CIA RECORDS DESTRUCTION POLICY

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP86-00895R000100020001-1
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 9
• Document Creation Date: December 12, 2016
• Document Release Date: April 8, 2002
• Sequence Number: 1
• Publication Date: January 1, 1977
• Content Type: REGULATION

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RECORDS AND CORRESPONDENCE
CIA RECORDS DESTRUCTION POLICY
STATINTL
Rescission: 1 Iated' 7 September 1976
Reference :
1. This notice informs CIA employees of the requirements that must
be met before Agency records may be destroyed. In a letter to the DCI
dated 21 December 1977, the Chairman of the Senate Select Committee on
Intelligence noted in part that the "moratorium" on destruction of
intelligence and investigative records originally requested by the Senate
had expired and therefore "all agencies maintaining records pursuant to
the moratorium may return to normal records destruction policies."
The requirements of the Agency's "normal records destruction policies"
are outlined in this paragraph, and procedures are presented in
paragraph 2. These requirements and procedures are effective upon
publication of this notice; however, certain aspects of destruction
approval are being worked out with Congress. Therefore, no records
may be_destroyed_until_publication of a second notice authorizing
such destruction. - - - -. -.---- - --------? -----------
a. The United States Code, Title 44, Chapter 33, Disposal of
Records, defines "records" as including "all books, papers, maps,
photographs, machine readable materials, or other documentary
materials, regardless of physical form or characteristics, made
or received by an agency of the United States Government under
Federal law or in connection with the transaction of public
business and preserved or appropriate for preservation by that
Agency or its legitimate successor as evidence of the organization,
functions, policies, decisions, procedures, operations, or other
activities of the Government or because of the informational
value of data in them." (44 U.S.C. 3301)1
b. Federal records may not be destroyed without prior
authorization by the Archivist of the United States. The
Archivist authorizes destruction by signing Standard Form 115,
Request for Records Disposition Authority, which identifies
series of related records and specifies the time for their
destruction. Within the Agency, CIA Form 139, Records Control
Schedule, which includes additional detail, is used to implement
the dispositions approved on SF 115.. Copies of SF 115 and
Form 139 are provided to the Senate Select Committee on
Intelligence at least 60 days prior to their implementation.
"Records" include documents, whether in "soft" files or "official" files, that deal with record matters as defined
above and are not merely duplicates of official record copies filed elsewhere in the Agency; records also include such
things as appointment calendars, diaries, and notes if they deal with record matters as defined above.
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c. Other considerations are of equal importance in deciding
whether to destroy CIA records. These considerations include
legislation such as the Freedom of Information Act and the
Privacy Act, litigation such as Federal antitrust suits and
personal lawsuits, and matters under investigation by the
Department of Justice or Congress. Although records subject
to legal or investigative requirements are identified when a
requirement arises, it is necessary to ensure that they are
not inadvertently destroyed. Therefore, before destroying
any Agency records, whether on paper, magnetic tape, film,
or other recording media, it must be determined that there
are no actual or impending legal or investigative requirements
for the records.
2. The Agency Records Management Officer (Chief, Information Systems
Analysis Staff, DDA), in coordination with other Agency officials, is
responsible for ensuring that CIA records are properly maintained and
destroyed in accordance with the above requirements. To ensure compliance,
the following steps must be taken:
a. Before destroying any records, each employee must consult
the component Records Management Officer (RMO) and the custodian
of the records to verify that the records are scheduled for
immediate destruction on an approved Form 139, Records Control
Schedule. If the records are not scheduled for immediate
destruction, they may not be destroyed unless the Agency RMO
obtains approval to amend the records control schedule by
submitting an SF 115, Request for Records Disposition Authority,
to the Archivist of the United States.
b. Records relating to pending Freedom of Information Act
or Privacy Act requests to the Agency are subject to additional
retention periods established by the Archivist and included in
the records control schedules. Normally, requested records
are duplicated in their entirety at the time of a request, and
the duplicate copies are maintained in accordance with the
retention period for the related request. However, if such
duplication is not practical, the records are instead flagged
at the time of the request, using Form 4016, Information Request
Flag, and must be segregated later from the records series at
the time the records series is being processed for destruction.
Alternatively, all records in process for destruction may be
checked against an automated index of FOIA/PA requirements.
c. It also must be determined that records being processed
for destruction are not related to actual or impending litigation
or to matters under investigation by the Department of Justice
or Congress. The initial determination will be made by the
component RMO and the custodian based on their review of the
records and on information provided by the General Counsel to
the component RMO through the Agency and directorate RMO's.
If the initial review raises any question as to actual or
impending legal or investigative requirements for the records,
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authority to destroy them must be obtained by routing Form 141c,
Request for Authorization to Retain or Destroy Questionable Records,
through the custodian and the component and directorate RMO's
to the Records Administration Branch, ISAS. The Agency RMO
will obtain the concurrence of the General Counsel prior to
approving the actual destruction of the records. (If approval
is denied, the Agency RMO must submit to the Archivist a request
for authorization to retain the records longer than originally
scheduled.)
d. Records authorized for destruction under the above
procedures still may not be destroyed until further notice.'
In the interim such records will be deposited in the
"destruction holding area" at the Agency Archives and. Records
Center.
3. "Library and museum material made or acquired and preserved
solely for reference or exhibition purposes, extra copies of documents
preserved only for convenience of reference, and stocks of publications.
and of processed documents" are excluded from the 44 U.S.C. 3301 defini-
tion of "records" and may be destroyed when no longer needed.2
4. Questions on implementing this policy should be directed to the
component Records Management Officer.
STANSFIELD TURNER
Director
Attachments:
1. Form 141c
2. Form 4016
2 "Non-records include:
"Reading'file" or " chrono" copies of correspondence that are duplicates of the record copies filed in subject or project
files.
"Tickler"follow-up ", or "suspense " copies of correspondence.
Identical duplicate copies of documents maintained in the same file.
Extra copies of printed or processed materials, official copies of which have been retained for record purposes.
Library reference collections of documents produced by other agencies, where the originating agency is responsible
for maintaining the record copy.
Superseded manuals and other directives, maintained outside the office responsible for retaining the record set.
Routing slips and transmittal sheets without written comment of record value.
Drafts and stenographic materials which have been transcribed; reproduction materials such as stencils, hectograph
masters, and offset plates.
Blank forms.
Catalogues, trade journals, and similar externally produced publications which require no action and are not part of
a case upon which action is taken.
Desk calendars and notes which do not deal with record matters as defined to paragraph Ia above.
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Title 3-The President
? January 24. 1978
United States Intelligence Adiviti.a
SECTION 2
RESTRICTION'S ON INTELLIGENCE AC-'rivrtmS
-2-1. Adhrren e to Law.
2-101- l'wpose. Information about the capabilities, intentions and activities
of foreign powers, organizations, or persons and their agents is essential to
informed decision-making in the areas of national defense and foreign relations.
The measures employed to acquire such information should he responsive to
legitimate governmental needs and must be conducted in a inanner that
preserves and respects established concepts of privacy and civil liberties.
2-102. Pnniples of lntr,p,-rtatwn. Sections 2-201 through 2-309 set forth
limitations which, in addition to other applicable laws, are intended to achieve
the proper balance bc?twecnr protection of individual rights and acquisition of
essential infotntation "Those sections do not authorize ar-y activity not
authorized by sections 1-101 through 1-1503 and do not provide any exemp-
tion front anv other law.
2-2. Kr.atrrr bon i :or Certain Collection I rchntqur
2-201. (,r?t:rtol l'rozvvon.a.
(a) The activities described in Sections '-202 through 2-20M shall he
undert.akca) drily as perntirted by this Order and by procedure ; established by
the head o! the agency concerned .end apptrned bs the Attorne} (k'neral. "I?hose
procedures stall protect constitutional rights and privacy, ensure that informa-
tion is gathered by the least intrusive means possible, and limit use of such
information r,, lawful governmental purposes.
(b) Activities dest ribed in see tions 2-202 through 2-205 for which a warrant
would be required if undertaken for law cnlorc'ement rather than intelligence
purposes shall not be undertaker, against a United States person without a
judicial s arrant. unless the President has authorized the type of activity involved
and the .attorney General has both approved the particular activity and deter-.
mined that there is probable cause to believe that the United States person is an
agent of a foreign power.
2-202. ciertronrc Su?reillauce. The CIA may not engage in any electronic
surveillance within the United States. No agency within the Intelligence Corn-
mttnity shall engage in am electronic surveillance directed against a United
States person abroad or designed to intercept a communication sent from, or
intended for receipt within. the United States except as permitted by the
procedures established pursuant to section 2-201. Training of personnel by
agencies in the intelligence (:ommnunity in the use of electronic communica.
tions equipment, testing by such agencies of such equipment, and the use of
measures to determine the existence and capability of electronic surveillance
equipment being used unlawfully shall not be prohibited and shall also be
governed by such procedures. Such activities shall be limited in scope and
duration to those necessary to carry out the training. testing or countermeasures
purpose. No information derived from communications intercepted in the
course of such training, testing or use of ,dente
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gence Community shall use any electronic or mechanical devire surt,?ptitiously
and continuously to monitor any pet son within the United States, or ::ny t'nited
States person abroad. except as permitted by the procedures established
pursuant to Section 2-201-
2-204. Pitlclcal Searches- No agency within the Intelligence Community
except the FBI may conduct any unconsented physical searches within the
United States. All such searches conducted by the FBI, as well as all such
searches conducted by any agency within the Intelligence Community outside
the United States and directed against United States persons, shall be under-
taken only as permitted by procedures established pursuant to Section 2-201.
2-205. Mad Surtelllanie. No agency within the Intelligence Community
shall open mail or examine envelopes in United States postal channels, except in
accordance with applicable statutes and regulations. No agency within the
Intelligence Community shall open mail of a United States person abroad except
as permitted by procedures established pursuant to Section 2-201.
2-2")(). Phr.ciral Sur 'ei/laace. The FBI may conduct physical surveillance
directed against United States persons or others only in the course of a lawful
investigation. Other agencies within the Intelligence Community may not
undertake any physical surveillance directed against a United Scales person
unless:
(a) The surveillance is Conducted outside the United States and the person
being surveilled is reasonably believed to be acting on behalf of a foreign power,
engaging in internaliotial it rrorisi activities, or engaging in narcotics produc Lion
or trafficking;
(b) The surveillance is conducted solely fur the purpose of identifying a
person who is nl contact with someone who, is the suhlcct of a foreign
intelligence or counterintelligence investigation; or
(c) That person is being surveilled for the purpose of protecting foreign
intelligence and counterintelligence sources and methods horn unauthorized
disclosure or is the sttbjt?c t of a lawful counterintelligence, pet scinnel, physical or
communications security investigation.
(d) No surveillance under paragraph (c) of this section may be conducted
within the United States unless the person being surveilled is a present
employee, inielligci ce agency contractor or employee of such a contractor, or is
a niilitar person employed by a non-intelligence clement of a military service.
Outside the United States such surveillance may also he conducted against a
former employee, intelligence agency contractor or employee of a contractor or
a civilian person employed by a non-intelligence clement of an agcn,'y within tile
intelligence Community. A person who is in contact with such a present or
former employee or contractor m.iv also he surveilled, but only to the extent
necessary to identify that person.
2-207. Undisclosed F'nr[i ipa/im( in 1)ornestir Or),rpni a(wru. No employees may
join, or otherwise participate in, any organization within the l.'nited States on
behalf of any agency within the Intelligence Community without disclosing their
intelligence affiliation to appropriate officials of the organization, except as
permitted by procedures established pursuant to Section 2-201- Such' proce-
dures shall provide for disclosure of such affiliation in all cases unless the agency
head or a designee approved by the Attorney General finds that non-disclosure
is essential to achieving lawful purposes, and that finding is subject to review by
the Attorney General. Those prcuedures shall fo their limit undisclosed partici-
pation to cases where:
(a) The participation is undertaken on behalf of the FBI in the course of a
lawful investigation;
(b) The organization concerned is composed primarily of individuals who
are not United States persons and is reasonably believed to he acting on behalf
of a foreign power; or
(c) The participation is strictly limited in its nature, scope and duration to
thhat -neecessaryyfor other,lass'fill purposes relating to foreign intelligence and is a
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ing the activity of the organization or its tnenibers.
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Intelligence Community may collect, disseminate or store information concern-
ing the activities of United States persons that is not available publicly, unless it
does so with their consent or as permitted by procedures established pursuant to
Section 2-201. Those procedures shall limit collection, storage or dissemination
to the following types of information:
(a) Information concerning corporations or other commercial organizations
or activities that constitutes foreign intelligence or counterintelligence;
(b) Information arising out of a lawful counterintelligence or personnel,
physical or communications security Investigation;
(c) Information concerning present or former employees, present or former
intelligence agency contractors or their present or former employees, or appli-
cants For any such employment or contracting, which is needed to protect
foreign intelligence or counterintelligence sources or methods from unautho-
rized disclosure;
(d) Information needed solely to iclcrruls rndi4iduals in contact with those
persons dcsr riht?d in paragraph (c) of this see nun or with someone who is' the
subject of 'a lawful foreign intelligence or counterrntelligencc investigation;
(c) Information concerning persons who are reasonably believed to be
potential sources or contacts, but only for the purpose of determining the
suitability or -credibility of such persons;
(1) Information constituting foreign intelligence or counterintelligence
gathered abroad or from electronic surveillance conducted in compliance with
Section 2-202 or front cooperating sources in the United St;rre?s:
(g) lnforntatiorn about a person who is reasonably believed to be acting on
behalf of a foreign power, engaging in international terrorist activities or
narcotics production or traflic.king, or endangering the safety of a person
protected by the United States Secret Service or the Department of State;
(h) Inforrrtation acquired by overhead reconnaissance not directed at
specific !!nixed States perswu;
(1) information concerning United States persons abroad that is obtained in
response to requests from the Dep'u?trnt?nt of State for support of its consular
responsibilities relating to the welfare of those persons;
()) Inform.uion collected, received. distiemrnated or stored by the FBI and
necessary to fulfill its lawful investigative responsibilities; or
(k) lnforni.rtion concerning persons or activities that pose a clear threat to
any facilit% or personnel of an agency within the Intelligence Community. Such
inlornt:ttion may l)r? retained onl, by the agency threatened and, if appropriate,
by the United States Secret Serve e and the F111
2-3. Iddclrnnal Rotnr?luras and I.rrnrlahoru.
2-301. Tux In/rrrnian,)n. No agency within the lntclligenre Community shall
examine tar returns or tax information except as permitted by applicable law.
2-302. Re.srnmon.r or h,'.clayimvnlnhnn No agency within the Intelligence
Comnuuuty shall sponsor, contract for, or conduct research tin human subjects
except in accordance with guidelines issued by the Department of Health,
Fdur ation and Weliar c. The stth jrr is infor rncd consent shall he documented as
required by those guidelines.
2-303. Reitnrlrort.r on Contrurtrit No agency within the Intelligence Com-
rnunny shall enter into a contract or arr?arrgement for the provision of goods or
services with private companies or instrlulrons in the United States unless the
agency sponsorship is known to the appropriate officials of the company or
insti(ution. In the case of any company or institution other than an academic
institution. intelligence agency sponsorship may be concealed where it is
determined. pursuant to procedures approved by the Attorney General, that
such concealment is necessary to maintain essential cover or proprietary ar-
rangements for authorized intelligence purposes.
2-304.' hr)!nchons on Personnel Assigned to Oilier Agencies. An employee
detailed to another agency within the federal government shall be responsible to
the host agency and shall not report to the parent agency oRn th}e~affairs of the
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2-307P. fro/? hthon ran ,L.va~;n;;rhon. No person employed by or acting on
behalf of the t titled St,rtes (.,ove?rnnlent shall engage in, or conspire to cnl;ac(e
in. assassinaliort.
2-306. lr,truttons on Sperial Artivi1rrs. No component of the C.'sited States
Government extept an agency within the. lntr?Iligence Community may conduct
any special :uuvin. No such agency except the (.1A (or the military services in
warunle) may conduct any special activity unless the president determines, with
the SCC's advice, that another agency is more likely to achieve a particular
objective,
2-307. Restrirtion.r on Indirect 1'nrtrnpatlon in Prnltrhttr,I Artiviltre. No agency of
the intelligence Cornuuutily shall rerlucsl or otherwise meats-age, directly or
indirectly, any person, organization, or government agency to undertake activi-
ties forbidden by this Order or by applicable law.
2-308. Rrsh7rlions or::1eci lanrr la Law hnfarrrrnrnt ,9ulhmities. Agencies with-
in the Intelligence Community other than the FBI shall not, except as expressly
authorized by law:
(a) Provide services, equipment, personnel or facilities to the 1.aw Enforce-
ment Assistance Administration (or its successor agencies) or to state or local
police organizations of the Unites) hates: or
(b) Participate in or fund any law enforcement activity within the United
States.
2-309. lrrrrni.tsible.#ssi:lance to Lau, Enjorrcment Aulhontiee. The restrictions in
Section 2-308 shall not preclude:
(a) Cooperation with appropri.ee law enforcement agencies for the purpose
of protecting the personnel and facilities of any agency within the Intelligence
Community;
(h) Participation in laws enforcement activities, in accordance with law and
this Order, to investigate cr Prevent clande, stine intelligence activities by foreign
powers, international narcotics production and trafficking, or international
terrorist activities; or
(c) Provision of specialized equipment. technical knowledge, or assistance of
expert personnel for use by any department or agency or, when lies are
endangered, to support local law enforcement agencies. Provision of assistance
by expert personnel shall Le governed by procedures approved by the Attorney
General.
2-310_ Pnmrt.,rblr Pi.c,eminahon and .Storage of Information. Nothing in St?c-
tions 2-201 through 2-309 of this Order shall prohibit:
(a) Dissemination to appropr-atc law enforcement agencies of information
which indicates involvement in activities that may violate federal, state, local or
foreign laws:
(b) Storage of information i culuired by law to be retained;
(c) Dissemination of information covered by Section 2-208 (a)-(j) to
agencies within the Intelligence Community or entities of cooperating foreign
gin ernments; or
(d) Lawful storage or di.ssemin:+tion of information solely for administrative
purposes not related to intelligence or security.
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