Transmittal No. 8
December 1998
This schedule covers certain records pertaining to informational
services performed by Government agencies in their day-to-day affairs and in
their relations with the public, including records created in administering
Freedom of Information Act and Privacy Act (FOIA) programs. Except as
otherwise specified in individual items, it applies to copies of these records
wherever located in an agency. Item 4 applies only to files maintained in the
office responsible for the operation of the information activities of the
agency or subdivision thereof. Items 11 through 15 describe the files
accumulated in carrying out the provisions of the FOIA, and items 21 through
26 describe the files created in administering the provisions of the Privacy
Act. Items 31 through 35 cover records created in response to requests for
mandatory records declassification.
These records consist of inquiries, replies, and related correspondence; in
the case of FOIA, Privacy Act, and mandatory declassification files, appeals
and other records; administrative background files for formal information
releases, and records relating to inappropriate release of privileged
information. Closely related records such as records relating to budget
presentation, and printing, duplicating, and distribution are covered by other
General Records Schedules. Records created prior to January 1, 1921, must be
offered to the National Archives and Records Administration (NARA) before
applying this schedule.
Other information services records such as speeches and press releases may
have permanent value. As potentially archival records, these series must be
scheduled individually so NARA may appraise them. To schedule these and other
information services records not included in this schedule, agencies submit a
Standard Form (SF) 115, Request for Records Disposition Authority, to NARA.
A new item has been added to this schedule to authorize the destruction of
electronic mail and word processing records maintained by agencies in addition
to the copy in the recordkeeping system. This item covers electronic copies of
electronic mail and word processing records created and used solely to produce
the recordkeeping copy, and electronic copies of electronic mail and word
processing records that are needed in addition to the recordkeeping copy for
dissemination, revision, or updating.
1. Information Requests Files.
Requests for information and copies of replies thereto, involving no
administrative actions, no policy decisions, and no special compilations or
research and requests for and transmittals of publications, photographs, and
other information literature.
Destroy when 3 months old.
2. Acknowledgment Files.
Acknowledgment and transmittals of inquiries and requests that have been
referred elsewhere for reply.
Destroy 3 months after acknowledgment and referral.
3. Press Service Files.
Press service teletype news and similar materials.
Destroy when 3 months old.
4. Information Project Files.
Information service project case files maintained in formally designated
information offices.
Destroy 1 year after close of file or 1 year after completion of project.
5. Commendation/Complaint Correspondence Files.
Anonymous letters, letters of commendation, complaint, criticism and
suggestion, and replies thereto, EXCLUDING those on the basis of which
investigations were made or administrative action taken and those incorporated
into individual personnel records.
Destroy when 3 months old.
6. Indexes and Check Lists.
Bibliographies, checklists, and indexes of agency publications and
releases, EXCLUDING those relating to record sets scheduled as permanent.
Destroy when superseded or obsolete.
Items 7 through 10. Reserved.
11. FOIA Requests Files.
Files created in response to requests for information under the FOIA,
consisting of the original request, a copy of the reply thereto, and all
related supporting files which may include the official file copy of requested
record or copy thereof.
a. Correspondence and supporting documents
(EXCLUDING the official file copy of the records requested if filed herein).
(1) Granting access to all the requested
records.
Destroy 2 years after date of reply.
(2) Responding to requests for nonexistent records;
to requesters who provide inadequate descriptions; and to those who fail
to pay agency reproduction fees.
(a) Request not appealed.
Destroy 2 years after date of reply.
(b) Request appealed.
Destroy as authorized under Item 12.
(3) Denying access to all or part
of the records requested.
(a) Request not appealed.
Destroy 6 years after date of reply.
(b) Request appealed.
Destroy as authorized under Item 12.
b. Official file copy of
requested records.
Dispose of in accordance with approved agency disposition instructions
for the related records or with the related FOIA request, whichever is
later.
12. FOIA Appeals Files.
Files created in responding to administrative appeals under the FOIA for
release of information denied by the agency, consisting of the appellant's
letter, a copy of the reply thereto, and related supporting documents, which
may include the official file copy of records under appeal or copy thereof.
a. Correspondence and supporting documents
(EXCLUDING the file copy of the records under appeal if filed herein).
Destroy 6 years after final determination by agency, 6 years after the
time at which a requester could file suit, or 3 years after final
adjudication by the courts, whichever is later.
b. Official file copy of records under appeal.
Dispose of in accordance with approved agency disposition instructions
for the related record or with the related FOIA request, whichever is later.
13. FOIA Control Files.
Files maintained for control purposes in responding to requests, including
registers and similar records listing date, nature, and purpose of request and
name and address of requester.
a. Registers or listing.
Destroy 6 years after date of last entry.
b. Other files.
Destroy 6 years after final action by the agency or after final
adjudication by courts, whichever is later.
14. FOIA Reports Files. [See
note after this item.]
Recurring reports and one-time information requirements relating to the
agency implementation of the Freedom of Information Act, EXCLUDING annual
reports to the Congress at the departmental or agency level.
Destroy when 2 years old.
[NOTE: The GRS does not cover departmental or agency level
annual reports to the Congress. These reports should be scheduled for transfer
to the National Archives of the United States by submitting an SF 115 to
NARA.]
15. FOIA Administrative Files.
Records relating to the general agency implementation of the FOIA,
including notices, memoranda, routine correspondence, and related records.
Destroy when 2 years old.
Items 16 through 20. Reserved.
21. Privacy Act Requests Files.
Files created in response to requests from individuals to gain access to
their records or to any information in the records pertaining to them, as
provided for under 5 U.S.C. 552a(d)(1). Files contain original request, copy
of reply thereto, and all related supporting documents, which may include the
official file copy of records requested or copy thereof.
a. Correspondence and supporting documents
(EXCLUDING the official file copy of the records requested if filed herein).
(1) Granting access to all the requested
records.
Destroy 2 years after date of reply.
(2) Responding to requests for nonexistent records;
to requesters who provide inadequate descriptions; and to those who fail
to pay agency reproduction fees.
(a) Requests not appealed.
Destroy 2 years after date of reply.
(b) Requests appealed.
Destroy as authorized under Item 22.
(3) Denying access to all or part
of the records requested.
(a) Requests not appealed.
Destroy 5 years after date of reply.
(b) Requests appealed.
Destroy as authorized under Item 22.
b. Official file copy of
requested records.
Dispose of in accordance with approved agency disposition instructions
for the related records or with the related Privacy Act request, whichever
is later.
22. Privacy Act Amendment Case
Files.
Files relating to an individual's request to amend a record pertaining to
that individual as provided for under 5 U.S.C. 552a(d)(2); to the individual's
request for a review of an agency's refusal of the individual's request to
amend a record as provided for under 5 U.S.C. 552a(d)(3); and to any civil
action brought by the individual against the refusing agency as provided under
5 U.S.C. 552a(g).
a. Requests to amend agreed to by agency.
Includes individual's requests to amend and/or review refusal to amend,
copies of agency's replies thereto, and related materials.
Dispose of in accordance with the approved disposition instructions for
the related subject individual's record or 4 years after agency's agreement
to amend, whichever is later.
b. Requests to amend refused by agency. Includes
individual's requests to amend and to review refusal to amend, copies of
agency's replies thereto, statement of disagreement, agency justification
for refusal to amend a record, and related materials.
Dispose of in accordance with the approved disposition instructions for
the related subject individual's record, 4 years after final determination
by agency, or 3 years after final adjudication by courts, whichever is
later.
c. Appealed requests to amend. Includes all files
created in responding to appeals under the Privacy Act for refusal by any
agency to amend a record.
Dispose of in accordance with the approved disposition instructions for
related subject individual's record or 3 years after final adjudication by
courts, whichever is later.
23. Privacy Act Accounting of
Disclosure Files.
Files maintained under the provisions of 5 U.S.C. 552a(c) for an accurate
accounting of the date, nature, and purpose of each disclosure of a record to
any person or to another agency, including forms for showing the subject
individual's name, requester's name and address, purpose and date of
disclosure, and proof of subject individual's consent when applicable.
Dispose of in accordance with the approved disposition instructions for the
related subject individual's records or 5 years after the disclosure for which
the accountability was made, whichever is later.
24. Privacy Act Control Files.
Files maintained for control purposes in responding to requests, including
registers and similar records listing date, nature of request, and name and
address of requester.
a. Registers or listings.
Destroy 5 years after date of last entry.
b. Other files.
Destroy 5 years after final action by the agency or final adjudication by
courts, whichever is later.
25. Privacy Act Reports Files.
[See note after this item.]
Recurring reports and one-time information requirement relating to agency
implementation, including biennial reports to the Office of Management and
Budget (OMB), and the Report on New Systems at all levels.
Destroy when 2 years old.
[NOTE: The GRS does not cover the biennial report to
Congress from OMB.]
26. Privacy Act General Administrative Files.
Records relating to the general agency implementation of the Privacy Act,
including notices, memoranda, routine correspondence, and related records.
Destroy when 2 years old.
Items 27 through 30. Reserved.
31. Mandatory Review For Declassification Requests
Files.
Files created in response to requests for information under the mandatory
review provisions of Executive Order 12356 consisting of the original request,
a copy of the reply thereto, and all related supporting files, which may
include the official file copy of requested records or a copy thereof.
a. Correspondence and supporting documents
(EXCLUDING the official file copy of the records if filed herein, and
sanitizing instructions, if applicable).
(1) Granting access to all the requested
records.
Destroy 2 years after date of reply.
(2) Responding to requests for nonexistent records;
to requesters who provide inadequate descriptions; and to those who fail
to pay agency reproduction fees.
(a) Request not appealed.
Destroy 2 years after date of reply.
(b) Request appealed.
Destroy as authorized under Item 32.
(3) Denying access to all or part
of the records requested.
(a) Request not appealed.
Destroy 5 years after date of reply.
(b) Request appealed.
Destroy as authorized under Item 32.
b. Official file copy of
requested records.
Dispose of in accordance with approved disposition instructions for the
related records or with the related mandatory review request, whichever is
later.
c. Sanitizing instructions.
Destroy when superseded or when requested documents are declassified or
destroyed.
32. Mandatory Review for
Declassification Appeals Files.
Files created in responding to administrative appeals under the mandatory
review provisions of Executive Order 12356 and its predecessors for release of
information denied by the agency. Files consist of the appellant's letter, a
copy of the reply thereto, and related supporting documents, which may include
the official file copy of records under appeal or copy thereof.
a. Correspondence and supporting documents
(EXCLUDING the official file copy of the records under appeal if filed
herein).
Destroy 4 years after final determination by agency.
b. Official file copy of records under appeal.
Dispose of in accordance with approved agency disposition instructions
for the related records, or with the related mandatory review request,
whichever is later.
33. Mandatory Review for
Declassification Control Files.
Files maintained for control purposes in responding to requests, including
registers and similar records listing date, nature, and purpose of request and
name and address of requester.
a. Registers or listing.
Destroy 5 years after date.
b. Other files.
Destroy 5 years after final action by the agency.
34. Mandatory Review for
Declassification Reports Files.
Reports relating to agency implementation of the mandatory review
provisions of the current Executive order on classified national security
information, including annual reports submitted to the Information Security
Oversight Office.
Destroy when 2 years old.
35. Mandatory Review for Declassification
Administrative Files.
Records relating to the general agency implementation of the mandatory
review provisions of the current Executive order on classified national
security information, including notices, memoranda, correspondence, and
related records.
Destroy when 2 years old.
36. Erroneous Release Files.
Files relating to the inadvertent release of privileged information to
unauthorized parties, containing information the disclosure of which would
constitute an unwarranted invasion of personal privacy. Files contain requests
for information, copies of replies thereto, and all related supporting
documents, and may include the official copy of records requested or copies
thereof.
a. Files that include the official file copy
of the released records.
Follow the disposition instructions approved for the released official
file copy or destroy 6 years after the erroneous release, whichever is
later.
b. Files that do not include the official file copy of
the released records.
Destroy 6 years after the erroneous release.
37. Electronic Mail and Word
Processing System Copies.
Electronic copies of records that are created on electronic mail and word
processing systems and used solely to generate a recordkeeping copy of the
records covered by the other items in this schedule. Also includes electronic
copies of records created on electronic mail and word processing systems that
are maintained for updating, revision, or dissemination.
a. Copies that have no further administrative
value after the recordkeeping copy is made. Includes copies maintained by
individuals in personal files, personal electronic mail directories, or
other personal directories on hard disk or network drives, and copies on
shared network drives that are used only to produce the recordkeeping copy.
Destroy/delete within 180 days after the recordkeeping copy has been
produced.
b. Copies used for dissemination, revision, or
updating that are maintained in addition to the recordkeeping copy.
Destroy/delete when dissemination, revision, or updating is completed.