[Federal Register Volume 60, Number 166 (Monday, August 28, 1995)]
[Notices]
[Pages 44643-44650]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-21126]




  Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / 
Notices  

[[Page 44643]]


NATIONAL ARCHIVES AND RECORDS ADMINISTRATION


General Records Schedule 20; Disposition of Electronic Records

AGENCY: National Archives and Records Administration.

ACTION: Notice of issuance of General Records Schedule.

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SUMMARY: General Records Schedules (GRS) are issued by the Archivist of 
the United States to provide disposal authorization for temporary 
records common to several or all agencies of the Federal Government. 
NARA is obliged by the Federal Records Act to issue such schedules, and 
Federal agencies are required to follow their provisions (44 U.S.C. 
3303a(d)). On October 7, 1994, NARA published a notice in the Federal 
Register requesting comment on a revision of General Records Schedules. 
The revision included removal of several items from GRS 23, Records 
Common to Most Offices Within Agencies, and consolidation of those 
items with other electronic records in GRS 20. Other changes were made 
to clarify and extend the coverage of some of the items. The following 
is a summary of the comments received and NARA's response. The final 
GRS 20 was approved on August 14, 1995.

FOR FURTHER INFORMATION CONTACT: James J. Hastings, Director, Records 
Appraisal and Disposition Division, National Archives at College Park, 
8601 Adelphi Road, College Park, MD 20740-6001. (301) 713-7100, ext. 
274.

SUPPLEMENTARY INFORMATION:

Background

    NARA proposed consolidating authority for the disposition of 
generic electronic records into General Records Schedule (GRS) 20, 
Electronic Records, by moving several items from GRS 23, Records Common 
to Most Offices Within Agencies, to GRS 20. On August 14, 1995, the 
Archivist of the United States approved the revised GRS 20. It is now 
in effect.
    The revised GRS 20 authorizes deletion of certain types of 
electronic records associated with large data base systems, such as 
inputs, outputs, processing files, special format files, and system 
documentation for systems that have been appraised by NARA as 
temporary. To protect potentially permanent records, several of these 
items are limited by specific exclusions. As a result of the move of 
GRS 23 items that pertain to electronic records into GRS 20, the 
revised GRS 20 also authorizes deletion of records on word processing 
and electronic mail systems once a recordkeeping copy has been made, 
and authorizes deletion of electronically-generated administrative 
spreadsheets and other administrative records that are included in 
recordkeeping systems that have been authorized for disposal by NARA. 
All electronic records not covered by GRS 20 or other General Records 
Schedules must be scheduled individually.
    For convenience of reference, the revised GRS 20 and GRS 23 are 
printed at the end of this notice.

Comments and Responses

    NARA received 37 written responses after publication of the 
proposed changes to GRS 20 and 23 in the Federal Register on October 
17, 1994. Fourteen of the comments were submitted by Federal agencies 
and 23 were submitted by members of the public. The responses from 
Federal agencies were supportive of the changes; two wrote only to 
provide concurrence. Comments from the Federal agencies focused on the 
coverage and applicability of the General Records Schedules; ten 
requested clarifications or suggested changes. One agency commented on 
the overall coverage of the GRS. The comments from twenty-one members 
of the public and professional organizations, two Federal agencies, and 
two state archivists were critical of the proposal. Except for the 
response from one state archivist, all critical comments were based on 
a belief that implementation of the revised schedules would result in 
destruction of valuable Federal documentation.
    Neither the agencies nor the public commented on the revised GRS 
23.
    Several agencies made general comments on the GRS or specifically 
on GRS 20 that were not responsive to the notice in the Federal 
Register. Nevertheless, NARA will carefully review these comments and 
will consider incorporating them in future changes to the GRS, NARA 
handbooks or other guidance. They will not be addressed in this notice.
    The comments that were received included some that were general and 
applied to more than one of the items in the proposed GRS. Others were 
specifically directed to one particular item. The comments and 
responses listed below pertain first to the overall comments and then 
to those that were addressed to specific items.
    The full set of comments on the revision to GRS 20 that was 
proposed on October 17, 1994, is available for public inspection at the 
National Archives at College Park, Records Appraisal and Disposition 
Division, Room 2100, 8601 Adelphi Road, College Park, MD 20740.

1. Value of Electronic Records

    a. Comments. Twenty-six respondents expressed an overall concern 
about the changes to GRS 20. In their opinion GRS authorization for 
deletion of electronic versions of records that had been converted to 
paper or microform would be inappropriate. They stressed that hard copy 
records are not satisfactory replacements for records in electronic 
format and cited the well-known advantages of electronic records for 
future research. They believe that the substitution of hard copy 
records would hamper the work of future researchers, so agencies should 
be required to preserve electronically the records that they create on 
computers. Respondents cited several examples of the feasibility of 
preserving electronic records, including the State Department's Foreign 
Affairs Information System, a system in the Canadian Trade Negotiations 
Office, and a pilot project at the Navy Research Laboratory as examples 
of the feasibility of preserving records electronically.
    b. Response. NARA has recognized for many years the advantages 
electronic records have for searching, manipulating, and storing 
information. In 1968 NARA established an organizational unit to develop 
policies for the selection and preservation of electronic records. 
Since that time NARA's appraisal guidelines have stressed the added 
value brought by the manipulability of automated data. In addition to 
the initial focus on archival preservation of electronic records, NARA 
concentrated on implementing its statutory obligation to provide 
agencies with the authority to delete electronic records that have only 
temporary value. Accordingly, the first version of GRS 20 was published 
in 1972 to provide disposal authority for specific categories of 
temporary records associated with mainframe applications. Excluded from 
its coverage, and all subsequent revisions, were the types of records 
generated by large data systems that might have archival value.
    A 1988 revision of the GRS extended disposal authority to specific 
categories of records generated by end-user applications on stand-alone 
or networked computers used by individuals. This new GRS, General 
Records Schedule 23, covered word processing, electronic mail, 
spreadsheets, and administrative data bases. The items concerning these 
applications authorized the deletion of the electronic versions of 
records created after they were printed to hard copy. Use of word 
processing software evolved from use of typewriters and 

[[Page 44644]]
stand-alone word processors used to produce paper documents. Even as 
networks were installed, agencies continued to maintain records 
produced with office automation applications in organized paper files, 
especially since end-user applications were not designed to classify, 
index, and maintain documents for their authorized retention period.
    NARA's final standards for the management of e-mail and the 
revision to GRS 20 that has now been approved clarify the disposition 
authority for electronic records produced by end-users. The GRS 23 that 
was approved in 1988 authorized deletion of word processing and e-mail 
records from the ``live'' system after they had been copied to paper or 
microform. This authority has now been moved to GRS 20 and is extended 
to authorize deletion of electronic mail and word processing records 
from the ``live'' system after they have been copied to an electronic 
recordkeeping system. It also clearly states the requirement to 
preserve transmission data with electronic mail records to ensure that 
their context as well as content are preserved. GRS 20 does not 
authorize the deletion of the versions of electronic mail or word 
processing records that have been placed in the agency's recordkeeping 
system.
    The new GRS 20 recognizes that electronic mail and word processing 
applications are used to create Federal records, including some 
permanent records. Separate NARA guidance and regulations instruct 
agencies to appropriately preserve records that are produced through 
office automation in the form that they determine is best to accomplish 
their mission within their administrative and fiscal capabilities.
    GRS 20, NARA regulations, and NARA guidance instruct agencies to 
identify records created using office automation and to maintain them 
in a recordkeeping system that preserves their content, structure, and 
context for their required retention period. For records to be useful 
they must be accessible to all authorized staff, and must be maintained 
in recordkeeping systems that have the capability to group similar 
records and provide the necessary context to connect the record with 
the relevant agency function or transaction. Storage of electronic mail 
or word processing records on electronic information systems that do 
not have these attributes will not satisfy the needs of the agency or 
the needs of future researchers.
    Search capability and context would be severely limited if records 
are stored in disparate electronic files maintained by individuals 
rather than in agency-controlled recordkeeping systems. Furthermore, if 
electronic records are stored in electronic information systems without 
records management functionality, permanent records may not be readily 
accessible for research. Unless the records are adequately indexed, 
searches, even full-text searches, may fail to find all documents 
relevant to the subject of the query. In addition, numerous irrelevant 
temporary records, that would be segregable in systems with records 
management functionality, may be found. Agency records can be managed 
only if they are in agency recordkeeping systems.
    The respondents who expressed this concern mistakenly concluded 
that the proposed GRS 20 authorized the deletion of valuable records. 
On the contrary, GRS 20 requires the preservation of valuable records 
by instructing agencies to transfer them to an appropriate 
recordkeeping system. Only after the records have been properly 
preserved in a recordkeeping system will agencies be authorized by GRS 
20 to delete the versions on the electronic mail and word processing 
systems. As indicated, most agencies have no viable alternative at the 
present time but to use their current paper files as their 
recordkeeping system. As the technology progresses, however, agencies 
will be able to consider converting to electronic recordkeeping systems 
for their records.
    The critical point is that the revised GRS does not authorize the 
destruction of the recordkeeping copy of the electronic mail and word 
processing records. The unique program records that are produced with 
office automation will be maintained in organized, managed office 
recordkeeping systems. Federal agencies must have the authority to 
delete the original version from the ``live'' electronic information 
system to avoid system overload and to ensure effective records 
management. Program records that have been transferred to the 
recordkeeping system will not be affected by GRS 20. Their disposition 
is controlled by other general or specific records schedules.
    NARA appraises and schedules records in organized recordkeeping 
systems. It is essential for the originating agency, for NARA, and for 
future researchers that records, especially those appraised as 
permanent, be maintained in recordkeeping systems with records 
management functionality to allow for appropriate maintenance and 
disposition.
    The examples cited by some of the respondents as support for their 
position serve more as useful illustrations of NARA's position. The 
Department of State's Foreign Affairs Information System (now the 
Automated Data System) is not a word processing or electronic 
communications system. It is a recordkeeping system that stores, 
indexes, and retrieves the Department's important program records. It 
is not related in any way to GRS 20. The system was appraised as 
permanent by NARA in 1983 and consists of an automated index, microfilm 
copies of paper documents, computer output microfilm of electronic 
message traffic, and digitally stored texts of electronic message 
traffic. This is an excellent example of the benefits of transferring 
records from various formats to a recordkeeping system to ensure their 
continued availability to staff and preservation for NARA.
    The Canadian Trade Negotiation Office did not have an electronic 
recordkeeping system for its office automation records. It maintained 
its records either on-line, on paper, or on backup tapes. The backup 
tapes were acquired in their entirety by the National Archives of 
Canada. They consisted of a complicated mixture of data, files, 
documents, directories, and software and included records that had 
permanent value, records with no archival value, and duplicates. If the 
records had been maintained on a recordkeeping system in the agency, 
the Canadian National Archives would have been able to identify, 
appraise, and acquire only records with permanent value and allow the 
agency to dispose of the remainder. Because of the great value of the 
records and the significance of the agency, the National Archives of 
Canada undertook extraordinary measures to impose basic intellectual 
order on the system data, files, and directories to make them 
retrievable. Despite this time consuming project, information 
concerning the Trade Negotiation Office's functions, activities, and 
records management practices was not recreated. The Canadian experience 
with this project is a powerful example of the need for records to be 
preserved by an agency on a recordkeeping system.
    The pilot project by the Navy Research Laboratory cited by 
respondents also supports NARA's position that records need to be 
maintained in a recordkeeping system. The Navy project was conducted by 
an agency historian who invested approximately one hour to categorize 
100-150 messages that were maintained 

[[Page 44645]]
on the electronic mail system. Additional time was required to edit 
entries for input into a separate database and to manage the database. 
Federal agencies routinely create or receive tens of thousands of 
messages per day. If these records were preserved and managed in a 
recordkeeping system, as advocated by NARA, such labor intensive, time 
consuming work as was done in the Navy pilot project would not be 
necessary. If, on the other hand, Federal agencies were to adopt the 
Navy pilot project as a model they would be required to analyze each 
message individually, provide whatever context would be necessary, and 
enter the data into a database. If an agency has an average of 40,000 
messages per week (a relatively low average), this would require 
approximately 400 staff hours, the equivalent of 10 full time 
employees, just to categorize the messages. This is an expenditure that 
no agency can afford and is, no doubt, the reason that the Navy did not 
implement the recommendations of the pilot project.
    Agencies must maintain their records in organized files that are 
designed for their operational needs. Agencies that currently have 
traditional paper files print their electronic mail records, word 
processing records, spreadsheets, and data base reports so that their 
files are complete, comprehensible, and in context with related 
records. Agency functions that have not been automated must be 
supported by hard copy files, even when some types of related records 
are generated electronically. Agencies that decide to maintain their 
records in electronic recordkeeping systems do so for compelling 
operational needs, not for future researchers. In some cases, such as 
the State Department example cited by respondents, agencies create 
automated indexes to hard-copy records rather than digitizing all of 
the records themselves. In any case, the decision must be based on an 
analysis of the needs of and benefits to the agency, balanced against 
available resources. The role of NARA is to provide guidance and 
regulations that, when properly implemented, will result in agency 
recordkeeping systems that protect records for their authorized 
retention period, and, for permanent records, in a format that allows 
transfer to the National Archives.
    If agencies were to maintain their electronic mail and word 
processing records on electronic information systems that do not 
provide the necessary records management functions, just for the sake 
of maintaining them in electronic format as many respondents advocate, 
the records would be of limited use to both the originating agency and 
to future researchers. Such a practice would not support agency 
operations, and researchers would have to search disassociated, 
unindexed collections of materials for potentially valuable records, 
which would result in finding a large proportion of irrelevant 
documents, an inefficient use of research time.

2. Disposition Instructions
    a. Comments. One agency and a member of the public expressed 
concern about the GRS 20 disposition instructions. They said that 
``delete when no longer needed'' was too vague or too broad. A state 
archivist also expressed concern that the schedule would authorize 
destruction of electronic records and related documentation needed for 
establishing authenticity and legal admissibility of electronic 
records.
    b. Response. In response to these concerns, NARA has replaced 
``delete when no longer needed'' with ``delete when the agency 
determines that they are no longer needed for administrative, legal, 
audit, or other operational purposes'' for items 1a, 1c, 3b(1), 3b(3), 
4, 5, 6, 7, 9, 12a, and 12b. NARA also revised the disposition 
instruction for item 13 to read ``delete from the word processing 
system when no longer needed for updating, revision, or convenience of 
reference,'' and the disposition instruction for item 14 was changed to 
read ``delete from the e-mail system when no longer needed for 
convenience of reference.'' In addition, NARA changed the disposition 
for item 11a to read ``destroy or delete when superseded or obsolete, 
or upon authorized deletion of the related master file or data base, or 
upon the destruction of the output of the system if the output has 
legal value, whichever is latest.''

3. Item 3

    a. Comment. An agency suggested that item 3, Electronic Versions of 
Records Scheduled for Disposal, be extended to GRS 17, Cartographic, 
Aerial Photographic, Architectural, and Engineering Records, and GRS 
21, Audiovisual Records.
    b. Response. Because of the lack of standards for such digitized 
records at this time, NARA has not expanded this item as suggested.

4. Item 8

    a. Comments. Four agencies raised questions about the coverage of 
backups. Two agencies found the distinction between system and security 
backups to be confusing. One agency suggested that GRS 20 acknowledge 
that system backups may be records under the Freedom of Information 
Act, and another agency suggested that the introduction acknowledge 
that courts have allowed parties to request documents that exist only 
on system backups. Two other agencies questioned the meaning of 
``record copy'' in the definition of system backups in the introduction 
and recommended adding system backups as a new subitem under item 8. 
One agency requested that a subitem be added to item 8 to cover 
unscheduled records, and that the disposition of item 8 be amended to 
provide that if records with different retention periods are on backup 
copies, the backup should be kept for the longest retention period. One 
state archivist stated that the disposition for item 8 is inconsistent 
with accepted processing practices.
    Some of the public respondents to the proposed GRS change also took 
issue with the item on backups. In their view NARA drew an erroneous 
distinction between the backups that mirror the ``logical'' format of 
the system and those that mirror the ``physical'' format. They 
suggested that all categories of backups are records because they serve 
the same function of permitting recovery of an electronic record or 
file if the record or file is damaged or erased from the system, and 
recommended that item 8 be left unchanged.
    b. Response. NARA has revised item 8 to reflect some of the 
comments and to clarify its coverage. Item 8a has been retitled 
``Backups for Files'' to eliminate the distinction that formerly was 
made between system and security backups. This distinction brought 
about a great deal of confusion that tended to distract from the 
purpose of the item. Consequently, the new item 8a covers backups, 
regardless of how they are characterized, that are determined by the 
creating agency to be Federal records. The reference to classification 
of the format of backups (``logical'' or ``physical'') was also 
deleted.

5. Item 13

    a. Comments. One agency stated that item 13, Word Processing Files, 
is inappropriate because disposition should be based on content, not 
media. Another agency suggested that item 13 should provide 
authorization for deletion of superseded drafts.
    b. Response. NARA believes that this item responds to a real need. 
As indicated earlier, the GRS has covered the original version of word 
processing records since 1988. Over the years many agencies have told 
NARA that it has proven very useful to them in 

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conducting their records management programs. By providing 
authorization for deletion of the word processing copy of documents 
that are preserved elsewhere in a recordkeeping system, NARA has freed 
Federal records officers from scheduling the duplicative records in 
those systems. Consequently, the records officers can concentrate on 
scheduling the unique electronic records in their agencies.
    NARA has not added provisions to this item concerning draft 
documents. In most cases, drafts are nonrecord materials so no 
disposition authority is required. In those instances where drafts 
created on word processing systems are records, as described in NARA 
regulations (36 CFR 1222.34), the revised GRS 20 will cover them as it 
covers other records generated electronically. No further authorization 
is needed in the GRS. NARA will be issuing guidance on agency 
recordkeeping requirements that includes a discussion of drafts and 
provides criteria for determining when they are records.
    NARA did modify item 13 as a result of numerous meetings and 
discussions with records officers and other interested parties, and 
further analysis of recordkeeping requirements. Records must be 
available to all authorized users and properly managed to ensure their 
authorized, timely, and appropriate disposition. Documents meeting the 
definition of record that are only in individuals' word processing 
directories, rather than agency recordkeeping systems, are not 
accessible to other staff members. Even accessible network word 
processing directories are inadequate if they are part of information 
systems that lack records management functionality. It is critical that 
agencies instruct their staff members to copy or transfer any word 
processing documents that are Federal records to paper or electronic 
recordkeeping systems. Consequently, NARA deleted subitem 13b. This 
subitem would have authorized deletion of records that were maintained 
only on the word processing system until the expiration of the 
retention period authorized by another GRS item or agency schedule. The 
deletion of item 13b from GRS 20 reinforces the necessity for agencies 
to properly maintain Federal records in recordkeeping systems.

6. Item 14

    a. Comments. One agency suggested that item 14, Electronic Mail 
Records, should authorize deletion of recipients' copies of messages 
unless the recipient's copy has been designated by the agency as a 
record. The same agency requested that NARA add a subitem to authorize 
deletion when no longer needed of routine types of messages, such as 
meeting announcements and acknowledgments. Another agency suggested 
that item 14 include definitions of transmission data and receipt data 
and an agency suggested that GRS 20 address the issue of record status 
determinations. Two agencies expressed concern that item 14 would 
require electronic maintenance of electronic mail. Many public 
respondents objected to item 14 because it permitted hard copy records 
to be substituted for electronic versions (see comments and response 
number 1).
    b. Response. NARA has modified the item and the introduction to GRS 
20 to provide more information on transmission and receipt data.
    Item 14 also has been modified to drop its prior reference (item 
14b) to records maintained on the electronic mail system itself. Just 
as with word processing records, e-mail records must be maintained in 
recordkeeping systems that allow accessibility and proper records 
management. See the response to comments on item 13, above, for further 
explanation of this change.
    Otherwise, NARA has not adopted the suggestions concerning this 
item. Blanket authorization for deletion of recipients' copies of 
messages would be inappropriate. Sometimes such copies are unique 
Federal records. For example, messages received through external 
systems would not be duplicated elsewhere in the agency. Also, to 
ensure file integrity, recipients' copies of messages often need to be 
incorporated into a recordkeeping system in the recipient's office. 
Agencies are responsible for issuing instructions on identifying record 
copies of documents, consistent with NARA regulations and guidance. 
Because the GRS is a records disposition schedule, it is not the 
appropriate mechanism for addressing records creation issues. NARA will 
address these issues in standards or guidance dealing with records 
creation and maintenance. As indicated in the response number 1, GRS 20 
does not require maintenance of electronic mail records in electronic 
form. Item 14 specifically covers electronic mail records converted to 
paper or microform, as well as those copied for maintenance in 
electronic recordkeeping systems.
    During the past two years NARA has worked closely with Federal 
agencies on the development of records management guidance concerning 
electronic mail. NARA staff members have consulted extensively with 
records managers and information resource officials in major agencies 
on the development of records management guidance for electronic mail, 
and, after publication of proposed standards on March 24, 1994 (59 FR 
13906), held discussion meetings and made presentations attended by 
over 840 agency records managers, information resource managers, legal 
staff, and others. Based on knowledge and experience, NARA believes 
that implementation of this GRS change, along with revised regulations 
and NARA guidance, will significantly improve the quality of Federal 
documentation by appropriate preservation of electronic mail records. 
NARA has given authority under the Federal Records Act to the Federal 
agencies to delete electronic mail records from their electronic mail 
systems only after a copy of the full message with names of senders and 
addresses and date of transmission, and receipts when required, have 
been preserved elsewhere.

7. Item 15

    a. Comments: The public comments included a concern that item 15, 
Spreadsheets, could authorize the destruction of critical information 
that is in the electronic version of a spreadsheet that would not be in 
a paper printout. The printout would only contain the results of the 
computation, not the formulas or other information that was used to 
reach the results. Such computational information should be preserved 
with the electronic spreadsheet, particularly when it concerns 
important budgetary, funding, or other analysis.
    b. Response: The coverage of item 15, as proposed in October 1994, 
was not clear. It was not intended to apply to all program-related 
spreadsheets that were developed for agency use. As the respondents 
correctly indicated, if this item were to apply to program records 
generally its application could have resulted in the loss of 
potentially valuable information that was used to produce a 
spreadsheet. Consequently, item 15 has been rewritten to clarify the 
limitation of its coverage. It now authorizes the deletion of 
electronic spreadsheets only if they support administrative, rather 
than program, functions or if they were generated by an individual only 
for background purposes.

Conclusion

    The Federal Government generates an incalculable number of paper, 
electronic, and audiovisual records every day. The vast majority (95-
98%) 

[[Page 44647]]
of these are temporary records and many fit into categories that are 
common throughout the Government. The GRS is a mechanism mandated by 
law to provide disposition authorities for such common temporary 
records. GRS 20 is designed to provide authority for the deletion of 
common temporary records that are generated by computers. As indicated 
in the responses to comments above, approval of GRS 20 will not affect 
unique program records that have been preserved in a recordkeeping 
system. Federal agency records officers are responsible for scheduling 
the records that are not covered by the GRS. GRS 20 will allow agencies 
and NARA to concentrate more resources on unique program records. 
Approval of the revised GRS 20 will allow NARA to continue to focus 
attention on electronic records with enduring value by eliminating a 
large proportion of those without such value from further 
consideration.

    Dated: August 14, 1995.
John W. Carlin,
Archivist of the United States.
    Following is the text of GRS 20 and GRS 23.
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 tables that are components of data base 
management systems, and certain files created from master files for 
specific purposes. In addition, this schedule covers certain disposable 
electronic records produced by end users in office automation 
applications. 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).
    The records covered by several items in this schedule are 
authorized for erasure or deletion when the agency determines that they 
are no longer needed for administrative, legal, audit, or other 
operational purposes. NARA cannot 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 data bases that has been 
incorporated into item 3.
    Electronic versions of records authorized for disposal elsewhere 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.
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 the agency determines that they are no longer 
needed for administrative, legal, audit, or other operational purposes.
    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 the agency determines they are no longer needed 
for administrative, legal, audit, or other operational purposes.
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 back-up 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 back up to, the master file or database, whichever is later.
    d. Computer files or records containing uncalibrated and 
unvalidated digital or analog data collected during observation or 
measurement activities or research and development programs and used as 
input for a digital master file or database.
    Delete after the necessary data have been incorporated into a 
master file.
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 

[[Page 44648]]
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 electronic version when the agency determines that it is no 
longer needed for administrative, legal, audit, or other operational 
purposes.
    (2) When the electronic record replaces hard copy records that 
support administrative housekeeping functions.
    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 the agency determines that they are no longer needed 
for administrative, legal, audit, or other operational purposes.
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 data base 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 created as disclosure-
free files to allow public access to the data which may not be 
destroyed before securing NARA approval.
    Delete when the agency determines that they are no longer needed 
for administrative, legal, audit, or other operational purposes.

(Note: Data files consisting of summarized information which were 
created from a master file or data base that is unscheduled, or that 
was scheduled as permanent but no longer exists or can no longer be 
accessed, may not be destroyed before securing NARA approval.)
5. Records Consisting of Extracted Information
    Electronic files consisting solely of records extracted from a 
single master file or data base 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 by an extraction process which changes the 
informational content of the source master file or data base; 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 the agency determines that they are no longer needed 
for administrative, legal, audit, or other operational purposes.

(Notes: (1) Records consisting of extracted information that were 
created from a master file or data base that is unscheduled, or that 
was scheduled as permanent but no longer exists or can no longer be 
accessed may not be destroyed before securing NARA approval. (2) See 
item 12 of this schedule for other extracted data.)
6. Print File
    Electronic file extracted from a master file or data base without 
changing it and used solely to produce hard-copy publications and/or 
printouts of tabulations, ledgers, registers, and statistical reports.
    Delete when the agency determines that they are no longer needed 
for administrative, legal, audit, or other operational purposes.
7. Technical Reformat File
    Electronic file consisting of data copied from a complete or 
partial master file or data base 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 the agency determines that they are no longer needed 
for administrative, legal, audit, or other operational purposes.
8. Backups of Files
    Electronic copy, considered by the agency to be a Federal record, 
of the master copy of an electronic record or file and retained in case 
the master file or database is damaged or inadvertently erased.
    a. File identical to records scheduled for transfer to the National 
Archives.
    Delete when the identical records have been captured in a 
subsequent backup file or when the identical records have been 
transferred to the National Archives and successfully copied.
    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 backup file.
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 the agency determines that they 
are no longer needed for administrative, legal, audit, or other 
operational purposes, whichever is later.
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.
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 data base 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 data base, or upon the 
destruction of the output of the system if the output is needed to 
protect legal rights, whichever is latest.
    b. 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 data bases is not authorized for destruction by the 
GRS. (2) See item 1a of this schedule for documentation relating to 
system testing.)
12. Downloaded and Copied Data
    Derived data and data files that are copied, extracted, merged, 
and/or calculated from other data generated within the agency, 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 the agency determines that they are no longer needed 
for 

[[Page 44649]]
administrative, legal, audit, or other operational purposes.
    b. Derived data that provide user access in lieu of hard copy 
reports that are authorized for disposal.
    Delete when the agency determines that they are no longer needed 
for administrative, legal, audit, or other operational purposes.
    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 or device when no longer needed 
for processing.

(Note: See item 5 of this schedule for other extracted data.)
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 after they have been copied to an electronic 
recordkeeping system, paper, or microform for recordkeeping purposes.
    Delete from the word processing system when no longer needed for 
updating or revision.
14. Electronic Mail Records
    Senders' and recipients' versions of electronic mail messages that 
meet the definition of Federal records, and any attachments to the 
record messages after they have been copied to an electronic 
recordkeeping system, paper or microform for recordkeeping purposes.
    Delete from the e-mail system after copying to a recordkeeping 
system.

(Note: Along with the message text, the recordkeeping system must 
capture the names of sender and recipients and date (transmission 
data for recordkeeping purposes) and any receipt data when 
required.)
15. Electronic Spreadsheets
    Electronic spreadsheets generated to support administrative 
functions or generated by an individual as background materials or 
feeder reports.
    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.

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 data bases, 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, item 3.
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.)
2-4. Reserved.
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 for convenience of 
reference.

(Note: GRS 20, item 3, authorizes deletion of electronic records 
described by subitems a and b of this 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. 

[[Page 44650]]

     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.
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.
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.
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.

[FR Doc. 95-21126 Filed 8-25-95; 8:45 am]
BILLING CODE 7515-01-P