[Federal Register Volume 59, Number 199 (Monday, October 17, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-25560]
[[Page Unknown]]
[Federal Register: October 17, 1994]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
General Records Schedule 20, Electronic Records; Request for
Comments
AGENCY: National Archives and Records Administration, Office of Records
Administration.
ACTION: Notice of proposed records schedule; request for comments.
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SUMMARY: As required by statute (44 U.S.C. 3303a(d)), the National
Archives and Records Administration (NARA) issues General Records
Schedules (GRS) to provide disposal authority for temporary records
common to several or all agencies. NARA has revised GRS 20, Electronic
Records, by adding an item on electronic mail records, by moving
selected items from GRS 23 to GRS 20 to consolidate coverage of
electronic records, and by updating several other items. General
Records Schedules, as well as schedules submitted by agencies, are
subject to public review and comment before approval, as required by 44
USC 3303a(a). Normally, NARA publishes notices of Federal agency
requests for records disposition authority (records schedules) that
contain an identifying number and a brief description of the records to
be covered by the schedule. This allows interested parties to request
copies of pending schedules and submit comments. Because of the
widespread interest in electronic records, however, NARA has chosen in
this instance to publish the full text of the schedule with revisions
indicated.
DATES: Comments must be received in writing on or before December 1,
1994.
ADDRESSES: Comments should be sent to the Records Appraisal and
Disposition Division (NIR), National Archives at College Park, 8601
Adelphi Road, College Park, MD 20740-6001. Comments may be faxed to
(301) 713-6852 or (301) 713-6850. Comments also may be sent to the
following Internet address: [email protected].
FOR FURTHER INFORMATION CONTACT: James J. Hastings, Director, Records
Appraisal and Disposition Division, (301) 713-7110, extension 229.
SUPPLEMENTARY INFORMATION: For the convenience of reviewers, the text
of GRS 20 is provided in full in this notice, including items that are
unchanged from the current GRS 20 (items 2, 6, 7, and 9-12) or contain
only editorial changes (items 1, 4, and 5). The title of item 1 was
amended to remove the reference to the locations where the files
described by item 1 are maintained, and the wording of the disposition
instructions for items 4 and 5 was edited for consistency with other
items.
Comments will be accepted only on the items in GRS 20 that have
been substantively changed or added, specifically, items 3, 8, 13, 14,
and 15. Also for the convenience of reviewers, the text of GRS 23 is
being published although no comments are being solicited.
Introduction. Because the distinction between central data
processing applications and end-user computer applications have become
blurred by the proliferation of local and wide area networks, and end-
user applications have become more sophisticated since they were added
to GRS 23 in 1987, end-user applications have been moved to GRS 20. The
introduction to GRS 20 is revised to reflect its expanded coverage and
explain some of the changes made to the schedule, as follows:
General Records Schedule 20
Electronic Records
This schedule provides disposal authorization for certain
electronic records and specified hard-copy (paper) or microform records
that are integrally related to the electronic records.
This schedule applies to disposable electronic records created or
received by Federal agencies including those managed for agencies by
contractors. It covers records created by computer operators,
programmers, analysts, systems administrators, and all personnel with
access to a computer. Disposition authority is provided for certain
master files, including some that are components of database management
systems, certain files created from master files for specific purposes,
and certain disposable electronic records produced by end users in
office automation applications (e.g., word processing files, electronic
mail messages, calendars, spreadsheets, and databases developed on
personal computers in support of administrative functions). These
disposition authorities apply to the categories of electronic records
described in GRS 20, regardless of the type of computer used to create
or store these records. GRS 20 does not cover all electronic records.
Electronic records not covered by GRS 20 may not be destroyed unless
authorized by a Standard Form 115 that has been approved by the
National Archives and Records Administration (NARA).
Security backup copies of files as defined in item 8 of this
schedule do not equate to system backups. System backups are copies on
off-line storage media of software and data stored on direct access
storage devices in a computer system. They are used to recreate a
system or its data in case of unintentional loss from on-line storage.
System backups are merely mirror images of storage disks on which data
and documents may be scattered randomly as they are on the disks
themselves. Therefore, system backups are not records and are suitable
for safeguarding against the loss of records only when the record copy
is maintained elsewhere.
Electronic mail records described in item 14 are documents which:
(1) Are created or received on an electronic mail system, and (2) meet
the definition of Federal records. E-mail records must include the
identity of the sender and the recipient(s), and the date, and any
other data deemed by the agency to be necessary to understand the
contents or to interpret the structure of the e-mail record. Receipt
data that the agency determines is needed for complete and accurate
documentation must also be maintained with e-mail messages that are
Federal records.
The records covered by several items in this schedule are
authorized for erasure or deletion when no longer needed. NARA could
not establish a more specific retention that would be appropriate in
all applications. Each agency should, when appropriate, determine a
more specific disposition instruction, such as ``Delete after X update
cycles'' or ``Delete when X years old,'' for inclusion in its records
disposition directives or manual. NARA approval is not needed to set
retention periods for records in the GRS that are authorized for
destruction when no longer needed.
Items 2a and 1a (in part) of this schedule apply to hard-copy or
microform records used in conjunction with electronic files. Item 1
also covers printouts produced to test, use, and maintain master files.
Items 10 and 11 of this schedule should be applied to special purpose
programs and documentation for disposable electronic records whatever
the medium in which such documentation and programs exist.
This schedule has been revised to include electronically-generated
records previously covered in General Records Schedule 23, Records
Common to Most Offices. The original numbering of the items in GRS 20
has been preserved. The items moved from GRS 23 have been added at the
end, except the item covering administrative databases that has been
incorporated into item 3. Electronic versions of records authorized for
disposal in the remaining items in GRS 23, as for other records in the
GRS, may be deleted under the provisions of item 3 of GRS 20.
See also 36 CFR part 1234 for NARA regulations on electronic
records management.
Item 1. The title of item 1 was modified to remove the reference to
central ADP facilities, ADP management, and ADP support operations and
clarify its applicability. The disposition of subitem 1c was modified
to remove the phrase ``in accordance with sound business practice and
agency standard operating procedures'' for consistency with other GRS
items. The item was otherwise unchanged and now reads as follows:
Item 1. Files/Records Relating to the Creation, Use, and
Maintenance of Computer Systems, Applications, or Electronic
Records.
a. Electronic files or records created solely to test system
performance, as well as hard-copy printouts and related
documentation for the electronic files/records.
Delete/destroy when no longer needed.
b. Electronic files or records used to create or update a master
file, including, but not limited to, work files, valid transaction
files, and intermediate input/output records.
Delete after information has been transferred to the master file
and verified.
c. Electronic files and hard-copy printouts created to monitor
system usage, including, but not limited to, log-in files, password
files, audit trail files, system usage files, and cost-back files
used to assess charges for system use.
Delete/destroy when no longer needed.
Item 2. Item 2 is unchanged from the current GRS which reads as
follows:
Item 2. Input/Source Records.
a. Non-electronic documents or forms designed and used solely to
create, update, or modify the records in an electronic medium and
not required for audit or legal purposes (such as need for
signatures) and not previously scheduled for permanent retention in
a NARA-approved agency records schedule.
Destroy after the information has been converted to an
electronic medium and verified, or when no longer needed to support
the reconstruction of, or serve as the backup to, the master file,
whichever is later.
b. Electronic records, except as noted in item 2c, entered into
the system during an update process, and not required for audit and
legal purposes.
Delete when data have been entered into the master file or
database and verified, or when no longer required to support
reconstruction of, or serve as backup to, a master file or database,
whichever is later.
c. Electronic records received from another agency and used as
input/ source records by the receiving agency, EXCLUDING records
produced by another agency under the terms of an interagency
agreement, or records created by another agency in response to the
specific information needs of the receiving agency.
Delete when data have been entered into the master file or
database and verified, or when no longer needed to support
reconstruction of, or serve as backup to, the master file or
database, whichever is later.
Item 3. Item 3 was modified to incorporate item 3 from GRS 23
covering administrative databases. The title was changed from Master
Files to Electronic Versions of Records Scheduled for Disposal. This
will clarify the coverage of the item. To further clarify the coverage
to users of the GRS, the following note will be added to each page of
the GRS indexes: General Records Schedule 20, item 3, applies to
electronic versions of records scheduled for disposal under items in
GRS 1-16, 18, 22, and 23, except for GRS 1, items 21, 22, 25f; GRS 12,
item 3; and GRS 18, item 5. The new item reads as follows:
Item 3. Electronic Versions of Records Scheduled for Disposal.
a. Electronic versions of records that are scheduled for
disposal under one or more items in GRS 1-16, 18, 22, or 23;
EXCLUDING those that replace or duplicate the following GRS items:
GRS 1, items 21, 22, 25f; GRS 12, item 3; and GRS 18, item 5.
Delete after the expiration of the retention period authorized
by the GRS or when no longer needed, whichever is later.
b. Electronic records that support administrative housekeeping
functions when the records are derived from or replace hard copy
records authorized by NARA for destruction in an agency specific
records schedule.
(1) When hard copy records are retained to meet recordkeeping
requirements.
Delete information in the database when no longer needed.
(2) When the electronic record replaces hard copy records.
Delete after the expiration of the retention period authorized
for the hard copy file, or when no longer needed, whichever is
later.
(3) Hard copy printouts created for short-term administrative
purposes.
Destroy when no longer needed.
Item 4. The disposition instruction for item 4 was modified to
remove the concluding phrase ``for current business'' for consistency
with other GRS items. The item is otherwise unchanged from the current
GRS and now reads as follows:
Item 4. Data Files Consisting of Summarized Information.
Records that contain summarized or aggregated information
created by combining data elements or individual observations from a
single master file or database that is disposable under a GRS item
or is authorized for deletion by a disposition job approved by NARA
after January 1, 1988, EXCLUDING data files that are:
(a) Created as disclosure-free files to allow public access to
the data; or
(b) Created from a master file or database that is unscheduled,
or that was scheduled as permanent but no longer exists or can no
longer be accessed; which may not be destroyed before securing NARA
approval.
Delete when no longer needed.
Item 5. The disposition instruction for item 5 was modified to
remove the concluding phrase ``for current business'' for consistency
with other GRS items, and a cross-reference to item 12 was added. The
item is otherwise unchanged from the current GRS and now reads as
follows:
Item 5. Records Consisting of Extracted Information.
Electronic files consisting solely of records extracted from a
single master file or database that is disposable under GRS 20 or
approved for deletion by a NARA-approved disposition schedule,
EXCLUDING extracts that are:
(a) Produced as disclosure-free files to allow public access to
the data; or
(b) Produced from a master file or database that is unscheduled,
or that was scheduled as permanent but no longer exists or can no
longer be accessed; or
(c) Produced by an extraction process which changes the
informational content of the source master file or database; which
may not be destroyed before securing NARA approval. For print and
technical reformat files see items 6 and 7 of this schedule
respectively.
Delete when no longer needed.
Note: See item 12 of this schedule for other extracted data.
Item 6. Item 6 is unchanged from the current GRS which reads as
follows:
Item 6. Print File.
Electronic file extracted from a master file or database without
changing it and used solely to produce hard-copy publications and/or
printouts of tabulations, ledgers, registers, and reports.
Delete when no longer needed.
Item 7. The description of Item 7 was modified to broaden its
coverage from master files and databases to all types of applications.
The item now reads as follows:
Item 7. Technical Reformat File.
Electronic file consisting of data copied from a copy of a file
or a portion of a file made for the specific purpose of information
interchange and written with varying technical specifications,
EXCLUDING files created for transfer to the National Archives.
Delete when no longer needed.
Item 8. The description for item 8 was corrected by changing
``physical format'' to ``logical format'' and an explanatory note was
added. The item now reads as follows:
Item 8. Security Backups of Files.
Electronic copy consisting of data identical in logical format
to the master copy of an electronic record or file and retained in
case the master file or database is damaged or inadvertently erased.
a. File identical to records scheduled for transfer to the
National Archives.
Delete when the identical records have been transferred to the
National Archives and successfully copied, or when replaced by a
subsequent security backup file.
b. File identical to records authorized for disposal in a NARA-
approved records schedule.
Delete when the identical records have been deleted, or when
replaced by a subsequent security backup file.
[Note: This item does not cover system backups. See introduction
to this schedule for further information on system backups.]
Item 9. Item 9 is unchanged from the current GRS which reads as
follows:
Item 9. Finding Aids (or Indexes).
Electronic indexes, lists, registers, and other finding aids
used only to provide access to records authorized for destruction by
the GRS or a NARA-approved SF 115, EXCLUDING records containing
abstracts or other information that can be used as an information
source apart from the related records.
Delete with related records or when no longer needed, whichever
is later.
Item 10. Item 10 is unchanged from the current GRS which reads as
follows:
Item 10. Special Purpose Programs.
Application software necessary solely to use or maintain a
master file or database authorized for disposal in a GRS item or a
NARA-approved records schedule, EXCLUDING special purpose software
necessary to use or maintain any unscheduled master file or database
or any master file or database scheduled for transfer to the
National Archives.
Delete when related master file or database has been deleted.
Item 11. Item 11 is unchanged from the current GRS which reads as
follows:
Item 11. Documentation.
a. Data systems specifications, file specifications, codebooks,
record layouts, user guides, output specifications, and final
reports (regardless of medium) relating to a master file or database
that has been authorized for destruction by the GRS or a NARA-
approved disposition schedule.
Destroy or delete when superseded or obsolete, or upon
authorized deletion of the related master file or database.
b. Computer center copies of records relating to system
security, including records documenting periodic audits or review
and recertification of sensitive applications, disaster and
continuity plans, and risk analysis, as described in OMB Circular
No. A-130. Destroy or delete when superseded or obsolete.
[Notes: (1) Documentation that relates to permanent or
unscheduled master files and databases is not authorized for
destruction by the GRS. (2) See item 1a of this schedule for
documentation relating to system testing.]
Item 12. Item 12 is unchanged from the current GRS which reads as
follows:
Item 12. Downloaded and Copied Data.
Derived data and data files that are copied, extracted, merged,
and/or calculated from other data, when the original data is
retained.
a. Derived data used for ad hoc or one-time inspection, analysis
or review, if the derived data is not needed to support the results
of the inspection, analysis or review.
Delete when no longer needed.
b. Derived data that provide user access in lieu of hard copy
reports that are authorized for disposal.
Delete when no longer needed.
c. Metadata or reference data, such as format, range or domain
specifications, which is transferred from a host computer or server
to another computer for input, updating, or transaction processing
operations.
Delete from the receiving system when the input operation is
completed.
[Note: See item 5 of this schedule for other extracted data.]
Item 13. Item 13 was extracted from GRS 23, item 2, which covered
both word processing documents and electronic messages. Item 13 covers
only word processing documents; messages will be covered in new item
14. The coverage of the item has been expanded and clarified to include
word processing documents that are copied to an electronic
recordkeeping system. This item will authorize the disposal of
documents on the word processing system if they are copied to paper or
another electronic form for recordkeeping, or if they are already
authorized for disposal by the GRS or a NARA-approved agency records
schedule. The revised item reads as follows:
Item 13. Word Processing Files.
Documents such as letters, memoranda, reports, handbooks,
directives, and manuals recorded on electronic media such as hard
disks or floppy diskettes:
a. When copied to paper, microform, or an electronic records
system for recordkeeping purposes.
Delete when no longer needed.
b. When maintained in electronic format only on the word
processing system or separate diskette, providing the records have
been authorized for destruction by the GRS or NARA-approved SF 115.
Delete after the expiration of the retention period authorized
by the GRS or a NARA-approved SF 115.
Item 14. Item 14 was extracted from current GRS 23, item 2. Because
electronic mail has become so widespread, a separate item for
electronic mail messages is now needed. This item will authorize
deletion of records on the electronic mail system only when they have
been copied to paper, microform, or another electronic system for
recordkeeping purposes, or when their retention period has expired as
specified by a GRS or NARA-approved agency records schedule. The new
item reads as follows:
Item 14. Electronic mail records.
Senders' and recipients' copies of messages, regardless of
length or substance, that meet the definition of Federal records
created using the electronic mail (e-mail) system and any
attachments.
a. Records, including transmission data and any receipt data
that may be required, that have been converted to paper or microform
or copied to another electronic system for recordkeeping. Delete
from the e-mail system when no longer needed.
b. Records maintained only on the e-mail system for
recordkeeping, providing the records have been authorized for
destruction by the GRS or a NARA-approved SF 115.
Delete from the e-mail system at the expiration of the retention
period authorized by the GRS or NARA-approved SF 115.
[Note: See introduction for further information on e-mail
records, including transmission and receipt data.]
Item 15. Item 15 was GRS 23, item 4. There are no changes in the
text which reads:
Item 15. Electronic Spreadsheets.
Spreadsheets that are recorded on electronic media such as hard
disks or floppy diskettes:
a. When used to produce hard copy that is maintained in
organized files.
Delete when no longer needed to update or produce hard copy.
b. When maintained only in electronic form.
Delete after the expiration of the retention period authorized
for the hard copy by the GRS or a NARA-approved SF 115. If the
electronic version replaces hard copy records with differing
retention periods and agency software does not readily permit
selective deletion, delete after the longest retention period has
expired.
As noted above, General Records Schedule 23, Records Common to Most
Offices Within Agencies, has been modified by removal of items covering
records created in electronic form which have been incorporated into
GRS 20. GRS 23 will now read as follows:
General Records Schedule 23
Records Common to Most Offices Within Agencies
This schedule provides for the disposal of certain records
common to most offices in Federal agencies. It covers administrative
subject files; facilitative records such as suspense files, tracking
and control records, calendars, and indexes; and transitory
documents. This schedule does not apply to any materials that the
agency has determined to be nonrecord or to materials such as
calendars or work schedules claimed as personal.
Office Administrative Files described under item 1 are records
retained by an originating office as its record of initiation of an
action, request, or response to requests for information. This item
may be applied only to separate administrative files containing such
records as copies of documents submitted to other offices for action
including budget feeder documents, purchase orders, training
requests. Item 1 may not be applied to files that also contain
program records, and it may not be applied by an office that
receives and takes action on documents submitted by other offices.
Several items covering electronic records produced on stand-
alone or networked personal computers (such as word processing
files, administrative databases, and spreadsheets) that were
previously in this schedule have been moved to General Records
Schedule 20, Electronic Records. To preserve the previous numbering
of the items in GRS 23, the item numbers that have been moved have
been reserved. The disposition of records described in this schedule
that are created in electronic form is governed by GRS 20, items 3,
13, 14, and 15.
Item 1. Office Administrative Files.
Records accumulated by individual offices that relate to the
internal administration or housekeeping activities of the office
rather than the functions for which the office exists. In general,
these records relate to the office organization, staffing,
procedures, and communications; the expenditure of funds, including
budget records; day-to-day administration of office personnel
including training and travel; supplies and office services and
equipment requests and receipts; and the use of office space and
utilities. They may also include copies of internal activity and
workload reports (including work progress, statistical, and
narrative reports prepared in the office and forwarded to higher
levels) and other materials that do not serve as unique
documentation of the programs of the office.
Destroy when 2 years old, or when no longer needed, whichever is
sooner.
[Note: This schedule is not applicable to the record copies of
organizational charts, functional statements, and related records
that document the essential organization, staffing, and procedures
of the office, which must be scheduled prior to disposition by
submitting an SF 115 to NARA.]
Items 2-4. Reserved.
Item 5. Schedules of Daily Activities.
Calendars, appointment books, schedules, logs, diaries, and
other records documenting meetings, appointments, telephone calls,
trips, visits, and other activities by Federal employees while
serving in an official capacity, EXCLUDING materials determined to
be personal.
a. Records containing substantive information relating to
official activities, the substance of which has not been
incorporated into official files, EXCLUDING records relating to the
official activities of high government officials (see note).
Destroy or delete when 2 years old.
[Note: High level officials include the heads of departments and
independent agencies; their deputies and assistants; the heads of
program offices and staff offices including assistant secretaries,
administrators, and commissioners; directors of offices, bureaus, or
equivalent; principal regional officials; staff assistants to those
aforementioned officials, such as special assistants, confidential
assistants, and administrative assistants; and career Federal
employees, political appointees, and officers of the Armed Forces
serving in equivalent or comparable positions. Unique substantive
records relating to the activities of these individuals must be
scheduled by submission of an SF 115 to NARA.
b. Records documenting routine activities containing no
substantive information and records containing substantive
information, the substance of which has been incorporated into
organized files.
Destroy or delete when no longer needed.
[Note: GRS 20, item 3, authorizes deletion of electronic records
described by subitems a and b of this item.]
Item 6. Suspense Files.
Documents arranged in chronological order as a reminder that an
action is required on a given date or that a reply to action is
expected and, if not received, should be traced on a given date.
a. A note or other reminder to take action. Destroy after action
is taken.
b. The file copy or an extra copy of an outgoing communication,
filed by the date on which a reply is expected.
Withdraw documents when reply is received. (1) If suspense copy
is an extra copy, destroy immediately. (2) If suspense copy is the
file copy, incorporate it into the official files.
Item 7. Transitory Files.
Documents of short-term interest which have no documentary or
evidential value and normally need not be kept more than 90 days.
Examples of transitory correspondence are shown below.
a. Routine requests for information or publications and copies
of replies which require no administrative action, no policy
decision, and no special compilation or research for reply.
b. Originating office copies of letters of transmittal that do
not add any information to that contained in the transmitted
material, and receiving office copy if filed separately from
transmitted material.
c. Quasi-official notices including memoranda and other records
that do not serve as the basis of official actions, such as notices
of holidays or charity and welfare fund appeals, bond campaigns, and
similar records.
Destroy when 3 months old, or when no longer needed, whichever
is sooner.
Item 8. Tracking and Control Records.
Logs, registers, and other records used to control or document
the status of correspondence, reports, or other records that are
authorized for destruction by the GRS or a NARA-approved SF 115.
Destroy or delete when no longer needed.
Item 9. Finding Aids (or Indexes).
Indexes, lists, registers, and other finding aids used only to
provide access to records authorized for destruction by the GRS or a
NARA-approved SF 115, EXCLUDING records containing abstracts or
other information that can be used as an information source apart
from the related records.
Destroy or delete with the related records or sooner if no
longer needed.
Dated: October 6, 1994.
Trudy Huskcamp Peterson,
Acting Archivist of the United States.
[FR Doc. 94-25560 Filed 10-14-94; 8:45 am]
BILLING CODE 7515-01-P