[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