer of permanent records. Agencies who wish to use Capstone for a broader range of electronic messages, specifically those excluded from this GRS,

may also submit an agency-specific schedule.

Item

Records Description

Disposition

Instruction

Disposition

Authority

010

Email and other electronic messages of Capstone officials.

Capstone Officials are senior officials designated by account or position level. This may be by email addresses,

whether the addresses are based on an individual’s name, title, a group, or a specific program function, and/or

by phone number or other identifier for other types of electronic messages. Capstone officials include all those

listed on an approved NARA form 1005 (NA-1005), Verification for Implementing GRS 6.1, and must include,

when applicable:

1. The head of the agency, such as Secretary, Commissioner, Administrator, Chairman or equivalent;

2. Principal assistants to the head of the agency (second tier of management), such as Under Secretaries,

Assistant Secretaries, Assistant Commissioners, and/or their equivalents; this includes officers of the Armed

Forces serving in comparable position(s);

3. Deputies of all positions in categories 1 and 2, and/or their equivalent(s);

4. Staff assistants to those in categories 1 and 2, such as special assistants, confidential assistants, military

assistants, and/or aides;

5. Principal management positions, such as Chief Operating Officer, Chief Information Officer, Chief

Knowledge Officer, Chief Technology Officer, and Chief Financial Officer, and/or their equivalent(s);

6. Directors of significant program offices, and/or their equivalent(s);

7. Principal regional officials, such as Regional Administrators, and/or their equivalent(s);

8. Roles or positions that routinely provide advice and oversight to the agency, including those positions in

categories 1 through 3 and 5 through 7, including: General Counsels, Chiefs of Staff, Inspectors General,

etc.;

9. Roles and positions not represented above and filled by Presidential Appointment with Senate

Confirmation (PAS positions); and

10. Additional roles and positions that predominantly create permanent records related to mission critical

functions or policy decisions and/or are of historical significance.

This item covers emails and/or other types of electronic messages of officials captured during their tenure as a

Permanent.

Cutoff and

transfer in

accordance with

the agency's

approved NA-

1005, Verification

for Implementing

GRS 6.1. This will

be between 15

and 30 years, or

after

declassification

review (when

applicable),

whichever is later.

DAA-GRS-

2022-0006-

0001

Last updated in Transmittal No. 33 General Records Schedule 6.1

January 2023

131

Capstone official only. Therefore, records created prior to their designation as a Capstone official (e.g., prior to

their promotion/rotation into a Capstone position) are excluded and should be disposed of with other NARA-

approved disposition authorities, including - but not limited to - items 011 and 012 of this schedule.

This also includes those officials in an acting capacity for any of the above positions longer than 60 days.

Agencies may also include individual emails and/or other types of electronic messages from otherwise

temporary accounts appropriate for permanent disposition in this category.

This item must include all existing legacy email and/or other types of electronic messages that correlate to the

roles and positions described above.

If a Capstone official has more than one agency-administere

d account, this item applies to all accounts. If a

Capstone official has an email account managed by other staff (such as personal assistants, confidential

assistants, military assistants, or administrative assistants), this item applies to those accounts. This item

applies to all email and/or other types of messages regardless of the address names and/or phone number(s)

used by the Capstone official for agency business, such as nicknames or office title names. Email to or from

personal or non-official email and/or other messaging accounts in which official agency business is conducted is

also included – a complete copy of these records must be copied or forwarded to an official electronic

messaging account of the officer or employee not later than 20 days after the original creation or transmission

of the record.

Please consult the NA-1005 for more information on which positions are included within each category.

Not media neutral; applies to records managed in an electronic format only.

Exclusions: see exclusions under the GRS Scope section above.

Notes:

1. Cabinet level agencies implementing a Capstone approach that includes their components/operatives

must apply the above definition to each component individually. In these cases, each

component/operative is considered a separate agency in terms of the above definition of Capstone

Officials. A component/operative of a cabinet level agency can implement a Capstone approach

independent of their department but must also conform to the entirety of this definition.

2. Smaller agencies, micro-agencies or Commissions implementing a Capstone approach may find that some

of their Capstone positions fall into several of the categories above and/or that they do not have

applicable roles or positions for all categories.

Last updated in Transmittal No. 33 General Records Schedule 6.1

January 2023

132

011

Email and other types of electronic

messages of Non-Capstone officials.

Email and/or other types of electronic

messages of all o

ther officials, staff,

and contractors not included in item

010.

Note: Agencies only using item 011

and/or item 012 of this GRS may not

dispose of any records of officials in

item 010, Email and other electronic

messages of Capstone Officials, of this

GRS without authority from NARA in

the form of another GRS or agency-

specific schedule. Submission and

approval of NA-1005 is still required in

these instances to document those

being exempted from Capstone.

Agencies have discretion to designate

individual em

ail messages and/or

other types of electronic messages,

with their attachments as permanent,

or as longer-term temporary records

that should be cross-filed elsewhere

pursuant to agency policies and

business needs.

All others except those in item 012.

Includes positions and records not covered by items 010 or 012 of

this schedule.

This item applies to the majority of email and other messaging

accounts/users within an agency adopting a Capstone approach.

Not media neutral; applies to records managed in an electronic

format only.

Exclusions: see exclusions under the GRS Scope section above.

Temporary.

Delete when 7

years old, but

longer retention is

authorized if

required for

business use.

DAA-GRS-

2022-0006-

0002

012

Support and/or administrative positions.

Includes non-supervisory positions carrying out routine and/or

administrative duties. These duties comprise general office or

program support activities and frequently facilitate the work of

federal agencies and their programs. This includes, but is not

limited to, roles and positions that: process routine transactions;

provide customer service; involve mechanical crafts, or unskilled,

semi-skilled, or skilled manual labor; respond to general requests

for information; involve routine clerical work; and/or primarily

receive nonrecord and/or duplicative email.

Not media neutral; applies to records managed in an electronic

format only.

Exclusions: see exclusions under the GRS Scope section above.

Temporary.

Delete when 3

years old, but

longer retention is

authorized if

required for

business use.

DAA-GRS-

2022-0006-

0003

Last updated in Transmittal No. 24 General Records Schedule 6.2

August 2015

133

GENERAL RECORDS SCHEDULE 6.2: Federal Advisory Committee Records

This schedule covers Federal records created or received by Federal advisory committees and their subgroups pursuant to the Federal Advisory Committee Act

(FACA) of 1972 (5 U.S.C., Appendix, as amended) and records related to the management of these committees by their sponsoring agencies or departments.

If a committee is a Presidential advisory committee, check with the agency’s General Counsel before applying this schedule. If records are determined to fall

under the Presidential Records Act, this schedule does not apply.

For convenience, the term “committee” is used in this schedule to mean “advisory committee” pursuant to FACA.

Item

Records Description

Disposition Instruction

Disposition

Authority

Committee Records

010

Substantive Committee Records (Non-Grant Review Committees)

Exclusion: This item does not include records of committees whose sole purpose is grant review. See

item 030 for these records.

Records documenting the establishment and formation of committees and their significant actions and

decisions. Refer to agency administrative procedures to ascertain if these records are held by the CMO,

GFO, or DFO. Only one copy of each record is considered permanent. Not all records described below

are necessarily created for all committees. Records may include:

• records related to the establishment of the committee:

o charters (original, renewal, re-establishment, and amended)

o enacting legislation

o explanation of committee need, when required

o filing letters to Congress

o organization charts

o committee specific bylaws, standard operating procedures, or guidelines

o any other materials that document the organization and functions of the committee and its

components

• records related to committee membership:

o memos or similar documentation of how and/or why individual members were selected

Permanent. Transfer

when records are 15

years old or upon

termination of

committee, whichever

is sooner.

DAA-GRS-

2015-0001-

0001

Last updated in Transmittal No. 24 General Records Schedule 6.2

August 2015

134

Item

Records Description

Disposition Instruction

Disposition

Authority

o membership balance plans

o membership rosters

o appointment letters, and all sub-categories of appointment letters, such as renewals, thank you

letters, etc.

o Resignation or termination letters

• records of committee meetings and hearings:

o agency head’s determination that a meeting or portion of a meeting may be closed to the public

o agendas

o materials presented to or prepared by or for the committee, such as briefing books, background

materials, reports (including drafts), and presentations

o meeting minutes

o public comments

o testimony received during hearings

o transcripts of meetings and hearings (NOTE: If transcripts do not exist, audio/visual recordings

are permanent under item 020)

• records related to committee findings and recommendations:

o one copy each of final reports, memoranda, letters to agency, studies, and pamphlets produced

by or for the committee

o responses from agency to committee regarding recommendations

o committee presentations or briefings of findings

• records created by committee members:

o correspondence documenting discussions, decisions, or actions related to the work of the

committee (excluding administrative or logistical matters), including electronic mail, exchanged

between one or more committee members and/or agency committee staff (such as the

Designated Federal Officer)

• records related to research collected or created by the committee:

o records relating to research studies and other projects, including unpublished studies, reports,

and research materials (may include electronic data)

o raw data files created in connection with research studies and other projects where the

information has been consolidated or aggregated for analyses, reports, or studies

• documentation of advisory committee subcommittees (i.e., working groups, or other subgroups):

o records relating to the formation of the subcommittee or working group, if they exist

Last updated in Transmittal No. 24 General Records Schedule 6.2

August 2015

135

Item

Records Description

Disposition Instruction

Disposition

Authority

 decision documents

 membership

 statement of purpose or other documentation of duties and responsibilities

o records that document the activities of subcommittees that support their reports and

recommendations to the chartered or parent committee. This documentation may include, but is

not limited to:

 meeting minutes

 transcripts

 reports

 briefing materials

 substantive correspondence, including electronic mail, exchanged between one or more

subcommittee members, any other party that involves the work of the subcommittee,

and/or agency committee staff (such as the Designated Federal Officer)

 background materials

• records related to committee termination (i.e., email, letter, memo, etc.).

• other records documenting decisions, discussions, or actions related to the work of a committee,

including information on committee websites not captured elsewhere in committee records.

Note: Sponsoring agencies need to designate the recordkeeping copy of permanent committee records.

Only one copy of the records should be the official recordkeeping copy that is transferred to NARA.

Committee records should be arranged by committee, not by the type of record (e.g. NARA should not

receive a collection of charters for multiple committees; original charters should be transferred with the

other permanent records related to the committee, regardless of where they are maintained).

020

Substantive Audiovisual Records (Non-Grant Review Committees)

Exclusion: This item does not include records of committees whose sole purpose is grant review. See

item 030 for these records.

Records include:

• audiotapes, videotapes, and/or other recordings of meetings and hearings not fully transcribed

• captioned formal and informal analog or digital photographs, and any related finding aids, of

committee members and staff, meetings, or hearings

•

posters (2 copies) produced by or for the committee

Permanent. Transfer

when records are 3

years old or upon

termination of

committee, whichever

is sooner.

DAA-GRS-

2015-0001-

0002

Last updated in Transmittal No. 24 General Records Schedule 6.2

August 2015

136

Item

Records Description

Disposition Instruction

Disposition

Authority

030

Grant Review Committee Records

Committee establishment, membership, and meeting records related to FACA committees whose only

activity is review of grant proposals. (See item 010 for further definition of committee records.) This also

includes digital and analog recordings of meetings, photographs, posters and other audiovisual materials.

Note: If the committee performs additional functions or activities other than review for grants, it should

apply the items for all other FACA committee records.

Temporary. Destroy

upon termination of

committee.

DAA-GRS-

2015-0001-

0003

040

Committee Accountability Records

Records that document financial and ethics accountability, such as records documenting financial

expenditures associated with the functioning of the committee and financial disclosure and conflict of

interest documents.

Records include:

• travel costs

• committee member payments

• meeting room costs

• contractor costs

• Federal Register notice costs

Exclusion: Forms filed under the Ethics in Government Act (see note).

Note: Forms filed under the Ethics in Government Act are scheduled in GRS 2.8, Employee Ethics

Records. These forms may apply to committee members designated as special Government employees

(SGEs).

Temporary. Destroy

when 6 years old.

Longer retention is

authorized if required

for business use.

DAA-GRS-

2015-0001-

0004

050

Non-substantive Committee Records

Records related to specific committees that are of an administrative nature or are duplicative of

information maintained elsewhere.

• drafts and copies of Federal Register notices

• audiotapes and videotapes of committee meetings and hearings that have been fully transcribed or

that were created explicitly for the purpose of creating detailed meeting minutes (once the minutes

are created)

• photographs of committee social functions, routine award events, and other non-mission-related

Temporary. Destroy

when superseded,

obsolete, no longer

needed, or upon

termination of the

committee, whichever

is sooner.

DAA-GRS-

2015-0001-

0005

Last updated in Transmittal No. 24 General Records Schedule 6.2

August 2015

137

Item

Records Description

Disposition Instruction

Disposition

Authority

activities

• records relating to logistical or administrative aspects of committee meetings and activities such as

meeting location and access, phone line or internet connections, IT support concerns, etc.

• routine correspondence:

o correspondence (including intra-agency, with committee members, or the public) regarding

logistics (e.g., agenda planning, meeting arrangements, administrative issues)

o public requests for information

• Non-substantive committee membership records, including:

o Resumes, curriculum vitae, or biographical information for individuals who are considered or

nominated for a committee but are never appointed or invited to serve on a committee

o Member credentials (resumes or biographies)

o Member files (personnel-type records)

• Non-substantive web content

Note 1: Consult with the appropriate agency staff (i.e., records officials, general counsel) to ensure the

records designated in this category are accurately designated as administrative.

Note 2: Records on agency websites that are duplicative of records maintained elsewhere and that are

not designated as the recordkeeping copy may be destroyed subject to GRS 5.1, item 020.

Committee Management Records

060

Committee Management Records

Records created and/or maintained by Committee Management Officers (CMOs) and their staff related

to the overall management of committees for an agency. These records may pertain to specific

committees or to the committee management function in general. Records include:

• agency guidelines

• correspondence

• requests for approval of committee nominees

• copies of records about committees maintained for reporting purposes, such as:

o information provided to GSA Secretariat for annual comprehensive reviews

o statistical data files and reports

o annual reports to the Library of Congress describing the agency's compliance with the

Temporary. Destroy

when 3 years old, 3

years after submission

of report, or 3 years

after superseded or

obsolete, as

appropriate. Longer

retention is authorized

if required for business

use.

DAA-GRS-

2015-0001-

0006

Last updated in Transmittal No. 24 General Records Schedule 6.2

August 2015

138

Item

Records Description

Disposition Instruction

Disposition

Authority

Government in the Sunshine Act

o financial operating plans and final cost accountings

Note: This item does not apply to the reporting database or records maintained by the General Services

Administration (GSA) Committee Management Secretariat for oversight purposes.

Last updated in Transmittal No. 29 General Records Schedule 6.3

December 2017

139

GENERAL RECORDS SCHEDULE 6.3: Information Technology Records

This schedule covers records about Federal agency Information Technology (IT) program planning, which includes designing and operating major IT management

processes; acquiring and managing IT capital investments; monitoring IT program performance; and developing and maintaining an agency’s IT architecture.

This schedule does not include records of the Office of Management and Budget (OMB) documenting OMB’s oversight role relating to Government-wide

information resources management and IT spending. These records are scheduled by an OMB-specific schedule.

Related records are covered elsewhere in the GRS. IT records are covered in GRS 3.1, General Technology Management, and 3.2, Information Systems Security

Records.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Information Technology program and capital investment planning records.

Records of agency IT program development and capital investment planning that document goals and

milestones to achieve them; planning principles and activities; performance and evaluation measures

such as TechStat reviews; and compliance with requirements such as OMB Circular A-130, the Federal

Information Technology Acquisition Reform Act, and other laws. Includes:

• strategic and tactical plans

• records of internal agency governance boards supporting formally issued plans, including

comments, concurrences, clearances, and justifications

• records maintained by committees, boards, task forces, conferences, or other IT advisory,

governing, or policy bodies for which the Chief Information Officer (CIO) has sponsorship,

leadership, or recordkeeping responsibilities

• reports and statistics documenting quantitative and qualitative performance measures, such as

Government Performance and Results Act (GPRA) reporting

• portfolio management records, including clearance and review

• Reports on IT capital investments, such as OMB Exhibit 300 Major IT Business Cases (MITBCs) and

IT Portfolio Summaries (ITPS), including IT Dashboard Exhibit 300 MITBC submissions

• business case development, review, and clearance records regarding major investments, systems,

acquisitions, or operational assets

Exclusion 1: Policy records generated by the CIO (agencies must schedule these separately).

Temporary. Destroy

when 7 years old, but

longer retention is

authorized if required for

business use.

DAA-GRS-

2017-0009-

0001

Last updated in Transmittal No. 29 General Records Schedule 6.3

December 2017

140

Exclusion 2: Records of Government-wide committees sponsored by CIOs, such as the Federal Chief

Information Officers Council (the agency with responsibility for convening the committee must

schedule its records separately).

Exclusion 3: System data or content (agencies must schedule these separately).

Exclusion 4: Systems development records (GRS 3.1, General Technology Management Records, item

011, System development records, covers these).

Exclusion 5: Records documenting system and operational level compliance with IT policies, directives,

and plans (GRS 3.1 General Technology Management Records, item 040, Information technology

oversight and compliance records, covers these).

020

Enterprise architecture records.

Records that describe the agency’s baseline or target enterprise or its information architecture,

including technical reference models, diagrams, graphics, models, sequencing plans, and narratives.

Exclusion: Records of basic systems and services used to supply the agency and its staff with access to

computers and data telecommunications (GRS 3.1 General Technology Management Records, item

010, Infrastructure project records, covers these).

Temporary. Destroy 7

years after creating a

new iteration of the

enterprise or information

architecture, but longer

retention is authorized if

required for business

use.

DAA-GRS-

2017-0009-

0002

Last updated in Transmittal No. 31 General Records Schedule 6.4

April 2020

141

GENERAL RECORDS SCHEDULE 6.4: Public Affairs Records

This schedule covers records about public affairs functions within Federal agencies. Public affairs involves communications and information exchanges between

the Federal Government, citizens, and stakeholders in direct support of citizen services, public policy, and national interest.

Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition

instructions in this schedule.

Agencies must schedule records that this GRS does not include. This GRS does not include many public affairs-related records because they either typically are

permanent or are not temporary in every case. See the Public Affairs Records Scheduling Guidelines for additional information on how agencies might schedule

records this GRS does not include.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Public affairs-related routine operational records.

Records related to the routine, day-to-day administration of public affairs activities, including but not

limited to:

• logistics, planning, and correspondence records for routine conferences and events

• correspondence and records on speakers and speaking engagements, including biographies

• case files and databases of public comments (related to public affairs activities only)

Temporary. Destroy

when 3 years old, or no

longer needed,

whichever is later.

DAA-GRS-

2016-0005-

0001

020

Public correspondence and communications not requiring formal action.

Records related to correspondence and communications, including comments, to and from the public

that require no formal response or action. Includes:

• comments the agency receives but does not act upon or that do not require a response, such as:

o write-in campaigns

o personal opinions on current events or personal experiences

o routine complaints or commendations

o anonymous communications

o suggestion box comments

o public correspondence addressed to another entity and copied to the agency or that the agency

receives in error

o comments posted by the public on an agency website that do not require response or that the

agency does not collect for further use

Temporary. Destroy

when 90 days old, but

longer retention is

authorized if required

for business use.

DAA-GRS-

2016-0005-

0002

Last updated in Transmittal No. 31 General Records Schedule 6.4

April 2020

142

Item

Records Description

Disposition Instruction

Disposition

Authority

• communications from the public that the agency responds to but takes no formal action on

• agency postings on social media accounts and email blasts that consist of information released or

captured elsewhere, provided the agency also captures the posting

Note 1: For requests for information, publications, photographs, and other information involving no

administrative action, policy decision, or special compilations or research, use GRS 4.2, item 010.

Note 2: The agency must schedule any correspondence or communications with the public not described

in this GRS, which includes that of high-level officials.

Exclusion 1: Correspondence relating to a specific case or action is not considered public

correspondence and should be filed and maintained with the appropriate case or action file.

Exclusion 2: Public comments that the agency takes action on or uses to take action are not covered by

this GRS.

030

Public affairs product production files.

Records related to developing speeches, publications, educational materials, audiovisual materials

including posters, public conferences and other public outreach materials, including but not limited to:

• news clippings

• marketing research

• copies of records used for reference in preparing products

• research notes

• printers galleys

• drafts and working copies (see Exclusion 3)

• preparatory or preliminary artwork or graphics

• bibliographies, checklists, and indexes of agency publications and releases (see Exclusion 4)

• clearances related to release of products (see Exclusion 5 and 6)

Note 1: Agencies must offer any cartographic and aerial photographic records created before January 1,

1950, to the National Archives and Records Administration (NARA) before applying this disposition

authority.

Temporary. Destroy

when no longer needed

for business use.

DAA-GRS-

2016-0005-

0003

Last updated in Transmittal No. 31 General Records Schedule 6.4

April 2020

143

Item

Records Description

Disposition Instruction

Disposition

Authority

Note 2: Now-obsolete forms of printing production materials (e.g., line and halftone negatives, screened

paper prints, and offset lithographic plates), line copies of graphs and charts, as well as cartographic

records prepared during Intermediate stages of publication that may be found in older project files are

temporary under this item.

Exclusion 1: Final products such as speeches, publications, educational materials, agency histories,

mission-related audiovisual materials including posters, conference and public outreach materials. The

agency must schedule these records on an agency-specific schedule.

Exclusion 2: This item does not include unique collections of records or original materials (such as

interviews or oral histories) the agency assembles for research or final product development purposes.

These records may have permanent value and the agency should schedule them on an agency-specific

schedule.

Exclusion 3: This item does not include working papers or files that propose and evaluate options or

alternatives and their implications in the development of high-level policies and decisions or that

document findings or support recommendations.

Exclusion 4: This item does not include bibliographies, checklists or indexes relating to records scheduled

as permanent, such as permanent publications.

Exclusion 5: Records relating to obtaining approval or clearance for releasing information from other

agencies or outside organizations, such as foreign governments, must be scheduled on an agency specific

schedule.

Exclusion 6: This item does not cover clearances for release of information related to declassification

review.

040

Routine media relations records.

Records of interactions with the press or media that contain duplicate, minimal, or limited information,

such as:

Temporary. Destroy

when no longer needed

for business use.

DAA-GRS-

2016-0005-

0004

Last updated in Transmittal No. 31 General Records Schedule 6.4

April 2020

144

Item

Records Description

Disposition Instruction

Disposition

Authority

• requests and responses for interviews

• requests and responses for information or assistance for media stories

• daily or spot news recordings or videos available to local radio and TV stations

• notices or announcements of media events

• public service announcements

• copies or articles created by the agency for publication in news media

Exclusion: Transcripts of press conferences or press briefings, briefing books, and press releases are not

covered by this item and must be scheduled by the agency on an agency-specific schedule.

050

Routine audiovisual records.

Photographs or audiovisual recordings of routine award ceremonies, retirement ceremonies, social

events, and activities not related to the mission of the agency. Also included are production files or

similar files that document origin, development, acquisition, use, and ownership of temporary

audiovisual records.

Note: Any instances of the now-obsolete form, viewgraphs, found in older audiovisual files are also

temporary under this item.

Temporary. Destroy

when 2 years old but

longer retention is

authorized if required

for business use.

DAA-GRS-

2016-0005-

0006

Last updated in Transmittal No. 28 General Records Schedule 6.5

July 2017

145

GENERAL RECORDS SCHEDULE 6.5: Public Customer Service Records

This schedule covers records an agency creates or receives while providing customer service to the public. Federal agencies that provide direct services to the

public operate customer call centers or service centers to assist external customers. They may provide customer support through telephone discussions (toll-

free numbers), dialogue (via chat), and email.

Item

Records Description

Disposition Instruction

Disposition

Authority

010

Public customer service operations records.

Records from operating a customer call center or service center providing services to the public.

Services may address a wide variety of topics such as understanding agency mission-specific functions or

how to resolve technical difficulties with external-facing systems or programs. Includes:

• incoming requests and responses

• trouble tickets and tracking logs

• recordings of call center phone conversations with customers used for quality control and customer

service training

• system data, including customer ticket numbers and visit tracking

• evaluations and feedback about customer services

• information about customer services, such as “Frequently Asked Questions” (FAQs) and user guides

• reports generated from customer management data

• complaints and commendation records; customer feedback and satisfaction surveys, including survey

instruments, data, background materials, and reports.

Exclusion 1: Records of call or service centers the public uses to provide tips or allegations to

oversight and enforcement agencies/offices. Agencies must schedule these records on an agency-

specific schedule.

Exclusion 2: Reports that recommend changes or revisions to an agency’s customer service

operation; agencies must schedule these records on an agency-specific schedule.

Temporary. Destroy 1

year after resolved, or

when no longer needed

for business use,

whichever is appropriate.

DAA-GRS-

2017-0002-

0001

020

Customer/client records.

Distribution lists used by an agency to deliver specific goods or services. Records include:

• contact information for customers or clients

• subscription databases for distributing information such as publications and data sets produced by

the agency

• files and databases related to constituent and community outreach or relations

• sign-up, request, and opt-out forms

Temporary. Delete when

superseded, obsolete, or

when customer requests

the agency to remove the

records.

DAA-GRS-

2017-0002-

0002